Social protection

Understanding social protection

Social protection is defined by DFID as 'a sub-set of public actions that help address risk, vulnerability and chronic poverty'. It has become central to many policy discussions as both a conceptual approach and concrete set of policies. As a conceptual approach, social protection offers a way of thinking the requirements of groups and individuals to live a fulfilling life, the role of the state in facilitating this, and the vulnerabilities of particular groups or individuals. As a set of policies, social protection consists of interventions which address vulnerabilities and factors which hinder a group or individual's capacity to enjoy a fulfilling life.

Social protection originates from the idea of the state as a provider and protector of citizens, enjoying a rich history in Western Europe in the post-World War II period. Originally social protection was limited to supporting people in managing and mitigating shocks and heightened vulnerabilities, but in the last two decades social protection discussions have expanded to encompass four types of interventions: protective (recovery from shocks); preventative (mitigating risks in order to avoid shocks); promotive (promoting opportunities); and transformative (focusing on underlying structural inequalities which give rise to vulnerability).

The broadening of social protection can be attributed to increased awareness and concern about globalised risks such as economic shocks and other threats to livelihoods, the emergence of human security as unit of analysis, the global human rights discourse, and the centrality of the 2015 Millennium Development Goals. Social protection intersects with other cross-cutting development concerns such as poverty and vulnerability, pro-poor growth, agricultural development, humanitarian to development transitions, rights, exclusion and voicelessness, and the capacity of developing country states to fulfil essential functions.

Page contents

• Conceptualising social protection
• Current global issues
• Regional perspectives on social protection

Conceptualising social protection

Social protection is concerned with people who are vulnerable or at risk in some way, such as children, women, elderly, disabled, displaced, unemployed, and the sick, and with ways of transferring assets to these vulnerable groups.

Traditionally, social protection has focused on short-term protective safety nets: mechanisms to protect people from the impact of shocks such as flood, drought, unemployment or the death of a breadwinner, as well as insurance interventions linked to formal employment. This focus on short-term poverty mitigation has been criticised as an expensive, welfarist intervention and a disincentive for individual self-reliance.

As a result of concerns with supporting equitable growth, social protection has evolved to include longer-term preventative and promotive perspectives. These approaches highlight the structural causes of chronic poverty and attempt to address the social, economic and political barriers vulnerable people face in climbing out of poverty. Building upon the idea of promotive social protection, which seeks to strengthen the agency of vulnerable people, social protection has also been discussed in terms of its transformative character, through which social protection operates with a rights-based approach to transform the status and opportunities of marginalised groups. Instead of being understood only in terms of poverty reduction, social protection is now seen as making a significant contribution to the promotion of economic growth and stability.

Barrientos, A. and Hulme, D., 2008, ‘Social Protection for the Poor and Poorest in Developing Countries: Reflections on a Quiet Revolution’, BWPI Working Paper 30, Brooks World Poverty Institute, Manchester
The rapid rise of social protection can be considered a 'quiet revolution'. How has this happened and what is its future potential? This paper traces the contours of social protection, its diversity and the factors that constrain its expansion. It argues for the energetic continuation of this revolution to improve the prospects of the world's poor people and to strengthen national and international solidarity and security. Researchers and policymakers need to find ways of: (1) scaling up social protection coverage in low-income countries without turning it into an donor development fad which is later cast aside; and (2) extending social protection into fragile states and difficult environments.
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Norton, A., Conway, T and Foster, M., 2001, ‘Social Protection Concepts and Approaches: Implications for Policy and Practice in International Development’, Working paper 143, CAPE, Overseas Development Institute, London
How can international agencies contribute to improving the coverage and effectiveness of social protection as a component of poverty reduction strategies? This paper reviews conceptual developments of the meaning and importance of social protection and looks at experience of different policy instruments. Improving co-ordination of social policy is a major priority, as is tackling growing insecurity and inequality and taking account of institutions outside the state that provide social protection.
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Shepherd, A., Marcus, R. and Barrientos, A., 2004, ‘Policy Paper on Social Protection’, paper produced for UK Department for International Development (DFID), final draft, Overseas Development Institute, London
What is meant by social protection? In answering this question, this paper discusses safety nets, social assistance and social insurance, and mutual and informal risk management. It argues that well-designed social protection can have a positive impact on economic growth and can be affordable even in low-income countries.
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Sabates-Wheeler, R. and Devereux, S., 2007, ‘Social Protection for Transformation’, IDS Bulletin, vol. 38, no. 3, pp. 23-28
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Cook, S. and Kabeer, N., 2009, ‘Socio-economic Security over the Life Course: A Global Review of Social Protection’, Institute of Development Studies, Brighton
This paper draws on regional studies to provide an overview of the current field of social protection. It suggests that social protection needs to move beyond risk management and safety nets to support productive or developmental trajectories out of poverty that can strengthen citizenship rights and claims to security. Innovative, more developmental social protection approaches adapted to particular contexts are emerging around the world. However, greater attention should be paid to the political economy of redistributive policies, the challenge of financing such policies, and their implications for the social contract between state and citizens. The state has a key role in coordinating inclusive social protection provision.
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Further information on the role of rights in development can be found in the GSDRC topic guides on Human Rights and Social Exclusion.

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Current global issues

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

The politics of social protection

The technical nature of policy documents often belies the political underpinnings of social protection interventions, as well as the political nature of their impacts. There is a movement towards a greater appreciation of the role politics plays in social protection provision at the actor, institutional, national, global, and social levels. Political analysis helps explain the links between politics and social protection at each of these levels in three ways:

• It sheds light on the incentives and reasons why social protection interventions are implemented, both from the perspective of donors and from national governments.
• It helps explain bottlenecks and constraints within social protection interventions, as well as identifying the actors and institutions through which interventions can be delivered effectively
• It enables a more in-depth appreciation of the impact of social protection, not only upon poverty reduction or growth but upon the political context.

Political analysis reveals important factors related to power, ownership, and political will affecting social protection. The provision of public goods through social protection programmes can radically alter a government’s power base and could therefore be used as a way of maintaining or increasing power. Another key issue is the ‘ownership’ of social protection programmes, with suggestions that interventions are donor-driven with little support from recipient country governments. There is debate over the extent to which social protection is supported by country ownership and political willingness, but it is generally agreed that the two are desirable objectives and that donors should work towards building the capacity and willingness of governments to manage social protection interventions.

McCord, A., 2009, ‘Cash Transfers and Political Economy in Sub Saharan Africa’, Project Briefing No. 31, Overseas Development Institute, London
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Hickey, S., 2011, ‘The Politics of Social Protection: What do we get from a ‘social contract’ approach?’, Working Paper 216, Chronic Poverty Research Centre, Manchester
There have been growing calls to reframe social protection in terms of extending the 'social contract' to the poorest groups. This is often understood as relocating social protection within a broader project politics of rights and justice as opposed to patronage. However, it is important to consider the significant differences within social contract theory and between their related forms of social protection. 'Contracts' are not unproblematically progressive, and it seems unlikely that international development agencies could promote progressive social contracts around social protection without significant shifts in practice.
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Zucco C., 2010, 'Cash Transfers and Voting Behaviour: An Assessment of the Political Impacts of the Bolsa Família Program', Princeton University, Princeton
What was the political impact of the government's Bolsa Família conditional cash transfer (CCT) programme in the 2006 Brazilian elections? This study estimates the extent to which the programme increased the probability of voting for President Lula. It concludes that Bolsa Família undoubtedly helped to re-elect Lula. While there is still considerable debate over the long-term implications of CCTs, the significant pro-incumbent electoral effects identified suggest that CCTs could be both 'good policy' and 'good politics'. Knowledge among politicians of these electoral effects could increase political will for the implementation of CCTs and reduce reliance on clientelism.
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Devereux, S., and White, P., 2007, ‘Pilots, Principles or Patronage: What Makes Social Protection Succeed in Southern Africa?’, Paper prepared for the workshop ‘Social Protection and Ideologies of Welfare in Southern Africa’, University of Oxford, 6 December 2007
In southern Africa, social protection is often used in response to growing livelihood vulnerabilities. Studies of 20 social transfer schemes indicate that the design, implementation, and success of social protection instruments are dictated by: (i) international (donor/NGO) ideologies; and (ii) national (government) political processes. Social protection programmes which arise as a result of domestic political agendas rather than 'imported' interventions are more likely to succeed in terms of coverage, fiscal sustainability, political institutionalisation and impacts.
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The Global Financial Crisis

The global financial crisis has restricted government funds available for social protection programmes, while its impact on individuals has led to an increase in the number of people reliant on them. The financial crisis has had and will continue to have a significant impact upon poverty and economic growth and as a result there exist concerns about the appropriateness of the social protection response, and - due to a decline in funds - donor and government capacity and willingness to implement social protection interventions.

McCord, A., 2009, ‘The Global Financial Crisis: Poverty and Social Protection - Evidence from 10 Country Case Studies’, ODI Briefing Paper No. 51, Overseas Development Institute, London
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Heltberg, R., et al., 2012, ‘Anatomy of Coping: Evidence from People Living through the Crises of 2008–11’, Policy Research Working Paper 5957, World Bank, Washington DC
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World Bank Human Development Network, 2009, ‘Averting a Human Crisis during the Global Economic Downturn: Policy Options from the World Bank’s Global Development Network’, Conference Edition, World Bank, Washington D.C.
How should the world respond to the current economic crisis in order to avert a large-scale human crisis? This report assesses the implications of the current situation for poor and vulnerable populations. It argues that responses must be comprehensive and should involve many sectors of the economy. They should focus on young people, the low-skilled, women, older workers, and immigrants. Recommendations include demand-side education programmes, an emphasis on adequate nutrition and HIV-related funding, public works programmes in rural areas, and a comprehensive package of support for workers.
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Somavia, J., 2009, ‘The Global Financial Crisis and its Impact on the Work of the Global Financial System’, UN System Chief Executives Board for Coordination, Geneva
What impact will the global financial crisis have on the UN's work and how can these effects be alleviated? This report, based on a meeting of senior managers from UN agencies in 2009, calls for rapid action to address both the immediate challenges of the crisis and long-term issues. A coherent, comprehensive and coordinated strategy is needed. Recommendations include the establishment of a social protection floor, to consist of: (1) access to essential services; and (2) social transfers in cash and in kind.
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Parks, W. and Abbott, D., 2009, ‘Protecting Pacific Island Women and Children During Economic and Food Crises’, Working Edition One for Advocacy, Debate and Guidance, UNCEF Pacific and UNDP Pacific, Suva
This report provides a synopsis of the food price rise and global economic crises together with their known and potential impacts on children and women. In outlining lessons and recommendations it argues that now is a critical time for government investment in social interventions, which when well-designed can boost economic growth and make growth more pro-poor. In particular, gender-based policies that build on women's roles as economic agents and their preference for investing resources in child well-being can help to mitigate the effects of economic crises. Child protection mechanisms should be integrated into expanded social protection programmes.
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Fiszbein, A., Ringod, D. and Srinivasan, S., 2011, ‘Cash Transfers, Children and the Crisis: Protecting Current and Future Investments’, Development Policy Review, vol. 29, no.5, pp. 585-601
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Climate Change

Social protection has a role to play in helping people withstand short-term livelihood threats from climate change and in facilitating long-term adaptation to climate change. Levels of vulnerability and risk are affected by climate change, and these considerations are increasingly being included in the design of social protection programmes in terms of response (e.g. cash transfers), compensation (e.g. crop insurance) and adaptation (e.g. crop diversification, irrigation systems).

Raworth, K, 2007, ‘Adapting to Climate Change: What’s Needed in Poor Countries and Who Should Pay’, Oxfam Briefing Paper 104, Oxfam International, Oxford
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Davies, M. et al, 2008, ‘Social Protection and Climate Change Adaptation’, Commission on Climate Change, Stockholm
How can synergies between social protection and climate change adaptation be identified and maximised? Social protection initiatives are unlikely to succeed in reducing poverty if they do not consider both the short- and long-term shocks and stresses associated with climate change. Researchers at the Institute of Development Studies have therefore developed an 'adaptive social protection' framework. This helps to identify opportunities for social protection to enhance adaptation, and for social protection programmes to be made more climate-resilient.
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Heltberg R., Siegel P. B. and Jorgensen S. L., 2008, 'Climate Change, Human Vulnerability and Social Risk Management', World Bank, Washington, D.C.
How can interventions increase society's capacity to manage climate risks, reducing household vulnerability while maintaining or improving opportunities for development? This paper presents a social risk management and asset-based conceptual framework to help design such interventions. An integrated, multisectoral approach is needed to manage both direct and indirect climate risks. This requires greater collaboration among professionals working on disasters, climate change, and social policy, including shared platforms around definitions, data, monitoring, research, and capacity building. In terms of social protection, index-based insurance and combinations of insurance and safety net approaches hold promise, but the limits to what insurance can achieve need to be kept in mind.
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GSDRC Helpdesk Research Report, 2008, ‘Climate Change and Social Protection’, GSDRC, Birmingham
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Fragile states

Social protection interventions are seen as a way of protecting vulnerable populations during conflict, in situations of fragility where a government is unable to fulfil its core functions, and as a way of facilitating rehabilitation after conflict ceases. Although the objectives of social protection in fragile states and other developmental contexts are essentially the same, fragile states present special challenges. These include whether national governments should be involved in the delivery of social protection, the mitigation of corruption, and considerations of the social dynamics between groups.

There is concern in the literature about how viable cash transfers are in fragile contexts. Cash transfers are beginning to be viewed as an alternative to food aid: they have been seen to provide a short-term incentive for peace as well as an effective bridge between short-term humanitarian aid provision and a longer-term development perspective. Although there may be fears about the capacity of a national government taking responsibility for social protection, it has been argued that social protection has a positive effect on state-building, in that nationally-owned social protection systems can promote the strengthening of the state and building of legitimacy.

Darcy, J., 2004, ‘Conflict and Social Protection: Social Protection in Situations of Violent Conflict and its Aftermath’, Theme Paper 5, Overseas Development Institute, London
How can people's lives and livelihoods be protected during and after conflict? This paper examines a range of strategies and both state and non-state roles in social protection. In insecure environments, support to non-formal mechanisms provided by civil society may be most effective, as despite their limited capacity they have greater access than formal providers. Broad-based welfare provision in post-conflict environments might avoid the social and political tensions that targeted assistance could create.
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Harvey, P, 2009, ‘Social Protection in Fragile States: Lessons Learned’ in OECD DAC, 2009, ‘Promoting Pro-Poor Growth: Social Protection’, OECD DAC, Paris, pp.183-196
How can social protection best be achieved in situations of fragility? This paper argues that while the objectives for social protection in fragile states are essentially the same as in development contexts, social protection instruments, financing and delivery need to be adapted. In order to scale up social protection in fragile settings, it is important to use a wider range of social protection instruments; to provide longer-term, more harmonised and predictable funding; and to work with a broader range of actors.
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Harvey, P. and Holmes, R., 2007, ‘The Potential for Joint Programmes for Long-Term Cash Transfers in Unstable Situations’, Overseas Development Institute, London
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Regional perspectives on social protection

Recent regional reviews of social protection systems and programmes highlight poverty and vulnerability as the principal drivers of protective, preventative, promotive and transformative social protection interventions in developing countries. There are wide regional variations among vulnerable and at-risk groups, appropriate responses and success factors. For instance, in Sub-Saharan Africa the number of labour market interventions is lower than that of Latin America, due to the lower proportion of the population being engaged in formal sector work. There are also clear differences in the levels of national government commitment to existing social protection frameworks, with Latin American governments displaying an overall greater willingness than their African counterparts, although donors are keen to ensure that responsibility for delivery lies with central governments.

Barrientos, A., and Hinojosa-Valencia, L., 2009, ‘A Review of Social Protection in Latin America’, Institute of Development Studies, Brighton
This study reviews social protection trends and policy responses in Latin America and the Caribbean. In the last two decades, the region has seen reforms of social insurance pensions and health insurance and the rapid expansion of social assistance. These changes have re-shaped social protection in most countries in the region. Nevertheless, significant challenges remain. The implementation and delivery of social assistance programmes require long-term partnerships under the direction of secure and well-resourced public sector agencies.
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Devereux, S. and Cipryk, R., 2009, ‘Social Protection in Sub-Saharan Africa: A Regional Review’, Institute of Development Studies, Brighton
How successfully is social protection being delivered in Africa? What challenges remain in the extension of social protection? This study explores how social protection strategies are being implemented by African governments, with support from bilateral and multilateral donors and international and local NGOs. The social protection debate in Africa now needs to move beyond social transfers to focus on social justice, including the mobilisation of civil society to claim entitlements and rights from the state.
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Kohler, G., Cali, M. and Stirbu, M., 2009, ‘Social Protection in South Asia: A Review’, UNICEF Regional Office for South Asia, Kathmandu
How can social protection interventions help to achieve the Millennium Development Goals with equity in South Asia? What are the recent trends and future orientations of social protection in the region? This review finds that social protection needs to be scaled up and made more systemic in South Asia. Social protection strategies must respond to the multidimensional and dynamic nature of poverty by focusing on risk, vulnerability, social exclusion and political voice. Children should be at the heart of social protection in order to break the inter-generational cycle of poverty.
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