75044
January 2013
Common Ground: UNICEF and World
Bank Approaches to Building Social
Protection Systems
Key Messages
ï‚· Developing and strengthening social protection systems is at the core of the World Bank Social Protection and
Labor Strategy, and the UNICEF Social Protection Strategic Framework. This note outlines common ground
Key Message
in this commitment and calls on other stakeholders to engage collaboratively 2 systems Key
in the Message 3
agenda.
ï‚· Social protection systems provide a coordinated portfolio of interventions to address different dimensions of
poverty and deprivation, aiming to reduce vulnerability across the life-cycle and ensure cumulative benefits
Test Title
across generations.
ï‚· There are numerous challenges, risks and costs involved in taking a systems approach, including challenges of
political economy and differing donor views and practice, the risks of excessive centralization, and potential
costs of transactions and limited transparency.
ï‚· The movement towards more integrated systems is a gradual and contextual process. In operationalizing this
agenda, it is useful to consider different levels of systems coordination: policy, programme and administrative.
ï‚· There is no one-size-fits-all in terms of operationalization of systems. Pathways will differ according to country
contexts, capacity and needs, and approaches need to be country-led.
ï‚· The World Bank and UNICEF acknowledge the critical importance of donor coordination, and call for
partner agencies to be part of the solution in order to:
o Work together to present coherent support to countries;
o Maximize synergies and common agendas, recognizing different organizations’ value-added;
o Jointly support sustainable, scalable, evidence-based interventions;
o Enhance and share analytical work on systems development;
o Promote South-South learning and cooperation for knowledge sharing and capacity building.
This note was prepared by Laura Rawlings at the Human Development Network, World Bank, and Sheila Murthy and
Natalia Winder at the Social Policy and Economic Analysis Unit, UNICEF. The authors would like to thank Iffath Sharif,
Qaiser Khan, Cem Mete, Mattias Lundberg and Anush Bezhanyan at the World Bank, and Jeffrey O’Malley, Jennifer
Yablonski, Gaspar Fajth, Mariana Stirbu, Roberto Benes, Qimti Paienjton, Enrique Delamonica, and Rachel Yates at
UNICEF, for their valuable insights and review.
1
For instance, a World Bank review of cash transfer programmes in 48 countries in Sub-Saharan Africa showed that, with
the exception of middle-income countries, cash transfer programmes are fragmented across ministries, and also across
donors: 45% are managed outside governmental institutions and within the government-run programmes, 34% are managed
by social welfare (or related) ministries; 5% by health; 2% by education and 9% by social security or labour ministries
(Moore and Garcia, 2012).
1
The World Bank strategy includes labour market programmes (active and passive) and labour regulation as a central
element in its approach to social protection. Not all approaches to social protection include a labour dimension.
Executive Summary
The recently released UNICEF Social Protection Strategic address multiple and compounding risks and vulnerabilities.
Framework and the World Bank Social Protection and Social protection systems aim to be synchronized across a
Labor strategy call for taking a systems approach to social network of interventions and policies, equitable in the
protection as a way to help countries, communities, families distribution of resources, and transparent and accountable
and children enhance resilience, equity and opportunity. in their governance.
This note outlines common ground in the World Bank and Risks, challenges and costs
UNICEF approaches to building social protection systems,
Although a systems approach has potential benefits, it may
using a focus on children to illustrate the premise and
also involve a number of risks, challenges and costs. At the
promise of a systems approach. It is part of a broader
forefront of challenges are political economy issues that can
commitment by both agencies to increase collaboration
make it difficult to move toward increased coordination,
across different stakeholders – governments, development
even where a strong mandate exists. Before investing
partners and others – in developing and strengthening social
financial and institutional resources along with political
protection systems and expanding their coverage.
capital, it is important to take into account the political and
institutional factors that need to be aligned for such an
The rationale for a systems approach to social
effort to be successful and sustainable in any given country.
protection
Donors often play a role in supporting or undermining a
Central to a systems approach is a focus on coordination coherent policy environment. Institutional capacity and
and harmonization in order to address the fragmentation country characteristics are also critical, highlighting the need
that limits the effectiveness and impact of social protection for approaches to be tailored to national contexts.
policies and programmes. Although much of the systems
discussion is currently based more on theoretical grounds There are also risks to a systems approach. Excessive
than on empirical evidence, there are, in principle, a centralization can lead to errors being propagated across
number of benefits to moving toward a systems-oriented programmes that have common points of entry, and risks
approach to social protection. stifling creativity and responsiveness. There may also be
fewer checks and balances, as well as information
What are the goals of a systems approach? A systems asymmetries.
approach to social protection aims to provide a coordinated
and harmonized response to the multi-dimensional Finally, there are costs to coordination, notably transaction
vulnerabilities across a life-cycle cycle. Such an approach has costs to managing complex cross-programme arrangements.
the potential to build resilience, enhance equity and There may also be costs and tradeoffs involved if systems
coverage by addressing heterogeneous needs, as well as to crowd out effective private and informal arrangements.
promote opportunity by building and protecting human Many of these risks, however, can be minimized through
capital, skills and productivity. In addition to contributing careful design and clear understanding of country context.
to these goals, a systems approach also aims to improve the
efficiency and sustainability of social protection A child lens for social protection systems
programmes.
The rationale for a systems approach is further enhanced
when assessed through a child lens. A systems approach is
What is meant by a systems approach? Adopting a systems
particularly relevant for children, given the need for a set of
approach in social protection may take different forms and
multi-sector interventions to address the evolving,
pathways. In general terms, it comprises a portfolio of
compounding and multiple dimensions of child poverty,
interventions which address social and economic
deprivation and exclusion across the life-cycle.
vulnerabilities using both short-term interventions to
address temporary shocks and longer-term approaches to
Providing a set of coordinated interventions, social
address structural vulnerabilities and chronic poverty.
protection systems are well suited to respond to the dynamic
Systems should be grounded in established institutional
nature of risk and vulnerability faced by children which is
arrangements, with clear assignment of responsibilities and
compounded over time if not addressed. Social protection
use of common administrative tools in order to provide
can serve as an effective catalyst for a range of multi-sector
channels for effective cross-programme management. As
investments needed to address children's multiple needs,
social protection systems evolve, the development of multi-
including investments in child protection, education,
sector approaches and coordination can also increasingly
icogni
address multiple ii
cognitive development, nutrition and health. A systems interactions (such as training policies to build skills and
approach also speaks to the flexibility needed to respond during move young people from assistance into more productive
critical periods in a child's development, and to the need to opportunities).
invest early to gain efficiencies given that early childhood
investments generate high rates of return. The administrative level focuses on developing the "nuts
and bolts" tools that facilitate the core business processes of
A systems approach also supports the establishment of cohesive social protection programmes. These include, for instance,
national mandates to coordinate the range of actors and beneficiary identification systems and registries, targeting
interventions necessary to secure effective investments in schemes, monitoring and evaluation arrangements, and
children and generate the associated public goods. Furthermore, contracting and payment arrangements for providers. The
the foundations of equity and equality of opportunity are set-up of these tools or building blocks can serve as an entry
established during childhood and can be strengthened by social point for the operationalization of social protection systems.
protection systems that help ensure access to critical investments
among children from low-income settings or socially excluded Social protection systems must also be developed relative to
populations. Finally, a systems approach provides responses that the existence of other programmes and policies, notably in
recognize the intergenerational and compounding nature of the social sectors to effectively address multidimensional
vulnerabilities, as children do not only experience age-specific vulnerabilities. In addition, multi-sector (horizontal)
deprivations but also share those that affect their families and coordination often also involves ensuring that social
communities. protection is coupled with effective supply-side investments
in health, education, child protection and nutrition, to
In sum, social protection systems ensure that individual achieve its objectives. When properly coordinated, social
instruments interact with and support one another in reducing protection can serve as a catalyst for expanding access to
vulnerability across the life-cycle. This is important for managing services and thus contribute to enhance equitable sector
risk effectively, expanding coverage, and providing predictable outcomes. There is also a need to consider how to best
benefits. approach vertical coordination across national and local
government stakeholders, as well as other existing
Operationalizing a systems approach to social arrangements, including private and non-formal
protection arrangements such as community-based groups.
Beyond the theory and rationale for moving toward a systems
approach to social protection, there is a need to collaborate on Pathways toward building stronger systems
supporting operational aspects. The movement towards a more Social protection systems will take many forms, with
integrated system is a gradual process and it is necessary to portfolios of programmes tailored to the demands of
consider different levels: policy, programme and administrative different country contexts. There is no "one size fits all"
levels. approach. Instead policies, programmes and administrative
systems will need to be adapted to countries' different
The policy level defines a long-term vision and ensures policy institutional contexts and to the demands of particular
coherence within social protection and in relation to broader regions and groups within countries. Initial conditions set
objectives. This is the highest and most strategic level of the context for how pathways can evolve and there is much
engagement. It is here that the objectives and functions of social to be learned from knowledge sharing across countries in
protection systems are defined in the context of national goals setting goals and managing transitions toward stronger
and priorities, and assessed given fiscal and administrative systems.
capacity.
Regardless of country context, there are a number of areas
The programme level is focused on integrating, harmonizing, or to consider in building stronger and more effective systems
coordinating programmes. This second level of engagement is including the importance of institutional capacity, financial
driven by initiatives aiming to improve the performance of resources and political leadership. These need to be
programmes within a given function (such as child protection) or assessed and solutions tailored accordingly.
to enhance coordination across programmes to better exploit
iii
Furthermore, there is also a need for analytical work, both Looking forward
to better understand the need for social protection and to UNICEF and the World Bank are committed to contributing
shape effective responses to risk and vulnerability. On the to the emerging global social protection agenda, working in
demand side, continued improvements are needed to assess partnership with each other and different stakeholders –
the dynamics of risk and vulnerability. This calls not only government, partner agencies, civil society – to help build
for understanding micro-determinants of households and nationally led social protection systems. Given the multi-
community resilience, but also for better knowledge of how sectoral nature of social protection and the existing
these are driven by macro elements including climate fragmentation in approaches, these partnerships are essential
change and economic shocks such as volatility in food and in supporting the development and strengthening of social
fuel prices. protection systems.
The World Bank, UNICEF, national government agencies In this process, UNICEF and the World Bank acknowledge
and many others are investing in assessment tools to inform the critical importance of donor coordination, and call for
the design, performance and impacts of a systems approach. partner agencies to be part of the solution: working together
This includes developing a new approach to programme to present coherent support to countries; maximizing
evaluation to focus on assessing initiatives that aim to synergies and common agendas while recognizing the value-
merge, bridge, or coordinate programmes. It also calls for added of different organizations; aiming at sustainable and
monitoring-based inventories of the performance of existing scalable interventions; enhancing analytical work to further
social protection interventions, as well as modeling tools to the understanding of systems development; promoting South-
understand the impacts of different reform options. Each of South learning and cooperation for knowledge sharing and
these analytical tools calls for improving the availability, capacity building at all levels and thus address/surpass the
quality, and use of micro-data, notably from household inherent institutional and financial challenges countries face
surveys, administrative records, and evaluations. In most when harmonizing systems.
countries today, these data are of poor quality and often not
produced regularly enough to serve as useful sources of
information for informing policy and programme decisions.
iv
I. Introduction
The World Bank and UNICEF have each placed building development and strengthening of social protection systems.
social protection systems at the heart of efforts to support This note maps out common elements in the World Bank and
countries in developing successful social protection UNICEF approaches to social protection systems in an effort to
approaches. The recently-released World Bank Social establish a clear and common framework for an effective
Protection and Labor Strategy and UNICEF Social Protection operationalization of social protection systems going forward. Both
Strategic Framework both call for strengthening social agencies recognize that a ‘one size fits all’ approach is not
protection systems and recognize systems as a promising appropriate but that there are common elements to systems work
approach to address the multiple and compounding that can be tailored to the needs of specific countries and
vulnerabilities of children, families and communities by groups. While acknowledging the different mandates of the
enhancing their equity, resilience and opportunity. World Bank and UNICEF, the note seeks to establish and
strengthen the considerable common ground in the two
This note outlines common ground in the World Bank agencies’ approaches to social protection systems in order to
and UNICEF approaches to building social protection better align work on behalf of our partner countries. It also
systems, using a focus on children to illustrate the premise recognizes that although there can often be different points of
and promise of a systems approach. It is part of a broader departure for taking a systems approach, there is often common
effort, to which both agencies have committed, to increase ground in operationalizing a systems approach, such as finding
collaboration across different stakeholders – governments, more efficient, effective ways to reach the poorest. The objective
development partners and others – in developing and is to start a discussion of key considerations and challenges
strengthening social protection systems and expanding related to the development of social protection systems, and to
coverage. better align UNICEF and World Bank support to countries on
this important agenda.
Today’s increasingly risky and interconnected world
underscores the relevance of an integrated approach to This note uses the lens of child-sensitive social protection to
social protection and many countries have made social explore the relevance of systems. A child-sensitive approach is
protection a centerpiece of their approaches in managing illustrative of the need for a systems approach in order to address
risk and addressing poverty and vulnerability. Social
the multiple and compounding vulnerabilities faced by children
protection is needed to help children and families manage
due to age-specific vulnerabilities, as well as those shared with
risks linked to economic and social vulnerabilities while
building resilience, both in normal times and in crises. families and communities. This focus is central to UNICEF’s
Social protection is also increasingly recognized as an mandate but is also highlighted as a key element in the World
important ingredient for poverty reduction and a foundation Bank strategy given its focus on inclusion and recognition of
for inclusive growth,i and equity.ii children’s particular vulnerabilities. Both agencies recognize the
applicability of a life-cycle approach to understanding the design,
However, in many countries social protection programmes performance and cohesion of social protection systems that can
are often fragmented, uncoordinated and do not exist at address both economic and social vulnerabilities as well as the
scale. This situation is often grounded in challenges and
structural causes that result in child deprivations.
constraints to institutional capacity and organization,
political leadership and incentives, different time frames in
This note is divided as follows. Section II discusses what is meant
terms of design and expected impacts, as well as financial
by a systems approach to social protection, including rationale,
resources. The result is often a collection of smaller
key characteristics and levels. A discussion of the potential
unconnected efforts focused on distinct regions, discrete
benefits and key challenges and risks of taking a systems
groups, or specific objectives without complementing each
approach follows in Section III. Section IV explores the
other. In other contexts, larger-scale programmes may exist
application of a systems approach using the lens of child-sensitive
but may work in silos, limiting their effectiveness and
social protection with a particular emphasis on the extent to
undermining the overall coherence of an effective approach,
which a systems approach is an effective strategy for addressing
as well as potential impacts. This fragmentation calls for
multiple and compounding vulnerabilities across children’s life-
taking a systems approach to social protection that can
cycle. Sections V and VI provide an overview of the different
enable effective coordination to best achieve the goals of
levels of a systems approach, and key elements to consider in the
social protection.
operationalization of a systems approach to social protection.
Conclusions and a call for strengthened collaboration are
The objective of this note is to provide an initial discussion
provided in Section VII.
of the common understanding and rationale behind the
1
II. Rationale for a Systems Approach to Social Protection
ï‚· Weak horizontal coordination among multiple actors
A. The Current Context: Social Protection involved in managing (and financing) a wide range of
Fragmentation policies and programmes: programmes are managed by
different agencies or by different departments within
Although many countries deploy social protection as a the same agency with different political/management
critical component of their poverty alleviation and accountabilities. Moreover, depending on the country
development strategies, in many countries efforts remain context, programmes may be largely donor- and/or
highly fragmented. The heightened relevance of social NGO-driven, translating into a wide array of
protection in the developing world has, in part, led to the programmes that often have contradictory or
proliferation of social protection programmes and policies overlapping objectives, operate in silos, and do not
across regions. Despite marked differences in terms of follow national strategies or priorities but reflect
design, components, and coverage, a common characteristic particular donor interests and approaches.1
of many of the recent social protection efforts is
fragmentation. Largely due to the inherent challenges of ï‚· Under-funding and limited organizational capacity of the
building systems within a country, the fragmentation of lead agencies responsible for social protection which often
social protection programmes has limited their potential results in limited policy and planning capacity and
efficiency, synergy and impact on poverty, inequality and human resource constraints for undertaking core
exclusion. Fragmentation exists at the policy, programme functions of the ministry at the national and
and administrative levels and is often a consequence of: decentralized levels.
ï‚· Programmes responding to different normative references, ï‚· Limited or non-existing links between contributory and
legislative frameworks and regulations without the income support (non-contributory) programmes: in some
benefit of a national framework or strategy for social contexts, alongside the traditional contributory
protection, increasing complexity and inefficiency, systems, reforms have been put in place to expand the
and undermining coherence, and institutional coverage of social protection to the poorest sectors of
legitimacy. the population. However, this has, in turn, created
two-tier systems which address different income
ï‚· Limited understanding of the most appropriate options to groups but are not necessarily well-coordinated across
operationalize systems, especially in contexts where different instruments.
individual social protection programmes have been
established for long periods of time. ï‚· The use of different administrative systems such as targeting,
delivery, registry and/or monitoring and evaluation systems
ï‚· Lack of coordination and dialogue between national for each programme, with little or no coordination
efforts and non-state and informal systems: many non- across programmes, increasing the likelihood of
state actors and/or informal, community-based inclusion and exclusion errors while undermining the
groups provide social protection services, spread ability to communicate and manage common
across different communities, benefiting a broad processes across programmes.
range of actors but are not well coordinated with
national institutionalized policies and In its different forms, fragmentation can create significant
programmes.iii inefficiencies, at the policy, programme and administrative
levels, undermining the potential impact of social protection
ï‚· Weak vertical coordination between central and local on building resilience and contributing to human
levels: national social protection objectives and development. At the policy level, particularly relevant in
decentralized implementation are often not clearly financially constrained fiscal contexts, uncoordinated
linked, creating confusion between lines of programmes usually result in overlapping objectives, or parallel
responsibility as well as between accountability at structures serving a similar purpose. Initiatives not integrated
the central and local levels.iv into national structures and/or strategies result in inefficient
1 allocation
For instance, a World Bank review of cash transfer programmes in 48 countries of resources
in Sub-Saharan and
Africa have that,
showed limited
withcapacity to benefit
the exception of
from economies of scale, and be financially
middle-income countries, cash transfer programmes are fragmented across ministries, and also across donors: 45% are managed outside and politically
governmental institutions and within the government-run programmes, 34% sustainable
are managed by the long
in social term.
welfare Moreover,
(or related) at 5%
ministries; the by
programme
health;
and administrative
2% by education and 9% by social security or labour ministries (Moore and Garcia, 2012). levels, fragmentation has implications in
2 terms of limited and scattered coverage, with high inclusion
and exclusion errors, where those hardest to reach, the poorest
and most excluded, are not covered. In many instances,
although programmes may have similar eligibility requirements
for accessing benefits, limited coordination of administrative
and information systems (e.g.: beneficiary lists, targeting
allocation of resources and have limited capacity to benefit better;2 and (iv) addressing economic but also social
from economies of scale, and be financially and politically vulnerability to poverty and exclusion (transformative
sustainable in the long term.v Moreover, at the programme functionviii). The literature uses different terminology to name
and administrative levels, fragmentation has implications these functions but, beyond semantics, there is a general
in terms of limited and scattered coverage, with high inclusion agreement about their meaning and purpose.
and exclusion errors, where those hardest to reach, the
poorest and most excluded, are not covered. In many While recognizing that adopting a systems approach in social
instances, although programmes may have similar eligibility protection may take different forms and pathways, in general
requirements for accessing benefits, limited coordination terms, it includes the following components:
of administrative and information systems (e.g.: beneficiary
lists, targeting systems, and assessments) reduce the ï‚· A set of interventions that address both social and
likelihood of beneficiaries being able to access available economic vulnerabilities and their interaction, based on
services. Weak referral systems (e.g.: between transfer assessed needs and context.
schemes and child protection services) and limited
ï‚· A set of established policies and programmes that can
awareness among staff about other programmes and
benefits become key obstacles to children’s, families’ and provide both short-term interventions to address
communities’ access to essential benefits and services. temporary shocks and longer-term approaches to address
structural vulnerabilities and chronic poverty.
B. What Do We Mean By “Social Protection
Systems�?  Institutional arrangements, clear assignment of
responsibilities, and common administrative tools used
Social protection systems are defined differently by different across social protection programmes (such as
agencies. The World Bank strategy refers to them as beneficiary identification and registry) in order to
“portfolios of coherent programmes that can talk to each provide channels for effective cross-programme
other, often share common administrative sub-systems, and management.
work together to deliver resilience, equity and
opportunity.�vi UNICEF defines integration as “a network  Multi-sector approaches and coordination, in order to
of responses, that take a multi-pronged and coordinated address multiple and compounding risks and
approach to the multiple and compounding vulnerabilities vulnerabilities across the life-cycle.3
faced by children and their families.�vii
There is also considerable agreement regarding the
characteristics of social protection systems, including:
At the center of these definitions is the concept of
coordination, which addresses fragmentation limiting the ï‚· Synchronized. Facilitates the coordination of a network
effectiveness and impact of the core functions of social of interventions and policies to effectively address the
protection. Reducing fragmentation across programmes, multiple vulnerabilities of children, families and
actors, and levels of government can improve efficiency and communities. Focused on exploiting interactions
increase coverage, resulting in strengthened resilience to across programmes and mindful of establishing
poverty and exclusion, and enhanced human development. complementary incentives across programmes.
In other words, through a systems approach, there is
potential for enhancing the core functions of social protection, ï‚· Equitable. Ensures that resources are equitably
namely: (i) protecting income, consumption and human distributed and support common rights and
capital in the face of shocks; (ii) combating poverty and obligations, helping to ensure equality of opportunity.4
exclusion by addressing structural deprivations and ensuring
access to goods and services; (iii) improving individuals'  Transparent and accountable. Ensures programmes’
earnings opportunities by promoting investments in human relevance, ownership, and effectiveness through the
capital, giving access to credit, and making labour markets development of structures and mechanisms that
(which are the main source of income for most people) work
vulnerability to poverty and exclusion (transformative
2
The World
function ). Bank
Thestrategy includes
literature labour
uses market terminology
different programmes (active
to and passive) and labour regulation as a central element in its approach to
social protection. Not all approaches to social protection include a labour dimension.
name these functions but, beyond semantics, there is a
3
See Annex I (Table 1) for a discussion of the main risks and vulnerabilities and their impact across a child’s l ifecycle.
general
4
Equalityagreement about
of opportunity their
refers to meaning and
the leveling purpose.
of the playing field by removing financial and social barriers to the access of services.
3
facilitate stakeholder participation, transparency poverty and the different dimensions of exclusion,5
and accountability. as well as respond to individual shocks such as job
loss, disability, childbearing, old-age, or large crises
ï‚· Responsive and inclusive. Able to serve both the such as natural disasters and conflict.
chronic poor and those structurally vulnerable to
III. Benefits, Challenges and Risks of Moving Toward a
Systems Approach
Much of the discussion on the pros and cons of moving A systems approach can allow for better coordination of
toward a systems-oriented approach to social protection is different arrangements and strategies to enhance individual,
based more on theory than on empirical evidence. Indeed, household and community risk management capacity and
there is a strong need for analytical work and evidence to resilience. Availability and access to a range of appropriate
inform systems approaches and for knowledge sharing on programmes increases individuals’ ability to manage different
successes and failures. Nonetheless, there are some elements risks at a given moment in time and the differentiated impact
that can be highlighted in examining the potential costs and of these risks due to pre-existing structural deprivations – and
benefits of a stronger systems-oriented approach. build resilience to future shocks. The availability of a range of
options can also ensure better tailoring to beneficiaries’ needs
What are the presumed benefits of moving toward a and help align efforts with national goals and resources.
systems-oriented approach to social protection? A systems
approach aims to improve harmonization in order to The benefit of a systems approach becomes particularly
enhance countries’ ability to effectively carry out the core evident when looking at how the different dimensions of risk,
social protection functions of building resilience to risks, exclusion and vulnerability change across the life-cycle. For
enhancing equity and coverage, as well as promoting instance, consider a child who benefits from cash transfers and
opportunity by building and protecting human capital, skills nutritional supplements to ensure a safe and healthy start in
and productivity. Beyond contributing to these core social life, and who then benefits from school grants to meet some of
protection goals, a systems approach also aims to improve the direct and indirect costs associated with primary education
the efficiency and sustainability of social protection enrolment and attendance (fees, costs of uniforms and
programmes. materials, transportation costs, etc.). As she grows into
ix adolescence, she may face additional and different risks
A. Building Resilience
associated with transition from primary to secondary school, as
Systems respond to the dynamic nature of risk and well as school completion due to the multiple burdens of work,
vulnerability faced by children, families and communities unpaid care and schooling or risks associated with early
and help to address structural deprivations. Vulnerability marriage, HIV infection and/or childbearing. Bringing a
captures the factors that make people likely to become poor system together can help her meet the different vulnerabilities
or fall deeper into poverty over time. As discussed by that present themselves at different stages in her life-cycle.
UNICEF’s framework and the World Bank’s social risk
management framework, vulnerability captures the The girl’s story depicts the benefits of a systems approach in
interaction between exposure to risks and the capacity to addressing the multi-dimensionality of risk and vulnerability.
respond and cope. Social protection systems, which offer a Effective resilience requires building capacity to meet both
linked set of mechanisms and instruments, can contribute economic and social risks. Poor girls’ parents may be forced to
to addressing some of the structural determinants that remove them from school, or lead them towards decisions
impact/shape vulnerability to poverty, exclusion and around early marriage or displacement. This, of course, is the
deprivation, which are not only problems in their own right path for new risks including early pregnancy and increased
but can also undermine families’ capacity to respond to exposure to violence. Social protection interventions can
risks. potentially address both the economic as well as the social
determinants of child marriage, addressing economic hardship
through social transfers, as well as through accompanying
legisfaa
5
Examples of dimensions of exclusion include gender, geographic location, disability, HIV/AIDS status, and ethnic/minority status.
4
legislation that prevents discrimination in access to certain greater labour market mobility; (iv) helping to manage
services and/or implements complementary programmes to economic cycles by promoting employment during crises (for
influence behaviour. Similarly, in the context of HIV and example, through public works programmes), which can also
AIDS, understanding the social and economic determinants contribute to enhancing productive assets and infrastructure;
of transmission would lead to defining comprehensive and (v) reducing inequality in society and making growth-
responses that would address not only economic, and also enhancing reforms more politically feasible.xii
social (i.e.: gender inequity, discrimination, stigma, etc.)
factors which can drive new HIV infections and create These pathways can be enhanced by taking a systems
barriers to the access of essential life-saving services.x approach to social protection. For example, systems are well
suited to supporting a holistic focus on investing in human
B. Enhancing Equity and Expanding Coverage capital, as outlined in the following section which focuses on
children. Systems can also provide the security needed to invest
UNICEF and the World Bank recognize social protection in innovation and encourage mobility and flexibility, such as by
as a crucial policy tool for supporting equity and call for twinning social insurance and promotive-type interventions
developing systems that strengthen equality of with social assistance programmes to support people’s ability to
opportunity and enhance coverage. Social protection successfully participate in the labour market as well as in other
addresses the economic and social barriers that prevent productive activities.
access to services while placing special emphasis on the
poorest and most vulnerable, and thus contributes to a D. Increasing Efficiency
fairer distribution of resources and benefits. Social
protection helps ensure equality of opportunity, supporting Addressing fragmentation can enhance efficiency by ensuring
both children and adults to realize their full potential. For better coordination across actors and programmes, as well as
instance, cash transfer programmes provide households the sharing of human, financial and administrative resources.
with additional income that helps address income This can lead to economies of scale, the leveraging of additional
disparities and enables them to invest in children’s resources, greater savings, enhanced value for money, but, most
wellbeing and human development. Legal and policy importantly, the enhancement of final outcomes including
reform can address discrimination and unfair treatment expanded coverage, improved delivery of social protection
towards women and children, ensuring their equal access services as well as better use of existing resources by
to services. beneficiaries.
Silo programmes may be effective in addressing a particular
The link between social protection and equity can be
issue but may lead to duplication or contradictory results if not
further enhanced through a systems approach to social
coordinated with other interventions in related sectors. For
protection. For example, at the administrative level, tools
instance, public works programmes that do not consider
that help coordinate programmes such as beneficiary
potential household re-allocation decisions or do not link with
registries create opportunities for harmonizing information,
education programmes may create unintended consequences
reducing exclusion errors and expanding coverage.
such as increased child labour. Moreover, performance can be
Comprehensive systems are also able to address
potentially enhanced by ensuring strong horizontal as well as
heterogeneous needs and bridge coverage gap such as those
vertical linkages. Effective coordination between programmes
between social assistance and social insurance, where
and instruments (horizontal integration) can effectively
instruments are needed to reach those traditionally excluded
operationalize links between social protection programmes and
from formal contributory programmes, such as the poorest,
other sectors and functions. Adequate coordination across
informal sector workers and the unemployed.
different levels of implementation – national/central, regional
C. Promoting Opportunities and local levels (vertical integration) – can also enhance
efficiency. This implies a careful consideration of issues such as
Social protection has an important role in promoting decentralization and its implications, contracts with private
opportunity and serving as a foundation for inclusive providers, and coordination with non-state actors.
growth. Evidence suggestsxi that social protection
programmes support opportunity and growth through five A coordinated use of administrative tools that facilitate
pathways: (i) building and protecting human capital; (ii) integration – such as Management Information Systems (MIS)
empowering poor individuals to invest in creating assets to and methodologies to identify and benefit populations across
adopt higher risk-higher return activities; (iii) promoting programmes including common targeting, and/or
greater 5 vulnerability instruments – can be well suited to
identifying the vulnerable, including the “newly�
poor. This is a key consideration given the
dynamic nature of poverty and the need for
effective responses to crises.
vulnerability instruments – can be well suited to identifying require considerable long-term investments and, for funders,
the vulnerable, including the “newly� poor. This is a key there is the risk that they may not see immediate results
consideration given the dynamic nature of poverty and the particularly when building capacity across multiple, often weak
need for effective responses to crises. Important design government agencies. This is particularly the case where donors
challenges remain, such as how to address the needs of may see the need for social protection as an acute emergency
seasonal workers, rural-urban internal migrants, and/or response (e.g. to food insecurity or HIV) as opposed to a
what are the most effective instruments to monitor risk and chronic long-term developmental challenge. The temptation to
vulnerability in real-time. However, shared platforms can be ring-fence and develop quick, actionable solutions needs to be
an important step in responding more effectively and examined with an eye toward strengthening systems.
efficiently to risk and many innovations in information and
communication technologies are already facilitating There are also risks to excessive centralization. A clear risk to
improved efficiency in areas such as payments, monitoring a more integrated system is its vulnerability to errors being
and beneficiary registries. ‘propagated’ across programmes that have common points of
entry. For example, if there is a single registry of beneficiaries
E. Challenges and Risks working across programmes and an individual is not included
in that registry, he/she may not have access to a number of
However, there are numerous challenges and risks to benefits. This can serve to compound exclusion or segregation.
taking a more deliberate systems approach to social
protection. Although this paper only touches lightly on Centralization can also stifle creativity and lead to a lack of
these issues, any country considering a systemic reform responsiveness or ability to adapt effectively to the needs of
needs to carefully consider its costs and trade-offs. particular regions or groups. Different groups in society (e.g.
indigenous populations) may have different needs or require
Much can be learned from the rich, mixed history of different ways to address the same needs as the dominant
working to strengthen coordination in social protection, population. An integrated system may fail to be flexible enough
particularly with respect to the political economy of to accommodate these needs. It may also be easier to innovate
reform and the role of particular actors and vested or test new approaches in a more decentralized setting. Finally,
interests. Within countries, understanding past reform it can be difficult to mobilize support for aggregated approaches
dynamics is important in informing any new reform effort. or administrative tools that are often at the heart of systems’
There are important political economy issues at hand that design. Support is easier to generate for specific programmes
can make it difficult to move toward increased meeting the needs of clearly defined groups who face specific
coordination, even when there is a strong mandate. Strong risks. What this situation underscores is the need to view
country leadership is required for reform, as are coalitions, systems not as a call for more centralization and
notably with ministries of finance or other authorizing bureaucratization, but rather as a call for increased
bodies. Incentives to encourage multi-sector coordination coordination to ensure appropriate complementarities without
and the sharing of resources across agencies are also needed, stifling the ability to tailor responses to demands and creatively
as are structures to ensure the sustainability of reform develop innovative solutions.
efforts. Rarely is there full alignment on the needed
direction for reform and efforts can be slow and More centralized systems can also be less flexible in their
cumbersome. Crises often serve as motivating factors for ability to adapt to changing economic circumstances and to
reform, as illustrated in numerous cases, including Ethiopia react rapidly to crises. If too many parties are involved, rapid
and Colombia. In many cases, it can also be easier to begin reactions can be undermined. This calls for timely reviews of
introducing a systems approach where there are fewer benefit systems and the triggers automatically provided, as well
programmes and mandates and therefore fewer vested as for flexibility in programme design to allow for rapid scaling
interests. Before investing financial and institutional up or down of responses.
resources along with political capital, it is important to
understand the political and institutional factors that need If a coordinated approach is characterized by fewer checks and
to be aligned for such an effort to be successful. balances than a more disaggregated approach or if there are
information asymmetries in the centralization of information
Among donors, there is also a risk to ineffective and decision-making, there may be limited transparency. This
coordination. Donors play a role in supporting or calls for ensuring that systems have appropriate governance
undermining a coherent policy environment. Effective structures based on clear “rules, roles and controls.�xiii This can
country-based coordination and monitoring structures help enhance transparency and accountability to
require considerable long-term investments and, for funders, 6 participants and citizens – using mechanisms
there is the risk that they may not see immediate results such as social audits and participatory
particularly when building capacity across multiple, monitoring – which will help make systems more
responsive and mitigate against the risks of
excessive centralization.
participants and citizens – using mechanisms such as social manage coordination, and for beneficiaries, who need to
audits and participatory monitoring – which will help understand a complex landscape and be able to make
make systems more responsive and mitigate against the informed decisions. There may also be costs in terms of
risks of excessive centralization. crowding out effective private and informal arrangements as
coverage of increasingly complex public arrangements
Finally, there are costs to coordination, notably in expands.
transaction costs both for service providers who need to
IV. Developing a Child-Sensitive Systems Approach
The need to effectively address the multiple and shocks like poverty and deprivation.xviii
compounding vulnerabilities faced by children presents a
compelling case for developing social protection systems. There is a growing consensus that investing in children’s
Children’s needs are multidimensional in nature and social protection makes sense not only from a rights
necessitate a network of interventions to address them. perspective, but also from an economic and human
Sector responses may deal with one of the problems; development perspective. There are high rates of return to
however, “they rarely provide comprehensive solutions.�xiv investing in child development and protection and high costs
Breaking the pattern of overlapping, compounding and associated with failing to make these investments. 6 However,
cumulative vulnerabilities children face requires a holistic securing these returns depends on a country’s creation of the
approach which emphasizes an entire continuum of enabling environment necessary to reap the long-term benefits
investments and care. In much the same way that of investing in children. Since children have little voice in the
unmitigated risks lead to a spiral of disparities, adequate and decisions affecting them or in the policy process, national
timely investments and interventions may reinforce each policies are often critical to ensuring that investments in
other and lead to a dramatic improvement in wellbeing and children are made.
capacities. While there are various ways to deconstruct these
interventions, one approach which is particularly persuasive Why is a systems approach particularly important in the case
is to address a child as a whole and childhood as just one of children’s social protection?
stage in a person’s life. This translates into looking at age-
specific economic and social vulnerabilities as well as ï‚· A systems approach is appropriate to understanding the
intergenerational factors. evolving needs of children over the life-cycle and the need to
address vulnerabilities that are compounded over time if
Children’s vulnerabilities are well-documented. Today, 1 not addressed. Table 1 (Annex 1) shows the key stages
billion children are poor, i.e. they suffer deprivations of in a child’s life-cycle, starting with infancy and pre-
rights that constitute poverty.xv Alarmingly, they also school years and moving through the primary and
constitute a large share of the monetary poor and, in many secondary school age years, adolescence, early
countries, monetary poverty rates are higher among adulthood, and the reproductive years. This approach
children than among the population as a whole.xvi There is emphasizes the build-up of risks and vulnerabilities
also increasing evidence that deprivation and shocks throughout a child’s life. If these risks remain un-
experienced in childhood have intergenerational and often mitigated, the social and economic vulnerabilities
irreversible consequences, with impacts on human and children face might negatively shape and influence the
economic development.xvii Moreover, there is established trajectory and development of children and be further
evidence that structural deprivations and concurrent exacerbated leaving a child transitioning into
shocks have an impact on infant and child mortality. At adulthood at a disadvantage and with a predetermined
the same time, there is a growing body of evidence on the set of vulnerabilities.
neurological, cognitive and developmental impacts of
_______
6
For a rights discussion, see the Convention on the Rights of the Child, articles 26, 27, 24 and 28; and the Universal Declaration on Human
Rights, among others. For an economic discussion, see The Lancet journal, September 23, 2011.
7
ï‚· Social protection is a catalyst for a range of multi- from low-income settings or socially excluded
sector investments needed to address children’s populations start school with developmental gaps that
multiple deprivations across the life-cycle. Ensuring are likely to widen over time. Coordinated and
access to strategic investments in cognitive harmonized social protection systems have the
development, nutrition and health, education, and potential for more efficient and effective allocation of
child protection, not only helps children’s holistic resources, identification of under-served groups, and
development but also lays the foundation for accountability mechanisms to ensure non-
future gains in both human and economic discrimination in the delivery of services.
development. Social protection interventions that
are child-sensitive can address the underlying  Many aspects of children’s economic and social
determinants of inequity in child outcomes and vulnerabilities are also shared with their households
break the intergenerational transmission of poverty and communities. An intergenerational approach
and exclusion. recognizes that children’s vulnerabilities become
compounded not only due to the links between age
ï‚· A systems lens on social protection is needed to
groups but also due to the cumulative effects of
establish mandates and entry points for coordination at
poverty and deprivation faced by families and
the national level; this orchestration and type of communities or their lack of opportunities across the
directive is needed given the range of actors life-cycle. Given the dependence of children on the
involved, particularly where the child would care, support and protection of adults, the individual
otherwise be stateless.7 vulnerabilities of children are often further
ï‚· A systems approach also speaks to the flexibility compounded by the risks and vulnerabilities of their
needed to respond during critical periods in a child’s caregivers (owing to their gender, ethnicity, spatial
development. Human development during location, etc.). As shown in Table 1, Annex 1, a child
childhood and youth is not uniform and consists has an increased set of vulnerabilities that are not age-
of critical periods. Harm that occurs during these specific but determined by a household’s lack of access
critical periods is likely to produce severe, often to services, the caregiver’s nutritional deficiency, etc.
irreversible, intergenerational effects. A systems In this context, an integrated approach is crucial to
approach facilitates the coordination needed to addressing compounded vulnerabilities due to links
ensure that investments for attaining optimal between age groups, as well as the cumulative effects of
development take place during this time frame.xix poverty and deprivation.
ï‚· The focus on early childhood specifically also In sum, integrated social protection systems provide a
underscores the efficiency arguments inherent in a comprehensive package of interventions to address different
systems approach. Early childhood investments dimensions of child poverty and deprivation, as well as reduce
have been shown to yield large benefits, as shown vulnerability across the life-cycle. Such systems ensure that
by increasing evidence on the long-term impacts individual instruments complement one another to
and high rates of return of programmes in the progressively achieve universal coverage and predictable and
United States, Guatemala, and Jamaica.xx cumulative benefits to individuals and households. The overall
ï‚· A systems approach is important to enhancing impact of comprehensive approaches derives from the way in
equity and equality of opportunity, the foundation of which the different mechanisms interact with and support one
which is established during childhood. Children another in reducing vulnerability across the life-cycle. This
ensures that benefits are cumulative across generations.
7
Part I, Article XII of the C.R.C.
8
V. Operationalization of Integrated Social Protection
Systems
xxi
When looking to implement a systems approach, it can be A. Three Levels of Social Protection Systems
useful to consider how to enhance both (i) coordination
within the social protection system, by considering linkages Coordination and integration of social protection need to take
within and across policies, programmes and administrative place at the policy, programme, and administrative levels, and
tools; and (ii) coordination with other policies and adapted to different country contexts (see Figure 1). Such an
programmes (such as health, education, child protection, approach is particularly useful when thinking about
housing, water, sanitation and rural development) and operationalizing a systems approach.
beyond. This helps ensure a response that is coherent and
enhances sector outcomes.
Figure 1. Three levels of a social protection system
Administration Level:
Aim: Building basic subsystems to
support one or more programmes
for security, equity or opportunity
Programme
Programme Level:
Aim: Improving design of existing
programmes and harmonizing
across portfolio of programmes
Programme Programme
Policy Level:
Aim: Ensuring overall policy
coherence across programmes
and levels of government
Programme
Source: Robalino, Rawlings and Walker (2012).
The policy level is the highest level of engagement, where strategy for social protection in a country that outlines a vision,
the objectives and functions of the social protection existing social contract, and creates a space for social protection
system are defined in the context of national goals and within the context of national goals or a vision to improve
parameters. Approaches to financing, legal mandates, and integration and coordination across programmes and functions.
institutional arrangements need to be understood. At the Also if social protection is defined and well represented in
same time, attention should be paid to: consistency and National Development Plans, Poverty Reduction Strategies, and
coherence across programmes and functions; other core frameworks, it will help ensure that social protection
redistributional impacts; effects on incentives and general does not remain a residual/corrective approach and that its
strategy integration into these structures leads to a well-understood
contribution to existing welfare-related mechanisms. We
9 illustrate below some examples of strategic steps made at the
international and country levels, which demonstrate important
strides made in the direction of integration in social protection.
integration into these structures leads to a well-understood Mozambique, Indonesia, South Africa and India).
contribution to existing welfare-related mechanisms. We This helps create a space for social protection within
illustrate below some examples of strategic steps made at the context of national goals and also defines
the international and country levels, which demonstrate institutional arrangements that facilitate coordination
important strides made in the direction of integration in between different ministries and sectors. This is true
social protection. particularly in Sub Saharan Africa, where national
social protection strategies are often being developed
ï‚· At the international level, the Social Protection in the context of a more comprehensive poverty
Floor Initiative (SPF-I) puts forward a policy reduction strategy. These strategies are now beginning
framework that promotes the development of to be translated into social protection policies and
systems to progressively ensure access to essential programmes. For instance, in the case of Ghana, the
social services and income security. A UN-wide country rolled out its first National Social Protection
initiative, endorsed by the G-20 in 2011, and Strategy (NSPS) in March 2007 that recognized the
recommended at the recent 2012 International important contributions made by the formal and
Labor Conference, the SPF-I calls for countries to informal sectors and noted that “uncoordinated
prioritize universal access to essential services delivery and poor targeting of most of the existing
(such as health, education, housing, water and interventions have resulted in limited coverage and
sanitation and other services, as nationally impact.� The strategy identified the necessary
defined) and social transfers in cash or in kind, to institutional arrangements to systematically target the
ensure minimum income and/or employment extreme poor and improve cross-sectoral coordination
and livelihood security. Although the specific at all levels of government.
elements that constitute a ‘floor’ will depend on a
country’s objectives and its current practice and The programme level is driven by initiatives aiming at
capacities, the SPF represents a call for building improving the performance of a given function, programme,
comprehensive and integrated social protection or set of programmes. Beyond design issues to be addressed
systems that has resonated in many countries. within a given programme, the focus of the policy analysis and
operational work can be on harmonization or integration of
ï‚· At the regional level, there are key examples, similar programmes and exploiting the interactions/synergies
including the case of the South African with relevant programmes within and across social protection
Development Community (SADC). The SADC functions. A key element of an integrated system is its ability to
was formed to promote the political, economic identify and maximize synergies between programmes in
and social wellbeing of the region. In order to different sectors (e.g. health, education and child protection),
achieve these objectives, SADC member states and thus enhance long term, human development outcomes. If
have concluded a treaty and various social a programme functions as part of a coherent system and
protection-related instruments which aim to network of responses, there is a stronger likelihood of
ensure that everyone in the region is provided enhancing individual programme objectives in terms of welfare
with a minimum level of social protection. gains. In other words, the aggregate increase of benefits as part
Although the formation of the SADC (and the of a system is higher than what can be achieved if each
conclusion of some of its social protection-related programme acted independently (Ribe, Robalino and Walker,
instruments) preceded both the minimum Social 2011 LAC).
Protection Floor concept and the Social
Protection Floor Initiative, the treaty and
Integration at the programme level can therefore be
instruments are consistent with both the concept
implemented in a variety of ways. For instance, in Chile, the
and the Initiative.xxii
Chile Solidario programme acted as a coordination mechanism
ï‚· At the country level, programmes are increasingly that brought together existing social protection programmes
being institutionalized into national social under one umbrella, facilitating integration. When social
protection strategies and domestic laws, including protection programmes in countries are more aligned with
constitutional legislation (for example in poverty reduction as well as with social exclusion strategies, this
Mozambique, Indonesia, South Africa and India). results in more multi-sectoral coordination which is better able
This helps create a space for social protection to provide solutions in a more holistic and development-
within the context of oriented manner. We find that in the case of Bangladesh and
Ghana, programmes like the CFRP/TUP and LEAP provide
10
results in more multi-sectoral coordination which is better prevention and support services, special attention
able to provide solutions in a more holistic and programmes for high-risk children, and labour market
development-oriented manner. We find that in the case of programmes (public employment/labour-reinsertion
Bangladesh and Ghana, programmes like the CFRP/TUP and training programmes). The Chile Solidario system
and LEAP provide beneficiaries access to a set of therefore acted as a device for operation and
programmes (essentially a network of interventions) that coordination that facilitated synergies with existing
synergistically resulted in performing a specific social social protection instruments to address the needs of
protection function resulting in asset building, as well as the extreme poor more systematically.
strengthening human capital. In the case of Armenia,
strong linkages have been made between social protection ï‚· In the case of Bangladesh, a programme called the
and social welfare/child protection responses, to address “Challenging the Frontiers of Poverty
economic determinants of exclusion as well as drivers Reduction/Targeting the Ultra-poor� (CFPR/TUP)
behind violence, exploitation and the abuse of children. programme was developed which aims to
We provide below some more details on the above systematically integrate various components to help
mentioned programmes to illustrate integration at the the ultra-poor. CFPR/TUP uses a combination of a
programme level. temporary cash stipend, an individual household asset
transfer, skills training, a programme to increase
 Social protection in Chile has been shaped by a participants’ social awareness, and an initiative to
life-cycle approach to poverty prevention and create links between the ultra-poor and public
alleviation known as the RED Protege, which is resources by mobilizing local elites. In addition to
grounded in a recognition that poverty and being an integrated approach in itself, CFPR/TUP
vulnerability represent an inherently also uses a ‘ladder approach’ which provides the ultra-
interconnected set of challenges that cannot be poor an opportunity to benefit from microfinance
addressed by discrete programmes and that if a programmes offered in the country.8
social protection system proactively supports
individuals and families across the life cycle, it  Ghana’s Livelihoods Empowerment against Poverty
builds resilience such that the need for social (LEAP) social grants programme, on the other hand, is
protection in itself is reduced.xxiii Within the RED more concretely an example of multi-sector
Protege, Chile Solidario is a system that was coordination that leverages existent social protection
explicitly introduced to address the needs of the programmes to collectively perform a social protection
extreme poor and was essentially set up in 2002 as function which, in this case, is to assist the poor “to
a coordination mechanism that would bring the reduce, ameliorate, or cope with social risk and
services available in the country to the families vulnerability� (Government of Ghana, 2007). The
who, despite fulfilling the eligibility requirements, programme offers unconditional grants to individuals
were not able to access the programmes and with limited labour capacity (e.g. the elderly poor, and
subsidies available in the institutional network. persons with severe disabilities). Conditional cash
The Chile Solidario programme integrated three transfers exist for the extreme poor and are tied to skill
components. Families were provided psycho-social development programmes. The focus is on activities
support and, for an additional three years related to asset building and on specific institutional
thereafter, they were ensured “preferential access� arrangements that ensure that all LEAP beneficiaries
to other social assistance programmes to which are automatically enrolled in a pre-existing national
they were already eligible but had not taken health insurance scheme. LEAP therefore provides for
advantage of, such as family subsidies (SUF), the basic needs, helps beneficiaries access other existing
pension programme (PASIS), disability grants, government interventions, and enhances participants’
and a water subsidy (SAP). In addition, human capital in order to lead to long-term
participating households enjoy preferential access sustainable solutions to eliminate poverty and
to social development and occupational skills strengthen communities. Similarly in the Philippines,
programmes, including domestic violence
prevention and support services, special attention
8 programmes
While microcredit for
is not high-risk
social children,
protection, and labour
in Bangladesh it is considered an effective strategy by the government to address poverty. The
CPRF/TUP market programmes
programme (public
is a social employment/labour-
protection programme that helps enable access to the microcredit services provided by the government.
reinsertion and training programmes). The Chile
Solidario system therefore acted as a device for 11
operation and coordination that facilitated
synergies with existing social protection
instruments to address the needs of the extreme
poor more systematically.
beneficiaries of the Pantawid Pamilyang Pilipino Mexico’s Oportunidades programme and Jamaica’s PATH are
Programme (4Ps) are automatically PhilHealth examples where the objective of the MIS is for the exchange of
members. information across institutions involved in a specific
programme.xxvi
ï‚· The case of Armenia illustrates a conscious effort
made by the government to strengthen linkages In addition to the first two objectives, an MIS can be set up for
between social welfare and child protection the availability of common information for the inter-
programmes, by providing child protection institutional management of social protection systems. Under
beneficiaries with access to social assistance this arrangement all the social protection programmes use a
benefits. Armenia’s Ministry of Labour and common platform/tool which can result either in a common
Social Issues undertook an Integrated Social beneficiary system; an integrated information system; or a single
Services reform in 2010 that introduced two main entry point for beneficiaries. The key characteristic of an MIS of
changes to improve social protection services for this nature lies in common information; however, the point of
the poorest and to link them with child use could be for social protection providers, beneficiaries or
protection/social welfare services at all levels: both. So, while Brazil’s programme management system used
reform of case management practices with the re- for the Bolsa Familia programme (BFP) serves as an integrated
orientation of service providers of the Territorial information system to link the different existing programmes
Offices of Social Services; and the development of and help providers access information on beneficiaries, Chile’s
Local Social Action Plans at the regional level integrated social information system also serves as a single entry
with the involvement of Family, Women and point for beneficiaries to access different existing programmes.
Children Units.xxiv In the case of Ghana, the MIS is a platform that is being used as
a common targeting system. We provide more details on the
The administration level focuses on developing the “nuts- MIS of Brazil, Chile and Ghana below.
and-bolts� tools that facilitate the core business processes
of social protection programmes. These tools include  Brazil’s BFP Management System is a common MIS
beneficiary identification systems and registries, grievance that was created to facilitate the merger of four pre-
and redress mechanisms, approaches to eligibility, payment existing cash transfer programmes in order to avoid
systems, monitoring and evaluation, and provider duplication in coverage. The BFP was therefore an
contracting and payment arrangements. It is now effort to improve the efficiency and coherence of the
increasingly being recognized that these different preexisting social protection system in Brazil and to
components of administrative systems within a social scale up assistance so as to provide universal coverage
protection scheme can also be a potential entry point for the of Brazil’s poor.
operationalization of integrated social protection systems.xxv
 Chile’s Integrated Social Information System was
For instance, a management information system (MIS) is a specifically designed for the Chile Solidario but also
platform through which programme information travels included information about assistance and benefits
across different institutional levels for operational, available through the whole social protection system in
monitoring and accountability purposes. These systems can Chile so it resulted in being a single entry point for
be developed for either: internal programme operations; beneficiaries to get information on and/or access to
management of related services; or integrated management existing programmes.
information. Regardless of the objective of different MIS
systems, they provide an essential mechanism for ï‚· In the case of Ghana, a common targeting mechanism
integrated social protection systems. While many countries was developed to improve the efficiency of all
develop MIS systems specifically for the operation of a programmes in Ghana and to enable coordination
single programme, the kind of information collected and across programmes. This system is being developed on
managed creates areas for potential integration in the the principle that stakeholders agree to use the same
future. MIS systems are created for the generation of system and indicators to identify potential
useful information to manage actions with other beneficiaries for social protection interventions in
institutions that are involved in a programme. While this Ghana. The goal of this system is to enhance the
is, again, programme-specific, the sharing of information efficiency, coordination and sustainability of the
across different institutions serves as a point of targeting for these programmes and a common
coordination. Ecuador’s Bono de Desarrollo Humano (BDH), approach to targeting individuals and households; as
Mexico’s Oportunidades programme and Jamaica’s PATH
are examples where the objective of the MIS is for the 12
exchange of information across institutions involved in a
specific programme.
as well as a harmonized platform for pro-poor creation of a unique database (Cadastro Único) and,
targeting, which would also enable the various subsequently, a unique social identification number
programmes to harness economies of scale and (NIS) was an initial attempt to respond to the need to
reduce costs through joint data collection and improve efficiency and coordination and reduce
analysis. duplication of administrative costs across the
numerous safety net programmes. This attempt to
The set-up of these basic tools can serve as an entry point unify the registry was then surpassed by the actual
for more structural changes, including those related to merging of these pre-reform programmes to create the
the harmonization or integration of similar programmes Bolsa FamÃlia Programme in 2003.xxviii
or the coordination of programmes within and across
social protection functions. The potential entry point for B. Multi-sector Coordination and Linkages with
integration will differ in countries, for example through Wider Social Policies
the use of a unique ID system, a common beneficiary
system or a single entry point for beneficiaries to access Social protection systems must also be assessed and
information on the available social protection programmes understood relative to the existence of other social
in the country. programmes and policies since they need to be closely
coordinated for the social protection system to be more
In many countries each programme has its own effective. Multi-sector coordination often involves ensuring that
administrative structures in place, so while integrating social protection instruments are coupled with effective supply-
across these different systems is a potential avenue for side interventions – typically in health, education, nutrition,
integration, this may require some basic building blocks child protection and rural development. When properly
to be in place and functioning. Implementing a systems coordinated, social protection can serve as a catalyst for
vision of social protection therefore requires innovations expanding access to services and can contribute to equitable sector
in terms of operational approaches. outcomes. This is particularly clear when social protection
addresses demand-side barriers to accessing critical services such
ï‚· For instance, in India, there are a number of as education, health or nutrition. If the coverage and quality of
identification cards (that serve more as eligibility services is not adequate, the impacts of social protection efforts
cards) issued by different social protection may be limited. For instance, in the case of nutrition, although
schemes – such as the health insurance scheme interventions such as micronutrient delivery, growth
for the poor (the RSBY card), a public monitoring and promotion programmes, and the promotion of
distribution system(the PDS card), and an breastfeeding, among others, are recognized as critical to
employment guarantee scheme (the NREGA card) address malnutrition and prevent and/or reduce stunting
– that are essentially issued for specific purposes among children below the age of 5, equitable outcomes can be
and entitlements. However, there is not a single potentially enhanced if utilization barriers – financial or social –
indicator that serves as a point of integration to the accessing of these services are also addressed.
across these different information systems and
therefore the level of duplication or avenues for Public, formal social protection arrangements should
coordination across these different programmes consider and recognize the existence of informal or private,
remain unclear. India’s Aadhar programme, which formal social protection arrangements and help ensure that
issues a unique identification number for each public schemes avoid the displacement of well-functioning
resident in the country, is the first step that can informal arrangements, compensate for their failures, and
be used as a starting point, to integrate these provide an enabling environment for their functioning.
different administrative systems in order to
achieve better coordination and integration across From a macro perspective, social protection interventions by
programmes.xxvii Alternatively, in the case of Brazil, themselves cannot address all issues related to poverty and/or
the Cadastro Único system was created in 2001 to exclusion. Their impacts and contribution to inclusive growth
unify the registries of all the pre-reform and poverty eradication are maximized with parallel
programmes given that, until then, each of the investments in complementary institutions and interventions.
pre-reform programmes operated its own The impacts of social protection partly depend on the extent to
information system to target beneficiaries.9 The which these interventions are linked to the complementary
institutional framework and wider social and economic policies
9
For example, the Federal Bolsa Escola Programme had created its own beneficiary registry system, “CADBES� (the Cadastro do Bolsa Escola) and
the Bolsa Alimentação programme was using a health system registry. All pre-reform programmes used unverified means-testing to determine
individual eligibility.
13
in place such as efforts to ensure gender equality. In other programmes (e.g.: livelihood promotion, labour market
words, social protection systems have the potential for and intermediation programmes, food security
maximizing outcomes and impacts if they are conceived as programmes, etc.) and macro policy determinants
integral components of national development and poverty (macroeconomic stability, economic growth, etc.).xxix
reduction strategies, linked with complementary
programmes (e.g.: livelihood promotion, labour market and
intermediation programmes, food security programmes, etc.)
and macro policy determinants (macroeconomic stability,
VI. A Systems Vision: Context Specificity and Key
economic growth, etc.).xxix
Considerations
A. Pathways to an Integrated Social Protection safety net programme to protect the poor from falling
System deeper into poverty and to mitigate the risk of those
who could become poor. The six major areas
Social protection systems will take many forms, with identified by the government were: food security,
portfolios of programmes tailored to the demands of education, health, energy, employment and child
different country contexts. There is no “one size fits all� protection.xxx The package of programmes that were
approach. Instead, policies, programmes and rolled out as the main response to the financial crisis
administrative systems will need to be adapted to countries’ still forms the core of the social protection system in
different institutional contexts and to the demands of Indonesia.
particular regions and groups within countries. The
selection of the most relevant and pertinent pathways ï‚· In Ghana, the development of social protection was
towards integration is not a linear process. Interventions not a response to a specific crisis but more the result
may need to be implemented concurrently and/or in an of on-going trends and nationally identified problems.
iterative manner to reach set outcomes. The first poverty reduction strategy (GPRS I) formed
the basis for social protection programmes in Ghana.
The social protection landscape in many countries is With the second poverty strategy (GPRS II), there was
often determined by the nature in which the space for a move towards a more sophisticated and
social protection was created, reformed and comprehensive system of social protection provision.
institutionalized. Initial factors that influence the creation With the initiation of the NSPS and the roll-out of
or expansion of social protection in a country determine, LEAP, the focus moved from asset protection to asset
in some ways, the pathways to a coherent social protection building.
system as they often define core elements of the social
protection landscape in terms of key financing entities, the ï‚· In Bangladesh, early efforts in social protection were
nature of instruments used (depending on the crisis) and rolled out as emergency measures in response to food
also how social protection is perceived. These initial or famine crises. The nature of the crisis determined
conditions affect the foundation of social protection in a the nature of the instruments and also the number of
country and can determine the level of integration or actors involved in the roll-out of social protection
fragmentation that exists in a system as a whole. As seen in measures. The current structure of the social
the examples below, the instruments that form the core protection landscape in Bangladesh, where there is a
elements of social protection in Indonesia are markedly large number of programmes that are not well
different from those in Ghana and Bangladesh, primarily coordinated and harmonized, is, to a large extent,
due to the nature in which social protection was determined by the initial conditions that originally
introduced or reformed in the country. The pathways to created a space for social protection in the country.
integration can therefore also be expected to be different in
these countries. ï‚· In a number of countries in Sub-Saharan Africa much
of the social protection response was catalyzed as a
ï‚· In Indonesia, in response to the Asian Financial response to threats of food insecurity and HIV and
Crisis, the new government put in place a public AIDS. Over the last decade, there has been an attempt
safety net programme to shift from largely humanitarian approaches to
14 predictable crises by supporting more sustainable
social protection responses that can reduce the risk of
future shocks and ensure more efficient and cost-
effective responses. Responses to support HIV-affected
orphans and vulnerable children have also shifted
to shift from largely humanitarian approaches to ï‚· In settings where social protection systems are nascent,
predictable crises by supporting more sustainable an appropriate focus may be on setting up one or more core
social protection responses that can reduce the programmes and ensuring that these are supported by strong,
risk of future shocks and ensure more efficient basic administrative sub-system “building blocks� that can
and cost-effective responses. Responses to support be used across social protection programmes such as
HIV-affected orphans and vulnerable children beneficiary identification and registry systems. This
have also shifted from fragmented responses could serve to strengthen social protection
through civil society organizations to more institutions, particularly where these are not well
systemic and large-scale “HIV-sensitive� social developed, and to lay the foundations for strong
protection responses providing predictable social systems. This effort could start with establishing and
grants paired with family-based care and support. strengthening the basic building blocks of specific
social protection programmes that cover a specific part
In sum, approaches to building systems need to be
of the population – in line with national priorities. It
tailored to different contexts and the pathways toward
could then progressively build administrative,
strengthened social protection systems are strongly
institutional and financial capacity to extend these to
influenced by the initial conditions of social protection.
cover more people and to add, as needed,
Yet greater harmonization in social protection is
complementary programmes to the social protection
achievable, as illustrated by many countries’ success in
portfolio. These building blocks are often best
moving toward more integrated approaches.xxxi
supported by a national dialogue process during
B. Key Considerations for Building a Systems design and implementation.
Approach to Social Protection
ï‚· Where there are several functioning programmes already, the
The emerging consensus around harmonized systems has goal would be to improve the efficiency and efficacy of each
increased the need to identify the most appropriate nuts programme – through refining institutional frameworks
and bolts towards building systems, taking into account and improving incentive compatibility with other
specific contexts and the stage of development of related programmes. In many cases, one or more
particular systems. This is a strategic area that requires programmes – such as a cash transfer programme or a
further exploration, as well as close partnerships with seasonal public works programme – can be used as an
stakeholders at the national level and among agencies and entry point or common platform for providing access
donors. This section will discuss some key strategies and to other social services.
elements that need to be considered when building a social
protection system. The purpose here is not to be ï‚· In contexts where many individual programmes are well-
prescriptive or to delineate specific recommendations but functioning, the challenge is to improve their harmonization
to put forth important elements that can facilitate and coverage. Improving harmonization and expanding
integration at different levels. More importantly, these coverage are important “second-generation� issues in
processes are not linear and countries may focus on issues many countries. A key feature of the systems agenda in
in a different sequence and/or combination in line with these settings is synchronization across existing tools,
national priorities. programmes, and policies to build consistent national
systems that are well integrated both horizontally
 Strengthening government’s ability to plan and co- across programmes and vertically between central and
ordinate national social protection to ensure effective local actors. This is important in three dimensions:
responses. For instance, in many countries, first, across similar programmes (for example, a suite
government coordinates regular social protection of poverty-oriented cash transfers developed for
development partner meetings or task forces to different groups); second, across different types of
discuss and agree on policy frameworks, programmes to enhance complementarities and avoid
approaches and also to ensure that external incentive problems; and third, coordinating across
funding is in line with government policies. actors and different levels of government, notably in
federated countries. Harmonized systems facilitate the
identification of inefficient allocations of resources
ï‚· In settings where social protection systems and of existing gaps in coverage, as well as the
are nascent, an appropriate focus may be on reduction of exclusion and inclusion errors, thereby
setting up one or more core programmes and contributing to the expansion of coverage.
ensuring that these are supported by strong, 15
basic administrative sub-system “building  In many settings, the ministry responsible for social
blocks� that can be used across social protection may have limited capacity to monitor the
protection programmes such as beneficiary coverage and impact of existing social protection
identification and registry systems. This could programmes and to direct resources to where they will
identification of inefficient allocations of ï‚· Leadership is often needed to ensure that it is politically and
resources and of existing gaps in coverage, as well practically feasible to introduce, expand and change
as the reduction of exclusion and inclusion errors, programmes, to strengthen institutions, and to secure the
thereby contributing to the expansion of coverage. financing to support a fiscally sustainable, well-designed
system. This includes a role in advocating and
ï‚· In many settings, the ministry responsible for marshaling others in government in supporting the
social protection may have limited capacity to effective implementation of programmes and the
monitor the coverage and impact of existing system overall. Leadership is also particularly important
social protection programmes and to direct to managing the dialogue around reforms that are
resources to where they will have the greatest needed to put effective systems into place, notably
impact. Enhancing coherence across policy, when there are demands from powerful groups with
planning and the M&E functions of key social vested interests in specific programmes.
protection agencies can be a cost-effective
investment that ultimately improves the efficiency There is also a need for analytical work, both to understand
and effectiveness of programmes, leading to the need for social protection in shaping effective responses to
greater investments in social protection. risk and vulnerability, as well as to assess capacity for response
looking at core elements of system design and performance.
Regardless of country context, the importance of On one hand, vulnerability and poverty assessments can inform
institutional capacity, financial resources, and political prioritization in a particular context, often taking a life-cycle
leadership should not be underestimated, as they chart approach to assess the vulnerabilities of different groups and
the course for building more effective social protection using panel data to better understand vulnerability dynamics.
systems. This demand-side diagnostic should also take into account an
assessment of the most common types of risks – both individual
 Institutional capacity is needed to ensure that effective and covariate – including exposure to economic shocks and
policies are developed and appropriate mechanisms natural disasters. In addition, there is a need for developing
are in place to ensure the delivery of social protection system assessment tools to map, benchmark,
corresponding social protection services. An and guide a country’s social protection system development at
essential step is the development of assessments of the administrative, programme and policy levels. This entails not
the relevant workforce and capacity, including only understanding the types of policies, programmes and
social welfare agents, which may need to be administrative systems in place, but also how they interact with
strengthened for effective programming. In many one another and how they perform. For example, at the
cases, there may be large numbers of social administrative level, are there beneficiary registries working
workers and front line workers in government, in across programmes that allow policymakers and managers to
civil society, and in informal arrangements, but look at duplication and overlap? Are there strong performance
they are not well integrated within a national monitoring systems that allow for tracking results and improving
response. Country assessments can highlight key performance across programmes? At the programme level, can
institutional gaps in national responses and help cash transfer programmes serve as effective entry points for
make the case for additional national and external introducing nutritional or educational support to vulnerable
support for key cadres of workers. families? At the policy level, are insurance mechanisms available
to those in the informal sector and do existing social assistance
ï‚· Ensuring the financial sustainability of social protection programmes discourage labour market participation? This type of
systems is critical but often challenging in light of a assessment tool is currently being developed and will need to be
myriad of factors including demographics, low tax based on accepted and shared technical standards regarding
bases, high informality, competing demands from quality and performance; ideally, it should be used across
existing programmes, and the vested interests of agencies and countries. This implies engaging in dialogue with
particular stakeholders. Strengthening the respect to standards of quality and performance, and agreeing on
capacity of governments to identify and cost metrics for assessment and benchmarking. These types of
policy options, assess affordability, as well as assessments can be greatly enhanced through participatory
identify available financing options is essential. governance tools such as social audits and citizen report cards,
which can contribute to greater responsiveness of programme
16design,
Leadership is often needed to ensure that it is politically and as well as greater understanding of performance and
practically feasible to introduce, expand and change programmes, impacts. They can also be enhanced by public expenditure
to strengthen institutions, and to secure the financing to support a reviews detailing the availability of fiscal and institutional
fiscally sustainable, well-designed system. This includes a role in resources.
advocating and marshaling others in government in
supporting the effective implementation of programmes
which can contribute to greater responsiveness of merge, bridge, or coordinate programmes. Finally, it calls for
programme design, as well as greater understanding of using different analytical tools more extensively to enhance the
performance and impacts. They can also be enhanced by capacity to monitor the coverage and impact of existing social
public expenditure reviews detailing the availability of fiscal protection interventions, as well as understand the impacts of
and institutional resources. different reform options. Each of these analytical tools calls for
improving the availability, quality, and use of micro-data,
Finally, informing systems work also calls for adapting notably from household surveys, administrative records, and
analytical work to better understand the design, evaluations. In most countries today, these data are of poor
performance, and impacts of a systems approach . This quality and often not produced regularly enough to serve as
includes developing a new approach to programme useful sources of information for informing policy and
evaluation to focus on assessing initiatives that aim to programme decisions.
mmmmm
VII. Conclusions and Proposed Collaborative Action
This note presents an initial discussion on the common systems will take many forms, will be tailored to the demands of
understanding behind the development and different country contexts, and the selection of most relevant
strengthening of social protection systems – a focus that is and pertinent pathways towards integration are not linear, but
needed to address existing fragmentation and limited determined by country contexts, national frameworks, and
coverage problems across regions. At the core of initial conditions.
UNICEF’s and the World Bank’s recently released
strategies is a call to focus on integrated social protection UNICEF and the World Bank are committed to contributing
systems as a promising approach to addressing the multiple to the emerging global social protection agenda, working in
and compounding vulnerabilities of children, families, and partnership with each other and different stakeholders –
communities. government, partner agencies, civil society – and helping to
build nationally-led social protection systems. Given the multi-
A systems approach can help in (i) managing risks and sectoral nature of social protection and the existing
building resilience; (ii) enhancing equity and expanding fragmentation in approaches, these partnerships are essential in
coverage; (iii) promoting opportunity and inclusive growth; supporting the development and strengthening of social
and (iv) increasing the efficiency of programmes. The protection systems.
rationale for a systems approach is brought to light when
assessed through a child lens. A systems approach is In this process, UNICEF and the World Bank acknowledge
particularly relevant for children, allowing for a set of the critical importance of donor coordination, and call for
multi-sector interventions needed to address the evolving, partner agencies to be part of the solution : working together to
compounding and multiple dimensions of child poverty present coherent support to countries; maximizing synergies
and deprivation over the life-cycle. and common agendas while recognizing the value-added of
different organizations; aiming at sustainable and scalable
This common understanding is followed by a reflection on interventions; enhancing analytical work to further our
different components and structures that can facilitate the understanding of systems development; and promoting South-
operationalization of a systems approach to social South learning and cooperation for knowledge-sharing and
protection. However, both organizations recognize that capacity-building at all levels. This donor coordination is crucial
there is no “one size fits all� approach. Social protection to addressing and surpassing the inherent institutional and
cccccc financial challenges countries face to harmonize systems.
17
Annex 1
Table 1. Main Risks and Vulnerabilities and Their Impact Across a Child’s Life-cycle
Age Risks and Vulnerabilities Short-term outcomes Facts Long-term outcomes
In utero
and at - In utero exposure to maternal infections, - Increased risk of maternal - 19 million infants in - Severe, potentially irreversible
nutritional deficiencies, and environmental mortality, premature
birth developing countries consequences for physical and
toxins, as well as poor care around birth, births, birth defects, low
are born with low cognitive growth and
may lead to severe and irreversible damage to birth weight, and neonatal
the brain and other organs. death birth weight. development
- Low birth weight - 4 million newborns - The majority of permanent
worldwide are dying disabilities have their origin in
in the first month of neonatal disease.
life.
0-5 years
- Poor maternal and early nutrition leading to - Increased risk of infant - 148 million children - Irreversible effects on physical
stunted growth and other life-long negative and child morbidity and under five in the and cognitive growth and
health impacts
mortality. developing world are development
- Poor cognitive development if early care and
stimulation inadequate, with lifelong impact - Stunting, slow physical underweight for - Increased likelihood of learning
- Acute vulnerability to disease and infection/ growth, and other their age. disabilities, delayed school entry,
poor access to health services manifestations of early - 8.8 million children poorer school performance, and
- Exposure to hazardous environments childhood malnutrition. worldwide died increased likelihood of early
relating to poor housing and/or parents’ before their fifth dropout and lower grade
work birthday in 2008. attainment
- High dependency: risk from loss of
parent/carer
- Disability through lack of early intervention
(Table continues on next page)
18
Age Risks and Vulnerabilities Short-term outcomes Facts Long-term outcomes
9-11
years - Risk of not attending school, school - Failure to enroll, delayed - Over 100 million - Loss of human capital and
dropout, or low educational quality because enrollment, grade children are not capacities
of lack of income or pressure due to income- repetition, reduced school attending primary - Persistence of gender inequalities
income earning responsibilities performance, early dropout school, with more - Social exclusion
- Insufficient food or poor diets increasing girls than boys
likelihood of illness with knock-on effects in missing out.
education - 150 million children
aged 5-14 are
engaged in child
labor.
12-18
years - Lack of opportunity to access and complete - Exposure to risky - 64 million women - Intra- and inter-generational
primary and/or secondary schooling behaviors: aged 20-24 reported transmission of poor health and
- Lack of access to relevant formal education, - Early pregnancies they were married its consequences (low birth
life and livelihood skills development, and - Drug abuse before the age of 18. weight, vertical transmission of
peer education; lack of information and - Sexually transmitted - 14 million young HIV/AIDS)
poor access to health services. Lack of access infections including women in - Reduced productivity
to training/formal employment leading to HIV/AIDS, violence, and developing countries - Inter-generational transmission
entry into high risk employment categories premature death gave birth between of household and community
- Vulnerability of (especially girl) children to - Unemployment, hazardous the ages of 15 and violence
early withdrawal from school due to lack of or exploitative labor 19 years old. - High economic costs of risky
parents/family income - Exclusion from decision behaviors and forgone assets for
- Risks from early marriage and child-bearing making of key component development
- Increased risk of HIV and AIDS infection as of civil society
individuals become sexually active
- Increasing vulnerability of girls due to
gender based violence
Source: Authors’ elaboration based on UNICEF’s State of the World’s Children (Various issues), World Bank Life -Cycle approach, OECD (2009) Promoting
Pro-Growth. Figures derived from the SOWC (2010).
19
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20