dswd

1 MESSAGE

Dear Readers,

When the Social Welfare and Development (SWD) Journal began its publication in July 2007, the Department envisioned it as a platform for promoting social development programs and studies, not just of government agencies, but of NGOs, LGUs and similar organizations as well. Interestingly, the launch of the SWD Journal also coincided with the jumpstart of the National Sector Support for the Social Welfare and Development Reform Program (NSS-SWDRP): a reform process that the DSWD has undertaken to maximize its capacity as a leader in the field of social protection, especially in social welfare and social safety nets; a process that has resulted in an assessment of DSWD’s capacities and identification of reforms that will improve its service delivery and leadership capacity. For the Journal’s first anniversary issue we are sharing with you some of the condensed studies, which have provided direction for the NSS-SWDRP. These studies by our consultants, Dr. Fernando T. Aldaba and Dr. Leonardo A. Lanzona, discuss the implications of the devolution on the SWD sector (Aldaba); assess the country’s social risks and vulnerabilities (Aldaba); and tackle the proposed monitoring and evaluation system

for DSWD (Lanzona). We are also

featuring an article on the Pantawid Pamilyang Pilipino Program Pilipino Program (4Ps) Conditional Cash Transfer, the Department’s latest anti-poverty strategy, which aims to capacitate the poorest to invest in human development capital, specifically in education and health. We hope these articles will not only enlighten our readers on the challenges that the DSWD is facing as regards its reform process, but also reflect the Department’s determination determination to overcome these hurdles and provide better service to the poor and vulnerable. Happy reading!

Alicia R. Bala Undersecretary and Editor-in-Chief 

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Volume No. 2 Issue No. 2

2 A REVIEW OF THE DSWD DEVOLUTION*  By  Dr. Fernando T. Aldaba

ABSTRACT

T

he Local Government Code of the Philippines was enacted in 1991 to address the problems associated with a highly centralized Philippin e bureaucracy. It was enacted to by the state “to ensure the autonomy of local governments” as contained in the Philippine constitution.

One of the major features of the Code was the transfer of the responsibility for the delivery of  basic services, including appropriate personnel, assets, equipment, programs, and projects, to the local government government units. The Department Department of  Social Welfare and Development (DSWD) was

one of national government agencies that was devolved almost immediately after the enactment of the Code. Fifteen years after  devolution, the DSWD continues to identify and resolve the institutional and financial challenges that it faces to fulfill its mandate under a devolved set-up. This paper seeks to present the devolution process that the Department went through in the past fifteen years and the issues and challenges that it continues to to face. This study was based on the review of existing studies on the subject and does not present a comprehensive assessment of the Department’s performance under a devolved set up.

Introduction

T

he Philippine bureaucracy was highly centralized prior to the Code. The DSWD was formerly called the Social Welfare Administration, which was under the Office of the President. This highly centralized unit of government attended to the social welfare needs of the country. In 1968, the SWA became a department, called the Department of Social Welfare, under former  President Ferdinand Marcos. When the country shifted to parliamentarism in 1978, it became the Ministry of Social Services and Development. In 1987, the office was re-named the Department of  Social Welfare and Development under former  President Corazon Aquino. I.

The Th e DSWD DSWD Pri Prior or to to Dece Decent ntra rali liza zati tion on 1

The DSWD’s role in its early years under postwar  Philippines focused on the provision of social

* This

welfare services to those who were considered as “destitute, the unfortunate victims of calamities and dissidence, and others who are unable unabl e to fend for  themselves or to be taken care of by relatives and friends. Under the Garcia administration its services to the destitute shifted to attaining selfsufficiency through income generating projects for  the needy, training of physically handicapped persons, and gradual establishment of a social security system. Child welfare services were expanded to include probation and parole, child guidance clinics, Boy’s Town Town to house offenders, and child aid and placement. Under the Marcos administration, a “holistic developmental perspective” in social welfare services was adopted with economic, psychological, physical and social programs responding to potential or actual problems of the

review is based on existing literature on the DSWD devolution and internal documents of the Department

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marginalized. Instead of mere treatment and rehabilitation of individual victims, there was a shift in focus on organized groups such as families and barangays. In the 1978-1982 Five-Year Plan, social services were intentionally extended to the lowest 30 percent of the population especially in depressed regions, along with the mobilization and development of human resources at the barangay level to increase productivity and instill self-reliance. The Department shifted its emphasis from the traditional, often institution-based, social welfare to communityoriented programs and services that increased people’s own capacities for problem solving. It was also during the Marcos regime when a policy of coordination between public and private social service organizations was adopted by the social welfare sector in order to expand clientele outreach and maximize the efficient use of resources resou rces However, the government applied a very utilitarian role to civil society, that of efficient user of resources. In spite of  o f  calls for better cooperation between these two sectors, “real coordina coordination” tion” still had to be maximized and “clearly defined.” Under the Corazon Aquino administration, gender  and development programs were promoted in the DSWD. A Bureau of Women’s Welfare was established to ensure the empowerment of women. Women’s productivity skills and capability building centers were established for this purpose. Besides women, the disabled and rebel returnees were also given priority. In addition, the role of non-government organizations (NGOs) and people’s organizations (POs) became constitutionally mandated, pushing the DSWD to forge collaborative efforts between government and civil society. Toward the end of President Presid ent Aquino’s term, Congress passed the Local Government Code, which introduced significant modifications in the provision of basic social services by transferring the provision of social welfare services to local government units (LGUs). Thus began the transformation of the DSWD from a highly centralized department to one with a devolved set up. II. The DSWD DSWD After After Decen Decentra traliz lizati ation on

The Local Government Code mandated the transfer of the following social services to the Local Government Units (LGUs): At the barangay level, SOCIAL  WELFARE

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3 these services include the maintenance of daycare centers. At the municipal and city levels, these include children and youth, elderly and disabled persons welfare projects and programs; community based rehabilitation programs, family planning and nutrition programs, livelihood projects for the poor and women projects and programs. At the provincial level, these include programs and projects on rebel returnees and evacuees, disaster  and relief operations and population development. However, by a legislative mandate the DSWD continues to implement national programs and projects funded through its own budget or from external sources. These are the Self Employment Assistance- Kaunlaran Project (SEA-K), Comprehensive and Integrated Delivery of Social Services (CIDSS), Productivity Skills Capacity Building for Disadvantaged Women and the Early Childhood Care and Development (ECCD). Under the Code, devolution involved the transfer  of basic services and facilities including records, equipment and other assets and personnel of  national agencies and offices offices to LGUs. The LGUs will fund these services from its internal revenue allotment or IRA share in national taxes and/or from it locally sourced revenues. In addition, the functions of the DSWD’s regional offices should be devolved to the provincial, city or town government units within one year from the approval of the Code. The DSWD may however establish field units to monitor and provide technical assistance to LGUs. Thus, the Code Code transformed the DSWD from being the main, direct service provider of basic services to an enabler or provider  of technical assistance and augmenter of funds. The “Master Plan (1993-1998) for the Sustained Implementation of the Local Government Code of  1991” presents three major phases that guided the implementation of the Code: Phase One: Change-over Phase (1992 to 1993) , which involved the transfer to LGUs of devolved functions, with the corresponding assets and personnel. Phase Two: Transition Phase (1994 to 1996) , wherein the national government agencies (NGAs) and the LGUs shall institutionalize their  adjustments to the decentralized schemes introduced by the Code.

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4 Phase Three: Stabilization Phase (1997 onwards), wherein the LGUs would have built adequate capacities in managing local affairs, and the NGAs would provide constant support and technical assistance to LGUs.

Thus, five years after its enactment, it is expected e xpected that the bureaucracy has already been fully implementing the Code and its units functioning under a totally devolved set-up. In this section, the evolution of the DSWD from a highly centralized unit to a decentralized unit of  government is presented in three major phases, the first five years since the enactment of the Code, the next five years or a decade after the enactment of the Code and finally fifteen years after  devolution.

RA 7160 (Sec. 17) Barangay 

Day Care Center 

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Day Care Service

Programs and Projects on:

 A. Self Self Employme Employment  nt    Assistance (SEA)

   

 

Child and Youth Welfare Family and Community Welfare Welfare of the Elderly and Disabled Persons Community-based Rehab, programs for vagrants, beggars, street children, scavengers, juvenile delinquents and victims of  drug abuse Nutrition services Family Planning Services

B. Family Family and Commun Community  ity  Welfare Programs      

Parent Effectiveness Marriage Counseling Responsible Parenthood Family Casework / Counseling Social Preparation for  People’s Participation Community Volunteer  Resource Devt.

C. Women Welfare Welfare Program Program    

Under Executive Order No. 503, the guidelines and implementing rules on devolution, the devolution of basic services was required to be finished by June 30, 1992 consistent with the Code, and December 31, 1992 was placed as the final deadline for those services that cannot be devolved by June 30, 1992. Memorandum No. 27 of the President also mandated that national departments and agencies should improve their  operations and guide the process streamlining criteria. Implementing procedures were also detailed.

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Municipality/City

Policy Support to Devolution 2

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Barangay

Municipality/City

1. The first first five five years years after after devolu devolutio tion n (1991-1996)

As a response, on 13 March 1992 the DSWD issued Department Order (D.O.) 005 Series of  1992 that contained the Implementing Guidelines for the Department’s devolution process. It identified the particular programs of the Department that would be handed over to the LGUs as well as the programs that would be retained. It also contained the guidelines for the devolving of personnel and assets as well as the time frame. Shown below are the programs that were devolved to the LGUs in compliance with the Department Order and the provisions of the Code. According to the DSWD, the D.O. enabled them to comply more than what was required by the Code.

D.O. 005 (Sec. III)

Self-Enhancement Skills Devt. Maternal and Child Care Skills Devt. Productivity Skills/ Livelihood Devt. Community Participation Skills Devt.

D. Emergency Emergency Assistance Assistance Program      

Supplemental Feeding Food for Work Emergency Shelter  Assistance Balik Probinsya Crisis Intervention Disaster Mgt. Capability Bldg.

E. Program Program for for Disabled  Disabled  Persons and Elderly     

  

Province   

Programs and Projects for  Rebel Returnees Relief Operations Population Development Service

Information Dissemination on Disability Prevention Assistance for Physical Restoration Self/Social Enhancement for Disabled persons Social / Vocational Preparation for  Employment Services After Care and Follow-up services Special Social Services for  the Elderly Social and Vocational Preparation for Job Placement

Province 

Disaster Relief Assistance

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5

Trends in Implementing the Code 3

wait-and-see attitude attitude in implementing the the Code. By 1993, the LGUs started to seriously implement the Code moving beyond personnel devolution to having a positive effect on service delivery, del ivery, political accountability, local planning, private sector and NGO participation and a host of other areas. Both local governments and NGA local offices are doing doin g much to work out solutions to problems without further recourse to central offices. Generally, however, the devolved agencies at both the central and local levels continue to be very slow to respond to the operational demands of decentralization. By 1994 the process of devolving personnel and assets has essentially been accomplished and a “transitional” phase in the decentralization process has thus begun. Local governments turned to the substantive aspects of local control including reorganization in the context of the new responsibilities devolved to them such as learning the essentials of delivering social welfare services. In 1995, there was widespread evidence of  increased allocation for basic services. Innovative planning and delivery of social services took place throughout the country with NGOs and POs participating in this delivery. By 1996, basic service delivery became more integrated with local operations, more focused on local priorities, and more efficient in terms of both services and costs. Both local executives and devolved personnel discovered and developed more creative support service modes as a result of decentralization. In many instances, devolved personnel attested to the improvements in their ability to develop and pursue pu rsue more relevant projects because they were closer  to the decision making and could define activities in relation to local need. Where devolved personnel oppose devolution, they do so because of concerns about career security and advancement, not because they believe that LGUs are incapable of  delivering services.

Both local governments and field offices of NGAs view the implementation of the Code as a valuable, valuable , relevant and necessary step towards local autonomy. autonomy. However, the enthusiasm for achieving local autonomy is seriously constrained by the problems prevailing at the local level regarding the implementation of the Code. In 1992, the LGUs and local level national government personnel were confused, resistant and had a very cautious

The devolution of social welfare services has been in most respects the “success story” of  decentralization. The DSWD willingly and aggressively managed the devolution of its personnel. DSWD personnel were typically well respected by local executives and readily absorbed into local organizational structures. Overall in the first five years of devolution, the change-over  process went well. Services continued to be delivered without too many difficulties.

In the last quarter of 1992, the Department began the turnover of manpower and budget as mandated by the Code. By the end of 1996, around 66% of the Department’s personnel were devolved to the LGUs. Also in 1996, the Department issued D.O. 22 Series of 1996 that aimed to alleviate poverty in the poorest areas of  the country through community organization and provision of basic needs. It was here that the Comprehensive and Integrated Delivery of Social Services (CIDSS) Program was born. CIDSS became the flagship project of the Social Reform Agenda and later under E.O. 443 became the national delivery mechanism for the minimum basic needs approach. RELATED EVENTS TO DECENTRALIZATION PROCESS

TIME PERIOD 1992



Executive Order (E.O.) No. 503: contained the rules and regulations implementing the Transfer of Assets, Liabilities and Records of NGAs whose Functions are to be Devolved to the LGUs



Memorandum Order (M.O.) 27: Mandating All Heads of Departments, Agencies, Instrumentalities of National Governments to Streamline and Improve their Operations and Organization



An Ad Hoc Committee on Restructuring/ Streamlining the DSWD as created with then Undersecretary Milagros Llanes as Chairman.



Department Order (D.O.) 005: 005 :

1993 1995-96

Implementing Guidelines of R.A. 7160  was

issued outlining the Devolution Process for  the Department. 

DSWD submitted to DBM its streamlining report per M.O. 27 Guidelines



Workshops and Consultations with DBM and AIM

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6 The DSWD’s main concern in the first year of  implementing the Code was how to reorganize to deliver technical assistance to the LGUs and how to reorient their own field operations to better serve locally-based service delivery. In 1992, the DSWD devolved its personnel to the local level by entering into a Memorandum of  Agreement (MOA) with the LGUs. This MOA helped both parties in the management of  devolved assets and personnel as well as operational issues. By 1993, DSWD personnel who had been appointed to local plantillas and operate under local guidance, continued to deliver services at least as consiste ntly as when NGAs had control. By 1994, service delivery has continued continue d without major disruption and, in some cases, has improved as LGUs exercised management of devolved services. However, there has been minimal re-direction re-directio n of the pattern pattern of service delivery inherited from NGAs and most devolved personnel are simply tasked to continue as they have been prior to devolution. By 1995, the DSWD acknowledged that operations have improved. Provincial and municipal social welfare personnel frequently reported that the transfer of DSWD functions to LGUs strengthened their operational capacity, especially in terms of access to resources, quick decision-making and the ability to reorient services where they are needed most. DSWD personnel were most frequently cited by local officials as being the easiest to integrate into LGU operations. In 1996, social welfare received increased financial support from LGUs due to greater understanding of the needs of  beneficiaries resulting from closer supervisory and planning support from chief executives. The combination of more rapid access to funds and quick decision-making, coupled with more targeted interventions had improved the impact of social welfare programs. LGUs expanded their  social service “nets” to add programs co-financed and supported by NGOs and private sector  institutions with particular capabilities in addressing sectoral or special needs. Thus, in addition to the standard services for indigents, pre-school children, youth and the e lderly, lderly, LGUs innovated with programs co-funded and co-managed by the social welfare personnel and NGOs. SOCIAL  WELFARE

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Issues and Concerns 4

DSWD faced the following constraints in the devolution process in the first five years of  implementation: 1. Overla Overlaps ps and and gaps gaps in in the social social serv service ices s sector which need to be rationalized by means of a development agenda, rather  than by means of just responding to circumstance. 2. Unfund Unfunded ed manda mandates tes and and fundi funding ng constraints especially for lower class municipalities that had greater numbers of  indigent clients as a portion of their  population. Local executives observe that NGA budgets were not as dramatically affected by devolving personnel and functions to LGUs, as were LGU budgets (even with increased IRA shares) effected by absorbing personnel and functions from NGAs. Similarly, NGAs say they do not have the funds to provide technical assistance in their new “consultancy” role with respect to the LGUs. 3. Politi Political cal consid considerat eration ions s adversel adversely y intrude intrude on social welfare issues. The extension of  services to one group is seen as partisan favoritism and the rejection of ineligible clients is sometimes countermanded by executives seeking to do political favors. 4. LGUs’ difficulty difficulty in adjusting adjusting administrativ administrative e systems to accommodate new functions Treasury, budgeting, and responsibilities. Treasury, accounting and general services had cumbersome system and LGUs needed assistance in complying with requirements. 5. Absence Absence of clearly clearly defined defined complemen complemen-tation of roles between NGAs and LGUs, particularly with respect to reorienting NGA regional offices toward prioritizing LGU technical assistance. NGA regional personnel often tend to see their role as primarily continuing to deliver and/or  monitor their own national programs, rather  than undertaking the fundamental changes needed to become providers of technical assistance in response to locally defined needs. The persistence to implement only the programs of the “mother “mothe r agency,” while Volume No. 2 Issue No. 2

A Review of the DSWD Devolution 

helping with the continuity of service, crowds out local innovation—since implementers’ attention is already taken with these NGA-initiated programs. Local level executives and personnel felt that the national government agencies often try to focus on programs with high visibility like the Social Reform Agenda, which leads to a tendency to bypass the LGUs. This was what DSWD did when it hired its own personnel for the CIDSS (Comprehensive Integrated Delivery of Social Services) program. 6. No specif specific ic divis division ion or or group group was was in in charge charge with coordinating and delivering services to LGUs. Most retain familiar functional arrangements; there is no apparent design for cross-coordinating functional activities with LGU needs, leaving the impression that regional offices continue to emphasize their own functional programs and will respond to LGUs on an “as needed”, rather  than pro-active basis. The Regional SWD personnel were most concerned with how to monitor activities which are no longer  under their authority. authority.

7 to perform their steering role capacity through a redefinition of Field Office-Central Office relations and re-clarification of the Field Offices’ functions post-devolution. The D.O. 01 Series of 1998 pilottested a program to grant full decentralization powers to selected DSWD Regional and Field Offices. The D.O. 22 Series of 1997 provided the framework for Synchronized LGU-DSWD Planning vis-à-vis the CIDSS project and D.O. 21 Series of  o f  1998 was drafted to interface DSWD and LGU workers at the Barangay -Municipal -Municipal levels not just to integrate planning but also to prepare the way for the localization of CIDSS. RELATED EVENTS TO DECENTRALIZATION PROCESS

TIME PERIOD



D.O. 22: Guidelines for the Implementation of the Comprehensive and Integrated  Delivery of Social Services (CIDSS)



E.O. 443: Adoption of CIDSS as National Delivery Mechanism for the Minimum Basic Needs (MBN) Approach



ACTION-TOPS constituted with Secretary Laigo as Chair 



A.O. 57: Enhancing the DSWD Field Offices to Perform their Steering Role

2. Ten years years afte afterr devolu devolutio tion n (1997-2 (1997-2001) 001) 5 Policy support



Administrative Order (A.O.) 69 Task Forces for the DSWD Repositioning were constituted.

Three Department Orders (D.O.) were issued within this period to transform the Department’s function from direct service deliverer to LGU enabler. The D.O. 20 Series of 1997 restructured its organization and intensified capacity building efforts to strengthen the DSWD’s steering role. The Department then issued D.O. 26 Series of  1997 to localize the DSWD’s centers and institutions. The Department was ordered to transfer these institutions to capable LGUs and assist them in meeting the financial requirements of these centers and institutions. The D.O. 16 Series of 1999 provided planning guidelines for  the integrated implementation of social services. The Corporate Plan 2001-2010 was later proposed to make the DSWD systemically and organizationally attuned to its changed nature and transformed environment.



D.O. 11: Development Agenda for 1997



D.O. 20: Strengthening DSWD’s Steering Role Capability and Improving Its Effectivity in Contributing to Poverty Alleviation Efforts



D.O. 26: Localization of DSWD Centers , Programs and Institutions



D.O. 22: Strategy for Synchronized LGUCIDSS Planning



A.O. No. 157: Enhancing the DSWD’s Field Offices to Perform Steering Roles



Special Order No. 880: Assignments of  Staff in the Repositioned DSWD



D.O. 01: Piloting of Full Decentralization of Powers to Selected DSWD Regional and Field Offices



D.O. 21: Guidelines on the Interfacing of  DSWD and LGU Workers at the Barangay Municipal Levels for the Localization of  CIDSS

Administrative Orders 140 and 157 Series of 1997 further enhanced the DSWD DS WD Field Offices’ capacity SOCIAL  WELFARE

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1997

1998

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8 RELATED EVENTS TO DECENTRALIZATION PROCESS

TIME PERIOD 

1999

2001

E.O. 15 Redirects the Functions and Operations of DSD from Direct Service Deliverer to Technical Assistance provider  due to Devolution



EO 221, s. 1998: amended E.O. 15 Enabler of LGUs, NGOs and other NGAs, POs Implementer of statutory laws and specialized programs and services Developer & monitor of standards in SWD Licensor & accreditor of SWD agencies and service providers



D.O. 16: Planning Guidelines for an Integrated and Coordinated Implementation of Social Welfare and development Services



D.O. 02: Planning Guidelines for CY 2000 for Social Welfare and Development

Implementation of the Code

The RFA 1997-2000 described DSWD and LGU continuing partnership as very productive in delivering social services. Devolved personnel do not feel cut off from the “mother agency,” as there is continued coordination in programming and prioritizing. The role of non-government organizations (NGOs) in service delivery and coordination was less contentious in the area of social services. Thus there was a strong effective linkage among local governments, NGOs, and the Department during this period. The Minimum Basic Needs (MBN) approach and its data system were seriously utilized to direct social services; and this tends to broaden service delivery from shortterm crisis response to more wide-ranging help for  clients. However, it could not be said that the MBN approach has had an abiding impact on how planning is done. Finally, efforts towards the Social Reform Agenda have had an impact at the local loca l level. While there were problems with funding releases for the first year of the Poverty Alleviation Fund (when guidelines were released late in the year), for the second year local respondents cited considerable impact. In 1997, a report entitled Delivery of Social Welfare Services after Devolution and Factors Affecting This was completed by Asia Development Consultants, Inc. (ADC). The study was an assessment of the role and performance of LGUs in SWD and covered 101 municipalities from Luzon, Visayas, and Mindanao. Respondents were DSWD Regional SOCIAL  WELFARE

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Officers, senior LGU officials, NGO representatives, DSWD devolved personnel, and beneficiaries. The following were the findings of the study: 6 1. The MSWDO MSWDO was was made made up up of four four staf staff  f  members, such as the Municipal Social Welfare and Development Officer  (MSWDO), other social welfare staff, and a utility staff. Day care workers provide staff  support and are based in the different day care centers. At the provincial level, an average of four to six staff members manages the Provincial Welfare and Development Office (PSWDO). The office was organized according to the programs and services devolved to LGUs, such as emergency assistance, family and community welfare, relief and rehabilitation, and a special concerns unit. The PSWDO provided the directions and program thrusts for the MSWDOs, which was different from the previous process where planning and needs assessment were done at the local level, with the national government setting overall goals and targets. 2. The MSWDOs MSWDOs perfor performed med 76.3% 76.3% responsibility responsibility in implementing social welfare services at the municipal level. Only about one-third engage in both planning and supervision while others engage in other  activities such as networking and establishing linkages; provision of technical assistance; advocacy; and monitoring/ evaluation. Planning activities are often preceded by a needs assessment exercise with some using the MBN information. Other  activities such as population, nutrition, and serving as consultants to Local Chief  Executives (LCEs) not stipulated in the function of the office are also performed by the social welfare personnel. 3. At leas leastt 30% 30% of PSWDO PSWDO surv survey ey respondents said that the roles of the province were mainly that of implementing social welfare services and providing technical assistance to municipalities. There was very minimal involvement of the province in monitoring and evaluation, identification of basic needs, training and information dissemination. Volume No. 2 Issue No. 2

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4. The type type of training training extende extended d to MSWDOs MSWDOs was primarily on program requirements (i.e., disaster management and relief operations; and trainers’ training on community disaster  preparedness). There were no trainings on how to interface with LCEs, mobilize resources, strengthen social welfare sectors, or how to manage social welfare services at the municipal level. This partly explains why performance of these tasks was quite low among LGUs. 5. The MSWDOs MSWDOs implemen implemented ted the followi following ng programs: Self-Employment Assistance Program; Family and Community Welfare Program; Women Welfare Program; Child and Youth Welfare Program; Emergency Assistance Program; Program for Disabled and Elderly; and Day Care Service. Services were delivered in a sectoral way. way. Of the total number of 30 services listed or devolved to LGUs, the following services are the ones most commonly provided in the municipality: Day Care services, loan assistance, parent effectiveness, marriage counseling, supplemental feeding, and information dissemination for disability prevention. About 85% of LGUs engage in these services. 6. Servic Services es not not adequat adequately ely imple implemen mented ted were were entrepreneurship development and capability building services; Child and Youth Youth Programs; community-based services for  street children and delinquent youths; and services for disabled persons and elderly. 7. In provin provincial cial off offices ices,, disast disaster er managem management ent was the key program that is implemented in four of the six services prioritized, with 40% or more of SWD staff working under  this program. 8. In terms terms of acco accompl mplish ishmen mentt of target targets, s, most most of the MSWDOs had fulfilled 70%-100% of  their targets. The study pointed out, however, that MSWDOs tend to lower their  targets because of limited funds. 9. Social Social welfare welfare clients clients survey surveyed ed by by ADC said they were satisfied particularly with selfemployment assistance, family welfare, women, and youth. Programs with less satisfaction ratings were emergency assistance, day care services, and those for  SOCIAL  WELFARE

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9 the elderly and disabled. There were also duplication of services and target beneficiaries for the livelihood projects of  LGUs and regional offices. 10. 10. MSWDOs and PSWDOs complaints included: low prioritization given by LCEs to social welfare programs, political intervention especially in the appointment or upgrading of positions, lack of regularity in monitoring social welfare programs, and lack of dialogue and consultation with different stakeholders. 11. NGO contributions contributions were mainly channeled channeled to the provision of capital and materials, financial assistance, and technical support. These are often directed to selfemployment assistance, emergency assistance, and capability building of  clients. NGOs tend to implement their own programs and services instead of linking up with the SWD office. Limited funds prevented them from expanding the coverage of their SWD projects. 12. POs mainly served served as clients of the MSWD office especially in livelihood, health, and nutrition projects. Their leaders lacked managerial skills and their members lacked involvement in program development. 13. The DSWD National National Office support support was mainly the provision of technical assistance in the form of training to improve SWDO staff capabilities. capabilities. This is in keeping with the role of DSWD to “steer” rather than “row” responsibility. There are few guidelines and preparatory activities regarding monitoring, however, which could explain the poor  submission of information on the status of  SWD services by LGUs. The 1999 (9 th ) RFA revealed that the local governments were struggling to implement developmental initiatives within an environment of  traditional dole-out approaches to social service provision. Local governments were receptive to the collaborative focus of the minimum basic needs (MBN) approach to community-based planning and were increasingly incorporating it into their  planning efforts at all levels. l evels. The 9th RFA showed the Department’s considerable national attention to issues of decentralization and partnership. The Volume No. 2 Issue No. 2

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10 Department reorganized and created the Office for  Regional Operations to better respond to the technical assistance requirements and needs of the DSWD regional offices and local governments. The Department also designed its Human Resource Development and Capability Building activities to prepare regional offices for their new role in technical assistance delivery. These important organizational developments were brought about by presidential executive order issued to redirect the functions and operations of the department from direct service deliverer to technical assistance provider to local governments. At the same time, the CIDSS was also being expanded to cover more local governments. Local governments met the CIDSS initiatives of the department with a willingness to provide counterpart funding, especially absorbing CIDSS workers into the plantilla of local government personnel. Local governments also worked out strategies to sustain the project, despite difficulties in financing due to resource constraints at the national and local levels. In the June 1999 SWS national survey, 56% of  respondents were satisfied with the quality of  devolved social services in their communities. Issues and Concerns 7

According to the ADC report, 79% of municipal SWD staff said they were hampered by limited financial resources. Thirty-nine percent said they lacked administrative support, as exemplified by limited travel allowance, slow release of funds, and failure to provide benefits to staff. About 20% cited problems of manpower lack, political intervention in the selection of beneficiaries, implementation of  services for political purposes, low priority given to SWD programs by LGUs, dole-out mentality of  clients, and lack of technical assistance from regions and/or the national office. The RFA reports cited the following as major  constraints in the delivery of services: 1. Preferen Preference ce of some local local govern governmen ments ts for  concrete, visible infrastructure, as these were perceived to be better means of  getting votes. 2. The stru structu cture re of project projects s under under the the Social Social Reform Agenda restricted local governments to selecting from a preidentified list or menu, rather than being bein g able to design their own projects to meet the SOCIAL  WELFARE

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goals of alleviating poverty and meeting minimum basic needs. 3. Since Since nation national al gover governmen nmentt agenci agencies es serve served d as conduits for the Poverty Alleviation Fund, their internal procedures delayed the release of moneys. 4. Local Local govern government ments s have have found found CIDSS CIDSS to to be a very successful approach but were worried about where to find the resources to sustain this project. 5. Low priority priority for LGU-init LGU-initiate iated d and funded funded capability-building programs for social workers. 3. Fifteen Fifteen year years s after after devolu devolutio tion n (2002-20 (2002-2007) 07)

Dr. Bautista described the current DSWD set-up in her section on the Philippine Governance Report (2002). At the national office and field offices in the different regions, the DSWD maintains the following technical bureaus: social technology; program operations; standards; policy and programs; and social welfare and institutional development. It has these support services: external assistance; administrative; human resources and development; finance; legal; management information system; and social marketing. These offices enable the Department to carry out its retained service functions and to perform its “steering role” for the devolved responsibilities. The DSWD also continues to maintain attached coordinating bodies for policy formulation and monitoring the implementation of laws pertinent to particular  groups. Another is the National Council for the Welfare of Disabled Persons (NCWDP), which serves as the central policymaking, coordinating, and advisory agency of government on all disabilityrelated matters. The third attached agency is the Inter-Country Adoption Board, which acts as the central authority in matters pertaining to the InterCountry adoption of Filipino Children. An essential structural innovation is the move to set up a matrix organization where different offices can be harnessed to contribute their talent and expertise for particular strategic activities. For instance, a Research Management Committee has been set up under the leadership of the Undersecretary for  Policy, Programs and Standards with all Assistant Secretaries as members (DSWD 2001). While the Technical secretariat is headed by the Bureau Director for Policy, Plans and Information Systems, the members of the Research Matrix Group can be Volume No. 2 Issue No. 2

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11

tapped from selected technical staff from other  bureaus, offices/units, field offices and attached agencies. This structural arrangement enables experts from different offices to have a crossfertilization of ideas. In the case of the national program for poverty alleviation like CIDSS, interagency bodies at the different levels of  government are to be constituted. As the principle of convergence policy is being upheld, it harnesses the participation of representatives from government, NGOs and POs, and lately, the basic sector representatives and other government representatives from the economic development sector not included in earlier interagency committees. The current structure of DSWD is shown below. Currently, the national and local offices set the directional and annual program thrusts; preparation of plans and targets are done at the local level. Figure 3. Emerging DSWD Organizational Structure Council for the Welfare of Children OFFICE OF THE SECRETARY 3 Under Secretaries and 4 Ass’t. Secretaries

Nat’l. Council for  the Welfare of  Disabled Persons Inter-Country  Adoption Board

External  Assistance Service

 Administrative Service

Human Resource Development Service

Standards Technology Bureau

Finance Service

Program Operations Burea

F ie l d

Legal Service

Standards Bureau

Management Information System Service

Policy & Plans Burea

Social Marketing Service

Social Welfare & Institutional Dev’t Bureau

O ff i ce s

In a 2002 study conducted by the Ateneo School of  Government on the devolution process that the DSWD undertook, the following achievements of  the department were cited: 1. No dislocation of devolved personnel .

Through D.O. 005, the Department ensured that the devolution process would not infringe infring e the rights and benefits of its personnel. D.O. 005 ensured that: tha t: *

1. There There shall shall be no invol involunta untary ry sepa separat ration, ion, termination or lay-off of DSWD personnel affected by devolution; [Sec. III, C, 2 (d)]; 2. Devolve Devolved d perman permanent ent personne personnell shall shall enjoy enjoy security of tenure in accordance with existing Civil Service laws, rules and regulations [Sec. III, C, 2(e)]; 3. There There shall shall be be no dimin diminuti ution on in pay pay or  benefits of DSWD devolved personnel. [Sec. III, C, 2 (j)]; 1 4. When the devolved devolved DSWD DSWD perso personnel nnel opt for voluntary separation or retirement from the service they shall be entitled, if qualified under existing laws, to receive the retirement gratuities and other benefits accruing thereunder [Sec. III, C, 7 (a)]. Furthermore, the Department has also instituted several administrative mechanisms to act as “job security nets” for contentious cases: 1. Mandator Mandatory y devolu devolution tion of perso personnel nnel to the the LGU shall be formalized through a Memorandum of Agreement (MOA). The LGU’s shall create the equivalent positions of the affected personnel except when it is not administratively viable.* 2.

[Sec [Sec.. III, III, C, 2 (a)] (a)];;

3. The LGU’s LGU’s commit commit that that they they will will “com “complet plete e the implementation of salary standardization for locally paid workers with plantilla positions similar to devolved DSWD personnel. [Sec. IV, 1, C), 2]; 4. The DSWD DSWD perso personne nnell who who are are not not absorbed by the LGUs for reasons of  administrative non-viability shall be retained by DSWD subject to CSC law, rules and regulations (i.e., their security of tenure shall be fully protected.) [Sec III, C, 2 (c)]; 5. Casual Casual emer emergen gency cy or dailydaily-wag wage e DSWD DSWD personnel assigned in the field units affected by devolution who are performing duties and responsibilities relative to the delivery of  basic services shall be absorbed by the LGU’s concerned [Sec. III, C, 2 (g)];

“Administrative non-viab ility” was strictly construed to help plug a loophole in implementation. Sec. III, C, 2 (b) stated stated that “absorption absorption is not 

administratively viable when there is duplication of functions unless the LGU opts to absorb the personnel concerned.”

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12 6. Temporary emporary personnel personnel shall be absorbe absorbed d by the LGUs, subject to Civil Service Commission (CSC) rules and regulations [Sec. III, C, 2 (h)].

A basic feature of the CIDSS is the deployment of a CIDSS worker, who performs the role of head mobilizer and fulfills the delicate task of organizing the community, which includes:

The presence of these clear rules to guide the process of personnel devolution helped calm the worries of DSWD personnel who were anxious that the process would strip them of their vital rights under CSC rules. The LGUs on the other hand readily accepted DSWD personnel because of their  expertise. This was attributed to the fact that law regulates the position of social welfare personnel. Thus, any person that occupies a social welfare position in the LGUs must have the necessary credentials. This also enabled the Department to have a significant presence in all LGUs.

1. Orientin Orienting g the various various stak stakehold eholders ers at at the the municipal level; 2. Facilit Facilitatin ating g the identif identificat ication ion of priorit priority y barangays; 3. Spottin potting g leader leaders s and organiz organizing ing neighborhood cluster of about 25 families; 4. Validatin alidating g and and priori prioritizi tizing ng proble problems; ms; 5. Facilit Facilitati ating ng prepar preparatio ation n of developm development ent plan; plan; 6. Facil Facilit itat ating ing the the condu conduct ct of the the barangay  assembly to validate the barangay  development plan.10

2. Succes Successfu sfull Impleme Implement ntati ation on of the Comprehensive and Integrated Delivery of  Social Services (CIDSS)

The D.O. 54, Series of 1994, which was later  amended by D.O. 22, issued on May 15, 1996 1 996 cites the objectives of the CIDSS program: (1) test a strategy on poverty alleviation through CIDSS; (2) monitor  Institutional Arrangement of the CIDSS 





The Location of the CIDSS Oversight Committee as a parallel structure of the Social Reform Council (the structure which oversees the implementation of SRA), instead of being located under the Social Reform Council. The creation of the National Inter-Agency Committee (NIAC) under the Oversight Committee. NIAC is directly directly responsible for  overseeing the corresponding IAC’s at the regional (RIAC), provincial (PIAC), municipal (MIAC) and barangay  (BIAC) levels. Prior  to this set-up, the NEDA Social Development Committee had supervisory authority over  the regional, provincial, municipal and barangay  IACs. The restructuring of the Project Monitoring Team (PMT) which incorporates CIDSS Area supervisors to oversee the work of  CIDSS workers.9

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The LGUs are integrated into the program through various ways. The presidents of the Leagues of  the LGUs are members of the Steering Committee. The LCEs of the provinces head the interagency committees (PIAC, MIAC, BIAC), together with the devolved chief of offices (health, social welfare, agrarian reform, agriculture and environment). The primary task of the LGUs is to organize their  respective interagency bodies and make sure that the convergence approach gets applied in their  areas. Thus, CIDSS is primarily a system where the minimum basic needs of a given local population is identified and addressed in the closest possible way with the people. An interagency structure meets, operates and decides at the lowest LGU level. This is facilitated by the CIDSS CIDSS worker. In Bautista’s 1999 study, the LCE participation was perceived to be most crucial in the success of the program.11 The DSWD started implementing CIDSS in 1994 in a total of 150 barangays based in 5th and 6th class municipalities in 33 provinces based on the latest poverty profile. By 1995, due to its success, 625 barangays were added in 200 5th and 6th class municipalities in 49 provinces. By 1997, CIDSS was expanded to include even 3 rd and 4 th class municipalities and covered 1,154 barangays in 432 municipalities of 77 provinces.12 In 1999, the plan was to cover 2,402 barangays in 960 municipalities of 78 provinces.13 Two major studies have confirmed the success of  CIDSS as a technology in poverty alleviation. Volume No. 2 Issue No. 2

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Bautista (1999) has documented the fact that community structures were spurred to emerge and that perspectives of mayors shifted their priorities because of the program’s success.14 She reported a significant reduction in the unmet MBN of CIDSS barangays as compared to non-CIDSS barangays: “Overall, CIDSS areas have improved in 28 out of  the 33 MBN indicators while non-CIDSS areas improved in a total of 18 out of 33 indicators.” 15 Balisacan (2000) has also pointed out that the program hastened service delivery and made “a positive impact” on the quality of life of the community.16 These studies were validated by key informant interviews. This program later on was later on “localized” in 1999 and 2000 as prescribed by E.O. 443 of 1997. The localization of CIDSS was a policy response to the desire of the LGUs to turn over to them the management of the CIDSS. An impact study on the localization of CIDSS was conducted by Orient Integrated Development Consultants, Inc. in 2004. The study concluded that overall the localization of the program was successful and persistently generated the benefits intended for the poor, namely the reduction of unmet needs. The commitment of the LGUs to reduce poverty incidence in their areas of jurisdiction continued to be strong and operational. The range of services by the LGUs, DSWD and NGOs was wide and substantial. The benefits received were improved physical, financial and institutional institution al access to social services. Self reliance and community empowerment were cited as major outcomes of  the localization. Another program of similar nature was implemented on a massive scale—the Kapit Bisig  Laban sa Kahirapan (Linking Arms Against Poverty) or KALAHI-CIDSS. This is the flagship program of the current administration enabling the local communities to own their respective projects and find a way to sustain the program financially. As of 2005, 4,270 barangays in 177 municipalities in 42 provinces in 13 regions were covered by the KALAHI-CIDSS program. The CIDSS and KALAHI-CIDSS experiences show what can be achieved with with planning from below. below. In this particular technology, “needs” were not identified from above but was generated from below. The LGUs were heavily involved both in generating the SOCIAL  WELFARE

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13 needs, drafting the approach and implementing it through the interagency committees. The CIDSS and KALAHI-CIDSS experiences showed that “convergence” can work and should be a core feature of any government intervention, despite the difficulties related to the fact that the state machinery is a most difficulty entity to be made to work together. 3. Administrative powers transferred to regional offices.

The Department gave the regional directors dir ectors (RD) the power to appoint personnel to positions with Salary Grade 24 and below. They were also given the authority to decide on the acceptance of  resignation and permission to transfer all regular/ casual employees with Salary Grade 24 2 4 and below. More importantly, they now have the prerogative to exercise disciplinary action over field office employees for the commission of less grave and light offenses. They were also given discretion on some areas of  monetary concern, like the authorization of  disbursement of funds chargeable against releases from Congressional Initiatives and Countrywide Development Fund and the negotiation and entrance of contracts for service and furnishing of supplies, materials and equipment for the field offices with a PhP500,000.00 per transaction threshold. In fact, they have been empowered to sign transactions regardless of the amount, provided that the same is within the approved work and financial plan of  the field office. These actions decongested the Central Office and have given the Field Offices the authority to promptly respond to issues of  direct, immediate concern to them. The DSWD pilot tested the above mentioned policy in selected regions: III, V, V, VI, X and XI. The DSWD top management assessed the results through empirical observation and through analysis of the documents submitted to them. The full decentralization of Regional Offices was regularized by then DSWD Secretary Gloria Macapagal-Arroyo for Regions III, VI and XI because they have demonstrated “management and staff competence in the exercise of the authority delegated to them by D.O. 01 (Series of  1998).” Volume No. 2 Issue No. 2

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14 4. Service Standards and Evaluation Instruments have been created and are being enhanced to more effectively evaluate social service delivery under decentralization

The maintenance of a particular standard of social service delivery received greater importance after  R.A. 7160 mandated the devolution of key areas of  social service delivery to the the LGUs. Whereas before, the DSWD was the direct service provider, now it was “repositioned” to do the work of “servicing the servicers”: LGUs and NGOs to whom the power  has been devolved. Now, one of the key tasks of  the Department is to ensure that its direct consumers maintain a particular standard of social delivery. In the beginning of the decentralization process, the Department has lagged behind in standards creation because the Department’s energy was focused on the critical issues of organizational restructuring and personnel devolution. The Department decided to contract the Development Academy of the Philippines to help in framing a Standards Development Framework. The Department is slowly but surely narrowing the gap between the number of areas are as that needs accreditation, licensing and evaluation and their own empirical instruments. The Department is now in the process of developing new evaluative instruments for emerging services, the most important of which is the Quality Social Service Delivery by LGU instrument that is expected by December 2001. The Department has also streamlined its Standards Development Process. Some LGUs are now offering hospice care services (for the terminally ill) and some are moving into community-based program for autistic children. Since the Department has also committed to “localize” the centers and institutions that it has retained, the Bureau is now even more hard-pressed to provide adequate standards. With a streamlined process, expert papers, and common sense remedies, the DSWD has improved its standards development. Issues and Concerns 17

The DSWD continues to face the following constraints fifteen years after devolution: 1. Budg Budget etar ary y Cons Constr trai aint nts s

Lack of funds for social service delivery was cited as a constraint since 1992 up to the present. LGUs SOCIAL  WELFARE

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consistently complained about the insufficiency of  the IRA they are receiving as share in the national income compared to the financial requirements of  the responsibilities responsibilitie s transferred to them. Some LGUs however proactively raised their revenues by engaging themselves in enterprise development while some had sought local and international funding support to LGU operations. 2. Lo Low w Prior Priority ity for Socia Sociall Servi Services ces

Social services necessarily compete with other  projects for allocation within the LGU budget. In the rural areas, there is more concentration on the construction of public infrastructures because these things are readily noticeable and its beneficiaries beneficia ries are potential voters. There is very low priority for social services (especially (especiall y in taking responsibility over major  centers) because these projects are expensive and some do not “bring in the votes.” Almost Almost all the current major studies of devolution in the social service delivery from the LGU perspective has shown compelling evidentiary evidentia ry proof that social services has received minimal allocation both in the national budget and LGU budget. 3. Need for Compete Competency ncy and Capacit Capacity y Build Building ing

Under E.O. 15, the DWD was tasked to undertake the necessary organizational and personnel capabilitybuilding activities necessary to shift the department from a direct service provider to a purveyor of technical assistance, The DSWD had been modestly successful in moving towards the “enabler”  role the Department basically lacks competence in technical skills needed for some of the programs, especially those services that are highly technical, (i.e., crisis intervention, disaster management and relief). Some problems of competence development were attributed to the insufficient technological facilities of the LGUs and the political structure structure of local governance. governance. Social welfare officials associated with past administration were “frozen” and personnel “trusted” by the new administration are inst installed. alled. Thus, the DSWD needs to train them again. again. The “highly-qualified, “highly-qualified, technically competent” personnel either go abroad or jump ship to richer government agencies. agencies. The recruitment and and movement pattern of its personnel revealed that trainings are oftentimes used by people as “stepping stones” to other agencies (i.e., SSS, GSIS, Bangko Sentral) or as a tool to be able to apply for jobs abroad. Thus, the DSWD trains people only to lose them. Volume No. 2 Issue No. 2

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3. Monitori Monitoring ng and Evaluatio Evaluation n Constrain Constraints ts

With devolution, the Department has lost the administrative clout to compel municipalities to submit progress and implementation reports, as now supervisory powers were transferred to the LCEs. The Department is having difficulty getting feedback and vital inputs for planning (i.e., performance of devolved personnel). These information are also pivotal for mapping up the Department’s Department’s technical support and assistance programs. Devolved workers are also no longer  maintaining informative and useful records of  clients. Instead they maintain records with minimal information, emaciating the case management of devolved personnel.18 The Th e DSWD is now at a loss on how to frame a system that will enable them to effectively procure those reports from LGUs. Dr. Dr. Bautista (2002) said that a major problem in the weak capability of the DSWD national office to track the performance of LGUs is that LGUs find it difficult to submit progress reports because they are burdened by the number and cost of the many services devolved to them. A significant flaw in the system for determining LGU accomplishments is the reliance on planned targets by social welfare officers, who could easily underestimate what they plan to do. The municipalities are expected to be realistic in the range of services (from the list of 30 services) they choose deliver to the community by matching services with prevailing local problems. If LGUs choose not to use a problem analysis mechanism like the CIDSS/MBN, however, they will find it difficult to determine and understand the actual problems existing in the community. This considerably diminishes their ability to prepare a rational SWD plan. 4. DSWD DSWD still still respo responsi nsible ble for for some some center centers s and institutions

Although service delivery has been transferred to LGUs, the DSWD retains more than 60 centers and institutions under its jurisdiction. The resistance of the personnel to be devolve d must be carefully managed, as the pitch for “selective devolution” is getting stronger acceptance among the rank and file. The main argument is that if no willing and able unit or group is willing SOCIAL  WELFARE

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15 to take on the responsibilities of the Department’s various centers, then the top management should not insist on localizing. However, However, steering and rowing is a more accurate description, as for services are unlikely to be operated by any organization other the Department, due to economic or other reasons. With regard to residential service delivery, the 64 facilities directly managed by DSWD nationally serve clients in the following groups (Hoffman, 2002): •

•

•

•

•

•

•

Individuals (children and adults) with special physiological or mental developmental needs, who are unable to live independently or  require a level of day-to-day care beyond the capacity of families to provide; Victims (primarily if not exclusively, women) of abuse, neglect or illegal recruitment; Older persons with no families or who have needs mentioned above); Young children that are abused, neglected or abandoned (including street-children); street-children); Transient disadvantaged individuals or  families; Young offenders or those committed to the care of DSWD pending court sentencing (i.e. youth not yet convicted of an offence); Individuals with drug dependency.

The Department is also faced with the reality of  the LGUs financial incapability: the absorptive capacity of LGUs gets thinly spread as on e goes farther from the urban areas. areas. Thus, the Department must carefully weigh the positives and negatives of the following management systems that were proposed: 19 [1]

Co-management: the Department can partner with a community-based institution with an interest in one of its services (i.e., an NGO interested in Day Care). This option can further integrate civil society into social service delivery work but the problem is whether NGOs have the financial and personnel stability to run a center. Volume No. 2 Issue No. 2

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16 [2]

[3]

Trust Committee system: In this system, the DSWD forms a group of LGUs to manage or oversee its centers and programs. For example, three financially endowed LGUs (Makati, Muntinlupa and Mandaluyong) can fully take over the DSWD’s productivity centers. Sub-Contract: In this mode, the DSWD sub-contracts a private entity to do its i ts work, for example, a private institution can be asked to run an adoption center e.g. NGOs. The main problem with this mode is the considerable resistance within the Department against any action that bears any resemblance to “privatization.” 20 (Interview with Usec. Clifford Burkley.)

5. Expa Expans nsio ion n of Bas Basic ic Ser Servi vice ces. s.

The majority of LGUs (85%) tend to focus on delivering only a handful of social welfare services. These include Day Care services, loan assistance, parent effectiveness, marriage counseling, supplemental feeding, and information dissemination for disability prevention. While the CIDSS and KALAHI-CIDSS attempted to expand these services to address other pressing needs of the people, the actual services delivered are still limited. III. Summar Summary y and Conclu Conclusio sions ns

The devolution of social services showed a general positive trend towards improvement despite constraints, such as inadequate resources, skilled personnel and funds, lack of o f technical assistance from the national government and inappropriate rules and regulations from oversight agencies. Studies reveal an increasing proactive response taken by LGUs in the area of delivery of basic social services. Innovations on planning and delivery of services emerged as early as 1994, greater integration with local operations were progressing by 1997 and continuing to be observed today. Particularly, studies revealed widespread improvement in the delivery of services with increasing local ownership of social welfare and development programs. In summary, sixteen years after devolution, the steering role of DSWD has been highlighted (especially in the last five years) in terms of: SOCIAL  WELFARE

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•

•

•

•

•

technical assistance and capability building for  LGUs in the delivery of social welfare services setting of standards, accreditation and compliance for the delivery of social welfare services by LGUs, NGOs and the private sector  experimenting on “new” social technologies and transferring them to partners in the delivery of social services e.g. CIDSS, CCT and specific vulnerable sector programs, projects and methodologies advocating social protection and welfare policies based on the experience it gathers through its partners and networks “augmenting” and helping LGUs and stakeholders access resources especially in disaster relief and rehabilitation programs and special programs like KALAHI-CIDSS, ECCD and SEA-K

However, with regard to residential care and services a combination of steering and rowing is still the mode of operation. Because of various constraints as mentioned above, DSWD continues to operate several centers at various levels. Various modes of delivery can further be explored e.g. NGO, private sector, LGU or a combination of these. DSWD steering role has been evolving in the past five years but what it needs to do is to further  refine these by focusing on what it thinks as its major roles in the promotion of social protection and welfare in the country given the current external environment it faces and its internal capacities and strengths: First, by identifying which major social risks it is ready to focus on. Second, prioritizing the vulnerable sectors in terms of primary assistance (as other agencies also address needs of said sectors) Third, specifying the roles and functions of  various government units and private partners in the delivery of services of these selected priority areas and sectors (from the national, regional, provincial, municipal, barangay  levels). Volume No. 2 Issue No. 2

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Fourth, strengthening its capacity for data gathering, social risk assessment, poverty targeting and social protection and welfare planning and assisting LGUs and partners on these activities Fifth, enhancing the mechanisms for  collaboration among these government units and partners in the actual delivery of social welfare services e.g. refining structures where national

17 and local units meet and converge and in advocating for national policies and issues Sixth, strengthening the mechanisms for sharing the technologies it has developed over the yea rs to partners which include community based needs assessments, facilitating convergence in the delivery of services at the community level and good practices in the serving the vulnerable sectors.

REFERENCES 1

2

3

4 5

Derived from Victoria Bautista, Governing the Social Welfare Sector  in the Philippine Governance Report, Ateneo School of  Government and UNDP, UNDP, 2002. Borrows heavily from Rodelio Manacsa,  A Decade of Taking Root , Ateneo School of  Government, 2002 USAID, Highlights of Associates for Rural Development, Rapid Field Appraisals 1992-1998 (unpublished) Rapid Field Appraisals 1992-1998 (unpublished) Rodelio Manacsa,   A Decade of Taking Root  2002

15

Victoria Bautista, Combating : 216

16

Arsenio Balisacan, et. al., Approaches: 56

17

Rodelio Manacsa,   A Decade of Taking Root , 2002

18

Interview with Dir. Marina Tabamo; 1997 ADC Study

19

Interview with Usec. Clifford Burkley.

20

Interview with Usec. Clifford Burkley.

OTHER WORKS CITED

6

Victoria Bautista, Philippine Governance Report  2002 

Asian Development Consultants, Delivery of Social  Welfare Services Services After Devolution Devolution and Factors  Affecting This [1997] (unpublished document)

7

Victoria Bautista, Philippine Governance Report  2002 

Ateneo School of Government, Rapid Field   Appraisal , 1999 (unpublished).

8

DSWD, D.O. 005, Series of 1992

9

Victoria Bautista, Combating Poverty through CIDSS , QC: NCPAG, NCPAG, 1999 : 30

Hoffman, Joseph. Technical Assistance on DSWD Institutions and Centers: Final Report , August 2002 Orient Integrated Development Consultants, Inc., Impact Study on the Localization of CIDSS, 2004.

10

Appendix VI-A: D.O. 22, Series of 1996

11

Victoria Bautista, Combating: 82

12

See Appendix IV-D. D.O. 22, Series of 1996

Rodriguez, Rufus. Local Government Code of  1991. Mla: Rex, 1991.

13

Arsenio Balisacan, et. al.,   Approaches to Targeting the Poor  (Phils: UP School of  Economics, 2000): 55

Rules and Regulations Implementing the Local  Government Code of 1991. Manila: Central

14

1993.

Victoria Bautista, Combating : 37

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18 MAJOR SOCIAL RISKS AND VULNERABILITY IN THE PHILIPPINES: A SURVEY SURVEY  By  Dr. Fernando T. Aldaba ABSTRACT

I

dentifying major social risks will be in most cases the first step in conducting a gap analysis for social protection intervention in the country. Whether a risk should be considered major depends on the characteristics of each risk. Risks may differ according to whether they are natural (floods) or the result of human activity (conflict). Risks can also affect individuals in an unrelated manner (idiosyncratic). They can be correlated among individuals (covariate), across time (repeated) or with other risks (bunched). Risks differ by their frequency and welfare impact (e.g. catastrophic or non-catastrophic).1

This short paper hopes to identify the key social risks confronted by households and communities in the Philippines. The identification identification on this paper will rely on secondary literature and data. The World Bank Guide also suggests that poverty profiles, census reports and household survey reports can be supplemented with information from commonly available sources of  information such as poverty maps or studies on correlates and determinants of poverty. *

Introduction

I

n the first section of this study, a menu of  social risks is identified, with discussion on the relevance of viewing social protection broadly to cover vulnerabilities to both transient and chronic poverty. The second section looks at the poverty literature, mostly empirical to gather a set of factors that affect poverty and vulnerability to poverty. The third section tries to identify the major social risks in the country today based on that set of factors.

1. Social Social Risks Risks and and Vulne Vulnerabi rability lity and the Objectives of Social Protection

The general objective objectiv e of social protection is to assist vulnerable sectors of society especially the poor in managing various risks and hazards they face in their  every day lives. These include prevention, mitigation and coping strategies (Holzmann and Jorgensen, 2001). Job preservation, facilitation and creation are

also important important goals. goals. Income and consumption consumption smoothing are also regarded by some researchers as falling under the key objectives of social protection. Poor people are more exposed and have less capability to manage risk and survive crises situations. While they have developed coping mechanisms as asset accumulation during good times, income diversification, networks and risk pooling arrangements (paluwagan), these are often insufficient and expensive (World Bank 2000). Shocks reduce human capital of the poor because they either lose their jobs, incur greater costs for  expenditures or have less incomes. Thus, their  expenditure for food, health and schooling are negatively affected. Table 1 shows all the possible po ssible risks individuals face and the corresponding responses from three sectors (Aldaba, 2003):

1

Johannes Hoogeveen, Emil Tesliuc, Renos Vakis, with Stefan Dercon, World Bank Guide to Risk and Vulnerability Analysis A caveat though is that key informants, policy documents and seemingly relevant secondary data have a tendency to focus on large, covariate shocks and to ignore smaller, but frequent risks. In the aggregate the latter may be more harmful however. Widespread idiosyncratic and seasonal morbidity such as malaria or acute respiratory diseases could then be mistakenly be ignored.

*

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1.1 Social Protection, Protection, the Transien Transientt and and the the Chronic Poor 

The World Bank (2001) notes that analysis available from other countries suggests that a significant portion of poverty in any given year  in the Philippines is likely to represent transient poverty - that is, households who are

poor in one year but have consumption levels above the poverty line in “normal” years. Understanding the sources of this variability and designing mechanisms to reduce either  the variability or its impact would improve the welfare of the poor.

Table 1: Types of Risks/Vulnerability and Responses Assessment

Responses

Assessment

Responses

Types of Risks/  Vulnerability 

Household or  Private and  Government  Civil Society  Informal  Mechanisms Sector 

Types of Risks/  Vulnerability 

Household or  Private and  Government  Civil Society  Informal  Mechanisms Sector 

Individual Lifecycle Hunger and malnutrition

Women as Health and family welfare Nutrition providers Policy

Provision of  health services, soup kitchens, etc.

Illness, Injury, Disease (incl. HIV-AIDS

Extended family, community support

Social and microinsurance

Private insurance schemes

Disability

Hygiene, preventive health

Social assistance

Microinsurance

Old Age

Asset/Savings Pension Plan reduction

Death

Debt

Old age annuities

Economic End of source of livelihood

Diversified sources of  livelihood

Sound macro and sector  policies for    job generation

Private sector  investments that are jobgenerating

Unemployment

Private transfers, child labor 

Regional and rural development policies

Agricultural insurance

Low and Depletion of  irregular income assets/ savings

Labor market policies

Banking services to the poor, microfinance

Price instability of basic commodities

Education and training

Training

Reduced consumption of basic goods

Economic crisis Migration

Social funds

Environmental and Natural Drought Migration Environmental Environmental policy advocacy and prevention of  man-made disasters Rains and Community Infrastructure Disaster  Floods Action investment/ mitigation and Relocationprevention temporary and measures permanent Earthquakes Private Disaster  Relief and transfers/ prevention and Rehabilitation extended mitigation programs family support measures Volcano Asset/Savings Insurance eruption and Depletion against landslides disasters Social/Governance Social exclusion Community Good Good networks governance, corporate transparency governance and accountability Corruption Community Public Strengthening pressure information participation campaigns of NGOs and CBOs Crime and Women’s Providing Peace and domestic groups security and order  violence equal access promotion to justice (e.g. anti-drug campaigns) Political Migration Participation Advocacy for  instability of citizens democracy and civil and society democratic groups transitions

Adopted mainly from the ADB Social Protection Strategy Paper, 2001

Reyes (2002) confirms this through her estimates and claims that only half of those who are ar e classified as poor in the Philippines are chronically poor, while the other half are transient poor (meaning non-poor before but poor now). The distinction between chronic and transient poverty has important policy implications because some of the SOCIAL  WELFARE

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interventions needed by the chronic poor may be different from those needed by the transient transien t poor. Different policies and programs are called for in addressing these two types of poverty. Longerterm investments in the poor, such as increasing their human and physical assets or returns to those assets are likely to be more appropriate for chronic Volume No. 2 Issue No. 2

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20 poverty. poverty. On the other o ther hand, insurance and income stabilization schemes which protect households against man-made or natural shocks would be likely to be more useful when responding to transient poverty. Social protection programs comprise the latter if viewed from a narrower  perspective. However, However, Barrientos et al (2005) counters that this narrow perspective on social protection may result into a bifurcation of anti-poverty policy. They argue that the grounds for this approach should be contested and that chronic poor face significant risk and vulnerability have fewer buffers to protect their standards of living, and are commonly forced to adopt behavioral responses that keep them in poverty. Chronic and transient poverty have some common causal factors and that the chronic poor  and the transient poor are not always easily distinguished ‘crisp’ sets. Thus, in the context of  the Philippines, we need first to identify the correlates of poverty and vulnerability in general as it might be difficult to delineate between chronic and transient poverty. poverty. At the same same time, policy makers need to respond urgently to the latter as resources are limited to devise separate approa ches immediate ly. More recently, the government through the Social Development Committee has agreed to use a common definition of social protection programs which include labor  market programs, social insurance, social welfare assistance and social safety nets. 2.0 Correlate Correlates s of Poverty Poverty, Vulner Vulnerabili ability ty and 2 Low Household Welfare

What we set out to do in this section is to review secondary empirical literature that points us to correlates and possibly factors affecting poverty and vulnerability to poverty. There are few formal analyses of the extent of  vulnerability in the Philippines which typically requires panel data to examine the frequency of  movements into and out of poverty. These studies include those of Alba (2001) for employment,

Chadhuri and Datt (2001) for consumption, Datt and Hoogeeven (2000) for consumption and income, Tabunda Tabunda (undated) (undated ) for consumption, labor  market and income and Albert (undated) on income. A more recent empirical study commissioned by the National Anti Poverty Commission (NAPC) in 2005 and done by the National Statistical and Coordination Board (NSCB) looked at the characteristics that affect future poverty status of  Philippine households. Yang and Choi (2006) on the other hand examined remittances as a form of  insurance and mitigating mechanism from shocks by Filipino households. All these studies used data gathered from 1997 to 1998, years when the financial crisis and El Niño occurred in the country3. Some important important general conclusions from these studies include: a) vulnerability incidence is higher than poverty incidence i.e. percentage of population exposed to becoming poor is higher than those who are actually poor; b) distribution of poverty may differ  from distribution of vulnerability; c) vulnerability and factors affecting them differ across time (e.g. by quarter); d) the need to account for measurement errors in panel data estimation; e) consumption as a better measure of welfare; and f) poverty and vulnerability are higher in rural areas relative to urban areas. The World Bank (2001) notes that the main sources of vulnerability are likely to be related to climate and economic instability and certain parts of the country are also affected by political unrest. At the household level, the impact of these events is felt through lower real incomes due to loss of  crops, reduced employment, lower pay or higher  prices, especially for food. In addition, poor  households face idiosyncratic risks that make them vulnerable to illness, spells of unemployment that are not derived from systemic events, and old age. Schaeffer (2001) identifies six main factors affecting household’s vulnerability to reduced

2

This section borrows heavily from Lanzona, Aldaba and Lopez (2007) The 1997 FIES and LFS and the 1998 APIS matched sample households were used in most of these studies (Yang and Choi, 2006, Chauduri and Datt, 2001)

3

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income and consumption – illness, violence/ conflict, natural disaster, harvest failure, terms of  trade deterioration and loss of employment. He adds that exposure to vulnerability is a function of  size, frequency, earliness and bunching of the mentioned factors as well as one’s spatial proximity to them. According to a previous study by Sinha and Lipton (1999), the six factors account for  almost 90% of downward fluctuations in poor  people’s income and consumption in a developing country context. According to the results of the study done by NAPC and NSCB (2005), in 1997 the poverty incidence was 27.9% but vulnerability incidence was much higher at 45.0%. Vulnerability incidence among the non-poor was 27% while for the poor it was 91.6%. Majority of the vulnerable families were poor  (56.7%) while only 4.3% of the non-vulnerable families were actually poor. poor. 72.2% of the vulnerable families were were rural poor. Among the regions, ARMM (74%), Region VIII (66.0%) and Region V (65.8%)4 have the highest vulnerability incidence. In terms of provinces, the top three are Sulu (ARMM), Lanao del Sur (ARMM) and Masbate (V). The following are the variables found in the same study to have significant impacts in predicting the poverty status of households: • • • •

• • •

•

ratio of food expenditure to basic expenditure ratio of total expenditure to total income ratio of per capita income to poverty threshold ratio of HH members 0-14 years old to 15 and over  family size number of electrical devices educational attainment of HH head (at least high school level or at most elemetary graduate HH head self-employed

Other studies that would help us identify major  social risks are empirical studies on the correlates of poverty. poverty. Given these correlated variables, we we could deduce what kinds of hazards and risks households may encounter that will eventually lead 4

21 them to lower levels of welfare or situations of  poverty. Table 2 shows a previous estimate by Balisacan (2003) of household consumption, using five Family Income and Expenditure Surveys (FIES) in the 1980s and 1990s. The study study highlights the significance of environmental conditions, schooling, schooling , infrastructure and per capita income among others. others. It also indicates that deprivation factor maybe as important income variables in affecting welfare as evidenced by the significance of initial conditions to the household welfare of the bottom 20% of the population. In this Balisacan study, one notes that the number  nu mber  of typhoons is a statistically significant variable correlated to the average welfare of the bottom 20%. This means that natural disasters possibly have a negative negative effect effect on the households. households. Access to water for livelihood i.e. irrigation is also an important factor shown in the study. Table 2: Determinants of Average Welfare (Consumption) of the Poor (bottom 20%) Explanatory Variable

Model 1

Model 2

Co ef effi ci ci en en t Standard Error  Schooling - 0 . 07 2 0.091 Local dynasty - 0 . 10 1 0 .0 2 9 Political party 0.026 0 .0 1 5 L a n d l oc k e d - 0 . 06 2 0.019 Typhoons - 0 . 04 2 0 .017 Irrigation 0.309 0. 0 .0 3 9 Fa r m s i z e 0 .0 0 8 0.018 Time-varying variables Per capita income 0.602 0.044 Terms of trade 0.118 0 .0 4 2 R o a ds - 0 . 20 8 0.095 Electricity 0 .0 5 1 0.086 Agrarian Reform - 0 . 00 5 0 .0 1 0 Interactions Schooling X Roads 0 .1 0 9 0.051 Schooling X Electricity 0 .0 1 6 0 .0 3 7 (x 100) Intercept 2.865 0. 0 .3 8 5 R2

0.771

0.385

*** * *** ** ***

Co ef effi ci ci en en t Sta nd nda rd rd Error  -0.010 0 .0 9 4 -0.104 0 .0 3 0 0 .0 2 9 0 .0 1 5 - 0 .0 6 7 0.019 -0.064 0 .0 1 9 0. 0 .2 3 3 0.046 0.010 0. 0 .019

*** ** ** *** *** ***

*** *** **

0.544 0 .1 4 0 -0.212 0.049 0 .0 4 1

0.047 *** 0.043 *** 0 .0 9 6 ** ** 0 .0 8 6 0.017 **

**

0.110 0 .0 0 7

0 .0 5 1 0.038

**

***

3. 3 .3 2 4

0.406

***

** ***

0.758

0. 0.406

***

Notes: ***, **, and * denote 1%, 5% and 10% levels of  significance, respectively.

Source: Balisacan, A. 2003. “Poverty and Inequality” in Balisacan, A. and H. Hill (eds.), The Philippine Economy: Development, Policies and Challenges . Quezon City: Ateneo de Manila Press

Note that ARMM is experiencing armed conflict while regions V and VIII are disaster prone and also NPA areas.

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22 Another study using panel data from the Family Income Expenditure Survey (FIES) where the same households are surveyed across certain time periods was done by Reyes (2004). The objective of this study was to determine the variables that are associated with the persistence of poverty. poverty. The analysis indicates that all independent variables as shown in Table 3 are statistically significan t. However, the variables that are more likely to affect the movement in or out of poverty are education, credit, membership in agrarian reform communities and education. Note here that irrigation is also significant factor. factor. Table 3: Probability of Household Being Non-poor: Persistence of Poverty Variable INTERCPT   ARB ARBYR YR

V22

HHED HHEDUC UC

V16A

Parameter  Standard Wald Chi- Pr>Chi- Standardized Odds Estimate Error  Square square Estimate Ratio 0.2644

0.154

0.1 0.1117

- 0. 0. 31 31 69 69

0.20 0.2039 39

0.02 0.0267 67

2.948 17.5 17.527 2755

0 .0 .0 25 25 6 1 53 53. 21 213 1

0.03 0.0346 46

0.2231

0.133

34.7 34.766 6611

2.817

0. 0.086 0.00 0.0001 01

0. 0. 00 000 1

0.00 0.0001 01

0.0933

. 0.13 0.1340 4076 76

- 0. 0. 56 56 43 43 3

0.19 0.1929 2948 48

0.051955

Variable Level

. Intercept 1.1 1.118 Leng Length th of years being  ARB 0 .7 .7 28 28

Ho Hou se se hold Size

1.22 1.2266 Educ Educaational  Attainment of  HH Head 1.25

Sector 

Population Incidence Contribution to Poverty Share Incidence (%)

Agriculture, Fishery and Forestry

35.8

44.8

65.6

Mining

0.4

39.3

0.6

Manufacturing

7.5

13.5

4.2

Utilities

0.4

3.7

0.1

Construction

6.9

23.2

6.6

11.5

12.1

5.7

Transport

9.7

14.2

5.6

Trade

Finance

0.6

1.1

0.0

Services

13.1

9.0

4.9

Unemployed Heads

14.1

11.6

6.7

1 .0 .08 36 36

0 .1 .1 22 22 6

7 8. 8.0 67 67 2 0. 00 000 1

0. 28 28 01 01 09 09

2 .9 .9 55 55

IrIr riri ga ga te te d Land

CRED CREDIT IT

0.54 0.5433 33

0.1 0.1134 134

22.9 22.949 4988

0.14 0.1485 8538 38

1.72 1.7222

Acce Access ss to Credit

Source: Reyes, C. 2004. Movements In and Out of Poverty in the Philippines . MIMAP Research Paper no. 53.

Sectoral data from the National Statistical Coordination Board recently attest that employment and unemployment are also important contributory factors in the poverty incidence. inciden ce. Table 4 presents the contributions contribu tions to employment by key sectors and the

5

Table 4: Poverty Measures by Sector of  Employment of the Household Head, 2003

Agr ar arian Reform Community

I RR RR I

0.00 0.0001 01

relationship of being unemployed in the sector  to the poverty incidence. NAPC and NSCB (2005) meanwhile found that the top three sectors with high vulnerability incidence include agriculture, fishery and forestry (71.9%), construction (42.7%) and mining and quarrying (46.3%).

Source: National Statistical Coordination Board (2003)

Another key element related to poverty and vulnerability vulnera bility is education. educatio n. Table 6 shows that low levels of schooling are related to higher  levels of poverty and vulnerability,5 using all three indicators of poverty. Households with heads who have lower levels of education are more likely to experience poverty relative to those households with heads who have higher  education.

NAPC and NSCB (2005) show that vulnerability incidence for elementary graduates is 65.8%.

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Table 5: Poverty Measures by Educational Attainment of the Household Head, 2003

Educational Attainment Elementary Undergraduate

Incidence

Depth

Severity

42.2

13.0

5.6

Elementary Graduate

30.5

8.7

3.5

High School Undergraduate

26.4

6.9

2.6

High School Graduate

15.5

3.8

1.4

College Undergraduate

7.2

1.5

0.5

Degree Holders

1.6

0.3

0.1

Factor analysis6 of the FIES data and the Annual Poverty Indicator Survey (APIS) 7 can be used to generate an overall index that combines and summarizes different variables found in these surveys. Templo, Templo, Tuano and Albert (2006) (200 6) used this technique to arrive at core determinants of  poverty. The results of this analysis are shown in Box 1. This study surfaces certain key points that are not found in the previous study. study. First, poor  households are characterized by the structure of their dwellings. In effect, their their poverty makes them vulnerable to disaster, both natural and man-made and to the “elements” in general. Second, the importance of quality water and sanitary toilets suggest the importance of health conditions which have seldom been considered in previous analysis . Third, the bottom 20 percent of the population which was sample used in the APIS is characterized characterized by their inability to meet basic needs.

In summary, the previous studies on poverty and vulnerability to poverty gives us insight on the major social risks confronted by households. Foremost among the important variables are the important role of social and human factors. These include functional literacy, schooling, as well as shelter, access to sanitation and health, which are related to capabilities, and access to employment opportunities and credit which are associated with with incomes. Second, there is also the crucial role of financial and infrastructural factors. These refer mainly to agricultural-based structures such as irrigation, and farm sizes, and also to public goods, such as roads and communication, that make access to markets easier. easier. All of these factors are ultimately affected by disasters, both man-made and natural. Significant human and financial losses thus can lead to a worsening poverty condition.

o o o o o o

o o o

Box 1. Core Determinants Determinants of Factor  Analysis Results 2003 FIES/2004 APIS Type of roof  Type of of wa wall Tenure st status Source Source of goo good d qual quality ity water water suppl supply y Type of Toil Toilet et Faci Facilit lities ies—ac —acces cess s to sanitation toilets Empl Employ oyme ment nt stat status us of head head 2004 APIS Chil Childr dren en 6-1 6-12 2 no nott in elem elemen enta tary ry Chil Childr dren en 1313-16 16 not not in in High High Sch Schoo ooll No. of unempl unemploye oyed d pers persons ons in hou houseseholds

Source: Templo, O., R. Tuano and J. R. Albert. 2006. Establishing an Integrated Database on Poverty for the National Statistical Coordination Board

6

This multivariate statistical method examines the interrelationships among the poverty indicators in order to arrive at a few common underlying dimensions of these variables. The dimensions that are developed from the original variables are called factors. Factor analysis removes redundancy or duplication from a set of correlated variables; it involves representing correlated variables with a smaller set of  “derived” variables (or indices). Factors are formed that are relatively independent of one another. The methodology allows the identification of indicators that should be retained in a factor through values called loadings. Each indicator has a loading on a particular factor which measures the strength of association between the indicator and the factor. A high (magnitude in the) loading suggests that the indicator is important in the fact or. The indicators that have low loadings on the fa ctors can be removed from the set of indicat ors to be used in constructing the index. (Templo, Tuano and Albert, 2006) 7 Unlike the FIES, the APIS is a survey only of the bottom 20 percent of the population in terms of incomes. In effect, this is survey of the poorest people in the country.

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24 Risk and vulnerability assessments in other  developing countries may also be insightful for the Philippines. For example, the findings of an assessment done by the World Bank in Guatemala Guate mala seem very appropriate to the Philippine context. First, the study suggests that interventions, whether  designed to address poverty or protect against shocks, should concentrate on building the assets of the poor. Social protection can play an important role in this context. Second, the data suggest that a strategic emphasis on children – particularly childfocused interventions to reduce malnutrition and promote early childhood development – is crucial to avoid inter-generational transmission of poverty and vulnerability. Third, since exposure to some natural disasters seems largely determined by geography, maps of regional vulnerability to natural disaster could be useful for risk management planning. Since natural disaster often damage or  destroy community infrastructure, in addition to reducing income and wealth at household level, social funds could be the institutional channel for  relief and infrastructure rehabilitation. Finally, the study noted that while poverty is more severe in rural part of the country, social protection policy should not neglect urban areas, where the ratio of  vulnerable people to currently poor people was higher than in the rest of the country. It is also useful to do a life cycle approach in identifying vulnerable groups. The World Bank (2000) has done such a strategy for Argentina which is again useful for the Philippines as the findings may be similar for the country. country. Table 6 summarizes the findings: 3.0 Major Major Risks Risks Confro Confronte nted d by Filipin Filipino o Households

Given our menu of social risks in section 1.0 and the review of literature for poverty and vulnerability correlates in Section 2.0, Table 7 summarizes the key variables correlated to poverty and vulnerability in the country. The current literature has identified these variables as important in terms of  characterizing households that are poor or will be poor. From these variables, the author proposes the following as the major risks confronted by the Filipino households8: 8

Table Table 6: Argentina Life cycle vulnerability vulnerability analysis Age group / Poverty rate

Main risks of  deprivation

Leading indicator (value for lowest quintile)

Stunted gr growth 0-5 years 12% very poor 43% poor

Malnutrition Pre-school program coverage (22%)

Poor ed education 6-14 years 13% very poor quality (low 45% poor human capital development)

Later entry (8%) Grade repetition (27%)

15-25 years 7% very poor 31% poor

Low human uman cap capital ital development (education quality / attainment) Unemployment / low wages Inactivity (violence, substance abuse etc.) enrollment

Sec Second ondary ary school repetition (62%) Unemployment (33%)

25-64 years 5% very poor 23% poor

Low income

Unemployment (23%) Below poverty earnings (under  employment)

Over 65 years Low income 1.4% very poor 13% poor General population 7% very poor 29% poor

Low income Pension coverage (55%)

Poor he health ca care Poor Poor hous housin ing g / lac lack k of basic infrastruct ure

Health in insurance cove covera rage ge (35 (35%) %) Running water   (66%) Sewerage (53%) In flood-prone area (28%)

The author uses data on this section to construct a sample template which is part of Annex A in the original study.

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Table 7: Identifying Major Social Risks in the Philippines in the Literature on Poverty and Vulnerability Variable correlated to Poverty and/or Vulnerability to Poverty

Socia Sociall Risk Risk Sit Situa uati tion on for for the the Hou House seho hold ld Lack Lack of empl employ oym ment ent or or low low qual qualit ity y of of job jobs; s; fluctuating incomes Low and and irregular irregular incom incomes, es, self-em self-employ ploymen mentt

Economic instability  Unemployment and  underemployment 

Exposur Exposure e to negative negative effect effects s of climate climate changes changes displacement, death, disability, disease, crop losses, damage to properties, etc.

Climate in General 

Lite Literat ratur ure e Sour Source ces s (pov (pover erty ty and and nonnon-po pove verty rty related) Worl World d Ban Bank( k(20 2001 01)) Templ emplo o et et al al (20 (2006 06), ), Alba Alba (2001), (2001), Can Canlas las et al al (2006), NSCB and NAPC (2005) World World Bank (2001 (2001))

Balisacan (2003) Datt and Hoogeeven (2001)

Typhoons Drought 

Expo Exposu sure re to to nega negati tive ve eff effec ects ts–d –dis ispl plac acem emen ent, t, disease, lower productivity, damage to properties, etc. Poss Possib ibil ilit itie ies s of of rebe rebell llio ion n and and arm armed ed conf confli lict ct;; inequitable and inefficient allocation of  resources

World orld Bank Bank (200 (2001) 1)

Skewed asset ownership Internal displacements

Balisacan (1999, 2003) PHDR (2007) Asia Foundation website

Lack of Access to Water  Irrigation Lack of Access to Sanitary  toilets

Expos Exposure ure to cro crop p loss losses es,, dise disease ases, s, death death for for persons

Templo emplo et al (2006) (2006) Balisacan (1999, 2003) Templo et al (2006)

Lack of Infrastructure Electricity Roads

Expos Exposure ure to nega nega-ti -tive ve eff effec ects ts – diseas disease, e, food food insecurity, lower productivity

Balis Balisaca acan n (1999 (1999)) Balisacan (1999, 2003)

Lack of Basic Services Education of Household Head; Children not in School 

Exposur Exposure e to negat negative ive effec effects ts – lower lower income incomes s and lower productivity

Reyes Reyes (2004) (2004),, NSCB NSCB (2003 (2003), ), NSCB NSCB and NAPC NAPC (2005)

Illness and health

Expo su sure to to di se sea se ses an d morbi di di ty ty

Sch ae ae ffff er er (20 01 01), Te mp mp lo lo e t al 20 200 6) 6), DO DOH an d WHO website

Shelter 

Exposure to the elements; vulnerability to crimes

Lack of access to credit 

Lower prodictivity and incomes

Political Factors Unrest and  instability  Political Dynasties

Land Inequality   Armed Conflict –MILF and  CPP-NPA-NDF Rido and  clan conflicts

Bali Balisa saca can n (20 (2001 01))

Templo et al (2006), Ba B allesteros (2002), HUDCC website Reyes (2004)

Food Insecurity, Hunger and  Malnutrition

Exposure to to di diseases an and de death, low productivity and incomes

National Nu Nutrition Su Survey (2 (2003), va various SW SWS Surveys, Flores et al (2006), NAPC and NSCB (2005)

Large Family size

Exposur Exposure e of chil childre dren n to diseas disease, e, hunger hunger,, etc.

Orbeta Orbeta (2005 (2005), ), Alonz Alonzo o et et al al (200 (2005) 5),, NSCB NSCB and and NAPC (2005), Reyes (2004)

3.1. Individu Individual al Life-c Life-cycle ycle Risks Risks:: high high population growth rates leading to large family sizes

The total number of employed Filipinos has been growing by 2.6 percent annually since 1998, but the country’s rapid population growth rate and the loss of jobs in agriculture have kept unemployment rate high. Population growth growth in the country has decreased only slowly over the last three decades and remains rapid by Asian SOCIAL  WELFARE

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standards. This has been mainly mainly due to a lack of consensus on the critical importance on of  public policy to reduce population growth, according to Herrin and Pernia (2003). Herrin (2002) reviewed various policy statements from 1969-2002 and showed that shifting objectives of fertility reduction, upholding reproductive rights and promoting maternal health have characterized even the family planning program. He adds that while the Volume No. 2 Issue No. 2

Major Social Risks and Vulnerability...

26 general public has favorable views on artificial family planning, it is the persistent and consistent opposition of the Catholic Church hierarchy that has dominated policy-making in this sector. The current administration is still relatively ambivalent with regard to its population policy. Concretely the agency in charge of  population management, the Population Commission is given very limited resources and has been shifted from one mother agency to another. 9 Orbeta (2005) adds two additional reasons: a) the equivocal support given by the government to the population program, and (b) the fact that up to now virtually all of contraceptives supplies in public facilities are supplied by donors as national government has not appropriated money for these commodities. Table 8: Population Growth Rates Over the Years

Intercensal Average Population Doubling Period Growth Rate (%) Time (Years) 1903-1918

1.90

36.5

1918-1939

2.22

31.2

1939-1948

1.91*

36.5

1948-1960

3.01

23.0

1960-1970

3.08

22.5

1970-1980

2.75

25.2

1980-1990

2.35

29.5

1990-2000

2.34

29.6

* may have been 2.3% according to a UN Study Source: Concepcion, M. (2006), Philippine Population Program: Past, Present and Future

The issue of the role of population growth and family size in development, in general, and poverty and vulnerability, particular, is still unresolved. Orbeta (2005) notes that this persists despite the growing literature worldwide and also in the

Philippines providing evidence on the importance of population growth and family size in development. In his study, study, he empirically showed the following negative consequences of large family sizes: a) that additional children, on average, cause a substantial decline in household savings rates and levels, b) reduce the work participation and wage income of mothers and c) reduce the proportion of school-age children attending school; the regressiveness rises as one goes to higher  schooling levels. He clearly showed that there is a strong and enduring link between poverty incidence and to poverty and family size. It has shown that larger family size is associated with higher poverty incidence, gap and severity. This association is also shown to be enduring over 25 years for which family income and expenditure data is available. It has also shown that larger  family size is associated with higher vulnerability to poverty. Orbeta recommends the following: a) A strong population program must accompany poverty alleviation efforts. Unless something can be done quickly to improve the lackluster performance and limited coverage of the Philippine social security system reduction in family size will be important as an alternative to a formal safety net; b) Education subsidies directed at large families could be crafted as it is acknowledged as one of the potent means for moving out of poverty and more recently has also been found to be important in reducing vulnerability to poverty (e.g. Laigon and Schechter 2003)10; c) Targeting poor households also means targeting large households and viceversa in poverty and social protection programs. In addition, considering the regressiveness of the impact of additional children, there will be bigger impacts by targeting poorer or  larger households. Albert (undated) also show that the impact of the financial crisis and El Niño on household poverty appears to be largely related to family size and

9

During the time of Ramos, it was under NEDA and then transferred to DOH at present. The design of the subsidies should, of course, consider their potential behavioral effects, i.e. encouraging families to have more children. Considerations, such as giving subsidies to families with completed family sizes or to those who effectively promise to stop bearing any more children, should be included in the design.

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this impact appears to have lingered. While some households with large family sizes may have had coping mechanisms, e.g., increased working hours and income transfers, or pulling their children out of school and putting them to work, it appears however that households with large family sizes were generally the ones most vulnerable to shocks. Albert (undated) further  suggests that government display resolve in empowering households to have the family sizes they desire citing that at the national level, actual and desired fertility rates differ by one child. He concludes that attempts to alleviate poverty may only be continuously hampered by a population size whose growth exceeds the growth of the country’s resources. 3.2 Ind Indivi ividu dual al Life Life-cy -cycle cle Risks Risks:: Food Food Insecurity, Hunger and Malnutrition

Valientes et al. (2006) defines food insecurity when people do not, at all times, have physical, social, and economic access to sufficient, safe and nutritious foods which meet the dietary needs and food preferences for an active and healthy life. An individual or household becomes vulnerable to food insecurity when one or more of these conditions is not satisfied. Worse, if all conditions are not met, that individual or  household is food insecure. Vulnerability, on the other hand, refers to the full range of factors that place people at risk of  becoming food insecure. The level of  vulnerability is determined by the exposure to the risk factors of food insecurity and the ability to cope or withstand stressful situations (CFS, FAO 2004). Hunger and malnutrition are the physiological manifestations of food insecurity (SOFI, 2004). Food insecurity does not exist in a single dimension but involves a cross-section of dimensions that include socio-economic and political environment; performance of food economy; care practices; and health and sanitation (FAO, 2000). In the Philippines, findings of the National Nutrition Survey conducted in 2003 by the Food and Nutrition Research Institute (FNRI) of the SOCIAL  WELFARE

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27 Department of Science and Technology Technology reported that 7 out of 10 households in the country are food insecure using the Radimer/Cornell measure. The same survey revealed a 26.9% prevalence of underweight Filipino children under 5 years old (FNRI, 2003). The latest national nutrition survey conducted in 2003 by the Food and Nutrition Research Institute showed that 27 out of every 100 preschool children aged five and below were underweight. It also indicated that 30 out of every 100 preschool children were stunted or short for their  age and six out of 100 were wasted or thin. Among school-age children childre n aged six to 10 years old, 27 in every 100, or about 2.5 million, nationwide were underweight underweig ht for their age. Also, 37 in every 100 children, or about 3.4 million, were stunted or short for their age. Even among adolescents, or those in the 11-19 age bracket, about 18 in every 100 were mildly underweight, while 15 in every 100 were underweight. For  those 20 years and older, about 12 in every 100 adults were underweight and 20 in every 100 were overweight. In addition, an estimated 3.4 million households, or a record-high 19 percent, experienced involuntary hunger at least once over the past three months according to the first quarter  survey of the Social Weather Stations (SWS) showed. The new survey was conducted February 24 to 27, 2007 with 1,200 statistically representative household heads. The survey showed that hunger worsened in Metro Manila and the rest of Luzon, barely changed in Mindanao and declined in the Visayas. Moderate hunger, defined as households experiencing hunger involuntarily “only once” or “a few times” in the last three months, was 15.1 percent in November and 15.0% in February. Severe hunger, or households involuntarily hungry “often” or “always” in the last three months, hardly changed from 3.9 percent to 4.0 percent. The SWS placed the margins of error for the survey at ±3 percent for national percentages and ±6 percent for regional percentages. United Nations Children’s Fund (UNICEF) Country Representative Dr. Nicholas K. Alipui Volume No. 2 Issue No. 2

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28 also disclosed that major, irreversible damages caused by malnutrition occur in the womb and during the first two years of the child’s life. Molecular biology confirms this finding and thus, programs are needed to prevent and treat malnutrition among pregnant and lactating women, and children aged zero to two years old. Damages to children include lower intelligence, reduced physical capacity, and passing on malnutrition to the next generation. These result to reduction in productivity and sluggish economic growth, which perpetuate the cycle of poverty. Most importantly, every child has a right to be free of  malnutrition. Breastfeeding during the first two years of life is the single best form of nutrition in these vulnerable early years. President Macapagal-Arroyo has ordered the release of a billion pesos for “emergency hunger  mitigation” in depressed areas of Metro Manila and in some provinces found to have a high h igh incidence of hunger. The Department of Health through Secretary Francisco Duque III will be the “point man” to oversee the implementation of the “emergency hunger mitigation” program. The emergency intervention will be largely done through three already existing programs: The foodfor-school program under which rice and other  foodstuffs are given to school children as an incentive for attending school; the food-for-work program where the poor and unemployed are hired by government to sweep the streets and for other  community work; and the food-for-parishes program of the Catholic Church and other religious groups providing free meals to children or adults in various parts of Metro Manila. The government may also conduct its own survey to gauge hunger  levels in the country if it proves to be “necessary” to check the progress of its   Accelerated Hunger  Mitigation Program according to Health Secretary Francisco Duque. 3.3 3.3 Indiv Individ idual ual LifeLife-cyc cycle le RisksRisks- Epid Epidemi emics cs and unmanaged diseases leading to Health and Sickness

According to statistics compiled by the DOH from the Civil Registration System of the NSO, during SOCIAL  WELFARE

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the period 1999-2002 diseases of the heart were consistently the number one killer, accounting for 16 to18 cases for every 100 dea ths in a year. From 1999-2001, there were only 78-81 deaths due to diseases of the heart per 100,000 population, the number rose to 88 in 2002. Next are diseases of the vascular system causing 12 to 14 out of 100 deaths; malignant neoplasm (cancer), about 10 deaths; and pneumonia, about 9 deaths. In fifth place are accidents, with up to 9 deaths. The top five leading causes of  death alone account for more than 50% of all death cases! Tuberculosis, which the Millennium Development Goal or MDG addresses under  Goal 6, Target Target 8, Indicator 23, is the 6th leading cause of death , at 7 to 8 deaths per hundred cases. Next are chronic obstructive pulmonary diseases and allied conditions, 4 to 5 deaths, followed by certain conditions originating in the perinatal period with about 4 deaths. The 9th and 10th leading causes of death are diabetes mellitus, about 3 deaths and nephritis, nephritic syndrome and nephrosis, about 2 cases for  every 100 deaths. In 2002, there were about 18 deaths from diabetes mellitus and 12 deaths from nephritis, nephritic syndrome and nephrosis per 100,000 population, significantly up after  only three years from 13 and 10, respectively, in 2000. Table 9: Top Ten Ten Causes of Mortality

Type of Disease

Number  

1. Diseases of the Heart 2. Dise Diseas ases es pf the the Vas Vascu cula lar  r  System 3. Malignant Neoplasm 4. Pneumonia 5. Accidents and Injuries 6. Tuberculosis 7. Chron Chronic ic Obs Obstr truc ucti tive ve Pulm Pulmona onary ry Diseases an and Allied Co Conditions 8. Cert Certai ain n Condi Conditi tions ons Orig Origin inat ating ing in in the Perinatal Period 9. Diabetes Mellitus 10. Nephritis, Nephritis, Nephrotic Nephrotic Syndrome Syndrome and Nephrosis

79.1 63.2 47.7 42.7 42.2 36.1 20.8 19.8 14.1 10.4

Source: DOH website Volume No. 2 Issue No. 2

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The main consequences of these risks and vulnerabilities are losses in human capital. Some diseases hit individuals during peaks of their  labor productivity e.g. heart diseases and cancer. Expenditures for health services continue to be below par of World Health Organization (WHO) standards, but DOH officials claim the amount is sufficient to respond the nation’s current needs. Health Secretary Francisco Duque III admitted that the spending rate for health at 3.2% of the country’s gross domestic product (GDP), or the sum of goods and services produced in a given year, is still below the world standard of 5% of GDP. The total amount for  2007 of P1.2 billion was higher than 2006’s 2.2%-2.7% of GDP. This additional amount would be spent on services and surveillance systems to keep up with information on emerging and reemerging diseases, backlogs in infrastructure, local health developments and disease-free initiatives such as additional immunization for Hepatitis B. The Health Department will also intensify cooperation with the international sector through continuous simulation of information on old and emerging diseases the avian influenza. In terms of  insurance coverage, 28 percent of Filipinos have Philhealth cards as claimed by President Gloria Macapagal Arroyo. 3.4 Econom Economic ic Risks Risks and and Inst Instabi abili lity ty (Cri (Crisis sis;; Boom and Bust Cycles; Jobless growth) leading to high unemployment and underemployment underemployment (especially of the youth) 11

Labor is the most important productive asset of  the poor making their ability to participate in the labor market a critical factor in poverty reduction or risk mitigation. Labor income is the resultant of time devoted to productive employment and the price of that time (wage and possibly other  non-wage compensation). For a given supply, the quantity of labor hired depends upon the demand for labor of profit-maximizing producers,

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29 which is in turn a function of output demand. The wage, on the other hand, is determined by the productivity of labor, and the state (slackness or tightness) of the labor market. At the individual level, the wage reflects the worker’s characteristics (e.g. education, skills, occupation, gender, union membership), the employer’s characteristics (e.g. competitive position of firm, industry affiliation, location), and other external factors, say, government policy. In the absence of income from any other source, one’s position relative to the poverty threshold is determined by labor market status (employed, unemployed, and underemployed) and the returns from one’s labor. The working age population in the Philippines was growing by 2.6% annually from 1981-2000. This translates to an average of 761,000 new entrants and reentrants into the labor force each year in the 1980s, rising to 738,000 in the 1990s. Thus the labor force, which numbered 17.3 million in 1980, had nearly doubled to 32.2 million by 2000. It was 33.7 million million in 2003 and 37.05 million in 2006. The rapid increase in the size of the labor force is attributed not only to high population growth but also to the steady increase in the participation of women in the workforce. The total labor force participation rate rose from 49% in 1970 to 60% in 1980, and then to 65% in 2000. Because of the boom and bust cycles of the Philippine economy in the last three decades and only moderate economic growth performance in recent years, employment opportunities have failed to keep up with the rapid growth in the labor force. The consequence has been unemployment and underemployment rates that are persistently high by East Asian standards. Open unemployment rates have hovered just below the double-digit mark, typically hitting double digits during period of low or negative economic growth. Unemployment stood at about 8% in 1980, peaked at 12.6% in 1985— the trough of the 1980s economic recession—

This section borrows from Canlas et al (2005)

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30 and rose above 10% again in 1991 and 1998 (which were also recession years). The total number of unemployed persons rose from 1.3 million in 1980 to 3.6 million in 2000—or 2000 —or 11.2% of  the workforce. It was 4.2 million in 2004 and decreased slightly to 4.1 million in 2006. Unemployment has typically been higher in urban than in rural areas reflecting rural to urban migration. For most of the 1980s and 1990s urban unemployment rates were above 10%, with the typical peaks during the recession years.

communication sector, and the financing, insurance, real estate, and business services sectors. For female headed households these included manufacturing, wholesale and retail trade, and community, social, and personal services.

Underemployment has always been much greater  than unemployment, remaining above 20% during the 1980s and 1990s and peaking at about 33% in 1983-84. The total number of underemployed experience, younger members of the work force have a higher probability of being unemployed and staying unemployed for longer periods compared with their older counterparts. The pressure to find  jobs is also probably less for younger people who are not household heads or primary breadwinners. breadwinners.

3.5 Environ Environmen mental tal risks risks - natura naturall disa disaster stersstyphoons, floods and drought

In the 1970s and early 1980s, most unemployed were in the 15-24 year age group and had been educated to the primary or secondary level. However, an increasing proportion of the unemployed now possess a tertiary education. The percentage total unemployed with at least some college education increased from 27.4% in 1980 to 33% in 2000. Even more telling was the proportion with a college degree, which rose from 8.5% in 1980 to 14.8% in 2000. The trend could reflect the “choosy youth” phenomenon (Manning 2000) or the overseas worker phenomenon, which tends to raise the reservation wage. Nevertheless, it implies a serious waste of resources. Alba (2001) in a study of panel data from 19971998 identifies the industries which were associated with persistent vulnerability to employment shocks of male headed households (i.e., shocks of two two or three quarters). These included the agriculture sector, the wholesale and retail trade sector, the transport, storage and

The negative consequences of unemployment and underemployment include: economic inefficiency; underutilization of labor; decreased human development; income and asset poverty for the household and individuals.

From the Manila Observatory’s 12 climate and weather-related risk maps i.e. the Risk to Typhoons map and the Risk to Projected Rainfall Change map pinpoint areas of Central Luzon and the Bicol region in common as high to very high risk areas for typhoons and rains. On the other hand, the area that ranks high to very high in risk in both the Risk to El Niño and Risk to Projected Temperature Temperature Increase maps is Western Mindanao. The Combined Risk to Climate Disasters map represents the sum of the normalized, provincialized risks to typhoon (super typhoons, typhoons, tropical storms and tropical depressions), drought caused by El Niño, projected rainfall change and projected temperature increase. The top ten provinces in this combines risk maps are: Albay, Pampanga, Ifugao, Sorsogon, Biliran, Rizal, Northern Samar, Cavite, Masbate, and Laguna. In general, Central Luzon and the Bicol regions rank high to very-high on the risk scale. This indicates that it is the risk to typhoo n scores and risk to projected rainfall change scores that dominate the summation of risks. In the case of  the risk to El Niño scores and risk to projected temperature increase scores, the gap in the scores is between the highly-ranked provinces and the rest of the country as not as great as with the other two maps.

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A private non-stock, non-profit research institution serving the science apostolate of the Society of Jesus in the Philippines; it was the pioneer weather bureau in the Philippines; currently is into conducting scientific researches on the weather, climate changea and other  environmental concerns

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The maps of areas at risk to earthquakes and earthquake-induced landslides have certain areas of Central to Northern Luzon and Eastern Mindanao in common. However, there are areas like Bukidnon and Lanao that have a high risk to landslides but a low risk to earthquakes, indicating that there must be other factors contributing to the occurrence of landslides in these areas. Areas at risk to both tsunamis and volcanic eruptions include the northwest to southeast diagonal across RP. The Geophysical Disaster Risk Map represents the sum of the normalized, provincialized risks to earthquakes, earthquakeinduced shallow landslides, tsunamis and volcanoes. The top ten provinces include: Sulu, Camiguin, Ifugao, Davao Oriental, Sarangani, Benguet, Surigao del Sur, La Union, Lanao del Sur, and Zambales. In general, Central Luzon and Eastern Mindanao are the high-ranking areas. More recently, a study by Greenpeace, an international environmental NGO claimed that some 700 million square meters of land in the Philippines may be submerged gradually as the global average temperature rises and causes sea levels to rise. The briefing paper entitled The Philippines: A Climate Hotspot , presents an overview of how extreme weather conditions threaten people, the economy, economy, the different species and ecosystems. The Greenpeace study also provides maps that illustrate the extent of the impact of climate change in the Philippines. Based on such maps, climate change can “irrevocably alter” the country’s coastline. Conservative estimates from Greenpeace predict that a onemeter rise in sea level may affect 64 of the country’s 81 provinces, which cover at least 703 of the 1,610 municipalities. Portions of the land in the 703 municipalities may be submerged in water  by 2095 to 2100. The study also identified the top 20 provinces in the country, which are vulnerable to a one-meter  rise in sea level. These are Sulu, Palawan, Zamboanga del Sur, Su r, Northern Samar, Zamboanga Sibugay, Basilan, Cebu, Davao del Norte, Bohol, Camarines Sur, Quezon, Tawi-Tawi, Masbate, Negros Occidental, Camarines Norte, Capiz, Catanduanes, Samar, Zamboanga del Norte, and SOCIAL  WELFARE

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31 Maguindanao. Greenpeace said that Sulu has the highest land area that is vulnerable to a one-meter  eustatic rise in sea level at 79.7 million square meters. The consequences of natural disaster include loss of lives and livelihoods, and losses in terms of  physical capital and infrastructure. 3.6 Environmental Risks – Lack of Shelter  and Housing

Inadequate housing and related infrastructure facilities create direct threats to people’s physical safety and security. Poor people often live in provisional homes constructed with whatever  impermanent, basic materials are available. They frequently have limited choice but to live on marginal land (flood plains or steep slopes for  example), with the consequence that they are the first to suffer the effects of earthquakes, landslides, landslide s, cyclones and floods. In addition, a combination of  overcrowding especially in slum areas, the use of  open fires or kerosene stoves and flammable materials leads to danger and injuries from accidents and fires. Inevitably in all these conditions, children are especially vulnerable. According to the Medium Term Philippine Development Plan (MTPDP) 2004-2010, housing need in the country is estimated to reach a total of  3.75 million units by 2010. Demand for new houses, for the said period, is 2.6 million of the total while housing backlog accounts for almost a million. Estimates of an NGO network, the Philippine Urban Forum (PUF) is higher - 2.5 million in 2004, of which 44% of the need will be in the NCR; if slum housing is included in the backlog, the need becomes 4.5 million houses. According to the PUF quoting the World Bank, more than one-third of the urban population lives in slum areas and half of the 1.4 million urban poor  households reside in Metro Manila. It also claims that the problem of housing is more a problem of  supply than affordability. Based on the 2003 Family Income and Expenditure Survey (FIES), housing expenditures are the biggest non-food expense of a family. Housing-related Housing-rel ated expenses (rent, amortizations, and repairs) account for 14.3 percent of a family’s expenditure. Volume No. 2 Issue No. 2

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32 Table 10: Proportion of HH with Access to tenure (owned and rented)

Years

1990

2000

Proportion (%)

91.0

8 1 .2

Source: NSO, 1990 and 2000 Census

3.7 Environ Environmen mental tal Risks: Risks: Lack Lack of of Wate Waterr and and Sanitation for Households

The crisis in water and sanitation is — above all — a crisis for the poor. Almost two in three people lacking access to clean water survive on less than $2 a day, with one in three living on less than $1 a day. More than 660 million people withou t sanitation live on less than $2 a day, and more than 385 million on le ss than $1 a day,” the UNDP said. In her Earth Day message on April 22, 2003, President Gloria Macapagal-Arroyo revealed that almost 10 million Filipinos are yet to have a sustainable source of potable drinking water  and 13 million do not have access to any sanitation facilities. Aside from this water is an important factor for the source of livelihood in the rural and agricultura l areas. Further, of the country’s total water demand, only 72% is being met. For this reason, she called on the citizenry to use wisely and conserve the country’s water  resource, and at the same time, emphasized the need to take care of the forests. Despite the high economic costs of  environmental pollution, particularly from untreated domestic wastewater discharge, investment in the sector is not a priority. In the Philippines, for every P1 invested by government in sanitation, P40 is invested in water supply. This is despite the fact that the cost of sewerage and sanitation is 35 times as much per capita than water supply and despite the high toll to our tourism and fisheries assets. Because of this, sewerage service coverage cannot catch up with population growth. It has remained at 5% of total population from 1985 to 2000. Access to water supply and sanitation SOCIAL  WELFARE

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is recognized as key to promoting health, reducing poverty and facilitating economic development. At the forefront in the country’s war against water pollution is the Environmental Management Bureau (EMB) of the Department of Environment and Natural Resources (DENR). Upgraded into a line agency by virtue of Republic Act 8749, otherwise known as the Philippine Clean Air Act, the bureau is in the thick of things, from formulating policies and implementing water-related programs, to monitoring wastewater from industries, and classification of the country’s water bodies to ensure their proper management and utilization, among others. Based on EMB reports, the major sources of  water pollution in the country are industries, households, commercial establishments, tourism sites and farms. Industries, considered a major source of water pollutants, use a wide range of chemicals and chemical substances, many of which are highly toxic. These toxic substances find their way to our natural water  systems when discharged as industrial effluents. Others are emitted in the atmosphere, where they mix with rain or settle down by themselves and are carried by runoff to natural water channels. There have been numerous large epidemics of  waterborne diseases throughout the country, particularly of cholera and typhoid fever during the 1990’s. While diarrhea remains the number  one cause of illness in all age groups, the decline in the incidence of cases is accompanied by reports to the National Epidemiology Centre (DOH) of significant reduction in the number of food-borne and water-borne infection outbreaks in the past years. Investigations of these disease outbreaks have identified contaminated sources of drinking water, improper disposal of  human waste and unsanitary food handling practices as the main causes. Outbreaks of cholera have averaged less than one per year during the period 2000-2003 Volume No. 2 Issue No. 2

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compared to 12 outbreaks a year in 1998. In 2000, a total of 303 cholera cases (0.4 cases per 100,000 population) were reported in nine of the 17 regions in the country: NCR (131 cases), Western Mindanao (80 cases), Caraga (32 cases), Western Visayas (18 cases), Central Centr al Luzon (15 cases), Central Mindanao (11 cases), CAR (5 cases) and Cagayan Valley Valley and and Northern Mindanao (one case each). The morbidity trends for typhoid and paratyphoid fever have decreased from 33 cases per 100,000 population in 1995 to 17.1 per 100,000 in 2000 while the mortality trend has remained consistently low from 1980 to 2000. The WHO/UNICEF Joint Monitoring Programme in its Country, Regional and Global Estimates on Water & Sanitation gave a 2002 estimate for  the Philippines as shown below: Table 11: 11: Proportion of HH with Access to Safe Water Supply (%)

1990

1998

1999

2000

20 02

2004

73

78.1

81.4

79.05

80

80.2

Source: National Statistics Office - 1990-2000 data from census of  Popn and Housing; 1998, 1999, 2002 and 2004 data from Annual Poverty Indicators Survey

Table 12: Proportion of Households with Sanitary Toilet Facility (%)

1990

1 999

200 0

200 2

2004

67.6

85.8

79.3

86.1

86.2

Source: National Statistics Office - 1990-2000 data from census of Popn and Housing; 1999, 2002 and 2004 data from Annual Poverty Indicators Survey

3.8 Political and Governance Risks- Conflict and Peace and Order 

The most comprehensive analysis of this type of risk comes from the Philippine Human Development Report (PHDR) of 2005: The Philippines is home to two of the longestrunning armed conflicts in the world: against the communist insurgency (CPP-NPA-NDF) and SOCIAL  WELFARE

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against the Bangsa Moro rebellion (MNLF and MILF); both having run for almost four decades. Both conflicts have resulted in numerous deaths. According to the government, more than 4,700 combatants - including soldiers and police as well as NPA, MNLF and MILF fighters - have been killed from 1984 to 2002. The losses that have been suffered by innocent civilians (so called ‘collateral damage’) paint a darker picture. Most of the victims are children. Weak and young, they fall prey to the violence that accompanies war. Sadly, Sadly, in some cases they are even directly involved in the fighting. The military estimates that as many as 25 percent of the NPA’s recruits are children - tasked to serve as soldiers, to murder enemies, guard camps, carry messages between war zones, and provide support to adult combatants. Many of them are recruited from barangay high schools as well as state universities and colleges. The long, drawnout wars that have been raging in our backyard s have not only affected people living in the main areas of conflict, but also every Filipino citizen. These have frightened away investment and planted insecurity, insecurity, holding economic and social development hostage. The NPA’s well-known practice of collecting ‘revolutionary’ ‘revolution ary’ taxes, which targets large-scale companies companies as well as small and medium entrepreneurs, is one of the deterrents in doing business in country especially in the provinces that most need economic investment. The NPA’s destabilizing practice of routinely bombing telecommunication and power plant facilities in the CALABARZON area not only disrupts day-to-day business, community and social activities, but also results in hundreds of millions of pesos in rebuilding costs. In just seven years, from 1969 to 1976 - the beginnings of the Moro conflict - the provinces of Cotabato, Lanao, Sulu, Tawi-Tawi, Zamboanga and Basilan suffered 60,000 dead, 54,000 injured, and 350,000 driven away from their own homes and barangays. The loss of  property is estimated to have cost between P3 00 million to P500 million. Of the tribesfolk residing Volume No. 2 Issue No. 2

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34 in Mindanao, between one-fifth to one-third have been uprooted from their traditional communities. Six out of every ten people in Muslim Mindanao live in poverty-twice more than the rest of the country. A person in a province in Muslim Mindanao would earn P11,000 less than his counterpart somewhere else in the country. The infant mortality rate in the region is 15 percent higher than in Manila. The conflict in Mindanao has hampered access to medical facilities and is one of the root causes of the malnutrition, poverty and high incidence of disease in the region. This is why, at 72 years old, a person in Cebu would live 20 years longer, on average, than a person in Maguindanao Maguin danao or Tawi-Tawi. Tawi-Tawi. It is estimated that the Moro insurgency has cost the country P10 billion per year since 1975 in damaged properties and foregone investments. Conflict costs. Between 2000 and 2006, armed conflict in the Philippines caused the displacement of nearly two million people. The majority were displaced in Mindanao by two major military operations launched by the government in 2000 and 2003. A ceasefire agreed in July 2003 put an end to the fighting and allowed for the return of most of the displaced , despite conditions that were often not conducive to sustainable reintegration. Since then, improved dialogue and confidence-building measures established between the government and the MILF have prevented sporadic armed skirmishes and army operations against criminal gangs from turning into larger armed confrontations. Also, a Malaysian-led international monitoring team has been deployed in Mindanao since October 2004 and has helped to main tain the ceasefire. The PHDR also estimates that during the periods of acute conflict, 1970-1982 and 19972001, the Moro insurgency resulted in lost annual output valued at $150 million, with a total loss of $2-3 billion over the entire period. The World Bank, according to the Report cites a figure of a total of 120,000 deaths (civilians SOCIAL  WELFARE

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and combatants) from the Mindanao conflict from the 1970s to the present. 3.8.1 Community Risks – Rido (Clan wars)

Recent studies have shown that Rido or clan wars in Mindanao is more rampant than previously thought. For example, from 1970 to 2004, 214 cases of  rido were recorded in Maguindanao alone. Rido is multi-dimensional meaning conflicts may not be limited to two groups or clans but could involve several clans forming temporary alliances and the actors involved in rido often hold multiple positions. Some of those involved are clan members in control of various fields of power, such as traditional leadership structures, local governments, military or police, paramilitary forces or insurgents. Such overlapping roles, particularly where members of opposing clans are members of the military and separatist groups, have often caused rido to escalate from clan disputes to clashes between the Government of the Philippines and separatist groups like the MILF. The causes of rido range from land boundary disputes, petty fights, theft, elopement or the non-payment of debts to more serious offenses like murder and rape. Many of these offenses when perceived to be affronts to a family’s lineage or dignity (known among Maranaos as “maratabat”) trigger  rido . Rido can only be eradicated or at least minimized through the concerted efforts of various sectors of society using a multi-pronged approach. 3.9 Summary of the Major Risks and their  Impact

The table on page 35 summarizes the impact of the major social risks identified above.

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35

Table 12: Summary Summa ry of Major Social Risks and Their Impacts Major Social Risk

Number of People Currently Affected

Quantitative and Qualitative Losses

Labor market related: Unemployment and  underemployment 

11.5 1.5 million pe persons ons (2006 006 – 4.1 unem unempl ploy oyed ed,, 7.4 7.4 unde undere remp mplo loye yed) d)

GDP/worker x unem nemployed; a facto actorr x unde undere rem mploy ployed ed (estimate in 2002 using lowest labor productivity value – 120 billion pesos pesos per  year)

Lifecycle risk: large family size

3.95 million poor households with > 5 members; 46.5% poverty incidence for all households wi with > 5 me members (2000)

Social service expenditure/ capita decreases with higher   population growth rate (given fixed re resources); lo lower la labor   participation rate for mothers, lower school attendance for  children

Lifecycle risk: diseases affecting health

13 million have hypertension; 70,1 0,138 dea deaths per 100, 00,000 due to hear heartt dis disea ease ses s (20 (2002 02); ); IMR IMR 29 29 per 1000 live births

Permanent or partial productivity loss osses of those ose who die or get get disa disabl bled ed duri during ng acti active ve work workin ing g years, 18-65

Lifecycyle risk:Food  insecurity, hunger and  malnutrition

2929-34% food pover verty inci ncidence (2003); 3. 3.4 mi million ho households (SWS, 2007) 7 of 10 households food insecure (National Nutrition Survey, 2003)

Lower produc ductivity due to lower  energy le levels fr from lo lower ca caloric intake

Political Risk: Armed  conflicts

212,000/yr for GOP-NPA and; 127,000/yr for GOP-MILF

5-7.5 billion pesos annually direct costs; with foregone investments of P 10 billion pesos/year (PHDR 2007 quoting Barandarian; Judd and Schampo)

Environmental risk: Natural disasters

7.9 million people affected; 1792 persons dead or missing (NDCC, 2006)

US$ 1.614 billion in terms of  damages– total; US$ 300 million annually (.5% GNP)US$ 1.175 billion of  damages – typhoons; losses in productivity incurred due to deaths and to damages in physical capital

Environmental risk:Shelter  and Housing 

1 million housing backlog (2005 (2005-20 -2010) 10);; 1.4 1.4 mill millio ion n house househol holds ds squa squatt tter ers s and and slum slums s (Alo (Alonz nzo, o, 2001 2001); ); only 66.5 % of HH with secure tenure

Lack of property rights and secure tenu tenure re lead leads s to low lower er prod product uctiv ivit ity y (de (de Soto Soto))

Environmental risk   Access to clean water and  sanitation

20% 20% of of pop popu ulation no no acc acce ess to to impr improve oved d water water sour source; ce; 14% 14% witho without ut access access to to improv improved ed sani sanitat tation ion (2004) (2004)

Morb orbidity and mortality lead eading to lowe lowerr produc producti tion; on; low lower er agri agricul cultu tura rall product productivi ivity ty from from lack lack of irrigat irrigation ion

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36 HOW TO MEASURE SUCCESS IN THE PROPOSED WELFARE WELFARE REFORM AGENDA? A PROPOSED M&E SYSTEM  By Dr. Leonardo A. Lanzona and Harvey S. Buena

ABSTRACT

T

his paper attempts to provide a framework to evaluate the proposed welfare reform agenda (PWRA) that is presently being formulated in the Department of Social Welfare and Development (DSWD). The goal is to shift the debate from the current preoccupation with increasing caseloads or outputs in the central office to one focused on the social and economic well-being of fragile families, single mothers, and children. An effective welfare reform program is expected to reduce poverty rates, lower out-of-wedlock childbearing, encourage greater family stability, and lead to little indication of more spouse abuse or child neglect. Moreover, according to recent pronouncements of the National Statistical Coordinating Board (NSCB), poverty has increased in 2006. Poverty affects more adversely the single mothers and their children, welfare recipients experiencing serious barriers to stable employment, and poor women and children facing an uncertain economic and social future as welfare eligibility is exhausted and the economy wanes. With the welfare debate shifting to family and child well-being, sociology has an important policy role to play as economics in the evaluation. However, the PWRA is primarily an institutional reform agenda aimed at improving the existing delivery and maintenance system of the Department. The challenge is how to link these institutional institutional and organizational organizational changes to the function of the DSWD which is social protection. The purpose of this paper is to offer a SOCIAL  WELFARE

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methodology by which one can link the elements of the reform agenda, especially the M&E component, to the ultimate aims of the DSWD, specifically the protection of the poor  and vulnerable. Furthermore, in a recent assessment of the existing M&E system (Lanzona and Buena, 2008), the lack of a Department-wide M&E system was cited as one of the weaknesses in establishing a comprehensive (not a projectbased) assessment of the performance of the DSWD. The goals of the Department as regards the M&E system are then clarified: to shift the focus from measuring welfare inputs and outputs, to other less visible and easily measured social outcomes. In the process, the current preoccupation with the devolution of the central office functions should be balanced with a broader discussion of whether or not welfare reform has achieved “success” in other  important social policy domains. Specifically, the proper monitoring and evaluation system must be able to evaluate how the present reform agenda addresses and pursues emerging welfare considerations focused on material deprivation and poverty, fertility and family formation (e.g., out-of-wedlock childbearing), marriage and cohabitation, maternal well-being (e.g., mental health), and child development. The question of whether  welfare reform has led to more geographic social exclusion among low-income families will also be taken into consideration.

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Introduction

The paper paper is organized as follows. Section 2 discusses the role of the M&E system, in relation to the over-all objectives and work of the DSWD. Section 3 presents the elements and guiding principles of the Reform Reform Agenda. Section 4 features the components and goals proposed M&E system. Section 5 provides the key indicators needed for the evaluation of the reform agenda based on the guiding principles. Section 6 offers some remarks on how data should be collected. I. Th The e Rol Role e of of an an M&E M&E Syst System em

Following the argument of Lanzona and Buena (2008), the value of M&E does not come simply from conducting M&E or from having such information available; avail able; rather, the value comes from using the information to help improve government performance. Many governments systematically use M&E information to improve their performance (see McKay, McKay, 2007). For the DSWD, ways in which M&E information can be highly useful include the following: 1. To su su pp pp or or t policy making—especially budget decision-making—performance budgeting, and national planning. These processes focus on government priorities among competing demands from citizens and groups in society. M&E information can support government’s deliberations by providing evidence about the most cost-effective types of government of government activity, such as different types of income of  income programs, health interventions, or  conditional cash ca sh transfer payments. Terms Terms that describe the use of M&E information in this manner include evidence-based policy making, results-based budgeting, and performance informed budgeting.

37 to make cost and performance comparisons— performance benchmarking—among different administrative units, regions, and districts. Comparisons can also be made over time that help identify good, bad, and promising practices, and this can prompt a search for  the reasons for this performance. Projects and programs can be terminated on the basis of this analysis. Evaluations or reviews are used to identify these reasons (see, for  example, Wholey, Hatry, and Newcomer  2004). This is the learning function of M&E, and it is often termed results-based or resultsresul tsoriented management. 4. To enhance transparency and support accountability relationships by revealing the extent to which department has attained its desired objectives. M&E provides the essential evidence necessary to underpin strong accountability relationships, such as of  government to the Congress, to civil society, and to donors. M&E also supports the accountability relationships within government, such as between local government units and central agencies, among bureaus and sector  divisions, and among officers and staff. Strong accountability, in turn, can provide the incentives necessary to improve performance.

2. To help help the the DSW DSWD D in its its policy development and policy analysis work and in program development.

These uses of M&E place it at the center of sound governance arrangements as a necessary condition for the effective management of public expenditures for poverty reduction and social protection. In this framework, the M&E system is necessary to achieve evidence-based policy making, evidence-based management, and evidence based accountability. An emphasis on M&E is one approach to achieve a results-oriented and accountable public sector, including a performance culture in the DSWD. For this reason M&E should not be viewed as a narrow, technocratic activity. activity.

3. To hel help p the the DSWD DSWD manage activities at the sector, program, and project levels. This includes government service delivery and the management of staff. M&E identifies the most efficient use of available resources; it can be used to identify implementation difficulties, for  example. Performance indicators can be used

Lanzona and Buena (2007) proposed an organizational set-up that is centered on an M&E system (see Figure 1). It is argued that the M&E can serve as basis for policy decisions, and a nd at the same as a mechanism by which various bureaus and regional offices can interact with another at arriving at sound policies.

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Figure1: Proposed Organizational Structure for the M&E

SB, SWIDB and Field Offices

SOCTECH Proposed Research Institute PDPB

PMB

MANCOM and Equivalent Field Office

PREWs Policy Decisions Research Agenda

EXECOM

 NMDC

Source: Lanzona and Buena (2007)

In this system, it is necessary to prop up and devote resources towards the reorganization of  the Program Review Evaluation Workshops (PREWs) and the establishment of an internal research institute (RI) for the Department. The PREWs can be designed more substantially to address the four main tasks or roles cited above that an M&E system should produce. The most crucial element of the reform agenda is the RI which is intended to strengthen the technical ability of the Department to conduct technical evaluations, and also to use these to examine its strategic positions over the long term. These strategies will serve as “buffer” to moderate the political pressures that the Department often encounters.

•

•

•

Consolidate the sector and stakeholders efforts through shared goals and delineated roles by coming up with a national policy framework for social protection. Address the needs of the poor and vulnerable by establishing an objective and transparent targeting system for social protection programs. Continue DSWD’s advocacy work for the promotion and protection of the rights of the vulnerable sectors such as children, youth, women, persons with disabilities, older  persons, families and communities in crises through the introduction of social legislations

II. The Reform Reform Agenda Agenda:: Elemen Elements ts and and Guid Guiding ing Principles

Reform Area 2. Providing faster and better  social protection programs

The M&E system being proposed here is part of  the reform agenda that the Department is undertaking. This reform agenda can be be arranged as follows:

A. Through Through Improv Improved ed and and Appropriate Appropriate Models and Programs

Reform Area 1: Engaging the sector in establishing strategic and results-oriented policies in social protection SOCIAL  WELFARE

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Develop, improve, build on and scale-up service delivery models: family/householdbased, community-based, center-based, disaster management and risk mitigation model. Volume No. 2 Issue No. 2

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Create a “think tank” that will assist in theorizing and continuing discourse on social protection

39 Reform Area 3: Introducing Financial Reforms to Sustain the Reform Process •

B. Through Through Improve Improved d Governan Governance ce •

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•

Empower the LGUs through capacitybuilding, technical assistance and resource augmentation. This will include capacitating them to analyze, design, d esign, implement, monitor, evaluate social protection programs and mobilize resources for these. Particularly strengthen the role of provincial governments in the performance of social protection functions in order to assist its poorer  municipalities. Undertake a systematic diagnosis of the different LGUs to assess their capacities, come up with a classification system that can be a basis for program interventions. Scale-up convergence approach among stakeholders through joint projects including co-financing. Design a performance-based system for  devolving programs and resources. An incentive system will be introduced to encourage a performance-based approach to the “devolution” and management of  resources.

•

•

Secure more predictable funding for core DSWD function Rationalize resource augmentation of LGUs and other partners Allocate DSWD budgetary and extrabudgetary resources in a strategic manner  o

o

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Reform Area 4: Improving Delivery Systems and Capacities •

Improve Knowledge management system: M&E and MIS o

Codify all existing policies and ensure easy access by partners and intermediaries o

•

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Strengthen regulatory functions of DSWD for  the sector to ensure standards and quality assurance through the formulation of clear  standards for quality implementation for social protection programs and services. A harmonized system of accreditation/ certification/ registration and system for  exchange and sharing of monitoring findings will also be developed. Design an incentive system (“seal of  excellence”) for good LGUs/NGOs The granting of a “seal of excellence” (“Sentrong GGILASS” or Good Governance in Local Area Social Services) can be used as positive reinforcement for compliance and for  determining LGUs deserving incentive for  good performance.

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Re-allocate resource resour ce from less effective to more effective programs

Realize “savings” in the use of DSWD resource by identifying and implementing efficiency enhancing initiatives

C. Through Through Improved Improved Stan Standard dards s and Regulatio Regulations ns •

Rationalize funding support to centerbased service delivery

o

o

Key to the continuing improvement of  social protection models and technologies is the knowledge management system of  DSWD, including management information, monitoring, evaluation and research. Thus, these areas need to be strengthened by way of capacity building of its human resources and improvement of its technology. tech nology. Improve the information and communication system so that its partners, reform workers, social protection beneficiaries including policymakers and the general public are made aware of its roles, priorities and services. Social protection models and technologies are to be promoted through easy access by partners and other development workers to information and materials on these (e.g., project planning and management manuals or kits of templates, tools, reference materials, cases). For the MIS, it is envisioned that the present prese nt multi-platform system whereby each program has its own dedicated program will graduate into a single platform system Volume No. 2 Issue No. 2

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40 •

•

•

Improve organizational capacities and competencies through CB Human resource development has to be addressed. Revisit the learning circles initially conceived but has not successfully taken off the ground. Assess how this can be made operational. Implement rationalization and strengthening plans and performance management system Organize resource and expert pools Organize pools of experts and reform workers from the academic community, NGOs, professional associations on various levels—international, regional, local—for access to social protection theories, discourses and innovations. This will dovetail with DSWD’s long envisioned plans of organizing a core group of internal specialists and external experts.

As already stated, the PWRA is fundamentally an institutional reform that is focused on straightening up its activities that will generate greater impact in protecting the poor. To our mind, in order to succeed the PWRA should be guided by the following principles: 1. Social Social incl inclusi usion on of all all vulner vulnerabl able e sectors sectors implies an operational targeting system: (a) in social protection, to decrease avoidable and unjust differences to the minimum possible; and (b) in social services, for beneficiaries beneficiari es to receive care in relation to need (equity of coverage, access, and use) and to contribute according to the ability to pay (financing equity), indicating a reduction of leakages and exclusion. 2. Effe Effect ctiv iven enes ess s and technical quality mean that users of the services receive effective, guaranteed, and timely assistance; perceived quality means that they receive this care under  proper physical and ethical conditions (perceived quality). 3. Effi Effici cien enc cy implies a positive relationship between the results achieved and the cost of the resources used. It has two dimensions: resource allocation and the productivity of the services. Resources are allocated efficiently if they generate the maximum possible gain in terms of social protection pe perr unit of cost; and they are used efficiently when a unit of product is obtained at minimum cost, or when more units of product are obtained with a given cost. SOCIAL  WELFARE

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4. Sust Sustai aina nabi bili lity ty involves both the social and financing dimensions and is defined as the capacity of the system to solve its current legitimacy and financing problems, as well as the challenges of future maintenance and development. Consequently, it includes social acceptance and support and the availability of  the necessary resources. 5. Conv Conver erge genc nce e and collaboration indicates some measure of devolution in the delivery of  services by giving local government units flexibility to design and implement their own programs. At the same time, these programs should be attuned to the general directions of  the Department in order to avoid spatial inequalities in the delivery of services.

All of these principles should make it possible to  judge the direction of the programmed or ongoing reforms from the standpoint of the stated final objective. Thus, no reform should be opposed to these criteria, and the “ideal reform” would be one in which the five aspects had promoted by the end of the process. They, in turn, can be subdivided into a series of variables to which quantitative or  qualitative indicators can be added when they are adapted to the conditions of each bureau and division and can help to evaluate the degree to which the general objectives of the reform have been achieved. III. III. Propo Proposed sed M&E M&E Syst System em

The proposed M&E system is based the following results chain diagram that views the reform agenda and the M&E component within the context of a logical framework. Figure 2 provides a simplified representation of how an action plan would be expected to lead to various kinds of output, such as the number of officials trained in M&E, the number of evaluations conducted, conduc ted, and so on. These outputs in turn would be expected to lead to intermediate outcomes such as strengthened government demand for M&E, and to final outcomes, including the utilization of monitoring information and evaluation findings by government and others. It would be hoped that these outcomes would help lead to final impacts, including improved government performance, improved development effectiveness, improved service provision, and poverty reduction. Volume No. 2 Issue No. 2

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Figure 2. Results Chain of the Proposed M&E System Improved Service Provision, Economic Growth, Poverty Reduction Improved Development Effectiveness Improvements in DSWD Performance M&E used for: government decision making on policies, plans, and budget resource allocation; implementation and management of government activities; monitoring of activities, accounting of  expenditures, expenditur es, evaluation of programs and projects; government analysis and policy review; government accountability.

DSWD Bureaus and Division M&E information directly supports budget balancing, national planning, and policy formulation.

Executive

M&E information directly supports ongoing management of  government activities, including regional offices

Executive Committee assesses and debates performance

Civil Society Civil society assesses government performance and inputs freely to policy debates

Formal M&E framework or system is established by the DSWD, leading to the systematic planning, conduct, reporting, and use of monitoring information information and evaluation findings

Increased demand for M&E in government

Greater supply and funds for M&E and enhanced M&E skills

Improved M&E organizational structure

Reinforced demand for M&E in local government staff 

Increased demand and supply for M&E in civil society

The action plan leads to the production of a range of outputs, such as number of officials trained in M&E; harmonized data systems; improved quality and focus of available monitoring indicators; improved quality and range of evaluations completed; strengthened incentives for bureaus to conduct and use M&E.

A package of reform activities to strengthen social protection functions is undertaken by the DSWD, such as national seminars on M&E systems; diagnoses of national/sectoral M&E functions; audits of data systems; provision of M&E trainingincluding trainer trainingor scholarships to officials, NGOs, universities/research institutes, local government staff; various types of evaluation are conducted on pilot/demonstration pilot/dem onstration basis

Note: This framework is adapted from McKay (2007).

In light of this framework, given its varied programs, the evaluation and monitoring component of the reform agenda will include the following components. First, because each of  programs and projects is unique, and will require the use of varied methodologies, all programs and projects before its initial phase should require a formal program or project evaluation plan/proposal (PEP) that is consistent with the above results chain. This involves the submission of an M&E proposal to Project Management Bureau for review and later to the Executive Committee for approval. The PEP should first explain how the program or  project is intended to ease vulnerability and poverty. poverty. This formal proposal must then indicate the methodology for the monitoring and evaluation that will be conducted for the program or project, and more importantly, the key institutional commitments in achieving its goals. SOCIAL  WELFARE

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At the minimum, major programs and projects should be evaluated every year for three years. The PEP should then reflect the methodology to be used every year. year. If the program were to exceed three years, then a new PEP should be formulated. Smaller and short-term projects should also be required to submit an appropriate PEP. PEP. The key issues for these PEPs are the choice of programs to be evaluated and the specific questions each evaluation would address; thus, the ToRs ToRs for each evaluation are crucial. These issues can be decided through negotiations between the line departments as well as through the Department of Finance budget sections. For the weaker departments, the priorities of the DoF would would largely prevail. However, for more powerful line departments, the balance of power  was more even. Unresolved disputes concerning evaluation priorities would be escalated to the Volume No. 2 Issue No. 2

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42 level of Department Secretary or even to the cabinet if agreement could not be reached. Second, the results chain revolves around the establishment of quantitative measurements of  social protection. The second component of the proposed M&E system will then be the identification of key indicators especially for  outcomes and impacts. impacts. It is important for each each of the sectors to be given individual indicators. However, these should be consistent with the general guiding principles of the reform agenda, especially that of social inclusion, in order to limit the chance of redundancies and even contradictions. In establishing a common set of indicators, the DSWD should consider the following definition of social protection (Secretary Cabral’s speech in 2007 PDF): “Social protection constitutes policies and programs that seek to reduce poverty and vulnerability to risks and enhance the social status and rights of the marginalized by promoting and protecting livelihood and employment, protecting against hazards and sudden loss of income, and improving peoples’ capacity to manage risks.” Introducing risk and vulnerability in policy discussions via quantitative means may help to put these issues higher on the policy agenda. The M&E system should present ways of  measuring and analyzing risk and vulnerability using non-contextual and quantitative approaches, some building on contextual and qualitative approaches. If the aim is to inform and influence policy beyond specific contexts, quantitative approaches cannot be ignored. Note that this is by no means an argument for  only money-metric approaches: other  dimensions and quantification of qualitative factors is high on the agenda. In general, the aim is to stimulate more empirically based policy making in developing countries, also on issues related to risk and vulnerability. vulnerability. The third component will include the composition of comprehensive management reports and the SOCIAL  WELFARE

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production of rigorous impact evaluations. Management reports are intended to be the main public disclosure document. They report spending, use of funds, and performance; the reports thus draw heavily on the performance information that entities are required to produce and on the evaluations commissioned by the DSWD. The reports also describe the progress made by the entity in achieving the formal institutional commitments commitments it has agreed to in the PEP; these comprise specific actions the entity has promised to implement to improve its performance. The draft reports are to be reviewed by the PMB and the specific bureaus entities should make any necessary revisions. The final versions of the reports are sent to the Executive Committee. The rigorous impact evaluations involve primary data collection, sophisticated sophisticate d data analysis, and often the use of control groups. These may also include “institutional” evaluations that focus on the process of the project and its ultimate impact on social welfare. These evaluations should be seen as collaborative exercises involving the PMB, the project development and planning bureau, and other bureaus responsible for the program being evaluated, as well as donors. External evaluators should often be contracted to conduct the rigorous impact evaluation, but DSWD should assess and discuss the re sults of  these evaluations, as well as the management reports, in the Project Review and Evaluation Workshops, where all bureaus responsible to the project should be invited. The fourth component is the comprehensive review of the monitoring and evaluation reports that had been completed. These reviews assess all programs within the DSWD, seen as whole and not its individual parts. These will engage the MANCOM (and its equivalence in the regional region al offices), the NMDC, and ultimately the Executive Committee. Each of the bodies should examine the issues of inefficiency and duplication of  programs. The final output of this process process is a decision to continue (either within the central office or regional offices implementing the project) or terminate the program. If the project or  program is continued, the committees involved Volume No. 2 Issue No. 2

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in the comprehensive review should indicate: whether the project should have minor adjustments of program (for example, improved processes or  information systems), major adjustment of  management processes, (for example, changed targeting criteria, or new information systems) or  substantial redesign of program or organizational structure. In cases where the objectives are not met, the committees involve should determine if  institutional relocations of the project will be necessary in the continuation of the project. The fifth and last component should incorporate the concerns of the civil society, particularly the NGO, and the POs, in order to ensure social acceptability. acceptability. Moreover, the conditions conditions of the LGUs should also be noted in the M&E system. This component will ensure the full support suppo rt of the local community to the project, leading to its long-term sustainability. Key Indicators of PWRA

What follows is list of impact indicators that may serve as benchmark to DSWD programs and projects based on the above M&E system. The critical idea is to establish indicators that will satisfy the guiding principles of the reform. This is not intended to be a complete list, but may be used as a trigger for discussion. 1. Soci Social al Incl Inclus usio ion n

43 On Distribution of Resources •

- Total per per capita capita expendi expenditure ture for for social social protection programs (which vary depending on the sector concerned) - Per capit capita a public public spendi spending ng on healt health h per  capital - Social Social Worke Workers rs (incl (including uding NGOs) NGOs) per  10,000 population On Access •

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Percentage of children under 1 year who were given immunization On coverage of prenatal check-ups performed by trained personnel On the percentage of women who use contraceptives AND

Percentage of rural population more than one hour away from a health and school facility and poor urban population more than 30 minutes away from such facilities. Probability of obtaining social protection services on the day of request at the DSWD facilities Percentage of health facilities that have reduced the functional barriers to access (for  example, schedule, language, or others).

•

On the following indicators: - Social Social prote protecti ction on servic services es delive delivered red per  per  1,000 population of interest - Social Social Protec Protection tion Expen Expendit ditures ures per per 1,000 1,000 population of interest - Percentag Percentage e of deliveries deliveries attended attended by trained personnel

2. Effectiveness and Quality

The percentage of the population regularly covered by a basic package of benefits

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Percentage of households of interest without social protection service or program

On Resource Utilization

Is there any evidence that the reform has ha s led to a reduction in the geographical gap in some or all of  the following indicators? If possible, show data according to gender, age, race, socioeconomic level, and coverage plan. On Coverage

On all or some of the following indicators:

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Is there some evidence that the reform has reduced the geographical gap in some or all of  the following indicators (and, if available, the gap between the target populations of the sectoral reform activities)? •

Infant mortality

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Maternal mortality

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Mortality

- Rural Rural and urban urban drinkin drinking g water water supply supply

•

Incidence of:

- Rural Rural and urban urban sewerag sewerage e and excr excreta eta disposal services

- Vaccine-preventable diseases - Lack of nutrition/nourishment

- Percent Percentage age of the the social social protect protection ion budget budget spent on public social services (inclusive of health and education)

Is there some evidence that sectoral reform has influenced some or all of the following indicators, through some provider network(s), by territorial unit? If available, to whom is it directed, by population group?

- Spendi Spending ng on healt health h care and and educat education ion as a percentage of total expenditure. •

On Technical Quality  •

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•

Percentage of primary social welfare projects with established and functioning quality control committees Percentage of social welfare projects with established and functioning quality control committees

- intersectoral activities (for example, self-care in health, daycare services, disaster prevention, etc.) On Resources Management  •

Availability of services at the different levels of the welfare program

•

•

Percentage of population of interest who graduated from the program

- the number number of progra programs ms that that have improved at least the performance indicators? (if possible, break down by public and private sectors).

Possibility of the user’s selecting a welfare service provider, regardless of his ability to pay.

- the perce percenta ntage ge of proj project ects s that that have have negotiated management agreements

Percentage of facilities with established and functioning programs for improving communication with the user and the services provided

- the perce percenta ntage ge of social social welfar welfare e project projects s that can expand the framework of  expenditures utilizing new revenues for  this purpose

Percentage of facilities with specific user  orientation procedures.

- the perce percenta ntage ge of projec projects ts with with budget budgets s based on activity criteria

3. Efficiency ncy On Resource Allocation •

•

Are more efficient resource allocation mechanisms being introduced? If so, what are they and what are the results? Is there evidence that reform has influenced some or all of the following indicators nationally, by territorial unit? If available by population group, to whom is the reform directed?

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Is there any evidence that sectoral reform has helped to increase - the perce percenta ntage ge of social social welfar welfare e project projects s with standardized and functioning measures of activity and performance

On Perceived Quality  •

Is there any evidence that reform has led to a reallocation of resources for the implementation of 

4. Sust Sustai aina nabi bili lity ty •

Is there any evidence that sectoral reform has increased - the legiti legitimac macy y and/or and/or accept acceptabil ability ity of the the social welfare programs - the availa availabil bility ity of disa disaggr ggregat egated ed data data on program expenditure by territorial unit and to construct trends (comment in a few lines) Volume No. 2 Issue No. 2

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- the sust sustaina ainabili bility ty over over the middle middle term term of  the efforts to increase coverage of the programs - the capa capacit city y to modif modify y the reve revenue nue and and expenditures of the principal DSWD institutions or bureaus (Comment in a few lines) - the percen percentage tage of of social social welfar welfare e programs programs able to collect from third parties - the capac capacity ity for for obtaini obtaining ng externa externall loans and, if appropriate, their replacement by national resources at maturity? 5. Social Social Converge Convergence nce and Collabo Collaborati ration on •

Is there any evidence that reform has helped to increase the degree of social participation and control at the different levels and functions of the social welfare programs? If so, in general and/or with respect to certain groups? Comment in a few lines.

IV. IV. Data Requirement Requirements s of a Successful M&E M&E System

Among the issues presented by Lanzona and Buena (2007) is the importance of determining the population of interest. In this case, it is necessary to define clearly and measure the changes in the key sectors that the PWRA is supposed to benefit. Welfare services, poverty and maternal employment, and several key family and child indicators (e.g., unwed childbearing and battered women) are key factors that the reform must consider. And, equally important, there is little evidence of how much child poverty, spouse abuse, or child neglect have become more commonplace. The public and policy makers must also assess their view of “hard to serve” mothers and children who remain on welfare. Welfare recipients should become much less stereotypical (i.e., fewer references to the “poorest of the poor”) and fewer attributions must given to individual failings. As such, there may be greater willingness to help low-income mothers who “play by the rules” and “follow conditionalities” by working and behaving responsibly respon sibly.. SOCIAL  WELFARE

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45 The lack of longitudinal or panel data on families and children – both before and after PWRA — prevents a full assessment of potential conseque nces of welfare policy. As of now, because of the unavailability of data, we do not yet understand the short- and long-term consequences for women and children who have been able to access of social services. We know little of the consequences if families have been denied of valuable services. services. Indeed, as betteroff households migrate for work, the working poor have become a growing segment of the country’s low-income low-income population, but we do not know whether work – even at low pay – translates into positive outcomes in the longer  term (e.g., better maternal mental health, satisfying and stable marriages, or positive role modeling for children) or leads to additional suffering. We do not know whether whether welfare services will ultimately attenuate the intergenerational transmission of poverty and welfare dependence by promoting work values and traditional families as a context for  childbearing and child rearing. We do not know whether tough conditionalities will encourage single women to marry or cohabit unwisely or to give up custody of their children. More important, we do not know whether increased exposure to alternative welfare programs will help or hurt children of low-income working mothers. Because data are largely missing, we cannot yet discern whether more generous or more contingent welfare programs have translated into healthier outcomes among poor children, now and when they grow into adulthood. To be sure, policy research has its limitations, including its potential for political bias and its penchant for misplaced policy assumptions (e.g., “culture of poverty”). But our admonition to engage in research-based policy research and solutions reflects our positive view of the empirically-based decisions – one focused on inter-related family and economic systems, structural constraints and opportunities, and changing cultural valu es, while at the same time grounded on actual actual data. The research agenda of the RI proposed in Lanzona and Buena (2007 ) should be able to tackle these issues. Volume No. 2 Issue No. 2

46 THE PANTAWID PAMILYANG PILIPINO PROGRAM (4PS): INVESTING IN FILIPINO HUMAN CAPITAL TO ALLEVIATE POVERTY  By Cyril Wendy V. Maaño

ABSTRACT

P

overty is exacerbated by lack of investment in human development as much as socioeconomic shocks. This situation necessitates necessitates the adoption of innovative programs that direct investment in developing human capital, especially for the poorest in society who sacrifice their health and education while striving to put three square meals on the table. An example of  such programs is the DSWD’s Pantawid 

Pamilyang Pilipino Program (4Ps) , a conditional

cash transfer that capacitates the poorest to spend for health and education. Aside from building human capital, this program also improves geographic distribution of economic gains, reduces leakage rates of pro-poor  programs, and facilitates the convergence of  social protection efforts from various government agencies.

Introduction

A

group of theorists called the New Growth School 1 have attributed the remarkable economic growth of East Asian countries such as Japan and South Korea to the emergence of a highly-educated workforce, which strengthens the research and development (R&D) arm of its industries. The R&D, also known as the brains behind big corporations, is responsible for making system innovations, which increase efficiency and productivity. This improvement in workforce caliber  would not have been possible if investments in human capital were not made early on. In fact, economist Michael Todaro Todaro noted that investing in human development, particularly in education and health significantly improves a country’s chances of achieving long-term progress.2

square meals on the table. At a national scale, overall efforts to develop human capital are also hindered by a third-world country’s scarce financial resources, which render  spending for health and education insufficient despite receiving the lion’s share of government budget. Thus, the inadequacy of investments in Filipino human capital has created a poverty trap. The poor are unable to finish schooling schoolin g and fail to get higher-paid higher-paid employment. The decreasing trend in education and health he alth indicators also affects overall workforce productivity, resulting in repercussions to the country’s economy that is felt even by the well-to-do. Statistical Trends *

But developing human capital, as with long-term solutions to poverty, is a chicken and egg question. questi on. This is because human capital relies on significant investments in human development, particularly in education and health, which the poor have difficulty making as they struggle to put three *

•

Worsening poverty prevalence rates amidst improvements in the economy.

Although poverty prevalence rate was halved from 45% in 1991 to 24.4% in 2003, the disparities

This section borrows heavily from the World Bank’s Aide Memoire (2007) and PAD (2008) for the NSS-SWDRP

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in sectoral and regional distribution of economic gains, which is heavily skewed in favor of urban areas, resulted in the worsening of poverty to 26.9% in 2006. This figure translates to one in every three Filipinos living on less than a dollar  per day. The disparity in government investment across regions is made worse by high inequality in income distribution, as shown by a Gini Coefficient Coefficient rating of 0.46 in 2003.3 Compounded by a sluggish decrease in population growth rate, the Philippines has fallen behind its Southeast Asian neighbors in reducing poverty prevalence rates. •

Decreasing trend for education and health indicators.

Based on the Philippine Midterm Report on the MDGs, the country lags behind its targets for  human capital, particularly in education and health. School enrollment rate for the elementary level dropped from 99.1% in 1990 to 84.4% in 2005. National statistics indicate that one in five children aged 6-11 are not in school, while only 70% of Grade 1 students have reached Grade 6, indicating low completion rates.4 Further, 2834% of the population was already considered education-poor, that is, have failed to finish elementary schooling in 2003. 5 Although functional literacy rate remains high at 84% (2003), outcomes of the National Achievement Test (2006) reveal poor pupil performance in English (54%), Math (53.68%) and Science (37.98%).6 Health statistics, on the other hand, reveal that universal immunization for children under age 5 has yet to be achieved, and that only 64% of  Filipino children meet the World Health Organization’s normal weight-for-age standard.7 Although maternal mortality rate has decreased from 209/100,000 livebirths in 1993, to 172 in 1998 and 162 in 2006, its decrease has been sluggish indicating the need to improve pre-and post-natal care. Population growth rate has been curbed from 2.36% in the 1990s to 2.04% in 20068 but has also been quite slow, indicating a need for more aggressive implementation of  SOCIAL  WELFARE

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47 natural family planning and similar reproductive health methods. •

Lack of capacity to manage socioeconomic shocks.

A National Anti-Poverty Commission (NAPC) and National Statics Coordination Board (NSCB) study shows that 45% of Filipinos are at-risk of falling into poverty as a result of natural and man-made shocks or disasters (2005). Examples of such are the rising prices of basic commodities, as well as loss of properties and livelihood due to devastating typhoons and displacement of families caused by armed conflict. To cope with socio-economic shocks, poor families usually forgo expenses for  education and health in favor of food and basic commodities. This coping strategy has deprived poor children of sufficient education and health care. In the long-run, this situation not only places the future of poor children at peril, it also erodes overall development of human capital in the country. Improvements Needed in Government  Response

The government has already been implementing measures to curb poverty. Pro-poor programs such as the Food for School, which provides daily rice ration as incentive for poor families to continue sending their children to school; and the Kapit-Bisig Laban sa Kahirapan (Linking Arms to Fight Poverty) - Comprehensive and Integrated  Delivery of Social Services (KALAHI-CIDSS), which uses the community-driven development approach to facilitate delivery of social services through construction of roads, water sanitation projects and others, are only some examples of  government interventions in place. But while such poverty alleviation projects are in full swing, several implementation-related concerns require government’s immediate attention: •

Low overall spending for the social sector. Latest data shows that overall government spending for the social sector  is only 4.9% of GDP, GDP, which is way below the proportion spent by other countries

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48 in the Southeast Asian region. In fact, the budget of DSWD, which is government’s arm for social services, is only 0.34% of  the national budget and .06% of the GDP in 2006.9 •

•

•

Fragmented and uncoordinated social protection initiatives. Although several government agencies have embarked on projects aimed at protecting the poorest families from economic shocks and social risks, these programs are not wellcoordinated, causing overlaps in implementation. Challenges in decentralizing service delivery. As a result of the Local Government Code of 1991, there is an urgent need to capacitate LGUs in handling their new responsibilities. This is to ensure appropriate implementation and sustainability of social services devolved to LGUs. Lack of a unified, legitimate targeting A negative effect of  system. government’s uncoordinated social protection programs is the crafting of  various targeting mechanisms that have different criteria and methodologies to identify the poor. This is why program leakage rates to the non-poor tend to be high. The Food for School Program , for  example, registered a 62% leakage rate.10

These are just some issues hindering efficient implementation of government’s pro-poor  programs. And these are issues, which the Conditional Cash Transfer Program (CCT), a component of the DSWD’s National Sector  Support for the Social Welfare and Development Reform Project (NSS-SWDRP), aims to address. Statement of the Problem

Implementing the CCT program will help address the gaps noted in government’s anti-poverty programs. SOCIAL  WELFARE

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Objectives

The objectives of this paper are to (1) give an overview of the Pantawid Pamilyang Pilipino Program (4Ps) conditional cash transfer – its conditionalities and institutional arrangements; and (2) describe benefits that can be gained from implementing a CCT program in the Philippine context by citing examples of achievements from other countries. Methodology 

Aside from the DSWD’s 4Ps project documents, various studies on poverty and the documentation of CCT’s implementation in Latin American countries like Colombia, Brazil, and Mexico, were used as main references. Scope and Limitation

This paper provides an overview of the 4Ps, specifically its health and education conditionalities and institutional arrangements. The contribution of the 4Ps in addressing current gaps in government’s anti-poverty programs (i.e., low spending for the social sector, high leakage rates, and uncoordinated social protection programs) progra ms) are also highlighted. Since the Program is still in its germinal stage, this paper doesn’t discuss in-depth the project’s sub-components, such as the household targeting system which is crucial in selecting the 4Ps beneficiaries, and the monitoring and evaluation (M&E) system that will assess project impact. Separate researches on these components may be done midway through the Program. However, this paper highlights the gains already achieved this early in Program implementation. I. The Ration Rationale ale for a Cond Conditi itiona onall Cash Cash Transfer Program

The urgency of implementing a CCT program in the Philippines stems from observed disparities in geographic and sectoral distribution of economic gains, as well as the country’s slow progress towards achieving its human development targets, as stipulated in the MDGs. This is a problem that has been encountered in other developing Volume No. 2 Issue No. 2

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countries as well. It showed that inadequacy in government budget per se is not the deterrent to progress. Perhaps even more than emaciated government coffers, it is the inability to invest in human development, especially of the poor and vulnerable, that hinders long-term economic growth. This is the rationale behind the CCT. What is the CCT? 

The CCT, by definition, is an anti-poverty strategy that gives cash grants to poorest families in exchange of their commitment to invest in human development, specifically in education and health. In the process, government capacitates the poorest families to spend for education and health— crucial aspects of human development that are least prioritized by the poor in times of socio-economic crisis. It should be noted that this anti-poverty strategy has already been applied in Latin American countries, such as Brazil, Colombia, and Mexico. 12 To appreciate gains that can be achieved through the CCT, it is best to look at its impact in Latin American countries. According to Laura B. Rawlings (2005), the CCTs in Latin America have increased enrollment rates, improved preventive health care and raised household consumption. Other studies conducted reflected that CCTs were successful in redistributing income to the poor. Gains in education and health are particularly notable. In Nicaragua, for  example, average primary school enrollment rate increased by 22 percentage points from a low baseline of 68.5%. Enrollment rates for  secondary education in Colombia have also increased from 64% to 77%. In Mexico, keeping children in school has significantly decreased the probability of child labor by 10-14%. The same has been experienced by Bahia, Brazil, which noted a reduction of nearly 26 percentage points in the incidence of child labor.13 As regards health and nutrition, Mexico registered significant increase in nutrition monitoring of infants from 30% to 60%. Colombia increased the proportion of children SOCIAL  WELFARE

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49 under six years of age enrolled in growth monitoring by as much as 37 percentage points. In Nicaragua, more than 90% of children in its beneficiary provinces have participated in nutrition monitoring compared with only 67% in control areas. Timely immunization rates for  children 12-23 months of age also increased by 18 percentage points. Prioritizing health in poor  households has also increased consumption levels in Mexico by as much as 14%, and caloric intake by as much as 7%. It is believed that this increase in caloric intake was driven by higher  expenditures on fruits and vegetables.14 Such gains attributed to the implementation of  CCT in Latin America reflect that CCT significantly improves human development of the poor. It is also notable that the main beneficiaries of these investments are children from poorest families. By keeping children in school, increasing their caloric intake, and providing immunization against disabling sicknesses, the CCT addresses the intergenerational nature of  poverty itself. It gives poor children the necessary tools to improve their (and their  families) status in life. Why is DSWD implementing the CCT? 

The DSWD is government’s arm for providing social services to the poor and vulnerabl e. Aside from services in its centers and institutions, the DSWD is also tasked to create and promote policies that will protect the poorest and most vulnerable sectors of society from socioeconomic shocks they face day in and day out. Thus, embarking on innovative poverty alleviation programs such as the CCT is in keeping with the agency’s mandate. Following the devolution of its services to LGUs in 1991, the DSWD has also shifted its focus from provision of social welfare (rowing) to strengthening its capacity as leade r of the social protection sector, specifically in the areas of  social welfare and social safety nets (steering). This is why the DSWD embarked on the National Sector Support for the Social Welfare and Development Reform Project (NSS-SWDRP). Volume No. 2 Issue No. 2

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50 The NSS-SWDRP is similar to the Basic Education Sector Reform Agenda (BESRA) and the Health Sector Reform Agenda (FOURmula One) already undertaken by the DepEd and DOH respectively. The overarching goal of  DSWD’s reform agenda is to improve its capacity to lead in the social development sector. As a leader, DSWD supports innovations that will improve its service delivery to the poor. Cognizant of the gaps in achieving the MDGs, the DSWD is adopting the CCT as a laboratory for the Reform Agenda that it wants to implement. It is regarded as a key building block that will actualize DSWD’s aim to establish itself  as a leader in the social development sector  through establishing strategic and resultsoriented policies (Reform Area 1) ; providing faster and better social protection programs through improved models and programs, governance standards and regulations (Reform  Area 2) ; introducing Financial Reforms to sustain the reform process (Reform Area 3) ; and improving delivery systems and capacities (Reform Area 4) . Since education and health improvements are crucial to overall social development, the DSWD designed the CCT to complement the BESRA and FOURmula One reforms. In fact, the DepEd and DoH, along with the NAPC, Department of  Interior and Local Government (DILG) and the National Economic and Development Authority Authority (NEDA) formed the 4Ps National Advisory Committee (NAC). This committee was consulted in finalizing the 4Ps structure, objectives and conditionalities. Furthe r, the NAC commits to closely coordinate and cooperate with DSWD in ensuring timely delivery and quality of services, which are essential for  program impact. II. Overv Overvie iew w of of the th e Pantawid Pamilyang  Pilipino Program (4Ps) CCT Implementation

The 4Ps conditionalities and institutional arrangements were crafted to help address gaps in government’s poverty alleviation response. SOCIAL  WELFARE

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Selection of Beneficiaries

One of the problems encountered in implementing pro-poor programs was the difficulty in targeting those who are truly poor  and lowering the leakage rate of program benefits to the non-poor. The Proxy Means Test (PMT) Household Targeting System, the same model proven successful in targeting the poor and reducing exclusion error in Latin American countries, was adopted by the 4Ps to address this concern. First, the provinces were ranked based on the Family Income and Expenditure Survey (FIES 2006). Afterwards, the 20 poorest provinces per region were selected. To ensure nationwide implementation of the program, the poorest provinces in regions which are not included in the 20 poorest were also considered for the 4Ps. Within these provinces, the poorest municipalities were then identified using the Small Area Estimates (SAE) of the NSCB. Finally, the PMT formula was used to identify how many poor  household beneficiaries will be selected per  area. 15 In 2007, the DSWD piloted the 4Ps in NCR (Pasay City and Caloocan City) and Mindanao (Agusan del Sur and Misamis Occidental) to assess the feasibility of its PMT and program structure in rural and urban settings. Positive results of its pilot phase, as well as strong government support, compelled the DSWD to scale up its program from a pilot of 6,000 households to as many as 321,000 households nationwide in 2008. Aside from reducing leakage rates, the PMT is also regarded as key to establishing a data repository of the poor. In the long run, this targeting system can be shared by DSWD with other government agencies and LGUs to decrease exclusion error and leakage rate of poverty alleviation programs.

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The 4Ps Program Conditionalities

The goal of the 4Ps is to promote human capital among poor families, especially children, to break the intergenerational cycle of poverty. Its objectives are as follows: 16

51 •

•

(i) (i) To improv improve e preven preventiv tive e healthc healthcare are of  of  pregnant women and young children; (ii) (ii) To increase increase enrollment/ enrollment/attend attendance ance of  children at the elementary level; (iii) To reduce incidenc incidence e of child labor; labor; (iv) (iv) To raise consumption of poor  households on nutrient dense foods; •

(v) To encourage encourage parents parents to to invest invest in their  their  children’s (and their own) future; and (vi) To encourage parents’ parents’ participati participation on in the growth and development of young children, as well as involvement in the community. To achieve these objectives, the following conditionalities on health and education were identified:+ •

Health Transfer Conditionalities

Poor households with children under 5 years of  age and/or pregnant women are eligible to receive health transfers worth PhP500 per  month (for a period of 12 months/year) regardless of the number of children, provided that the household adheres to the following conditionalities:18 •

•

all children under age 5 are fully immunized under the established health protocols and get regular preventive health check-ups; children aged 5 years must attend day care program/pre-school;

pregnant mothers must get prenatal care starting from the 1 st trimester, and post natal care thereafter; they must attend counseling sessions on reproductive health, breastfeeding and family planning. For the first year of the program, all pregnant women must have mother-baby books with fully filled-up birth plans prepared with the health team. The same conditionality will apply for the second to fifth year as in the first year, with the added requirement of delivery in a health facility attended by a skilled health professional. Education Transfer 

Eligibility for the education grant is open to poor  households living in selected areas with children from ages 6 to 14. The education transfer is currently at PhP300 per month for a period of  10 months annually, annually, and can only be given to a maximum of three children per household. Beneficiary households will receive the education transfer for as long as its school-age children are enrolled in school, and maintain a class attendance rate of 85 %. Poor households with children meeting both health and education conditionalities will receive both transfers in one payment, provided that conditions are met. Household s will receive each transfer for up to five years (2008-2013) if  they comply with the said conditionalities. Monitoring and Evaluation (M&E)

An efficient M&E system is crucial in assessing program impact and identifying areas for  improvement. The NAC, specifically the DepEd and DoH will work with DSWD to ensure proper  monitoring of beneficiary compliance with conditionalities. For example, the School Head takes full accountability for the accuracy of data on pupil attendance and performance. The

+ This section borrows heavily from the 4Ps Operations Manual (as of February 2008) and the World Bank’s PAD (2008) for the NSSSWDRP.

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52 Health Center Office, on the other hand, reports on the compliance of beneficiaries to health conditionalities.

war-torn Mindanao, as well as pockets of poverty in urban areas. •

Institutional Arrangements

Aside from the NAC, a Project Implementation Office (PIO) was also established to manage the 4Ps. The main functions of the PIO include “ensuring implementation of activities according to what is stated in the operational manual of the CCT program and according to the annual project implementation plans; ensuring that technical specifications and terms of reference for  procurement of works, goods and services are prepared by respective divisions in time and adhering to technical standards; announcing bids and organizing their valuation; and planning project implementation schedules, review plans and issue reports.” 19

•

Other prospects for institutional linkages include the tie-up of 4Ps with poverty alleviation programs such as the KALAHI-CIDSS 2 (KC-2), which is slated for implementation in 2010. The KC-2 and 4Ps tie-up is envisioned to help LGUs facilitate the creation of schools, health centers, water sanitation projects, and roads which are critical inputs for the 4Ps supply side. IV. IV. Summary Summary and and Conclus Conclusions ions

The project description of the 4Ps reflects how it can respond to gaps noted in current poverty alleviation programs. •

Improves spending for the social sector. The 4Ps improves government’s spending for human capital by directing investment towards education and health care of the poor. To To this end, the Program has prepared an initial amount of about PhP2B to support 321,000 household beneficiaries within the year. By channeling investments to the poorest areas of the country, it is hoped that the 4Ps will lead to a more equitable distribution of economic gains across regions, particularly in rural areas of 

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•

Enhances coordination of social protection initiatives. Through its institutional arrangements, the 4Ps will enhance linkages of national reform initiatives such as the DSWD’s NSSSWDRP Reform Agenda with the DepEd’s BESRA and the DoH’s FOURmula One. The support of NAC will also provide an opportunity for its member agencies to work with DSWD towards alleviating poverty and coordinate their social protection programs. Facilitates decentralization of social service delivery. Relative to their  signed MOA for the 4Ps, the LGUs have committed to provide for the Program’s supply side. This includes the construction of school buildings and health centers, as well as the provision of textbooks to students. In this process, the 4Ps encourages LGUs to direct spending for human development and improve their delivery of social services to the poor. Implements an efficient poverty targeting system. The 4Ps PMT is regarded as vital in improving poverty targeting and reducing leakage rates to the non-poor. In the long-term, it can also provide the basis for creating a standardized national targeting system for the poor. This will reduce leakage and exclusion rates of  poverty programs, not just of DSWD, but of other government agencies as well.

The internal and external shocks faced by the Filipinos today toda y, especially the poor, indicate that innovative programs to fight poverty are needed now more than ever. The prospective gains from implementing the 4Ps already show its promise for enhancing long-term human development. However, as with any poverty alleviation program, the 4Ps needs the support of the public Volume No. 2 Issue No. 2

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it serves. It also requires vigilant implementation of program processes and convergent responses from the NAC and LGUs. Anthropologists say that the Filipino has close cultural and socio-economic affinity with Latin American countries . As such, poverty alleviation programs that are effective effective in Latin America have

53 high probability of working in Philippine conditions. If this is so, then there is reason to hope that the 4Ps can do for the Philippines what the CCTs CCTs have successful ly done for the poo r in Nicaragua, Colombia, and Mexico: sustain improvements in overall education and health, and provide the poorest with reason to hope for  a brighter future.

REFERENCES

1

2

4

5

6

7

8

Michael Todaro, Economic Development, 9 th Edition, NY City: Addison Wesley, 2006, page 20 Michael Todaro, Economic Development, 9 th Edition DSWD, Presentation of Sec. Esperanza Cabral to the Philippines Development Forum (PDF), 26 March 2008

10

Data cited in World Bank’s Study, Study, 2008

11

Manasan and Cuenca in SWD Journal Journa l Volume No. 2 Issue No. 1

12

World Bank, CCT Power Point Presentations, Compiled on 21 April 2008

13

Laura B. Rawlings, A New Approach to Social    Assistance: Latin America’s Experience with CCT Programmes, International Social Security Review, Vol. Vol. 58, 2/3/2005, 2/3/2005 , page 133-151

14

Laura B. Rawlings, A New Approach to Social   Assistance, page 151

15

DSWD, Administrative Order No. 16, S. 2008: Guidelines on the Implementation of the 4Ps, 16 July 2008 Taken from the World Bank PAD 2008

NSO 2003 data cited in the World Bank PAD Report, 2008 DSWD, Presentation of Sec. Esperanza Cabral to the PDF, 26 March 2008 DepEd-TEEP Data 2005, cited in Sec. Esperanza Cabral’s PDF presentation, 26 March 2008 NDHS 2003 data cited in the World Bank Report 2008

16

18

19 9

President Gloria Macapagal-Arroyo’s 8 SONA July 2008 full text < http://www.sunstar.com.ph/ blogs/citizenwatch/?p=1217 >

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World Bank’s PAD 2008 The 4Ps Operations Manual, as of February 2008

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54 Administrative Order No. 15 Series of 2008

SUBJ SUBJEC ECT T :

I.

GUIDEL GUID ELIN INES ES FO FOR R THE THE IMPL IMPLEM EMEN ENT TATION TION OF THE CASH-FOR-WORK PROJECT

RATIONALE

In the Philippines, occurrences of major disasters usually create an atmosphere of chaos and crisis which demands prolonged conduct of relief  operations together with rehabilitation efforts to support the affected families and communities.

Program on Community Disaster Preparedness”, mandates the Department to extend emergency relief assistance and social services to the victims which will immediately restore them to rehabilitation and a life of normalcy.

The Local Government Units (LGUs) thru Republic Act No. 7160 otherwise known as the Local Government Code of 1991, are mandated to undertake the functions of providing immediate basic relief assistance assistan ce to the affected families such as food, clothing, temporary shelter, emotional support as well as their rehabilitation needs.

To discourage continuous dependency and dole out, the interventions and services of the Department for disaster victims must be carried in a developmental manner in order to preserve human worth and dignity. dignity. This can be done by directly involving them in community endeavors and maximizing their contributions to rehabilitation efforts. Thus, the Department recognized the necessity to adopt the Cash for Work (CFW) project not only as alternative or subsequent strategy to Food for Work but as a developmental de velopmental approach to welfare. The CFW gives flexibility to recipients of relief assistance to decide where to spend the cash assistance, beyond food, to meet their daily basic needs. need s. Moreover, it helps in pumppriming the economy in disaster affected areas.

Despite the devolution of disaster relief services, however, disaster management remains to be a major concern of the national government agencies like the DSWD as some of the LGUs especially those in the 5th to 6th class municipalities municipalities have limited local calamity funds and are dependent on the support of higher levels of  government. Further, other localities considered as disaster prone areas, may have exhausted all their resources due to continuous calamity and prolonged disaster operations. The Department, as a member of the National Disaster Coordinating Council (NDCC), leads in the provision of emergency response and relief  assistance and support to rehabilitation services to the affected affected families. Section 5.g of PD 1566, entitled as “Strengthening the Philippine Disaster  Control, Capability and Establishing the National SOCIAL  WELFARE

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II. II. PROJ PROJEC ECT T DES DESCR CRIP IPTI TION ON

Cash-for-Work is a short-term intervention to provide temporary employment to distressed/ displaced individuals by participating in or  undertaking preparedness, mitigation, relief, rehabilitation or risk reduction projects and activities in their communities or in evacuation centers. Work areas/programs are identified by the community under the leadership of local leaders. In exchange for for the work rendered, Volume No. 2 Issue No. 2

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program recipients are provided with cash to meet their requirement for food and other basic necessities. Cash-for-Work may be undertaken before, during or after the occurrence of any disaster whether natural or man-made. Implementation of the Cash-for-Work shall be managed by the LGUs’ social welfare and development offices in coordination with the DSWD field offices. Rate of Assistance

The daily rate of Cash-For-Work (CFW) shall generally be seventy five percent (75%) of the prevailing daily wage rate set by the National Wages and Productivity Commission (See Annex A). The CFW shall on the average be not more than (ten) 10 days. However, if in the assessment of the local social welfare and development office there is a need to extend such for valid and  justifiable reasons, this can be extended by the DSWD Field Office. Office. The extension, however  should not be more than three (3) months. The reasons behind this rate of assistance are to minimize market distortion, target the most economically disadvantaged individuals, ensure that the cash-for-work projects will not entice people away from their regular livelihood activities, and capture wage variations in the area. The DSWD shall use the minimum wage rate set by the Department of Labor and Employment in every locality, which may change from time to time, as reference in computing the actual rate of assistance. III. III. OB OBJE JECT CTIV IVES ES

1. To encourage encourage communi community ty partici participat pation ion in implementing a community-defined project related to disaster preparedness, mitigation, response, reconstruction and rehabilitation, including hunger mitigation and food security projects. 2. To generate generate temporary temporary employm employment ent and provide income augmentation to affected families or individuals and keep them from migrating or abandoning their communities in search of new sources of income. SOCIAL  WELFARE

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3. To help the the affected affected famil families ies and local local government units in restoring damaged shelters, infrastructure and community projects as a result of disaster within their  locality. IV. IV. TARGET TARGET AREAS/ AREAS/BEN BENEFIC EFICIAR IARIES IES

The Cash-for-Work Project shall be available nationwide whenever possible and feasible and shall be provided to the following types of clients: 1) individuals/families who are willing to participate in a livelihood and productivity support projects, developmental and collective community or group undertaking related to disaster mitigation, risk reduction and/or  rehabilitation and 2) individuals/ families who are vulnerable at risks or victims of any form of  disasters and 3) are able and capable to undertake the projects. The beneficiaries should be at least 18 years old. However, parental consent shall be sought if beneficiaries are of  minor age i.e. between 15 to 17 years and have been assessed to be capable of work. In case the participating individual is attending school, it must be ensured that the activity does not affect his/her school attendance. V. TYPES TYPES OF PROJ PROJECT ECTS S AND AND ACTIVI ACTIVITIE TIES S

The projects and activities that are covered under  the Cash-for Cash-for Work program are as follows: follows: 1) livelihood and productivity support projects such as construction or repair of small infrastructure facilities supportive to start-up or  operationalize operational ize the SEA-K, Tindahan Natin or other  modalities of livelihood and income generating projects; 2) reconstruction and rehabilitation projects and activities such as shelter repair or  construction of new shelter units and social services infrastructure such as health stations, day care centers and schools; 3) disaster  preparedness, mitigation activities and environment related projects such as river  dredging and embankment, digging and dredging of canals and drainage, tree planting or  reforestation projects; 4) hunger mitigation and food security projects such as communal farm preparation and planting, repair or construction of  post harvest facilities and farm to market roads. Volume No. 2 Issue No. 2

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56 VI. VI. CO COMP MPON ONEN ENT T 1. Assessmen Assessmentt and and Identi Identifica fication ti on Proposed Projects/Activities Projects/Activities

of 

The P/C/MSWDO shall conduct an assessment of the potential beneficiaries with technical assistance from the DSWD-Field Office and in consultation with the LGU to establish the viability and appropriateness of CFW. Areas for assessment shall include the following: a) capability of the beneficiaries to provide their counterparts (e.g. time and labor); b) socioeconomic benefits to be derived from the project/activity; c) environmental consideration; d) acceptability of the project/activity by the community; and e) length and cost of  implementation. 2. Prepa Preparat ration ion of Proje Project ct Propo Proposal sal

After doing the assessment and project identification, the P/C/MSWDO shall prepare a project proposal providing the rationale and details of the project/activity project/activity.. Such proposal will contain the project description, objectives, implementation mechanics, work program, budgetary requirements, and the LGU commitments and responsibilities which may include, but not limited to, human, physical infrastructure and financial resources. 3. Provision Provision of Financial Financial Assistanc Assistance/Pro e/Project ject Funding

For the project proposal to be funded, the LGU through the P/C/MSWDO shall submit this to the DSWD-Field Office for review and subsequent approval. Proposals costing not more than One Million (P1M) Pesos shall be approved by the DSWD Field Office. The Field Office shall immediately provide PMB copy of the approved proposals. Proposals for more than One Million shall be forwarded to the Program Management Bureau (PMB) for further further review, review, evaluation and subsequent endorsement to the Office of the Undersecretary for Operations and Capacity Building (OCBG) for approval. Upon approval, funding for the Cash-For-Work shall be suballotted to the Field Office for release to the concerned LGUs. SOCIAL  WELFARE

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Certification as to availability/unavailability of LGU counterpart shall be attached to the project proposal and should be signed by the local chief  executive. The certification shall shall indicate whether  or not the LGU could allot counterpart resources, which may be in cash or in the form of equipment, construction materials, lot or sites, etc. 4. Implement Implementatio ation n of CFW Project/A Project/Activi ctivity ty

The LGU shall implement the approved CFW project/activity immediately after receipt of the fund from the DSWD-Field Office. Each CFW participant shall be issued a Cash-for-Work voucher (Annex B) that will reflect his/her length of involvement in particular projects. During the implementation stage, the LGU thru the P/C/ MSWDO shall maintain a logbook to record the daily attendance of the beneficiaries who have reported for work. work. Each beneficiary shall enter  in the logbook the actual time they arrive and leave at the work site and sign the logbook. The P/C/MSWDO shall act as the disbursing officer and the sole authority to draw a cash advance for CFW. CFW. He/She shall prepare a daily cash assistance payroll to provide payment to the CFW beneficiaries for the work they rendered. The CFW CFW voucher voucher and attendance attendance logbook shall be the basis of the P/C/MSWDO in preparing the cash assistance payroll. Copy of the CFW voucher and cash assistance payroll shall serve as supporting documents to liquidation reports. reports. Likewise, the LGU should keep a copy of these records and ensure that it would be available during the monitoring visit either by the DSWD Field Office or Central Office staff. When the project/activity is done or completed, the P/C/MSWDO shall prepare a completion report with highlight on both cash disbursement and work completed with pictures of completed project and shall be noted by the Local Chief  Executive. The emphasis of this this report shall be the result of the project/activity in relation to what has been stipulated in the approved project Volume No. 2 Issue No. 2

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proposal. Copy of this report report shall be submitted submitted to the DSWD Field Office for review and appropriate action. The Field Office Office shall furnish a copy of the report to the Central Office thru the Operations and Capacity Building Group (OCBG). 5. Monito Monitorin ring g and and Evalu Evaluati ation on

There shall be three levels of monitoring for the Cash-for Work: 1) the LGU Level, 2) the DSWD Field Office Level, and 3) the DSWD Central Office Level. Monitoring by the LGU shall be conducted on a daily basis until the project is completed. LGU monitoring shall be conducted primarily by the P/C/MSWDO in coordination with appropriate offices such as the public works, engineering, general services etc. and shall cover the following: a. P ro r o gr g r am a m o f W or or k – tracking the progress of the project or activity based on the approved program of work. b. Proj Projec ect/ t/Ac Acti tivi vity ty - verifying whether the actual project or activity being undertaken including its location site is exactly consistent with the approved project proposal. c. B en e n ef e f ic i c ia i a ri r i es e s - determining if the beneficiaries involved in the actual project or activity are the intended recipients of the Cash-for-Work and if number is in accordance with the proposed manpower or labor  requirement.

In the case of the Field Office, on-site monitoring of the implementation of the Cash-for-Work shall be conducted on a periodic basis using random sampling. Validation of the progress report submitted by the LGU shall be the primary purpose of the FO monitoring e.g. like checking if wage payments were made on time, if  participants received the amount of money, etc. The Central Office shall be provided with the results of the FO on-site monitoring. SOCIAL  WELFARE

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The monitoring visit of the DSWD Central Office shall take place at least once during the project life or when necessary to provide technical assistance to the Field Office or LGU when there is a compelling need to do so. Evaluation of the Cash-for-Work shall be undertaken by the Field Office after the completion of the project/activity. Copy of the evaluation report must be submitted to the Central Office and the LGU. The major intention of the evaluation is to establish the effectiveness, efficiency and when possible, the impact impact of the Cash-for-Work. Cash-for-Work. Part of gauging the effectiveness of the CFW shall be determining if the stated objectives are met and whether the process of beneficiary selection and participation are effective and benefited the most qualified and vulnerable segments of the population. In terms of efficiency efficiency,, aside from evaluating the project cost and the project operation, it would also be necessary to determine if payments to beneficiaries were made on time. In evaluating the impact of CFW, the following information must be highlighted: a) how the cash-for-work influenced and benefited the participating individuals/families and community; b) how the cash assistance was used and what changes took place in the coping strategies and behavior of the individuals/families; and c) how the community accepted and benefited from the project. This Order shall take effect immediately and revokes issuances inconsistent with it.

(Sgd) ESPERANZA I. CABRAL, M.D. Secretary

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Guidelines for Contributors Original Communications

Conflicts of Interest

The Social Welfare and Development (SWD) Journal accepts original and preferably unpublished articles on SWD-related programs, such as an assessment of DSWD’s community and center-based programs, DSWD Projects, and other SWD-related initiatives from NGOs and other  development agencies/workers. The copyright of  published articles shall be owned by the Journal.

Submitted manuscripts should contain the author’s full disclosure of all potential conflicts of interest. Conflicts of interest arise when an author and/or  the institutions he/she is affiliated with have financial or personal relationships that may inappropriately influence the author’s opinions. These relationships are also known as dual commitments, competing interests, or competing loyalties. As such, financial relationships such as employment, consultancies and the like should be disclosed.

The SWD Journal Editorial Board composed of  the Editor-in-Chief, Associate Editors, Managing Editor, and Assistant Managing Editor will review all submitted articles based on clarity of language and validity of supporting evidence. The articles shall also be subjected to peer review. The SWD Journal Editorial Board reserves the right to reject articles, as well as the right to edit articles to conform to editorial policy. Manuscripts

Clear manuscripts, tables and illustrations must be encoded in Times New Roman font size 12 double-spaced on A4-sized bond paper with one (1) inch margin on all sides. Articles should be a maximum of 50 pages long including tables, charts, annexes, and title page. The title page should contain the manuscript’s complete title as well as the author’s full name, degrees obtained, organization, academic affiliations, address and contact numbers. Page numbering should begin with the title page, followed by the disclosure of conflicts of interest as page 2, abstract as page 3, etc. Abbreviations must be spelled-out or defined at first appearance in the text, tables, figures, figu res, or summary. American spelling, as indicated in the Webster’s International Dictionary, is preferred. Mathematical equations/ formula, if any, should be written in a single line. For example: a+b=c; dy/dx=B; [(a-b) (c+d)] / (m+n) = r  Manuscripts must be printed on one side of the page only and submitted in triplicate along with a soft copy (diskette or CD-RW). SOCIAL  WELFARE

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Authors should also state explicitly whether  potential conflicts do or do not exist and provide pertinent details in a separate page following the title page. Journal editors reserve the right to publish this information if deemed necessary. Summary (Abstract)

Abstracts with a maximum of 500 words should accompany all submitted articles. They should contain the salient points of the paper and follow the format prescribed for manuscripts. References

The Modern Language Association (MLA) Style should be used for text format and reference notes. 1. Book and journ journal al title titles s should should be italic italicized ized (i.e. (i.e. People’s Journal). Title of journal articles, working papers, and other reference documents, however, should not be italicized nor set in quotation marks but written in all caps (i.e. AN ANALYSIS OF DSWD PROGRAMS AND PROJECTS). 2. Referen Reference ce notes notes or or refer referenc ences es are indicat indicated ed in superscript after the quotation, paraphrased sentence, or summarized material from books,  journals and other sources. References should be numbered consecutively. conse cutively. There should be no space between the punctuation and the references. Only Arabic Numbers (1, 2, 3...) should be used and not Roman Numeral Numbers (I, II, III...). Volume No. 2 Issue No. 2

Guidelines for Contributors 

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3. Indica Indicate te refe referenc rences es at at the the end of the the arti article cle using the following formats:

For example: 1

Madame Curie: A Biography (New York: Oxford University Press, 1995), 12.

Books n

Name of Author/s, Title of the Book (City of  Publication: Name of Publishing Company, Date of Publication), Page Number/s.

* n = the number of the reference note (i.e., 1, 2, 3...)

Reference Books n

“Name of Article,” Name of Encyclopedia, Year  of Publication ed. For example:

For example:

3

1

Government Documents

Martin V. Kingsley and Christine N. Brown, Madame Curie: A Biography (New York: Oxford University Press, 1995), 12.

For books with three or more authors, use “et al.” For example:

“Philippines,” Encyclopedia Britannica, 2007 ed.

n

Name of Country, Name of Government Office, Title of the Article (Place of Publication: P ublication: Publisher, Year of Publication), Page Number/s.

For example: 1

Martin V. Kingsley, Kingsley, et al., Madame Curie: A Biography (New York: Oxford University Press, 1995), 12.

6

Philippines, Department of Social Welfare and Development, Annual Report 2006 (Philippines: DSWD, 2006), 10-15.

Books edited or compiled should be cited, as follows:

References Authored by Companies/

n

Organizations

Name of Author/s, “Title of Article,” in Title of  the Book, ed. Name of Editor (City of  Publication: Name of Publishing Company, Date of Publication), Page Number/s.

For example:

n

Name of Organization, Title of the Article (Place of Publication: Publisher, Year of Publication), Page Number/s. For example:

1

Martin V. Kingsley, “Madame Curie: A Biography” in Biographies of Women Scientists, ed. Harris C. Johnston (New York: York: Oxford University Press, 1995), 12.

Books with no author or editor stated should be cited as follows: n

Title of the Book (City of Publication: Name of Publishing Company, Date of Publication), Page Number/s.

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7

Philippine Development Organization, Development Report 2006 (Philippines: PDO, 2006), 15-20.

Journals n

Name of author, “Title of the Article,” Title of the Journal, Magazine or Newspaper Newspape r Volume Number, Issue Number (Date): Page/s.

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Guidelines for Contributors 

For example:

Tables

8

Tables should have a brief informative title and a Roman number separately from the figures. Each Eac h table should be encoded on a separate sheet of paper. Likewise, tables with content that can be fully incorporated in the text should be removed to minimize the number of tables.

Wilbur M. Mason, “Rice Farming in the Philippines,” The Agriculture Review vol. 6, issue no. 2 (June 2007): 25. Online sources

nName of author, “Title of the Article,” Cite Link (last accessed: date) For example: 9

Hanna G. Folger, “What is Color Therapy?” http://www.colortherapy.com/ hannah_g_folger.htm hannah_g_folger.htm (last accessed: accessed: June 20, 2007) If sources will be used repeatedly, re peatedly, the shortened form for citations may be used, as follows: n

Last name of author, “First Words of Article Title,” Page Number.

Brief Reviews

In addition to original research, the SWD Journal will also publish brief reviews that summarize and analyze SWD-related articles or major papers. Reprints

Each principal author will be furnished with two (2) copies of the Journal free of charge. Additional reprints will be furnished at cost when ordered in advance of publication with senior author’s permission.

For example: 10

Kingsley and Brown, “Madame Curie,” 62.

Illustrations

Clear original drawings/pictures may also be submitted along with the manuscript. Drawings/ pictures should be properly identified at the back or on a separate sheet, properly numbered, with the name of artist/s, a short caption, as well as the title of the manuscript where the drawing/ picture will be used. Clear and sharp photographic prints should be submitted in sizes that complement the width of the journal (8 ý inches). Drawings and photographs may also be scanned, saved in jpeg format, and included as a separate file attachment in the CD-RW or  diskette containing the manuscript/s to be submitted.

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The SOCIAL WELFARE AND DEVELOPMENT JOURNAL is the official journal of the Department of Social Welfare and Development. It is published four times a year (quarterly). All communications, including submission of  articles, as well as those concerning editorial matters, subscriptions and change of address should be forwarded to: The Editor-in-Chief  Social Welfare and Development Journal Office of the Undersecretary for Policy and Programs, 3rd Floor, DSWD Central Office, IBP Road, Batasan Pambansa Complex, Constitution Hills, QC 1117 1117 email: [email protected] . Authors will be notified by mail or email if their  manuscripts have been accepted.

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