Social Protection: Topic Guide On

TOPIC GUIDE ON
SOCIAL PROTECTION
Zo Scott
Topic Guide on
Social Protection
Zo Scott
About this guide

This GSDRC resource guide provides a reference for policymakers and practitioners involved in social protection. It
introduces some of the best literature on the understandings and types of social protection, the design and
implementation problems to be considered, the potential for mainstreaming other development concerns into social
protection programming, and the major debates both the donor and academic arenas. New publications and emerging
issues will be incorporated on a quarterly basis.
This topic guide was prepared by Zo Scott. The GSDRC appreciates the contributions of Stephen Devereux, IDS; Stephen
Kidd, IDS; Rachel Slater, ODI; Catherine Arnold, DFID; and Tim Conway, DFID. Comments, questions or documents for
consideration should be sent to [email protected].
About the GSDRC

The Governance and Social Development Resource Centre (GSDRC) provides cutting-edge knowledge services on demand
and online. It aims to help reduce poverty by informing policy and practice in relation to governance, conflict and social
development. The GSDRC receives core funding from the UK Department for International Development (DFID) and from
the Australian Agency for International Development (AusAID).
www.gsdrc.org
Governance and Social Development Resource Centre (GSDRC)

International Development Department, College of Social Sciences
University of Birmingham, UK
This updated edition published February 2012
University of Birmingham 2012
Contents
Understanding social protection .............................................................................................................................................. 5
Conceptualising social protection .......................................................................................................................................... 5
Current global issues.............................................................................................................................................................. 6
The politics of social protection ......................................................................................................................................... 6
The global financial crisis ................................................................................................................................................... 7
Climate Change .................................................................................................................................................................. 8
Fragile states ...................................................................................................................................................................... 8
Regional perspectives on social protection ........................................................................................................................... 9
Social protection and poverty .............................................................................................................................................. 10
Social protection and economic growth .............................................................................................................................. 10
Additional information..................................................................................................................................................... 11
Types of social protection ....................................................................................................................................................... 12

Social assistance .................................................................................................................................................................. 12
Cash transfers .................................................................................................................................................................. 12
Programme examples and lessons learned ................................................................................................................. 13
Cash transfers in emergencies ..................................................................................................................................... 14
Social Pensions ............................................................................................................................................................. 14
Public works programmes ............................................................................................................................................... 15
In-kind transfers ............................................................................................................................................................... 15
Food ............................................................................................................................................................................. 15
Utility subsidies ............................................................................................................................................................ 16
Health fee waivers ....................................................................................................................................................... 16
Social insurance ................................................................................................................................................................... 17
Labour market interventions ............................................................................................................................................... 17
Labour market interventions for informal workers ......................................................................................................... 18
Community-based social protection .................................................................................................................................... 18
Design and implementation ................................................................................................................................................... 20

Practical guidance ................................................................................................................................................................ 20
Lessons learned ............................................................................................................................................................... 20
Financing and affordability .................................................................................................................................................. 20
Managing fiduciary risk .................................................................................................................................................... 21
Targeting .............................................................................................................................................................................. 21
Delivery ................................................................................................................................................................................ 22
Donor coordination.............................................................................................................................................................. 23
Mainstreaming social protection ......................................................................................................................................... 23
A response to social exclusion ......................................................................................................................................... 23
Gender ............................................................................................................................................................................. 23
Children............................................................................................................................................................................ 24
GSDRC, 2012, Topic Guide on Social Protection
Agriculture ....................................................................................................................................................................... 25
Evaluating social protection programmes ........................................................................................................................... 26
Donor approaches to social protection .................................................................................................................................. 27

Where is a good place to start? ........................................................................................................................................... 27
Donor approaches ............................................................................................................................................................... 27
Asian Development Bank (ADB) ....................................................................................................................................... 27
Department for International Development (DFID)......................................................................................................... 27
International Labour Organisation (ILO) .......................................................................................................................... 28
Organisation for Economic Cooperation and Development (OECD) ................................................................................ 29
Oxfam .............................................................................................................................................................................. 29
World Bank ...................................................................................................................................................................... 29
Understanding social protection

Social protection is defined by DFID as 'a sub-set of public actions that help address risk, vulnerability and chronic poverty'.
It has become central to many policy discussions as both a conceptual approach and concrete set of policies. As a
conceptual approach, social protection offers a way of thinking the requirements of groups and individuals to live a
fulfilling life, the role of the state in facilitating this, and the vulnerabilities of particular groups or individuals. As a set of
policies, social protection consists of interventions which address vulnerabilities and factors which hinder a group or
individual's capacity to enjoy a fulfilling life.
Social protection originates from the idea of the state as a provider and protector of citizens, enjoying a rich history in
Western Europe in the post-World War II period. Originally social protection was limited to supporting people in managing
and mitigating shocks and heightened vulnerabilities, but in the last two decades social protection discussions have
expanded to encompass four types of interventions: protective (recovery from shocks); preventative (mitigating risks in
order to avoid shocks); promotive (promoting opportunities); and transformative (focusing on underlying structural
inequalities which give rise to vulnerability).
The broadening of social protection can be attributed to increased awareness and concern about globalised risks such as
economic shocks and other threats to livelihoods, the emergence of human security as unit of analysis, the global human
rights discourse, and the centrality of the 2015 Millennium Development Goals. Social protection intersects with other
cross-cutting development concerns such as poverty and vulnerability, pro-poor growth, agricultural development,
humanitarian to development transitions, rights, exclusion and voicelessness, and the capacity of
developing country states to fulfil essential functions.
Conceptualising social protection

Social protection is concerned with people who are vulnerable or at risk in some way, such as children, women, elderly,
disabled, displaced, unemployed, and the sick, and with ways of transferring assets to these vulnerable groups.
Traditionally, social protection has focused on short-term protective safety nets: mechanisms to protect people from the
impact of shocks such as flood, drought, unemployment or the death of a breadwinner, as well as insurance interventions
linked to formal employment. This focus on short-term poverty mitigation has been criticised as an expensive, welfarist
intervention and a disincentive for individual self-reliance.
As a result of concerns with supporting equitable growth, social protection has evolved to include longer-term preventative
and promotive perspectives. These approaches highlight the structural causes of chronic poverty and attempt to address
the social, economic and political barriers vulnerable people face in climbing out of poverty. Building upon the idea of
promotive social protection, which seeks to strengthen the agency of vulnerable people, social protection has also been
discussed in terms of its transformative character, through which social protection operates with a rights-based approach
to transform the status and opportunities of marginalised groups. Instead of being understood only in terms of poverty
reduction, social protection is now seen as making a significant contribution to the promotion of economic growth and
stability.
Barrientos, A. and Hulme, D., 2008, Social Protection for the Poor and Poorest in Developing Countries: Reflections on a
Quiet Revolution, BWPI Working Paper 30, Brooks World Poverty Institute, Manchester
The rapid rise of social protection can be considered a 'quiet revolution'. How has this happened and what is its future
potential? This paper traces the contours of social protection, its diversity and the factors that constrain its expansion. It
argues for the energetic continuation of this revolution to improve the prospects of the world's poor people and to
strengthen national and international solidarity and security. Researchers and policymakers need to find ways of: (1)
scaling up social protection coverage in low-income countries without turning it into an donor development fad which is
later cast aside; and (2) extending social protection into fragile states and difficult environments.
See one-page summary: http://www.gsdrc.org/go/display&type=Document&id=3840
Norton, A., Conway, T and Foster, M., 2001, Social Protection Concepts and Approaches: Implications for Policy and
Practice in International Development, Working paper 143, CAPE, Overseas Development Institute, London
How can international agencies contribute to improving the coverage and effectiveness of social protection as a
component of poverty reduction strategies? This paper reviews conceptual developments of the meaning and importance
of social protection and looks at experience of different policy instruments. Improving co-ordination of social policy is a
major priority, as is tackling growing insecurity and inequality and taking account of institutions outside the state that
provide social protection.
Understanding Social Protection
Shepherd, A., Marcus, R. and Barrientos, A., 2004, Policy Paper on Social Protection, paper produced for UK
Department for International Development (DFID), final draft, Overseas Development Institute, London
What is meant by social protection? In answering this question, this paper discusses safety nets, social assistance and social
insurance, and mutual and informal risk management. It argues that well-designed social protection can have a positive
impact on economic growth and can be affordable even in low-income countries.
Sabates-Wheeler, R. and Devereux, S., 2007, Social Protection for Transformation, IDS Bulletin, vol. 38, no. 3, pp. 23-28
http://www3.interscience.wiley.com/journal/121649596/abstract
Cook, S. and Kabeer, N., 2009, Socio-economic Security over the Life Course: A Global Review of Social Protection,
Institute of Development Studies, Brighton
This paper draws on regional studies to provide an overview of the current field of social protection. It suggests that social
protection needs to move beyond risk management and safety nets to support productive or developmental trajectories
out of poverty that can strengthen citizenship rights and claims to security. Innovative, more developmental social
protection approaches adapted to particular contexts are emerging around the world. However, greater attention should
be paid to the political economy of redistributive policies, the challenge of financing such policies, and their implications
for the social contract between state and citizens. The state has a key role in coordinating inclusive social protection
provision.
Further information on the role of rights in development can be found in the GSDRC topic guides on Human Rights and
Social Exclusion.
Current global issues

Many current global issues and debates link with social protection. Four of the most significant are political analysis, the
global financial crisis, climate change, and the special challenges of working in fragile states.
The politics of social protection

The technical nature of policy documents often belies the political underpinnings of social protection interventions, as well
as the political nature of their impacts. There is a movement towards a greater appreciation of the role politics plays in
social protection provision at the actor, institutional, national, global, and social levels. Political analysis helps explain the
links between politics and social protection at each of these levels in three ways:
It sheds light on the incentives and reasons why social protection interventions are implemented, both from the
perspective of donors and from national governments.
It helps explain bottlenecks and constraints within social protection interventions, as well as identifying the
actors and institutions through which interventions can be delivered effectively
It enables a more in-depth appreciation of the impact of social protection, not only upon poverty reduction or
growth but upon the political context.
Political analysis reveals important factors related to power, ownership, and political will affecting social protection. The
provision of public goods through social protection programmes can radically alter a governments power base and could
therefore be used as a way of maintaining or increasing power. Another key issue is the ownership of social protection
programmes, with suggestions that interventions are donor-driven with little support from recipient country governments.
There is debate over the extent to which social protection is supported by country ownership and political willingness, but
it is generally agreed that the two are desirable objectives and that donors should work towards building the capacity and
willingness of governments to manage social protection interventions.
McCord, A., 2009, Cash Transfers and Political Economy in Sub Saharan Africa, Project Briefing No. 31, Overseas
Development Institute, London
http://www.odi.org.uk/resources/download/3509.pdf
Hickey, S., 2011, The Politics of Social Protection: What do we get from a social contract approach?, Working Paper
216, Chronic Poverty Research Centre, Manchester
There have been growing calls to reframe social protection in terms of extending the 'social contract' to the poorest
groups. This is often understood as relocating social protection within a broader project politics of rights and justice as
opposed to patronage. However, it is important to consider the significant differences within social contract theory and
between their related forms of social protection. 'Contracts' are not unproblematically progressive, and it seems unlikely
that international development agencies could promote progressive social contracts around social protection without
significant shifts in practice.

Zucco C., 2010, 'Cash Transfers and Voting Behaviour: An Assessment of the Political Impacts of the Bolsa Famlia
Program', Princeton University, Princeton
What was the political impact of the government's Bolsa Famlia conditional cash transfer (CCT) programme in the 2006
Brazilian elections? This study estimates the extent to which the programme increased the probability of voting for
President Lula. It concludes that Bolsa Famlia undoubtedly helped to re-elect Lula. While there is still considerable debate
over the long-term implications of CCTs, the significant pro-incumbent electoral effects identified suggest that CCTs could
be both 'good policy' and 'good politics'. Knowledge among politicians of these electoral effects could increase political will
for the implementation of CCTs and reduce reliance on clientelism.
Devereux, S., and White, P., 2007, Pilots, Principles or Patronage: What Makes Social Protection Succeed in Southern
Africa?, Paper prepared for the workshop Social Protection and Ideologies of Welfare in Southern Africa, University of
Oxford, 6 December 2007
In southern Africa, social protection is often used in response to growing livelihood vulnerabilities. Studies of 20 social
transfer schemes indicate that the design, implementation, and success of social protection instruments are dictated by: (i)
international (donor/NGO) ideologies; and (ii) national (government) political processes. Social protection programmes
which arise as a result of domestic political agendas rather than 'imported' interventions are more likely to succeed in
terms of coverage, fiscal sustainability, political institutionalisation and impacts.
The Global Financial Crisis

The global financial crisis has restricted government funds available for social protection programmes, while its impact on
individuals has led to an increase in the number of people reliant on them. The financial crisis has had and will continue to
have a significant impact upon poverty and economic growth and as a result there exist concerns about the
appropriateness of the social protection response, and - due to a decline in funds - donor and government capacity and
willingness to implement social protection interventions.
McCord, A., 2009, The Global Financial Crisis: Poverty and Social Protection - Evidence from 10 Country Case Studies,
ODI Briefing Paper No. 51, Overseas Development Institute, London
http://www.odi.org.uk/resources/docs/4285.pdf
Heltberg, R., et al., 2012, Anatomy of Coping: Evidence from People Living through the Crises of 200811, Policy
Research Working Paper 5957, World Bank, Washington DC
http://wwwwds.worldbank.org/external/default/WDSContentServer/IW3P/IB/2012/01/23/000158349_20120123115915/Rendered/P
DF/WPS5957.pdf
World Bank Human Development Network, 2009, Averting a Human Crisis during the Global Economic Downturn: Policy
Options from the World Banks Global Development Network, Conference Edition, World Bank, Washington DC
How should the world respond to the current economic crisis in order to avert a large-scale human crisis? This report
assesses the implications of the current situation for poor and vulnerable populations. It argues that responses must be
comprehensive and should involve many sectors of the economy. They should focus on young people, the low-skilled,
women, older workers, and immigrants. Recommendations include demand-side education programmes, an emphasis on
adequate nutrition and HIV-related funding, public works programmes in rural areas, and a comprehensive package of
support for workers.
Somavia, J., 2009, The Global Financial Crisis and its Impact on the Work of the Global Financial System, UN System
Chief Executives Board for Coordination, Geneva
What impact will the global financial crisis have on the UN's work and how can these effects be alleviated? This report,
based on a meeting of senior managers from UN agencies in 2009, calls for rapid action to address both the immediate
challenges of the crisis and long-term issues. A coherent, comprehensive and coordinated strategy is needed.
Recommendations include the establishment of a social protection floor, to consist of: (1) access to essential services; and
(2) social transfers in cash and in kind.
Parks, W. and Abbott, D., 2009, Protecting Pacific Island Women and Children During Economic and Food Crises,
Working Edition One for Advocacy, Debate and Guidance, UNCEF Pacific and UNDP Pacific, Suva
This report provides a synopsis of the food price rise and global economic crises together with their known and potential
impacts on children and women. In outlining lessons and recommendations it argues that now is a critical time for
Understanding Social Protection
government investment in social interventions, which when well-designed can boost economic growth and make growth
more pro-poor. In particular, gender-based policies that build on women's roles as economic agents and their preference
for investing resources in child well-being can help to mitigate the effects of economic crises. Child protection mechanisms
should be integrated into expanded social protection programmes.
Fiszbein, A., Ringod, D. and Srinivasan, S., 2011, Cash Transfers, Children and the Crisis: Protecting Current and Future
Investments, Development Policy Review, vol. 29, no.5, pp. 585-601
http://onlinelibrary.wiley.com/doi/10.1111/j.1467-7679.2011.00548.x/abstract
Climate Change
Social protection has a role to play in helping people withstand short-term livelihood threats from climate change and in
facilitating long-term adaptation to climate change. Levels of vulnerability and risk are affected by climate change, and
these considerations are increasingly being included in the design of social protection programmes in terms of response
(e.g. cash transfers), compensation (e.g. crop insurance) and adaptation (e.g. crop diversification, irrigation systems).
Raworth, K, 2007, Adapting to Climate Change: Whats Needed in Poor Countries and Who Should Pay, Oxfam Briefing
Paper 104, Oxfam International, Oxford
http://www.oxfam.org/sites/www.oxfam.org/files/adapting%20to%20climate%20change.pdf
Davies, M. et al, 2008, Social Protection and Climate Change Adaptation, Commission on Climate Change, Stockholm
How can synergies between social protection and climate change adaptation be identified and maximised? Social
protection initiatives are unlikely to succeed in reducing poverty if they do not consider both the short- and long-term
shocks and stresses associated with climate change. Researchers at the Institute of Development Studies have therefore
developed an 'adaptive social protection' framework. This helps to identify opportunities for social protection to enhance
adaptation, and for social protection programmes to be made more climate-resilient.
Heltberg, R., Siegel, P. B. and Jorgensen, S. L., 2010, 'Social Policies for Adaptation to Climate Change', in Social
Dimensions of Climate Change: Equity and Vulnerability in a Warming World, eds. R. Mearns and A. Norton, The World
Bank, Washington, DC, ch. 10
How can interventions increase society's capacity to manage climate risks, reducing household vulnerability while
maintaining or improving opportunities for development? This paper presents a social risk management and asset-based
conceptual framework to help design such interventions. An integrated, multisectoral approach is needed to manage both
direct and indirect climate risks. This requires greater collaboration among professionals working on disasters, climate
change, and social policy, including shared platforms around definitions, data, monitoring, research, and capacity building.
In terms of social protection, index-based insurance and combinations of insurance and safety net approaches hold
promise, but the limits to what insurance can achieve need to be kept in mind.
GSDRC Helpdesk Research Report, 2008, Climate Change and Social Protection, GSDRC, Birmingham
http://www.gsdrc.org/docs/open/HD520.pdf
Fragile states
Social protection interventions are seen as a way of protecting vulnerable populations during conflict, in situations of
fragility where a government is unable to fulfil its core functions, and as a way of facilitating rehabilitation after conflict
ceases. Although the objectives of social protection in fragile states and other developmental contexts are essentially the
same, fragile states present special challenges. These include whether national governments should be involved in the
delivery of social protection, the mitigation of corruption, and considerations of the social dynamics between groups.
There is concern in the literature about how viable cash transfers are in fragile contexts. Cash transfers are beginning to be
viewed as an alternative to food aid: they have been seen to provide a short-term incentive for peace as well as an
effective bridge between short-term humanitarian aid provision and a longer-term development perspective. Although
there may be fears about the capacity of a national government taking responsibility for social protection, it has been
argued that social protection has a positive effect on state-building, in that nationally-owned social protection systems can
promote the strengthening of the state and building of legitimacy.
Darcy, J., 2004, Conflict and Social Protection: Social Protection in Situations of Violent Conflict and its Aftermath,
Theme Paper 5, Overseas Development Institute, London
How can people's lives and livelihoods be protected during and after conflict? This paper examines a range of strategies
and both state and non-state roles in social protection. In insecure environments, support to non-formal mechanisms
provided by civil society may be most effective, as despite their limited capacity they have greater access than formal
providers. Broad-based welfare provision in post-conflict environments might avoid the social and political tensions that
targeted assistance could create.
Harvey, P, 2009, Social Protection in Fragile States: Lessons Learned in OECD DAC, 2009, Promoting Pro-Poor Growth:
Social Protection, OECD DAC, Paris, pp.183-196
How can social protection best be achieved in situations of fragility? This paper argues that while the objectives for social
protection in fragile states are essentially the same as in development contexts, social protection instruments, financing
and delivery need to be adapted. In order to scale up social protection in fragile settings, it is important to use a wider
range of social protection instruments; to provide longer-term, more harmonised and predictable funding; and to work
with a broader range of actors.
Harvey, P. and Holmes, R., 2007, The Potential for Joint Programmes for Long-Term Cash Transfers in Unstable
Situations, Overseas Development Institute, London
Regional perspectives on social protection

Recent regional reviews of social protection systems and programmes highlight poverty and vulnerability as the principal
drivers of protective, preventative, promotive and transformative social protection interventions in developing countries.
There are wide regional variations among vulnerable and at-risk groups, appropriate responses and success factors. For
instance, in Sub-Saharan Africa the number of labour market interventions is lower than that of Latin America, due to the
lower proportion of the population being engaged in formal sector work. There are also clear differences in the levels of
national government commitment to existing social protection frameworks, with Latin American governments displaying
an overall greater willingness than their African counterparts, although donors are keen to ensure that responsibility for
delivery lies with central governments.
Barrientos, A., and Hinojosa-Valencia, L., 2009, A Review of Social Protection in Latin America, Institute of
Development Studies, Brighton
This study reviews social protection trends and policy responses in Latin America and the Caribbean. In the last two
decades, the region has seen reforms of social insurance pensions and health insurance and the rapid expansion of social
assistance. These changes have re-shaped social protection in most countries in the region. Nevertheless, significant
challenges remain. The implementation and delivery of social assistance programmes require long-term partnerships under
the direction of secure and well-resourced public sector agencies.
Devereux, S. and Cipryk, R., 2009, Social Protection in Sub-Saharan Africa: A Regional Review, Institute of Development
Studies, Brighton
How successfully is social protection being delivered in Africa? What challenges remain in the extension of social
protection? This study explores how social protection strategies are being implemented by African governments, with
support from bilateral and multilateral donors and international and local NGOs. The social protection debate in Africa now
needs to move beyond social transfers to focus on social justice, including the mobilisation of civil society to claim
entitlements and rights from the state.
Kohler, G., Cali, M. and Stirbu, M., 2009, Social Protection in South Asia: A Review, UNICEF Regional Office for South
Asia, Kathmandu
How can social protection interventions help to achieve the Millennium Development Goals with equity in South Asia?
What are the recent trends and future orientations of social protection in the region? This review finds that social
protection needs to be scaled up and made more systemic in South Asia. Social protection strategies must respond to the
multidimensional and dynamic nature of poverty by focusing on risk, vulnerability, social exclusion and political voice.
Children should be at the heart of social protection in order to break the inter-generational cycle of poverty.
Social Protection, Poverty and Economic Growth
Social protection, poverty and economic growth

Past research on social protection often considered programmes to be costly interventions that did not bring about longterm poverty reduction and diverted resources away from growth-enhancing activities. Nowadays social protection
systems are justified by growing evidence about the effects of both short- and long-term vulnerability on chronic poverty
and economic growth, and how social protection mechanisms can mitigate these negative effects. This page offers
perspectives on how and why social protection plays an instrumental role in development by a) assisting both the
transitory and the chronically poor and b) promoting pro-poor growth.
Social protection and poverty

For many years social protection was regarded as a safety net for those who dipped temporarily below the poverty line.
However, research in recent years has indicated that there are strong links between transitory and chronic poverty and
that social protection can have a significant effect on the latter as well as the former. The Chronic Poverty Centre, for
instance, understands social protection as a way of both managing risk and overcoming deprivation.
Many authorities argue that development policies have not reached the worlds chronically poor and that chronic poverty
can best be tackled by social protection mechanisms. However, one of the most pertinent critiques of social protection is
that rather than aiding chronically poor people to rise out of poverty it encourages dependency on the state.
Barrientos, A., 2010, 'Social Protection and Poverty', Social Policy and Development Programme Paper, no. 42, United
Nations Research Institute for Social Development
What is the potential for social protection programmes to address poverty and vulnerability in developing countries? This
comprehensive report provides an overview of social protection and an assessment of its impact in Latin America, South
and East Asia, and Sub Saharan Africa. Countries with stronger social protection show lower levels of poverty and
vulnerability and are more resilient in the face of social and economic change or shock. However, financial sustainability
and capacity limitations are challenges that must be addressed. It is helpful to view social protection finance as a remix of
public expenditure rather than a 'new' expense.
Chronic Poverty Research Centre, 2007, Tackling Obstacles to Social Protection for Chronically Poor People, Policy Brief
No. 3, Chronic Poverty Research Centre, Manchester
http://www.chronicpoverty.org/uploads/publication_files/CPRC_PB3.pdf
DFID, 2005, Social Transfers and Chronic Poverty: Emerging Evidence and the Challenge Ahead, Practice Paper, UK
Department for International Development (DFID), London
Can social transfers play a role in tackling extreme poverty? This paper draws on evidence from existing schemes across the
world to suggest that social transfers could have a direct impact on poverty and enhance pro-poor growth. When
integrated within a wider national social protection system, social transfers could be an effective alternative to traditional
humanitarian assistance.
Social protection and economic growth

Social protection mechanisms were previously thought to draw state resources away from other growth-promoting
activities and to have an adverse effect on beneficiaries incentives to work. However it is now argued that social
protection can play a significant role in promoting both general and pro-poor economic growth. Social protection
measures are thought to potentially lead to long-term growth by encouraging capital accumulation and investment,
increasing work capacity, and helping to manage risk, as well as offering potential advantages to non-beneficiaries
(multiplier effects). In general there are four social protection-related approaches to encouraging growth at both national
and household levels: investments in human capital, managing risks, addressing market failures, and general attempts to
reduce poverty (e.g. by reducing inequality).
DFID, 2006, Social Protection and Economic Growth in Poor Countries, Social Protection Briefing Note Series no. 4, UK
Department for International Development, London
http://www.gsdrc.org/docs/open/SP16.pdf
10
OECD-DAC Network on Poverty Reduction (POVNET), 2009, Promoting Pro-Poor Growth: Employment and Social
Protection, Organisation for Economic Cooperation and Development, Paris
http://www.oecd.org/dataoecd/63/8/43514582.pdf
Barrientos, A. and Scott, J., 2008, Social Transfers and Growth: A Review, BWPI Working Paper 51, Brooks World
Poverty Institute, Manchester
What effects may social transfers be expected to have on household-level growth in developing countries? This analysis of
the available evidence finds very little to support concerns that social transfers have a negative impact on growth. Instead,
there is some evidence to indicate that well-designed and well-implemented social transfers can facilitate micro-level
growth by increasing the ability of poor households to invest in their productive capacity. Policymakers need to incorporate
growth objectives into social transfer programmes to help build packages of interventions that promote sustainable, longterm improvements in well-being.
Barrientos, A., and Sabates-Wheeler, R., 2006, Local Economy Effects of Social Transfers, Final Report, Institute of
Development Studies, Sussex
How and to what extent have social cash transfer programmes affected the local economy? This paper reports on a study
examining the incidence and significance of local economy effects of social transfers in rural Mexico. The study focused on
changes in household consumption and asset holdings among households ineligible to participate in the PROGRESA
targeted cash transfer programme. Evidence supports the presence of local economy effects.
Noble, R., Ntshongwana, P., and Surender, R., 2008, Attitudes to Work and Social Security in South Africa, Human
Sciences Research Council, Johannesburg
In the media and the political arena, there is concern that social grants discourage the unemployed from seeking work and
foster a culture of dependency. Is such concern justified in South Africa? This study examines people's views about paid
work, social grants, and their relationship. Its findings refute theories of dependency among South Africans living in
households that receive grants, and also suggest ways of helping the unemployed to find work.
Dercon, S., 2011, 'Social Protection, Efficiency and Growth', WPS/2011-17, Centre for the Study of African Economies,
University of Oxford
This paper considers the evidence on the cost of social protection to reduce poverty, and its contribution to efficiency and
growth. It finds that social protection is one mechanism for making growth pro-poor. It offers a direct and simple means of
redistributing some of the gains from growth, and ways to ensure that shocks do not reverse gains. While it is not a driver
of growth, it may contribute to growth when well designed. In particular, social protection could potentially provide high
growth impacts when it is tailored and focuses on: 1) children, especially under-fives; 2) facilitating internal migration and
inclusive city development, possibly via urban workfare schemes that emphasise urban community asset building; and 3)
making adolescents and young adults more employable, including through transfers conditional on training relevant to
urban labour market transitions.
Additional information
In 2005, the Institute for Development Policy and Management (IDPM), University of Manchester, held a conference on
Social Protection for Chronic Poverty. Conference papers and proceedings can be downloaded from their website.
Please see the GSDRCs Social Exclusion topic guide for an explanation of how exclusion can be used as a unit of analysis to
describe the social inequalities which often necessitate social protection interventions.
11
Types of Social Protection
Types of social protection

The most common types of social protection are:
Social assistance resources, either cash or in-kind, are transferred to vulnerable individuals or households.
These transfers can be unconditional (for example, social pensions or cash benefits) or conditional (given in
exchange for work on public works programmes or attendance at school, for instance).
Social insurance the beneficiary makes contributions to a scheme to mitigate risk, such as health insurance or
unemployment insurance schemes.
Labour market interventions programmes designed to protect workers, such as minimum wage legislation.
Community-based or informal social protection mechanisms by which social safety nets and coping strategies
are provided and sustained at community-level.
Social assistance
Social protection programmes are described as social assistance when resources, either cash or in-kind (e.g. food
transfers) are transferred to vulnerable individuals or households. Social assistance mechanisms have been used for many
years in industrialised countries, and are now employed effectively in developing country contexts. Such programmes take
many forms. This section of the guide covers cash transfers, social pensions, public works programmes, and in-kind
transfers.
Howell, F., 2001, 'Social Assistance - Theoretical Background', in 'Social Protection in the Asia and Pacific', ed. I. Ortiz,
Asian Development Bank, Manila, ch. 7
What is social assistance and how should such programmes be designed? This chapter defines social assistance as
government and non-governmental action to transfer resources to people whose vulnerability warrants some form of
entitlement. Social assistance should be seen as a means to reduce poverty and to develop the capabilities of the most
vulnerable, increasing social and economic participation and equality of opportunity. Programme design needs to balance
the goals of: a) preventing shocks which will have a negative impact on the poor; b) reducing the impact of shocks; and c)
helping vulnerable groups to cope with shocks.
Cash transfers
There is a wealth of literature on the impact of cash transfers and the various programming options available. Although
cash transfers are not a panacea, they have been demonstrably effective and are seen as a viable mechanism in both
developmental and humanitarian contexts. Conditional Cash Transfer (CCTs), implemented in Latin America with great
success, are seen to be a way of mitigating the risk of cash transfers being misused. CCTs yield rapid, positive impacts
(poverty alleviation, improved health and education outcomes) and break the vicious cycle of intergenerational poverty in
the long-term. However, CCTs are criticised for having high administrative, monitoring and enforcement costs, being too
reliant on targeting, having a disempowering effect on recipients and negatively affecting overall levels of consumption
amongst both beneficiaries and non-beneficiaries.
Experience indicates that in the case of CCTs, adequate needs assessments are crucial, and that integrating CCT
interventions into wider social policies bring huge gains. In general, there is the need to convince national governments
that cash transfers are social investments rather than free handouts. The externality effect the impact of CCTs on non
beneficiary households also needs to be measured and assessed more stringently.
Slater, R. et al, 2008, A Conceptual Framework for Understanding the Role of Cash Transfers in Social Protection, ODI
Project Briefing, Overseas Development Institute, London
This note presents a conceptual framework outlining how cash transfers can promote and protect livelihoods in both
development and humanitarian relief settings. The framework encompasses three spheres and the intersections between
them: (1) institutions, politics and governance; (2) capacity and implementation; and (3) local economic and social impacts.
Issues common to all three spheres include political context and acceptability, targeting and instrument choice, and
beneficiaries' voice.
12
Hanlon, J., Barrientos, A., and Hulme, D., 2010, Just Give Money to the Poor: The Development Revolution from the
Global South, Kumarian Press, Sterling, VA
Access partial text via Google Books
Arnold, C., with Conway, T. and Greenslade, M., 2011, 'Cash Transfers: Evidence Paper, Department for International
Development, London
What impact do cash transfers have on reducing poverty and increasing the resilience of poor households? This paper
assesses the evidence and looks at the extent to which it can be generalised. It shows how design and financing features
help to maximise transfers' effectiveness in a range of circumstances. Ultimately, cash transfers work as part of a broader
strategy to achieve economic and social development.
Fiszbien, A., and Schady, N., 2009, Conditional Cash Transfers: Reducing Present and Future Poverty, Policy Research
Report, World Bank, Washington DC
Do conditional cash transfer programmes (CCTs) succeed in reducing inequality? Are they effective in producing better
development outcomes in the countries where they have been implemented? This report argues that CCTs have been an
effective way to redistribute income to the poor, while recognising that even the best-designed and best-managed
programme cannot fulfil all of the needs of a comprehensive social protection system. Evidence from existing programmes
suggests that to maximise their potential impact, CCTs should be complemented with other interventions, particularly
those that focus on outcomes rather than on promoting the use of services alone.
Holmes, R. and Slater, R., 2007, Conditional Cash Transfers: What Implications for Equality and Social Cohesion? The
Experience of Oportunidades in Mexico, Overseas Development Institute, London
The Oportunidades programme aims to increase the human capabilities of poor households and break the
intergenerational cycle of poverty. Oportunidades helps five million families to enhance their well-being through cash
transfers to mothers and increased access to education, health and nutrition. The programme has increased both access to
and equality of access to public services, but improved service quality may be needed. In order for the Oportunidades
model to be transferable, there must be: (1) strong political commitment to the programme; (2) a high level of institutional
capacity in terms of the number and skills of staff; and (3) a supply of accessible health and education services.
For further information on the impact of conditional and unconditional cash transfers, see:
GSDRC, 2007, The Impact of Cash Transfers, GSDRC Helpdesk Research Report, Birmingham
http://www.gsdrc.org/docs/open/HD462.pdf
Programme examples and lessons learned

Hilou, D., and Soares, F. V., 2008, Cash Transfers: Lessons from Africa and Latin America, Poverty in Focus Report No.15,
International Poverty Centre, New York
http://www.ipc-undp.org/pub/IPCPovertyInFocus15.pdf
Soares, S., 2007, Conditional Cash Transfers in Brazil, Chile and Mexico: Implications for Inequality, Working Paper
No.35, International Poverty Centre, New York
What impact do conditional cash transfers (CCTs) have on inequality? This paper investigates the effects of CCTs in Brazil,
Mexico and Chile. CCT programmes helped reduce inequality in all three countries between the mid-1990s and mid-2000s.
They are a low-cost way of reducing inequality that can be replicated. However, the total amount transferred by these
programmes is modest, and their expansion is limited by political, administrative and budget constraints.
Devereux, S. et al, 2005, Making Cash Count: Lessons from Cash Transfer Schemes in East and Southern Africa for
Supporting the Most Vulnerable Children and Households, Institute of Development Studies, University of Sussex,
Brighton
To what extent have unconditional cash transfers been used in East and Southern Africa, and what can be learnt from
these schemes? This report was commissioned by the United Nations Childrens Fund as part of a review of social
protection measures reaching vulnerable children. It summarises findings from a survey across 15 countries, and from case
studies in four countries, drawing out lessons learned with a particular focus on reaching the most vulnerable children
(MVC).
13
Schubert, B., and Huijbregts, M., 2006, The Malawi Social Cash Transfer Pilot Scheme: Preliminary Lessons Learned,
UNICEF, New York
Access full text: available online
Cash transfers in emergencies

Cash transfers have been found to be particularly effective in emergencies, offering a protective mechanism which can be
administered relatively easily in a short time-frame, with immediate impact. They also offer an opportunity for testing
innovative ways of delivering transfers in difficult environments where normal systems have been disrupted, for instance
through the use of mobile phones in Kenya.
Ensuring a mainstreamed gender policy in cash transfer programmes in emergencies is challenging for implementing
organisations. While cash transfers may be targeted at female beneficiaries, there is as yet little evidence to show any
positive long-term effect on gender equality in the household and the wider community.
Datta, D., Ejakait, A., with Scriven, K., 2009, Cash Transfers Through Mobile Phones: An Innovative Emergency Response
in Kenya, ALNAP Innovations Case Study 1, Active Learning Network for Accountability and Performance in
Humanitarian Action, London
http://www.alnap.org/pool/files/innovationcasestudyno1-concern.pdf
Harvey, P. Et al., 2010, Delivering Money: Cash transfer mechanisms in emergencies, The Cash Learning Partnership
(CaLP) and Save the Children UK, London
This report offers guidance on assessing the different options for cash delivery. It also explores the potential for stronger
partnerships with private sector providers and looks at developments in the payments industry. It argues that contextspecific analysis is vital, as well as the integration of cash approaches into contingency planning. Clearly defined
programme objectives help to guide the choice of payment systems.
Concern Worldwide and Oxfam GB, 2011, 'Walking the Talk: Cash Transfers and Gender Dynamics', Concern Worldwide
and Oxfam GB, London
Do cash transfers (CTs) in emergency contexts currently benefit women and contribute to women's empowerment? How
can NGOs and donors develop more gender-sensitive CT programmes that help to redress inequality and work towards
empowerment? This report examines the impacts of cash transfers on gender dynamics within households and
communities. It finds mixed impacts and insufficient consideration of gender inequality and gender analysis in programme
processes. To realise the potential value of CTs for women, NGOs and donors need to ensure, for example, that all
emergency responses include a gender and social analysis; that clear and attainable gender aims are specified for each
stage of the intervention; and that more investment is made in staff training.
Social Pensions
Social pensions are non-contributory pensions, a form of cash transfer targeted by age. Research shows that they have a
strong poverty reducing potential as the cash benefits tend to be shared within households. In general the literature
suggests that social pensions have been employed particularly successfully in southern African contexts.
Palacios, R., and Sluchynsky, O., 2006, 'Social Pensions Part 1: Their role in the Overall Pension System', Social Protection
Discussion Paper No. 0601, World Bank, Washington DC
Are social pension schemes (SP) an effective way of alleviating poverty among the elderly in developing and transition
countries? What issues need to be considered in formulating pension policy in developing countries? This study for the
World Bank reviews the global experience with social pensions, finding that coverage and cost of schemes varies widely.
Policy formulation needs to take country specific contexts, extent of coverage, and the relative poverty status of the
elderly. More research is needed on fiscal trade-offs, incentives, and comparative analyses of SP versus direct social
expenditure.
See one-page summary: http://www.gsdrc.org/go/display/document/legacyid/2004
14
Public works programmes

Public works programmes are a form of conditional transfer whereby cash or food is given in return for work on public
infrastructure projects, such as road building. They can be employed as both short and long-term measures, and there has
been a recent resurgence of interest in such programmes as a consequence of the food and financial crisis. Public works
programmes are popular with donors as they are seen to create assets, produce jobs and be self-targeting (unattractive to
the non-poor as such low wages or rations are paid). However, it is also argued that such schemes create as much
dependency on the state as cash transfers, prevent the poor from engaging in their normal cash-generating activities, and
are not always well-targeted. Although only tentative conclusions can be offered thus far the available evidence indicates
that whilst short-term public works programming can promote consumption smoothing during labour market disruptions,
their long-term social protection function is likely to be limited unless guaranteed employment is introduced.
McCord, A., and Farrington, J., 2008, Digging Holes and Filling Them in Again? How Far do Public Works Enhance
Livelihoods?, Natural Resource Perspectives No.120, Overseas Development Institute (ODI), London
Subbarao, K., 2003, Systemic Shocks and Social Protection: Role and Effectiveness of Public Works Programs, Social
Protection Discussion Paper Series no. 0302, World Bank, Washington DC
Public works (workfare) programmes have been important counter-cyclical interventions in both developed and
developing countries for many years. This paper from the World Bank discusses the rationale behind such programmes and
gives an overview of experiences in a number of countries many of them in Asia and Africa focusing on design features
and how the programmes were selected and implemented. The paper concludes that the success of each programme
depends very much on its design features.
McCord, A., 2004, Policy Expectations and Programme Reality: The Poverty Reduction and Labour Market Impact of
Two Public Works Programmes in South Africa, ESAU Working Paper No.8, Overseas Development Institute, London
How effective has South Africa been in reducing poverty and promoting employment through public works programmes
(PWPs)? This study explores the contribution of PWPs to social protection in South Africa by examining the Gundo Lashu
programme in Limpopo and the Zibambele programme in KwaZulu Natal. It argues that, for reasons of both design and
scale, PWPs alone cannot adequately address the social protection gap facing the working-age unemployed. PWPs should
be targeted to the poorest and linked to other development initiatives, such as microfinance.
McCord, A. with Slater, R., 2009, Overview of Public Works Programmes in Sub-Saharan Africa, Overseas Development
Institute, London
In-kind transfers
In-kind transfers are non-cash resources passed to vulnerable individuals and households, often with the aim of modifying
or influencing the behaviour of recipients. There is considerable debate over whether in-kind transfers should be favoured
over cash transfers, despite the latter being popular for providing beneficiaries with choice in accordance with needs, as
well as providing an opportunity for investment.
Food
The debate over food vs. cash transfers dates back to the 1970s, with discussions questioning whether food transfers can
be used as an alternative to cash, or whether the two are complimentary. There is debate over whether food transfers are
a nutritional or economic intervention, i.e. whether they aim to only feed people or aim to support livelihoods. Food
transfers are generally thought to be preferable in situations where markets are not functioning and the food/income
shortages stem from a lack of supply rather than demand.
Gentilini, U., 2007, Cash and Food Transfers: A Primer, Occasional Paper No. 18, World Food Programme (EFP), Rome
http://www.wfp.org/sites/default/files/OP18_Cash_and_Food_Transfers_Eng%2007.pdf
Ahmed, A., et al, 2009, Comparing Food and Cash Transfers to the Ultra Poor in Bangladesh, Research Monograph 163,
International Food Policy Research Institute (IFPRI), Washington DC
http://www.ifpri.org/sites/default/files/publications/rr163.pdf
15
Gentilini, U., 2007, Food Transfers and Food Security, Institute of Development Studies (IDS) Bulletin, vol. 38, no. 3, pp.
82-86
http://onlinelibrary.wiley.com/doi/10.1111/j.1759-5436.2007.tb00384.x/abstract
Utility subsidies
Utility subsidies such as housing, electricity and water are designed to remove the burden of utility expenditures. However,
there exist concerns that utility subsidies are not well-targeted and often do not reach poor communities living in areas
without water and electricity. They are also seen as more costly to implement than other forms of social assistance.
Housing subsidies, whilst expensive, run less risk of excluding the most vulnerable.
Katsura, H. and Romanik, C., 2002, Ensuring Access to Essential Services: Demand-Side Housing Subsidies, Social
Protection Discussion Paper no 232, World Bank, Washington DC
the World Bank examines the strengths and the weaknesses of demand-side subsidy approaches for improving access to
housing for poor households. It suggests that different subsidies are appropriate in different situations. Moreover, the
design of housing-related subsidy programmes varies in response to philosophical, political and resource considerations.
Komives, K., et al., 2007, Utility Subsidies as Social Transfers: An Empirical Evaluation of Targeting Performance,
Development Policy Review, Vol. 25, Issue 6, pp. 659-679
Do utility subsidies actually help the poor? This paper argues that the average targeting performance of water and
electricity subsidies is similar to that of other social transfer mechanisms using the same targeting method. The most
common utility subsidies are consumption-based. These aim to subsidise low-volume users but primarily benefit the nonpoor. Many geographically-targeted and most means-tested utility subsidies are progressive, but still exclude many poor
households. Connection subsidies are an attractive alternative in low coverage areas, but they will only reach the poor if
utilities extend network access to poor households and if households choose to connect.
Health fee waivers

Health service fee waivers and exemptions are part of the debate on user fees, which are adopted formally and informally
in a variety of developing countries. Despite often being central to the functioning of state-provided services, user fees face
inevitable criticism over limiting equity of access to services. Health service fee waivers redress some of the access
problems caused by the introduction of service fees. However, it has been suggested that health service waivers and
exemptions will only be effective if they form part of a nationwide policy which is formally monitored and enforced at local
and national (formal and informal) levels.
Bitrn, R., and Giedion, U., 2003, Waivers and Exemptions for Health Services in Developing Countries, Social
Protection Discussion Paper Series, No. 308, World Bank, Washington DC
Can a system of user fees in health care be compatible with the goal of preserving equitable access to services? Is the use
of waivers the way forward? This study assesses health care systems in Asia and Africa and argues that the key to success is
in the design of waiver systems.
Kivumbi, G., and Kintu, F., 2002, Exemptions from Waivers and Cost-sharing: Ineffective Safety Nets in Decentralized
District in Uganda, Health Policy and Planning, vol. 17, suppl. 1, pp 64-71
Are safety nets such as waivers and exemptions effective in tackling inequalities created by user-payment for health
services? This article reports on exemption schemes in two districts of Uganda. It shows that poor and marginalised groups
lack fair access to health care and not much has been done to address this. These safety nets will only be effective if they:
are backed by national health financing policy; reconcile competing revenue demands of local government; and are strictly
enforced and supervised by local and central governments.
16
Social insurance
Social insurance schemes are contributory programmes in which beneficiaries make regular financial contributions in order
to join a scheme that will reduce risk in the event of a shock. Because health costs can be very high, health insurance
schemes are a popular way of mitigating risk from illness. However, some people argue that they are too expensive for the
poor and should be complemented with social assistance. Other types of social insurance schemes include contributory
pensions, unemployment insurance, funeral assistance and disaster insurance. Social insurance is strongly linked to the
formalised labour market, meaning that coverage is determined by number of formal workers in a country. The informal
labour market therefore presents a strong challenge to the success of social insurance programmes.
Ranson, M., 2002, Reduction of Catastrophic Health Care Expenditures by a Community-Based Health Insurance Scheme
in Gujarat, India: Current Experiences and Challenges, Bulletin of the World Health Organisation, vol. 80, no. 8
Spending on medical care can be a major financial burden on poor people in developing countries. Can community-based
health insurance schemes reduce health care costs for the poor? This study published by the World Health Organisation
investigates the impact of a community-based medical insurance scheme in Gujarat, India on the use of health care and the
financial burden of medical expenses. Such community-based health insurance schemes can protect poor households from
the uncertain risks of medical expenses.
Mesa-Lago, C., 2008, Social Insurance (Pensions and Health), Labour Markets and Coverage in Latin America, Social
Policy and Development Programme Paper No. 36, United Nations Research Institute for Social Development
http://www.unrisd.org/unrisd/website/document.nsf/240da49ca467a53f80256b4f005ef245/6e08841ff30c8f83c12575120
0320b25/$FILE/Mesa-Lago-paper.pdf
Labour market interventions

Labour market interventions provide protection for poor people who are able to work. Interventions can be both active
and passive: active programmes include training and skills development and employment counselling, whilst passive
interventions include unemployment insurance, income support and changes to labour legislation, for example in
establishing a minimum wage or safe working conditions. Labour market interventions can run alongside various social
assistance and cash transfer programmes and can be integrated into longer-term development strategies.
Lal, R., Miller, S., Lieuw-Kie-Song, M., and Kostzer, D., 2010, 'Public Works and Employment Programmes: Towards a
Long-term Developmental Approach', International Policy Centre for Inclusive Growth, United Nations Development
Programme, Brazil
How can public works programmes deliver longer-lasting development impact? This paper notes that few Public
Employment Programmes (PEPs) have been implemented on a scale large enough to address structural poverty. However,
large-scale PEPs were able to respond quickly to and mitigate the effects of the economic crisis, suggesting their relevance
for inclusive growth strategies. Reconceiving PEPs as Employment Guarantee (EG) schemes could provide a more
permanent complement to market-driven employment creation and to other types of social protection. In addition, the
jobs created by governments through EGs could provide critical public goods and services, further enhancing the livelihood
strategies of the poor.
DFID, 2004, Labour Standards and Poverty Reduction, UK Department for International Development, London
How can labour standards contribute to poverty reduction? This paper focuses on the nature and impact of labour
standards in developing countries. Effective and well-judged implementation of labour standards can play an important
role in reducing global poverty and achieving the Millennium Development Goals (MDGs). A commitment to core labour
standards is part of a broader rights-based approach to poverty reduction.
Betcherman, G., Olivas, K. and Dar, A., 2004, Impacts of Active Labor Market Programs: New Evidence from Evaluations
with Particular Attention to Developing and Transition Countries, Social Protection Discussion Paper Series no. 0402,
World Bank, Washington DC
What is the impact of active labour market programmes (ALMPs) on reducing the risk of unemployment and increasing the
earning capacity of workers in developing and transition countries? This report claims that ALMPs generally have a positive
impact on the employment prospects of participants, although there are mixed results in many cases. Successful
interventions require a comprehensive package of services and carefully targeted programmes that are oriented towards
labour demand and linked to real workplaces.
17
Labour market interventions for informal workers

One of the challenges in implementing successful labour market interventions is how to incorporate the informal economy,
which comprises a significant portion of the workforce in developing countries.
Lund, F., 2009, Social Protection and the Informal Economy: Linkages and Good Practices for Poverty Reduction and
Empowerment, in Organisation for Economic Cooperation and Development (OECD), Promoting Pro-Poor Growth:
Social Protection, OECD, Paris, pp.69-88
How can social protection in developing countries empower people to create employment-related ways out of poverty?
This paper examines empowerment in the context of social protection for informal workers. It argues that social protection
can help to improve the health and well-being of informal sector workers, especially poorer women, and build their
capacity to organise and demand better working conditions. Interventions must consider the sector's diversity, its
permanence, and the limited choices that drive people to work in it.
Barrientos, A. and Barrientos, S. W., 2002, 'Extending Social Protection to Informal Workers in the Horticulture Value
Chain', Social Protection Discussion Paper Series 0216, World Bank, Warshington DC
How can social protection mechanisms address the increasing informalisation of work in the global economy? How can the
contribution of all potential stakeholders be harnessed to increase support for informal workers? This paper uses a value
chain approach and a social responsibility matrix to examine fruit exports from Chile and South Africa to the United
Kingdom. It finds that horticultural workers are largely excluded from existing coverage or benefits, which favour those in
more stable employment with stronger attachment to an individual employer. Community-based provision, linked to state
and market provision, is one avenue through which social protection could be developed.
Community-based social protection

Formal social protection systems do not offer complete coverage and inevitably exclude parts of a population. A variety of
traditional or informal ways of providing social protection within households, groups and networks fill some of the gaps
left by formal social protection interventions and distribute risk within a community. Community-based mechanisms for
providing social protection are becoming more popular as a research topic, with increasing calls for traditional or informal
social protection mechanisms to be carefully considered within programme design, and correspondingly supported.
There is also considerable interest in the potential for community-based mechanisms to be scaled up in order to undertake
wider development activities, and in how to create links between social security schemes and community-based
approaches with the aim of extending coverage to meet the challenge of providing adequate health services to the
developing world.
De Coninck, J., and Drani, E., 2009, Social Protection is Centuries Old! Culture and Social Protection for the Very Poor in
Uganda: Evidence and Policy Implications, Working Paper No. 140, Chronic Poverty Research Centre, Manchester
Millions of Ugandans in chronic poverty are likely to continue being by-passed by the opportunities that economic growth
offers, mostly to the 'active poor'. Development actors are therefore increasingly turning their attention to social
protection. Viewing social protection as a transformative intervention that extends to the causes of extreme poverty, this
paper argues that social protection initiatives borrow much from elsewhere, neglecting the local cultural context, and
failing to build on existing indigenous protection mechanisms that could be strengthened.
du Toit, A. and Neves, D., 2009, Informal Social Protection in Post-Apartheid Migration Networks: Vulnerability, Social
Networks and Reciprocal Exchange in the Eastern and Western Cape, South Africa, BWPI Working Paper 74, Brooks
World Poverty Institute, Manchester
What systems of informal social protection exist amongst poor and marginalised African households in Khayelitsha, Cape
Town, and in the rural Eastern Cape? This paper considers the dynamics of informal social protection in post-apartheid
migrant networks. It argues that in poor and marginalised households in South Africa, the indirect impacts of social grants
cannot be adequately understood by focusing on individual or household decision making. Elaborate and extensive
networks of reciprocal exchange link rural and urban households, allowing costs and resources, opportunities and shocks
to be shared and redistributed. However, these networks entrenched power relations may reinforce the exclusion and
vulnerability of some individuals. Additional formal social protection is therefore needed.
Coheur, A. et al, 2008, Linkages between Statutory Social Security Schemes and Community-Based Social Protection: A
Promising New Approach, International Social Security Association, Geneva
How can policymakers meet the urgent need to extend social protection coverage? This paper discusses research findings
18
on innovative integrated strategies to extend social health protection by linking statutory social security and informal or
community-based social protection schemes. It develops a typology of links that could strengthen schemes in the areas of
finance, administration, governance, service delivery and policy planning, exploring the actual and potential impact of such
links. Continuing to develop parallel mechanisms for extending coverage risks competition and duplication, but linking the
different systems could fruitfully address these problems.
Mitlin, D., Satterthwaite, D. and Bartlett, S., 2011, Capital, Capacities and Collaboration: the Multiple Roles of
Community Savings in Addressing Urban Poverty, Human Settlements Working Paper, IIED, London
Recent experiences demonstrate the significance of collective savings among low-income urban citizens in developing
countries. Such practices have helped to raise incomes, consolidate and protect individual and collective assets, and reduce
political exclusion. Some savings groups have evolved into substantive institutions. Not only can community savings
initiatives trigger multiple reinforcing effects that help to move households out of poverty, they can also achieve changed
relations with government agencies that support a more effective pro-poor and accountable state.
Habtom, G. M. K., and Ruys, P., 2006, Traditional Risk-sharing Arrangements and Informal Social Insurance in Eritrea,
Health Policy, vol. 80, no. 1, pp. 218-235
In the absence of formal safety nets, can Eritrea's traditional system of voluntary mutual aid community associations
('Mahber') be extended to cover unexpected health costs and other related costs? This study examines the role of kinship
networks and Mahber, and assesses the potential of Mahber-based health insurance schemes for the informal sector and
rural poor. It finds that where the state no longer provides free public health services and access to private insurance is
denied, Mahber-based health insurance is a viable way of providing modern health services.
19
Design and Implementation
Design and implementation

Designing and implementing social protection programmes in developing countries entails real challenges on both the
demand and supply side. The presence of informal social protection mechanisms combined with a lack of prior government
service provision means that there is often little demand for (or understanding of) social protection. On the supply side,
governments often lack the will to support social protection programmes which they can ill-afford. In this context, reaching
the most vulnerable presents problems, particularly where particular groups are marginalised and/or excluded. The
resources below present some of the key considerations in social protection programming.
Practical guidance
Samson, M., van Niekirk, I. and Mac Quene, K., 2006, 'Designing and Implementing Social Transfer Programmes',
Economic Policy Research Institute (EPRI), Cape Town
http://www.unicef.org/socialpolicy/files/designing_and_implementing_social_transfer_programmes.pdf
Grosh, M., et al., 2008, For Protection and Promotion: The Design and Implementation of Effective Safety Nets, World
Bank, Washington DC
http://siteresources.worldbank.org/SPLP/Resources/461653-1207162275268/For_Protection_and_Promotion908.pdf
Lessons learned
Lessons from past social protection interventions can be used to inform programme design and implementation. For
instance, it is suggested that despite their popularity cash transfers are not always the most viable option, for example
when markets are not functioning well, and/or goods are subject to price fluctuations. The potential for pensions are also
highlighted, as is the use of technological innovation to distribute transfers (such as mobile phones). It is generally
accepted that a successful social protection programme requires buy-in from beneficiaries, as well as political support (and
active engagement/ownership) from the national government. The prominent role of donors in both financing and
implementing social protection programmes raises questions about the long-term sustainability of an intervention
designed to be a long-term process.
Jackson, C. et al., 2011, 'Lessons from Social Protection Programme Implementation in Kenya, Zambia and Mongolia',
Research Report 69, Institute of Development Studies, Brighton
In what ways can social protection programming with its investments in human capital (through education, health and
nutrition) stop the intergenerational transfer of poverty? This study examines social protection programmes in Kenya,
Zambia and Mongolia to understand the factors (design and implementation) that account for success. It argues that
agencies need to ensure that ground-level good practice is effectively brought into policy and programming.
Ellis, F., 2007, Regional Lesson Learning from the Case Studies, REBA Case Study Brief, Regional Hunger and
Vulnerability Programme, Johannesburg
http://www.cashlearning.org/downloads/resources/casestudies/reba_case_study_brief_lessons.pdf
Barrientos, A., 2007, Introducing Basic Social Protection in Low-Income Countries: Lessons from Existing Programmes,
BWPI Briefing Paper, Brooks World Poverty Institute, Manchester
http://www.bwpi.manchester.ac.uk/resources/Working-Papers/bwpi-wp-0607.pdf
For more examples of lesson-learning within cash transfer programmes please see the section on Types of social
protection.
Financing and affordability

Social protection mechanisms are financed by international donors, national governments, individuals, communities, the
private sector and NGOs. Current research questions the previously-held belief that developing countries cannot afford
social security programmes and that money spent on social transfers to the poor could be better spent promoting growth.
However the affordability of projects in the long term is a major concern for national governments, as well as donors
concerned with the sustainability aspect of aid interventions. These concerns are especially pertinent in resourceconstrained environments with low potential for taxation, and in resource-rich countries which possess the administrative
20
capacity to finance social protection. In general the literature indicates that donor funding to social protection projects
should be reliable, predictable and long-term in order to encourage national government support and ultimately build the
recipient country capacity to deliver such programmes. Further, social protection interventions which are adequately
targeted to prevent leakage help provide value-for-money.
Barrientos, A., 2007, Financing Social Protection, BWPI Working Paper 5, Brooks World Poverty Institute (BWPI),
Manchester
http://www.bwpi.manchester.ac.uk/resources/Working-Papers/bwpi-wp-0507.pdf
Handley, J., 2009, Fiscal Space for Strengthened Social Protection: West and Central Africa, Regional Thematic Report 2,
UNICEF, Dakar
http://www.unicef.org/wcaro/wcaro_UNICEF_ODI_2_Fiscal_Space.pdf
Holmes, R. and Jackson, A., 2008, 'Cash Transfers in Sierra Leone: Are They Appropriate, Affordable or Feasible?',
Overseas Development Institute, London
Can cash transfers assist in Sierra Leone's post-conflict transition and contribute to reducing poverty levels? This project
briefing finds that the political acceptability of cash transfers remains a challenge. To achieve political acceptability,
particularly from donors, cash transfer programmes must be linked, programmatically and institutionally, to wider
economic growth processes. Implementation challenges, including institutional capacity and physical infrastructure, are
serious but not insurmountable.
Managing fiduciary risk

As an investment in the future, donors have an important role to play in managing fiduciary risks and thereby
strengthening the affordability of social protection for the governments of developing countries. However, the possibility
of eliminating such risks is thought to be low.
Department for International Development, 2006, Managing the Fiduciary Risk Associated with Social Cash Transfer
Programmes: DFID How To Note, DFID, London
What fiduciary risks do social cash transfer programmes, like pensions or household allowances, carry? How can
international donors limit the diversion of these funds away from their intended beneficiaries? This paper outlines
methods for appraising, minimising and monitoring the fiduciary risk of a cash transfer initiative. It argues that, while such
losses are almost impossible to eliminate, they can be reduced by assessing and recording the risks, designing programmes
to mitigate these risk and regular monitoring and evaluations to ensure the objectives of the programme are being met.
O'Cleirigh, E., 2009, Affordability of Social Protection Measures in Poor Developing Countries, in Promoting Pro-Poor
Growth: Social Protection, OECD, Paris, pp. 111-127
Targeting
Targeting refers to whether social protection mechanisms reach the poorest, or most vulnerable, households without
experiencing significant leakage into the hands of less vulnerable or ineligible individuals (errors of inclusion) or failing to
provide coverage to needy sections of the population (errors of exclusion). Transfers can be targeted on the basis of
geography, gender, age, disability, household size or other likely indicators of poverty or vulnerability.
Targeting has been shown to work in many instances. There are however three caveats: first, there are instances where
targeting is not effective, such as regional targeting, which risks both leakage and under-coverage of the ultra-poor;
second, there is a considerable trade-off within the programme design, as leakage to the ineligible is costly, but so is the
administrative burden of means-testing for programme eligibility; third, it is argued that targeted interventions are highly
political, particularly in the case of community-based targeting.
Slater, R. and Farrington, J., 2009, Targeting of Social Transfers: A Review for DFID, Overseas Development Institute
(ODI), London
Yoong, J., Rabinovich, L., and Diepeveen, S., 2012, The Impact of Economic Resource Transfers to Women Versus Men: A
Systematic Review, Technical report, EPPI-Centre, Social Science Research Unit, Institute of Education, University of
London
http://www.dfid.gov.uk/R4D/PDF/Outputs/SystematicReviews/EconomicTtransfer2012Yoong.pdf
21
Slater, R., and Farrington, J., 2009, Making Social Transfers Appropriate, Achievable and Acceptable: A Practical Tool for
Good Targeting, Overseas Development Institute (ODI), London
How can social transfers best be targeted to address financial poverty? How can decision-makers navigate trade-offs
between different targeting choices? This note presents a 'targeting decision tree'. It outlines the minimum data and
information requirements for good targeting and the questions requiring answers. Decisions should be based on whether
targeting is appropriate, achievable and acceptable. Successful targeting is most likely if programmes have one realistic
objective, and if they distinguish clearly between who should be eligible for support and how to identify the eligible.
Caeyers B. and Dercon S., 2008, 'Political Connections and Social Networks in Targeted Transfer Programmes: Evidence
from Rural Ethiopia', Working Paper 313, Centre for the Study of African Economies, University of Oxford
Is the targeting carried out by community-based transfer programmes influenced by beneficiaries' political and social
connections? This paper investigates how targeted transfers are allocated in Ethiopia under a highly bureaucratised and
decentralised administrative system. It finds strong evidence of favouritism and the influence of political connections;
families in need without connections to local political elites are significantly less likely to receive food aid transfers. This
illustrates the importance of political economy in the delivery of even basic aid.
To read more on the politics of targeting, see the section on The politics of social protection.
Delivery
In areas with poor financial infrastructure, social assistance, such as cash or food transfers, has conventionally been
delivered using pull mechanisms. Under this approach, recipients are required to report to a specified location at a
particular date and time to collect their transfers. In contrast, push mechanisms allow for transfers to be made to
recipients using technology, for example, the use of mobile phones or bank accounts to transfer money. Strong, contextspecific analysis is crucial to understand how technology can best be used and the effects of using new technologies on the
most vulnerable beneficiaries.
The development of new technologies has allowed for greater efficiency, cost-effectiveness and flexibility in accessing
funds. It has also resulted in other benefits, such as empowering recipients through gaining capacity in the use of
information and communications technology.
Devereux, S., 2010, 'Using Technology to Deliver Social Protection: Exploring Opportunities and Risks', Development in
Practice, vol. 20, no. 3, pp.367-379
What are the opportunities and risks of using information and communications technology (ICT) to deliver social
protection? This article considers experiences from southern Africa, focusing on pilot projects in Malawi. It finds that using
ICT to deliver social protection increases project efficiency and cost-effectiveness (particularly at large scale), increases
flexibility and broader access to banking facilities for beneficiaries, and can especially empower women. It can also bring
wider benefits to the national economy. With effective strategies in place to address risks such as information regulations
and data security, the opportunities of ICT use can significantly outweigh the risks.
Datta, D., Ejakait, A., with Scriven, K., 2009, Cash Transfers Through Mobile Phones: An Innovative Emergency Response
in Kenya, ALNAP Innovations Case Study 1, Active Learning Network for Accountability and Performance in
Humanitarian Action, London
http://www.alnap.org/pool/files/innovationcasestudyno1-concern.pdf
Harvey, P. et al., 2010, Delivering Money: Cash transfer mechanisms in emergencies, The Cash Learning Partnership
(CaLP) and Save the Children, London
This report offers guidance on assessing the different options for cash delivery. It also explores the potential for stronger
partnerships with private sector providers and looks at developments in the payments industry. It argues that contextspecific analysis is vital, as well as the integration of cash approaches into contingency planning. Clearly defined
programme objectives help to guide the choice of payment systems.
22
Donor coordination
The influence of the aid effectiveness agenda upon donor approaches to social assistance has meant that there is an
emphasis on the need for donors to not only encourage recipient country ownership but also harmonise aid interventions
in order to avoid duplication and promote the accountability of donors, national governments and service providers.
Waterhouse, R., 2007, Coordination and Coverage of Social Protection Initiatives in Mozambique, REBA Briefing Paper,
International Poverty Centre, New York
http://www.ipc-undp.org/publications/cct/africa/REBABriefingPaperSPCoordCoverageJuly07.pdf
Mainstreaming social protection

This section discusses the various ways in which social protection can be mainstreamed with other policy concerns.
A response to social exclusion

In targeting particularly vulnerable groups, social protection is a way of responding to the existence of social exclusion. The
process of identifying those most in need of social protection interventions entails undertaking poverty and vulnerability
analyses which help illuminate social exclusion from a life-cycle perspective. Life-cycle analysis within the design of social
protection programmes identifies sources of social exclusion at different stages in the life-cycle through the use of
disaggregated data, enabling programmers to allocate resources and focus their attentions on addressing social, as well as
economic, risks. Although there are problems in involving local communities in social protection programmes due to the
risk of existing levels of exclusion being exacerbated through community-targeting approaches, there exist a number of
guidelines for involving local organisations in order to promote social inclusion, specifically in employment programmes.
Cain, E., 2009, Social Protection and Vulnerability, Risk and Exclusion across the Life Cycle, in Promoting Pro-Poor
Growth: Social Protection, OECD DAC, Paris, pp. 129-144
Henriques, J.M., 2008, Social Protection, Employment and Local Development: Guidelines to Help Partners to Consult
Local Organisations in the Social Economy in the Area of Social Exclusion, Bridges for Inclusion, International Labour
Office (ILO), Geneva
http://www.ciaris.org/workspace_files/474/Guidelines__Social_protection__Employment__Local_Development_and_Inclusion_041208_Bridges.pdf
For detailed information on social exclusion, please see the GSDRCs Social Exclusion topic guide.
Gender
Gender roles and social norms play key roles in determining an individuals vulnerability, exposure to shocks and access to
social protection mechanisms. Men and women often face different risks and vulnerabilities and can also be affected by
the same risks differently. There is a need to conduct gender-focused baseline studies in order to determine where
particular pockets of vulnerability lie.
It is often women who face the greatest vulnerabilities due to lack of capital, high wage differentials and gendered work
norms, bearing the responsibility for childcare, and exclusion from basic services. Therefore it is often women who require
the benefits of social protection interventions. This implies that a level of targeting is required in order to reach
marginalised women who are likely not to benefit from existing programmes (e.g. labour market interventions for formal
sector workers). In relation to this, the recognition that social transfers directed at women may not always stay in the
possession of women at household level suggests that conditionality is useful in ensuring that transfers do directly benefit
women.
Although gender-sensitive policy and programme design has the potential to increase the effectiveness of social
protection, gender has not been integrated well into social protection approaches. Gender equality and womens
empowerment are considered secondary goals, resulting in a substantial disconnect between these goals on the one hand
and social protection objectives on the other. Explicit attention to empowerment in the design of social protection
programmes is necessary in order to broaden the view of gendered vulnerabilities beyond a narrow focus on support for
women's domestic roles and participation in traditional low growth sectors.
23
Holmes, R. and Jones, N., 2010, 'Rethinking Social Protection Using a Gender Lens', ODI Working Paper, no. 320,
Overseas Development Institute (ODI), London
To what extent is social protection programming reinforcing women's traditional roles and responsibilities, or helping to
transform gender relations in economic and social spheres? How can policy and programme design and evaluations better
address gender-specific risks and vulnerability? This paper synthesises multi-country research, finding that the integration
of gender into social protection approaches has so far been uneven at best. However,all the programmes studied had both
intended and unintended effects on women and gender relations. Attention to dynamics within the household can help to
maximise positive programme impacts and reduce potentially negative ones. Relatively simple design changes and
investment in more strategic implementation practices are needed.
Thakur, S. G., Arnold, C., and Johnson, T., 2009, Gender and Social Protection, in Promoting Pro-Poor Growth: Social
Protection, OECD, Paris, pp. 167-182
Luttrell, C. and Moser, C., 2004, Gender and Social Protection, Overseas Development Institute (ODI), London
How is gender relevant to social protection programmes? This paper discusses the role of gender issues in social
protection policies, programmes and strategies. Vulnerabilities to risk vary significantly by gender, and shocks affect men
and women differently. These differences need to be taken into account when developing social protection policies and
programmes.
Ezemenari, K., Chaudhury, N. and Owens, J., 2002, Gender and Risk in the Design of Social Protection Interventions,
Social Protection Discussion Paper Series 0231, World Bank, Washington DC
What are the gender dimensions of risk and its effects on individuals, households and vulnerable groups? How can gender
considerations be incorporated in the design of social protection programmes? This paper documents the gender
disaggregated impact of shocks, based on available empirical evidence, and reviews the gender issues specific to safety
nets, pensions and unemployment programmes. It concludes that undue focus on the household or family when designing
social protection programmes compromises their efficiency, equity and effectiveness.
Holmes, R and Jones, N., 2010, How to Design and Implement Gender-sensitive Social Protection Programmes: A
Toolkit Overseas Development Institute (ODI), London
Gender & Development special issue on Social Protection, Volume 19, Issue 2, 2011
http://www.tandfonline.com/toc/cgde20/19/2
Children
Ensuring that social protection has a strong child focus is an objective shared by leading organisations, particularly where
addressing vulnerability and risk are seen as the cornerstones of social protection. However existing social protection
frameworks do not always take into account the particular vulnerabilities of children (such as early marriage, child
soldiering and orphanhood). It is therefore argued that the needs of children must be accommodated within social
protection interventions by identifying child-specific risks and vulnerabilities and attempting to synergise child protection
with wider social protection design and implementation through the use of instruments such as conditional cash transfers
(e.g. Brazils Bolsa Escola), social health insurance and accessible social services for children.
Sabates-Wheeler, R., Devereux, S. and Hodges, A., 2009, Taking the Long View: What Does a Child Focus Add to Social
Protection?', IDS Bulletin, vol. 40, no. 1, pp. 109-119
http://onlinelibrary.wiley.com/doi/10.1111/j.1759-5436.2009.00015.x/abstract
Joint Statement on Child Sensitive Child Protection, 2009, DFID, HelpAge International, Hope & Homes for Children,
Institute of Development Studies, International Labour Organisation, Overseas Development Institute, Save the Children
UK, UNICEF, UNDP, World Bank, London/New York/Washington DC
http://www.unicef.org/socialpolicy/files/CSSP_joint_statement_9.13.10.pdf
UNICEF, 2012, 'Integrated Social Protection Systems: Enhancing equity for children - UNICEF Social Protection Strategic
Framework', UNICEF, New York
http://www.unicef.org/socialprotection/framework/
24
Jones, N., 2009, Promoting Synergies between Child Protection and Social Protection: West and Central Africa, Regional
Thematic Report 5, UNICEF, Dakar
http://www.crin.org/docs/Doc5_Child_Protection_and_social_protection_in_WCA.pdf
Jones, N. and Holmes, R., 2010, 'Tackling Child Vulnerabilities through Social Protection: Lessons from West and Central
Africa', Background Note,Overseas Development Institute (ODI), London
This report synthesises learning from child-sensitive social protection programmes in Equatorial Guinea, Ghana, Mali,
Niger, Congo, and Senegal. A child-sensitive approach to social protection needs to be informed by the specific
vulnerabilities and risks that children and their carers face. Challenges to such an approach in West and Central Africa are
political instability, lack of fiscal space, hostile socio-cultural attitudes, and lack of an evidence-based political culture.
Social protection design and implementation must be gender- and child-sensitive, and linked to broader reforms to create
fiscal space.
Greenberg, A., 2007, Enhanced Protection for Children Affected by AIDS, UNICEF, New York
How can children affected by AIDS be protected from increased vulnerability, exploitation and neglect? This report finds
that it is important to strengthen national and community-level responses for all vulnerable children by enhancing social
protection, legal protection and justice, and alternative care. This work must be underpinned by efforts to address the
silence and stigma that allow HIV-related discrimination, abuse and exploitation of children to continue.
Marcus, R. and Pereznieto, P., with Cullen, E. and Jones, N., 2011, Children and Social Protection in the Middle East and
North Africa: A Mapping Exercise, ODI Working Paper 335, London
This study maps child-sensitive social protection initiatives in the Middle East and North Africa (MENA), where children are
typically overrepresented among the poor. It also considers the main actors involved in social protection provision, their
strategies and programme limitations, and provides recommendations for improved child social protection. Challenges to
more effective and child-sensitive social protection in the region include financial barriers, the fragmentation of provision,
local-level difficulties in obtaining the correct documentation to obtain benefits, and citizens' lack of knowledge of their
entitlements.
Agriculture
Agriculture and pro-poor growth have an established connection. Whilst the connection between pro-poor growth and
social protection as a mechanism to both promote pro-poor growth and protect vulnerable populations from shocks is also
well-established, attempts to make direct links between agricultural policy and social protection are not yet systematic.
However social protection and agricultural policies are intricately linked: agriculture generates the conditions through
which social protection interventions can succeed (e.g. stable food prices, livelihoods), whilst social protection promotes
agricultural growth (e.g. protecting farmers from price fluctuations, increasing productivity and providing insurance against
weather-related losses). A perspective on the needs of those whose livelihoods depends on agriculture is particularly
pertinent when there is a strong preference for market-based interventions, which often exclude rural populations where
formal markets are not yet fully developed.
Farrington, J., Holmes, R., and Slater, R., 2007, Linking Agriculture and Social Protection: Conceptual Framework,
Overseas Development Institute (ODI), London
How can social protection reduce shocks and stresses in productive environments as well as for households? What are the
connections between social protection and agriculture in terms of concepts, approaches and contexts? This paper argues
that in relation to agricultural production, a well-managed social protection programme will seek to reduce both actual
shocks and stresses, and agriculturists' and labourers' perceptions of likely shocks and stresses. It can thus minimise the
loss of productive assets and encourage farmers' engagement in new, potentially more productive, enterprises.
Sabates-Wheeler, R., Devereux, S. and Guenther, B., 2009, Promoting Synergies between Social Protection and
Smallholder Agricultural Policies, FAC Working Paper No. SP01, Futures Agricultural Consortium (FAC), Institute of
Development Studies (IDS), Brighton
How do social protection and agricultural policies interact? What are the synergies or conflicts between them? This study
examines the situation in poor communities in Africa and explores how social and agricultural policies can complement
each other. Social protection can promote food security and agricultural production directly. However, the mix of policies
and instruments needed to achieve both 'livelihood protection' and 'livelihood promotion' must be determined by levels of
economic activity, infrastructure and market development.
25
Evaluating social protection programmes

Monitoring and evaluating impact are crucial parts of development programming. Whilst monitoring involves the collection
of data in accordance with specific indicators relating to a programmes objectives, evaluation techniques use this
information in order to make informed judgements about how successful a programme is during or at the programmes
completion. Due to the diverse nature of social protection instruments, available guidance focuses on individual
instruments rather than addressing social protection as a whole. Impact evaluations are ideal but have large data collection
and analysis requirements.
International Labour Organisation (ILO), 2007,Health Microinsurance Schemes: Monitoring and Evaluation Guide,
Volume 1: Methodology, Strategies and Tools against Exclusion and Poverty Programme (STEP), International Labour
Organisation (ILO), Geneva
What are the required capacities and key indicators of a viable health microinsurance scheme (HMIS)? This guide provides
a tool to help in overcoming the lack of evaluation data on health microinsurance schemes. In countries with low levels of
health insurance coverage, many health microinsurance schemes designed to reach the poor are emerging. There is
growing recognition that health microinsurance schemes constitute a complementary and valuable strategy in extending
social security.
Robalino, D., et al., 2009, Ex-Ante Methods to Assess the Impact of Social Insurance Policies on Labor Supply with an
Application to Brazil, Social Protection Discussion Paper No. 0929, World Bank, Washington DC
This study has developed a behavioural model to assess how changes in the rules of pensions and unemployment benefit
systems could affect savings rates, the share of time that individuals spend outside of the formal sector, retirement
decisions, and system costs. Key parameters are: (1) preferences regarding consumption and leisure; (2) preferences
regarding formal versus informal work; (3) attitudes towards risks; (4) the rate of time preference; and (5) the distribution
of an outside shock that affects movements in and out of the social insurance system, given individual decisions.
Simulations suggest, among other findings, the importance of joint policy analysis of unemployment benefits and pension
systems.
Paes-Sousa, R. and Santos, L. M. P., 2009, 'Measuring the Impact of Bolsa Familia Program Based on Data from Health
and Nutrition Days (Brazil)', Working Paper No.7, Iniciativa Latina y Caribe Sin Hambre, Food and Agriculture
Organisation of the United Nations, Santiago
Does Brazil's Bolsa Familia conditional cash transfer programme reduce children's malnutrition and food insecurity? This
study assesses the programme's impact on the nutritional status of zero to five year olds. Data on 22,375 children's
height/age, weight/age and weight/height shows that the PBF does improve child nutrition. To ensure an increase in
beneficiaries' health levels, families need greater access to goods and services which interact with improved nutrition. The
provision of more and better basic services and initiatives for inclusion in the labour market would ensure the PBF's
effectiveness.
Card, D., Ibarrarn, P. and Villa, J. M., 2011, Building in an Evaluation Component for Active Labor Market Programs: a
Practitioners Guide, Inter-American Development Bank, Washington DC
http://idbdocs.iadb.org/wsdocs/getdocument.aspx?docnum=36479813
See more detailed information on types of social protection interventions.
26
Donor approaches to social protection

Donors have become increasingly interested in funding social protection programmes, having moved away from narrow
approaches to social protection that just focus on the provision of safety nets in the event of economic shocks. The World
Bank and the ILO are the major donors in this area. Below are links to resources that explain more about the different
approaches taken by key players in the field of social protection. As this guide indicates, social protection has become
mainstreamed into everyday policy discourse and is therefore treated by all major donors.
Where is a good place to start?

Conway, T., de Haan, A. and Norton, A., 2000, Social Protection: New Directions of Donor Agencies, Overseas
Development Institute (ODI), London
Social protection is receiving renewed attention from development agencies. This report from the Overseas Development
Institute (ODI) was commissioned by the UK Department for International Development (DFID). The aim was to promote
dialogue between international agencies as a basis for coordination and consistency in global donor policy on social
protection issues. The report presents edited versions of papers from ODI, the World Bank (WB), the International Labour
Organisation (ILO) and the Asian Development Bank (ADB), as well as a summary of discussions at a related workshop. It
argues that collaboration between agencies is essential for effective social protection.
Barrientos, A., and Hulme, D., 2008, The Future of Social Protection in the Developing World: Actors, Bottlenecks and
Politics, in Social Protection for the Poor and Poorest: Reflections on a Quiet Revolution, Brooks World Poverty
Institute, Manchester, pp.13-19
This section of a broader paper examines three important factors in the future of social protection: the role of external
actors, the bottlenecks of sustainable finance and delivery capacity, and politics. It argues that the role of national
governments in formulating and coordinating policies is important, and emphasises the need for political conditions that
are conducive both to the initiation of social protection programmes and their sustainability. Donors should prioritise
governments' capacity to fund social protection programmes and focus on creating a domestic political constituency to
support social protection.
Donor approaches
Asian Development Bank (ADB)
The ADB includes a wide variety of projects under its definition of social protection: labour market programmes, social
assistance, social insurance, micro and area based schemes and child protection. For more information see:
http://beta.adb.org/themes/social-protection/
Handanyani, W., and Burkley, C., (eds), 2009, Social Assistance and Conditional Cash Transfers: Proceedings of the
Regional Workshop, Asian Development Bank (ADB), Manila
http://www.adb.org/documents/conference/social-assistance-cct/proceedings-social-assistance-cct.pdf
Department for International Development (DFID)

DFID has produced a number of short briefing papers outlining their position on and work relating to social protection.
These papers are listed below and, in general, they focus on social assistance, particularly social transfers. A number of
other papers published by DFID can be found throughout this topic guide.
Davies, M. et al., 2009, 'DFID Social Transfers Evaluation Summary Report', IDS Research Report 60, Centre for Social
Protection, Institute of Development Studies, Brighton
What can be learned from DFID-supported social protection and social transfer programmes? This review of 24
programmes in 16 countries across Africa, Asia and Europe finds that outcomes and impacts vary greatly relative to the
unique conditions applied in specific contexts. A set of generalised findings can be identified, but these are not prescriptive
policy options, and should be examined further in specific contexts. The effectiveness of social transfers is largely
27
Donor Approaches to Social Protection
dependent on their level and regularity.

DFID, 2006, Social Protection in Poor Countries, Social Protection Briefing Note Series no.1, UK Department for
International Development, UK
DFID, 2005, Can Low-Income Countries in Africa Afford Social Transfers, Social Protection Briefing Note Series no. 2, UK
Department for International Development, UK
DFID, 2006, Using Social Transfers to Improve Human Development, Social Protection Briefing Note Series no. 3, UK
http://www.sarpn.org/documents/d0001961/DFID_Social-transfers_Feb2006.pdf
DFID, 2006, Social Protection and Economic Growth in Poor Countries, Social Protection Briefing Note Series no. 4, UK
International Labour Organisation (ILO)

The ILO's work on social protection covers both issues of social security and labour protection, taking its cue from the 1952
International Labour Standards Convention. They emphasise that social security is a basic human right. The ILO organise
their agenda around the concept of Decent Work which covers rights at work, employment, social protection and social
dialogue. For more information see: http://www.ilo.org/protection/lang--en/
Bonilla Garcia, A. and Gruat, J., 2003, Social Protection: A Life Cycle Continuum Investment for Social Justice, Poverty
Reduction and Sustainable Development, International Labour Organisation, Geneva
Globalisation and trends like changing employment patterns are leading to greater risk, insecurity and vulnerability. To
address these changes, the scope of social protection needs to be expanded. This paper by the International Labour
Organisation (ILOs) presents a broader concept of social protection within the framework of the ILOs Decent Work
Agenda.
ILO, 2008, Setting Social Security Standards in a Global Society: An Analysis of Present State and Future Practice and of
Future Options for Global Social Security Standard in the International Labour Organization, Consultation Paper, ILO,
Geneva
http://www.ilo.org/public/english/protection/secsoc/downloads/policy/policy2e.pdf
ILO, Social Health Protection: an ILO Strategy Towards Universal Access to Healthcare, Draft for Consultation Issues in
Social Protection, Discussion Paper, 19, ILO, Geneva
http://www.ilo.org/public/english/protection/secsoc/downloads/healthpolicy.pdf
In the wake of the financial crisis the ILO, along with the WHO, have been at the forefront of discussions about the need to
establish a social protection floor. The ILO has articulated its support for a social floor consisting of the provision of both
essential services and social transfers as a requirement in order to safeguard the attainment of the Millennium
Development Goals.
Social Protection Floor Advisory Group, 2011, 'Social Protection Floor for a Fair and Inclusive Globalization', International
Labour Organization, Geneva
This report outlines recommendations on how to extend social protection coverage through the social protection floor
approach. A social protection floor involves an integrated set of nationally-driven and tailored policies designed to
guarantee a) income security (through social transfers in cash or in kind); and b) universal access to essential, affordable
social services. The successful phasing-in of a social protection floor will require political will, fiscal space and effective
institutions. Where low-income countries require some initial assistance for social protection floor initiatives, donors need
to improve aid coordination and provide multi-year, direct budgetary support and capacity building.
ILO/WHO, 2009, Social Protection Floor Initiative, Joint Crisis Initiative of the UN Chief Executives Board for
Coordination on the Social Protection Floor, ILO/WHO, Geneva
http://www.un.org/ga/second/64/socialprotection.pdf
28
ILO/WHO, 2009, Social Protection Floor Initiative: Manual and Strategic Framework for Joint UN Country Operations,
ILO/WHO, Geneva
http://www.ilo.org/gimi/gess/RessShowRessource.do?ressourceId=14484
Organisation for Economic Cooperation and Development (OECD)

The use of the multi-dimensional poverty framework by the OECD/DACs Poverty Network (POVNET) has been very
influential. This framework highlights pro-poor growth as an area of crucial importance, and supports social protection as a
way to achieve equitable and efficient economic growth.
Voipio, T., 2007, Social Protection for Poverty Reduction: The OECD/DAC/POVNET View, IDS Bulletin, vol. 38, no. 3,
pp.45-50
http://onlinelibrary.wiley.com/doi/10.1111/j.1759-5436.2007.tb00374.x/abstract
OECD, 2009, Promoting Pro-Poor Growth: Social Protection, OECD, Paris
Various chapters of this text appear in previous sections of the topic guide.
Oxfam
Oxfams 2009 policy statement on social protection defines it both as a basic right and an action, emphasising its role in
mitigating risk and vulnerability, promoting the rights of the marginalised, and supporting the chronic poor.
Oxfam International, 2009, Policy Compendium Note on Social Protection, Oxfam International, Oxford
http://www.oxfam.org.uk/resources/policy/conflict_disasters/downloads/oi_hum_policy_social_protection.pdf
World Bank
The World Bank has developed an analytical tool called Social Risk Management (SRM) in order to identify social risks and
potential responses. There are three main areas of SRM: risk management strategies, risk management arrangements and
actors in risk management. Whilst it links social protection to broader poverty reduction aims and shifts the focus from risk
coping to risk reduction and assessing vulnerability the approach has been criticised for not recognising that the chronically
poor are continuously subjected to stresses (continual risk) which leads to an erosion of assets. For the latest information
see: http://go.worldbank.org/FJ6LLR2LU0
Holzmann, R., and Jorgensen, S., 2000, Social Risk Management: A New Conceptual Framework for Social Protection and
Beyond, Social Protection Discussion Paper No. 6, World Bank, Washington DC
http://siteresources.worldbank.org/SOCIALPROTECTION/Resources/SP-Discussion-papers/Social-Risk-ManagementDP/0006.pdf
Holzmann, R., Sherburne-Benz, L., and Tuislic, E., 2003, Social Risk Management: The World Banks Approach to Social
Protection in a Globalising World, Social Protection Department, World Bank, Washington DC
The World Banks rethinking of traditional Social Protection approaches has inspired a new conceptual framework named
Social Risk Management (SRM). The focus of SRM is to replace unproductive coping strategies with advance planning and
mechanisms to help households anticipate and insure against shocks. This requires redesigning traditional public
interventions and substantial future work at the conceptual, empirical and policy level.
Holzmann, R., (ed.), 2009, 'Social Protection and Labor at the World Bank 2000-2008', World Bank, Washington DC
This report examines the World Bank's social protection and labour (SP&L) strategy, its implementation and achievements.
It finds that the strategy has led to social protection being mainstreamed at the World Bank. Further, the social risk
management (SRM) concept it incorporates highlights the importance of: (1) multiple strategies for dealing with risks
(prevention, mitigation, and coping); and (2) multiple arrangements - traditional and informal systems, market-based
systems, and public sector policies and programmes. Other lessons include the importance of a clear conceptual
framework to guide policy work, implementation according to country contexts, and partnership and harmonisation
among international agencies.
29

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TOPIC GUIDE ON

About this guide

About the GSDRC

Governance and Social Development Resource Centre (GSDRC)

Types of social protection ....................................................................................................................................................... 12

Design and implementation ................................................................................................................................................... 20

GSDRC, 2012, Topic Guide on Social Protection

Donor approaches to social protection .................................................................................................................................. 27

Understanding social protection

Conceptualising social protection

GSDRC, 2012, Topic Guide on Social Protection

Understanding Social Protection

Current global issues

The politics of social protection

See one-page summary: http://www.gsdrc.org/go/display&type=Document&id=4190

The Global Financial Crisis

GSDRC, 2012, Topic Guide on Social Protection

Understanding Social Protection

Regional perspectives on social protection

GSDRC, 2012, Topic Guide on Social Protection

Social Protection, Poverty and Economic Growth

Social protection, poverty and economic growth

Social protection and poverty

Social protection and economic growth

GSDRC, 2012, Topic Guide on Social Protection

Types of Social Protection

Types of social protection

Programme examples and lessons learned

GSDRC, 2012, Topic Guide on Social Protection

Types of Social Protection

Cash transfers in emergencies

Public works programmes

GSDRC, 2012, Topic Guide on Social Protection

Types of Social Protection

Health fee waivers

Labour market interventions

GSDRC, 2012, Topic Guide on Social Protection

Types of Social Protection

Labour market interventions for informal workers

Community-based social protection

GSDRC, 2012, Topic Guide on Social Protection

Design and Implementation

Design and implementation

Financing and affordability

Managing fiduciary risk

GSDRC, 2012, Topic Guide on Social Protection

Design and Implementation

Mainstreaming social protection

A response to social exclusion

GSDRC, 2012, Topic Guide on Social Protection

Design and Implementation

GSDRC, 2012, Topic Guide on Social Protection

Design and Implementation

Evaluating social protection programmes

Donor approaches to social protection

Where is a good place to start?

Department for International Development (DFID)

GSDRC, 2012, Topic Guide on Social Protection