SW 221 Sim

UNIVERSITY OF MINDANAO
College of Arts and Sciences Education

Social Work Program
Physically Distanced but Academically Engaged
Self-Instructional Manual (SIM) for Self-Directed Learning (SDL)
Course/Subject: SW 221– Social Welfare Policies, Programs and Services
Name of Teacher: Prof. JEAN AGNES A. PASILIAO, MSSW
THIS SIM/SDL MANUAL IS A DRAFT VERSION ONLY. STRICTLY NOT FOR SALE,
REPRODUCTION, AND DISTRIBUTION OUTSIDE OF ITS INTENDED USE. ONLY
STUDENTS OFFICIALLY ENROLLED IN THE COURSE CAN USE THIS MANUAL.
EXPECT REVISIONS OF THE MANUAL.
2ndFloor, DPT Building
Matina Campus, Davao City
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Table of Contents
Activities/Content Page
Numbe
r
Course Outline 5
Course Outline Policy 5
Course Information 9
Course Outcome and CC’s Voice 9
Week 1 – 3 (Big Picture) 10-77
Big Picture A: Metalanguage 10
Big Picture A: Essential Knowledge 10
Big Picture A: Self-help 11
Big Picture A: Let’s Check Activities 25
Big Picture A: Let’s Analyze Activities 26
Big Picture A: In a Nutshell 27
Big Picture A: QA List 30
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31
Big Picture A: Keywords Index
Big Picture B: Metalanguage 32
Big Picture B: Essential Knowledge 34
Big Picture B: Self-help 50
Big Picture B: Let’s Check Activities 51
Big Picture B: Let’s Analyze Activities 52
Big Picture B: In a Nutshell 57
Big Picture B: QA List 58
Big Picture B: Keywords Index 58
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Big Picture C: Metalanguage 59
Big Picture C: Essential Knowledge 59
Big Picture C: Self-help 72
Big Picture C: Let’s Check Activities 73
Big Picture C: Let’s Analyze Activities 73
Big Picture C: In a Nutshell 76
Big Picture C: QA List 77
Big Picture C: Keywords Index 77
Week 4 – 5 (Big Picture) 78
Big Picture A: Keywords Index 100
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163
Big Picture B: Let’s Check Activities
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Big Picture A: QA List
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Rubrics 277-
278
Course Schedule 279
Online Code of Conduct 282
Course Outline: SW 221 – Social Welfare Policies, Programs, and Services
Course Coordinator: Jean Agnes A. Pasiliao, MSSW

Email: jpasiliao@umindanao.edu.ph
Student Consultation: Direct message via LMS Blackboard
Mobile: 0932-408-0037
Phone: (082)300-5456 / 305-0647 Local 149
Effectivity Date: August 2020
Mode of Delivery: Blended (On-Line with face to face or virtual sessions)
Time Frame: 54 hours
Student Workload: Expected Self-Directed Learning
Requisites: SW 124– Philosophical and Knowledge Foundation of Social Work
Credit: 3 units
Attendance Requirement: A minimum of 95% attendance is required at all scheduled virtual
or face to face sessions
Course Outline Policy
Areas of Concern Details
Contact and Non-contact This 3-unit course self-instructional manual is designed for hours
blended learning module of instructional delivery with scheduled face to face or virtual
sessions. The expected number of hours will be 54 including the face to face or virtual
sessions. The face to face sessions shall include the summative assessment tasks
(examinations) since this course is important in the social work licensure examination.
Assessment Task Submission of assessment tasks shall be on 3rd, 5th, 7th

Submission and 9th week of the term. The assessment paper shall be attached with a cover
page indicating the title of the assessment task (if the task is
performance), the name of the course coordinator, date of
submission and name of the student. The document should be
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emailed to the course coordinator. It is also expected that you

already paid your tuition and other fees before the submission
of the assessment task.
If the assessment task is done in real time through the

features in the Blackboard Learning Management System, the
schedule shall be arranged ahead of time by the course
coordinator. Since this course is included in the social work
licensure examination, you will be required to take the Multiple
Choice Question exam inside the University. This should be
scheduled ahead of time by your course coordinator. This is
non-negotiable for all licensure-based programs
Turnitin Submission To ensure honesty and authenticity, all assessment tasks are required
to be submitted through Turnitin with a maximum similarity
index of 30% allowed. This means that if your paper goes
beyond 30%, the students will either opt to redo her/his paper
or explain in writing addressed to the course coordinator the
reasons for the similarity. In addition, if the paper has reached
more than 30% similarity index, the student may be called for
a disciplinary action in accordance with the University’s OPM
on Intellectual and Academic Honesty.
Please note that academic dishonesty such as cheating and

commissioning other students or people to complete the task
for you have severe punishments (reprimand, warning,
expulsion).
Penalties for Late The score for an assessment item submitted after the
Assignments/Assessments designated time on the due date, without an approved extension
of time, will be reduced by 5% of the possible maximum score
for that assessment item for each day or part day that the
assessment item is late.
However, if the late submission of assessment paper has a

valid reason, a letter of explanation should be submitted and
approved by the course coordinator. If necessary, you will also
be required to present/attach evidences.
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Return of Assignments/ Assessments

Assessments
Assessment tasks will be returned to you two (2) weeks after
the submission. This will be returned by email or via
Blackboard portal.
For group assessment tasks, the course coordinator will

require some or few of the students for online or virtual
sessions to ask clarificatory questions to validate the
originality of the assessment task submitted and to ensure that
all the group members are involved.
Assignment Resubmission You should request in writing addressed to the course

coordinator his/her intention to resubmit an assessment task.
The resubmission is premised on the student’s failure to
comply with the similarity index and other reasonable grounds
such as academic literacy standards or other reasonable
circumstances e.g. illness, accidents financial constraints.
Re-marking of You should request in writing addressed to the program Assessment Papers and
coordinator your intention to appeal or contest the score
Appeal given to an assessment task. The letter should explicitly explain the reasons/points
to contest the grade. The program coordinator shall
communicate with the students on the approval and
disapproval of the request.
If disapproved by the course coordinator, you can elevate your

case to the program head or the dean with the original letter
of request. The final decision will come from the dean of the
college.
Grading System All culled from BlackBoard sessions and traditional contact
Course discussions/exercises – 30%
1st formative assessment – 10%
2nd formative assessment – 10%
3rd formative assessment – 10%
All culled from on-campus/onsite sessions (TBA): Final exam –

40%
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Submission of the final grades shall follow the usual University

system and procedures
Preferred Referencing Depends on the discipline; if uncertain or inadequate, use the
Style general practice of the APA 6th Edition.
Student Communication
You are required to create a umindanao email account which
is a requirement to access the BlackBoard portal. Then, the
course coordinator shall enroll the students to have access to
the materials and resources of the course. All
communication formats: chat, submission of assessment
tasks, requests etc. shall be through the portal and other university
recognized platforms.
You can also meet the course coordinator in person through

the scheduled face to face sessions to raise your issues and
concerns.
For students who have not created their student email, please contact
the course coordinator or program head
Contact Details of the Dr. Khristine Marie D. Concepcion

Dean Email: artsciences@umindanao.edu.ph
Phone: (082)300-5456/305-0647 Local 134
Contact Details of the Dr. Helen Q.Omblero

Program Head Email:helen_omblero@umindanao.edu.ph
Phone: (082)300-5456/305-0647 Local 149
Students with Special Students with special needs shall communicate with the
Needs course coordinator about the nature of his or her special needs. Depending on the
nature of the need, the course coordinator with the approval
of the program coordinator may provide alternative
assessment tasks or extension of the deadline of submission
of assessment tasks. However, the alternative assessment
tasks should still be in the service of achieving the desired
course learning outcomes
Help Desk Contact Dr. Khristine Marie D. Concepcion - Dean Email:

artsciences@umindanao.edu.ph
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Rosyl S. Matin-ao – College LMS Facilitator
Email: rosyl_matinao@umindanao.edu.ph Phone: (082)3005456/305-
0647 Local 149
Library Contact Brigida E. Bacani
Email: library@umindanao.edu.ph Phone:
0951-376-6681
Well-being Welfare GSTC link: https://www.facebook.com/UM-GSTC-
Support Held Desk MainCASE-111568283817513/
Contact CP# TNT 09504665431
CP# TM 09058924090
Course Information – see/download course syllabus in the Black Board LMS
CC’s Voice: Welcome to the course SW 14: Social Welfare Policies, Programs, and Services.
This course is considered one of the foundational knowledges that a future
social worker must have. Once you understand different concepts and theories
in respect to the dynamics of individual, group and community processes, this
course follows for it answers different specialized organizations catering to the
need and problem experience by our client system. In this course, you must
put into perspective the concept of social provision that assumes that there will
always be people everywhere, at all times, with unmet needs or problems which
are beyond their own capacity to solve. Thus, analyzing social welfare policies,
programs and services in the provision of social resources for the satisfaction
of human7 needs for the goal of human welfare is the central focus.
CO: In this course, you first need to establish theoretical understanding of social
policies and analyze various concepts including the arching values of each
policy. Then, this will require you analyze some of social policies using
different tools. You need also to identify existing welfare policies, programs,
and services vital to social work practice and analyze and evaluate emerging
policies focusing on ethical dimension. Let us begin!
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Week 1-3: Unit Learning Outcomes (ULO)
At the end of the unit, you are expected to:
a. Examine different concepts related to social policy

b. Analyze various theoretical perspective of social welfare policies
c. Explain the policy cycle process
ULOa: Examine different concepts related to social policy
In this part, you need to understand various concepts to grasp the bigger picture of social
policy. You will encounter these terms as we progress with our study. All terminologies are
conceptually defined since most of the ideas and concepts are considered borrowed
knowledge from other social science disciplines. Please refer to these definitions in case you
will encounter difficulty in understanding social policy concepts.
1. Social welfare - This refers to the various social arrangements that exist to meet
the needs of individuals and groups in society and to tackle social problems.
2. Social welfare policy – For any policy to be considered a social welfare policy it
must have these three characteristics: First, social welfare policy relates to
enhancing the quality of life of individuals, sometimes acting through groups or
communities to do so; Second, while social welfare policy can be made buy either
governmental or private organizations, it is created by both lack of action on the
part of the decision makers; Finally, social welfare policy is the outcome of a
process involving politics.
3. Social services - This refers to the programs, services and other activities provided
under various auspices, to concretely answer the needs and problems of the
members of society. These social services may take the form of services to
individuals and families, services to groups, services to people with special
problems (the handicapped, the mentally challenged, etc.) as well as community
services
4. Residual social welfare – This model conceives social welfare as temporary,
offered during emergency situation and withdrawn when the regular social system
– the family and the economic system – is again working properly. Social welfare
activities of this kind, because of the residual substitute characteristic, often carry
the stigma of “doles”, or “charity.”
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5. Incremental social welfare – This is characterized by social sectors being

expanded in a piecemeal, expedient fashion in response to political pressures
rather than to social need. this incremental approach is still characteristic of social
sector planning in most of the developing and much of the industrialized world.
6. Institutional social welfare – This model, in contrast with residual, sees social
welfare as a proper, legitimate function of modern society. That some individuals
are not able to meet all their needs is considered a “normal” condition, and helping
agencies are accepted as “regular” social institutions.
7. Absolute poverty - this refers to situation wherein a household of five members’
income is below the poverty threshold (Php. 10, 727), which make it impossible to
meet basic need
8. Relative poverty – It means poverty is defined in comparison to other people’s
standing in the economy. Thus a person can be poor in the relative sense, even if
she is not poor in the absolute sense, that is, can meet her basic needs.
To meet the ULOa, you need to acquaint yourself to various concepts that re-define
social policy as this would be your knowledge base to the succeeding ULOs. Concepts are
defined and discussed throughout this section but be notified that you are not limited to refer
to these resources exclusively. Thus, it is expected from you to utilize other books, research
articles, and other resources that are available in the university's library, e.g., e-brary,
search.proquest.com, and other credible platforms.
1.0 Social Policy. There are several different definitions of policy and social policy. Some are
presented in table below to illustrate the key features of social policy
Policy can be taken to mean principles that govern action Titmuss 1974 cited in
towards given ends Dalton et al. 1996
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Policy can be seen as: Althaus et al. 2007

• a label for a field of activity adopted from Hogwood
• an expression of general purpose or desired & Gunn 1990
state of affairs
• specific proposals
• decisions of government arising from crucial
moments of choice
• formal authorisation—a specific act or statute
• a program—a particular package of legislation,
organisation and resources
• output—what government actually delivers, as
opposed to what it has promised or has
authorised through legislation
• the produce of a particular activity
• theory—if we do X then Y will follow
• • a process unfolding over a long period of time
[Public] policy is the continuing work done by groups of Considine 1994
policy actors who use available public institutions to
articulate and express the things they value
The study of social policy is concerned with those Erskine 1998,

aspects of public policies, market operations, personal
consumption and interpersonal relationships that
contribute to, or detract from, the well-being or welfare of
individuals or groups. Social policy explores the social,
political, ideological and institutional context within which
welfare is produced, distributed and consumed. It seeks
to provide an account of the processes that contribute to
or detract from welfare and it does this within a normative
framework that involves debating moral and political
issues about the nature of the desired outcome.
Social policy contains both products and Dalton et al. 1996

outcomeparticular policies, as well as processes of
critical reflection, action and contest between people.
Social policy is concerned with social goals, purpose and
values
Social policy is ‘actions aimed at promoting social Alcock cited in Hill 2003,
wellbeing’.
1.1. Social policy has different meanings, including particular policies, areas
of study or processes for action.
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1.2. Social policy is more planned than random—it involves some kind of
purposeful, intentional activity and often ‘authoritative choice’ (Althaus et al.
2007, p. 6).
1.3. Social policy is concerned about the welfare (or well-being) of
individuals and groups in society.
1.4. Social policy is concerned with social relationships—the relationships
between individuals, individuals and society, and between different groups in
society. Th is is important because individual and social well-being is very
dependent on the quality of relationships.
1.5. Social policy is concerned with both overall welfare and also about how
welfare or well-being is distributed among different groups according to
important facets of life, such as health, education, income and employment.
1.6. Social policy is concerned with the articulation of objectives and
principles, and critically involves debates about values as well as action to
achieve them. Different values and beliefs will mean there are different
understandings about what constitutes welfare and also about how welfare is
best promoted.
1.7. The process of social policy involves not only rational analysis but also
political contest about different values and the position of different groups. The
analysis of social policy therefore requires an understanding of the power
relationships within society and is informed by different theories about power
and how it is exercised.
1.8. Social policy as intentions and objectives (Baldock et al. 2003),
meaning social policy as clarifying and debating what we want to achieve. Th
is can be in the form of policy statements or informal agreements.
1.9. Social policy as administrative and financial arrangement, meaning the
way we organise our services and institutions to achieve these intentions and
objectives; for example, the organisation of our health and housing systems
and of our welfare state overall.
1.10. Social policy as outcomes meaning the impacts of social policies, such
as the extent of poverty, how different groups are treated or the overall quality
of life of the population.
2. Social welfare refers to the “organized system of social services and institutions,
designed to aid individuals and groups to attain satisfying standards of life and health.”
This also includes “laws, programs, benefits and services which assure or strengthen
provisions for meeting social needs recognized as basic to the well-being of the
population and the better functioning of the social order. These provisions may be
directed toward strengthening existing arrangements; mitigating hardships or handicaps
of particular individuals and groups; pioneering new services; stimulating a better
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adaption of the social structure including the creation of new programs as needed; or a
combination of all these approaches to social needs.
2.1. Society responds to the unmet needs or problems through the
following ways:
a) Individual and group efforts. These refer to the systematic and
voluntary efforts undertaken by individuals and/or groups in
response to the unmet needs of people in a community. From
this point of view, the basic conditions for the existence and
survival of individual people are necessarily social. No
individual, however resourceful, could survive for long in
isolation.
b) Major societal institutions which have their designated roles and
responsibilities for meeting human needs. The family, the
church, the market, cooperatives and labor unions are major
social institutions. Social forces bring about changes which can
affect the effectiveness of these institutions in performing their
social welfare functions. Institution-building should therefore be
a serious continuing effort because of its crucial implications for
the welfare of human society.
c) Social agency. Whether under public or private auspices, a
social agency is a major provision for helping people with their
problem. It is an integral part of community’s institutionalized
network of services for its members. The professional social
workers in the Philippines is usually employed by a social
agency.
3. Social Services. This refers to the programs, services and other activities
provided under various auspices, to concretely answer the needs and problems of the
members of society. These social services may take the form of services to individuals
and families, services to groups, services to people with special problems (the
handicapped, the mentally challenged, etc.) as well as community services. In the
sense that “social welfare” would be meaningless term unless there are concrete
demonstrations of its “concern for the well-being of human society” through actual
social services, then the two terms are inseparable and for this reason, often used
interchangeably. There are many motivations or reasons for providing social services.
However, among the many legitimate and vitally important goals of social welfare which
often compete for scarce resources are the following:
3.1. Humanitarian and Social Justice Goal. This goal of social

welfare is rooted in the democratic ideal of social justice and is based
on the belief that man has the potential to realize himself, except that
physical, social, economic, psychological, and other factors sometimes
hinder or prevent him from realizing his potentials. This concept submits
that it is right and just for man to help man, hence, social service. This
goal involves the identification of the most afflicted, the most dependent,
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the most neglected, and those least able to help themselves, and
making them the priority target for the investment of scarce resources.
3.2. Social Control Goal. This goal is based on the recognition that
needs, deprived or disadvantaged groups may strike out, individually
and/or collectively, against what they consider to be an alienating or
offending system. Society therefore has to secure itself against the
threats to life, property, and political stability in the community which are
usually presented by those who are deprived of resources and
opportunities to achieve a satisfying life Social services to dissidents,
and to juvenile and adult offenders exemplify the social control goal of
social welfare.
3.3. Economic Development Goal. The economic development goal

places priority on those programs designed to support increases in the
production of goods and services, and other resources that will
contribute to economic development. The immediate beneficiaries of
such programs may be the able-bodied, relatively better-off members
of the community.
4. Social Needs. Among the motivations of social provision of social welfare is the
existing deprivation of needs. A useful starting point is to distinguish needs from two
related notions: wants and preferences.
4.1. There are two important senses in which wants, and needs
differ. First, wants are more inclusive: we may want things that we do
not need; indeed, marketing experts make great efforts to persuade us
to do so. Second, we may need things which we do not want, either
through ignorance or our dislike of them. Medical intervention can often
be of this type. Both of these distinctions from want suggests that needs
are more basic or essential to us than wants
4.2. Preferences, a concept frequently used in economic analyses,

differ from needs and wants in the sense that they are revealed only
when we make choices, usually in the act of buying goods or services
as consumers. The argument here is that it is difficult to really know
what people need or want unless they act in some way to try to secure
for themselves the things in question.
4.3. We should also make a distinction between needs and social

needs. Needs (and problems and welfare) are ‘social’ in the sense that
they are not merely concerned with, for example, individual causes and
experiences of illness and poverty, but also with the amount and
distribution of illness and poverty in different social groups; the reasons
for this that arise out of the shared conditions of life for those social
groups; and the social structures and processes through which they
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might be ameliorated. For example, it is only necessary to vaccinate a

proportion of the population to stop the spread of infectious disease. In
this case, the population can be seen to have a need, but any specific
individual may not necessarily feel, or be defined by others as, in need.
Waiting in line for an injection, we may have all felt this way as children.
These considerations enable us to make some simple classification of
types of need:
a) First are those needs which we are aware of ourselves,

felt needs. These are obvious when we feel ill, or have
an accident.
b) The second type of need is defined for us by others,
usually experts or professionals, such as doctors or
teachers, but also importantly by family and friends.
c) The third type of need is partly an extension of the
second, to focus on needs as revealed, perhaps in
surveys, in comparison with other people in the same
social group. Here an individual can be said to be in
comparative need because others have something that
they do not.
4.4. An important aspect of needs, shared by all three types, has
given rise to many debates in social policy. This is the question of how
needs can be measured, particularly when we move away from the
obvious examples such as major medical emergencies. The classic
case is that of poverty. How much income do we need? One approach,
drawing on the second type of need as defined by experts, is to think
about the basic essentials, such as food, clothing, shelter, and to work
out the amount of money needed to buy the cheapest minimal provision
of these, and to define anyone with less money as poor, or in need.
4.5. An alternative approach is to use the first type of need, and

merely to ask poor people what they feel they need. However where
this has been done, it seems that poor people often adjust to their
circumstances and feel less in need than they ‘ought’ to, especially if
they are older people; while others can feel poor where they ‘ought’ not
to. Finally, we could merely define as poor those people with less than
others as in the third type of need, comparative need, for example by
ranking incomes and identifying, say, the bottom 10 per cent as poor.
5. Social Problem. Social welfare institutions are also concerned with social
problems, which are related to, but not the same as social needs. For example, as C.
Wright Mills famously observed, one person suffering from unemployment may be in
acute need, but it is only when unemployment becomes a more widely shared
experience in a community that there may be said to be a social problem. Social
problems then are to be distinguished from individual need.
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5.1. A further distinction should be made between the mere

existence of a shared set of social misfortunes in a community, whether
or not they have been defined as needs, and three further elements of
a social problem: the extent to which they are perceived; the
judgements made about them and the values they threaten; and the
actions recommended to deal with them. Needs can exist whether or
not they are known about by anyone. Social problems cannot. They
exist within the public domain rather than private experience.
5.2. Perceptions of social problems can occur through the eyes of

experts or the general public. In the case of experts, social problems
are typically defined in relatively objective terms for example the
incidence of divorce, where the rate of change is a crucial issue.
However, since many social issues are less amenable to objective
measurement, for example the effects of family neglect on children,
experts can differ widely in their claims about the objective state of a
social problem. In these cases, the general public, community groups,
pressure groups, and so on may have widely varied views, such that a
social problem is more subjectively defined. Social problems, in the
extreme version of this view, become merely ‘what people think they
are’. Since most of our experience of and knowledge about social
issues is indirect, the mass media are an important influence not only
on our knowledge of social issues, but also the way in which they are
framed, judged and dealt with.
5.3. Another element to qualify a need into a problem is the value of
judgement. First to consider is the answer the question, whose values
are threatened? Some issues command widespread consensus, for
example that threats to life are unacceptable. The judgement that the
spread of disease such as HIV-AIDS is a social problem from this point
of view is relatively uncontested. Other issues however may be the site
of sharp value conflict, for example the relevance of people’s sexuality
to family life in various ways. However, a second important aspect of
value judgements in definitions of social problems can sharply modify
the effects of these value concerns. This is the issue of who is to blame
for the problem. In the case of HIV-AIDS, what might have been an
ordinary medical issue was transformed in this regard by very sharp
dissensus over the judgements of blame made about gay men, and
therefore about the nature, status, and solution to the problem. Where
problems are the site of value conflict, or blame is attributed, we can
speak of contested or open social problems, the solutions to which are
far from clear. Where consensus and lack of blame are typical we can
think of social problems as closed or uncontested.
5.4. The solutions proffered to social problems have an intimate

connection to perceptions and judgements made about them. Indeed,
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it has been argued that often the solution may in fact tend to determine
these other aspects. An example of this process has been the
development since the 1970s of the social problem of hyperactivity
(ADHD) among children, at a time when a drug treatment to calm them
down became available.
6. Social Policy and Development
6.1. Social policy as welfare services. The conventional definition of

social policy is linked to government intervention to provide social
services. This conception can be traced back to the European post-
war’s “welfare state” that perceived government as having the duty to
ensure standard of living and health for all its constituents. This idea
was also reinforced by the Keynesian principles of employment
generating public investment which focus on the government’s funding
to social sectors such as education, health, and housing.
6.2. In the 1950s, according to mainstreamed modernization theory,
social policy was expected to stimulate modernization and generate
growth through urban-based industrialization, generating employment
while alleviating poverty based on “trickle-down” effect to wider
population that will directly improve the welfare of the population. Here,
any public spending to social sector was considered a wasteful
diversion from business of economic growth. Thus, “residual model” of
social welfare was conceived.
6.2.2. The incremental social welfare model came about due to the criticism of the
residual model. It asserts that residual model does not work in
alleviating massive poverty although economic growth takes its
place due to the class system that exist. Further, the demand for
social services such health, housing and education grow due to
increase in population. Consequently, government elites were
pressured by urban middle-class to meet these demands to secure
electoral support and political legitimacy. Thus, incremental social
welfare was put in place in which social sectors were expanded in
a piecemeal, expedient fashion in response to pollical pressures
rather than social needs. It then gave rise to the “urban bias” of
social policy on development that simply ignored the needs of the
majority rural poor.
6.3. Social policy as safety nets. Here, social policy refers to the
creation of social safety nets using social funds to target scarce
resources at poorer, more vulnerable groups. However, the minimalist
and selective nature of this approach and its reliance on the voluntary
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sector for implementation is somewhat attributed to residual conception

of social welfare.
6.4. Social policy and livelihoods. The above perspectives consider

social policy as being concerned primarily with either, (a) social and
welfare services of one kind or another, or (b) safety nets to alleviate
immediate crises. However, a third definition views social policy in a
much broader sense as encompassing any planned or concerted action
that affects people’s lives and livelihoods. In this conceptualization,
social policy is concerned essentially with more fundamental questions
of sources and stability of employment, support institutions, processes
and structures that determine people’s well-being as well as broader
natural and political factors which encourage and constrain human
development.
6.4.1. The livelihood approach acknowledges the fact that ‘the
poor’ are not a homogenous mass nor are they always merely
weak, passive recipients of government handouts. It
emphasizes the fact that they also have strengths, assets and
capacities that may be mobilized for pro-active participation in
the development process.
6.5. The goals of social policy. The goals of social policy have
become multi-faceted, embracing an ambitious array of ideals towards
which, some argue, development organizations seem to be converging
at least in part. This package includes poverty reduction, social
protection, fighting social exclusion, promoting human rights and even
conserving the natural resources.
6.5.1. Poverty alleviation. Poverty reduction sits on top of the
social policy agenda for practically all development agencies
and governments, at least rhetorically. However, important
differences exist in terms of how poverty is defined. Definitions
of poverty range from reference to an absolute poverty line
expressed in US dollars, to inequality in terms of relative poverty
and deprivation and, more recently, to multidimensional
concepts combining material and nonmaterial needs.
6.5.1.1. Poverty lines remain a popular tool with governments
due to their simplicity and, arguably, the ease with which they can be
manipulated for political purposes to show greater or lesser degrees of
suffering by merely adjusting the poverty threshold.
6.5.2. Social protection. Associated with the idea of alleviating
the absolute poverty of particularly vulnerable groups, another
social policy goal to have emerged during the 1990s is that of
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social protection. The economic priority in development should

remain that of maximizing the potential of the poor by increasing
labor productivity with the provision of basic social services in
health care, education, family planning, nutrition and primary
education. These two approaches are reputed to have brought
about a significant reduction in poverty. However, these
measures may not be adequate to protect the very weak and
vulnerable. In such cases, targeted transfers and safety nets
such as social funds are an essential complement in order to
protect those who may not benefit directly from economic growth
or social service provision. In addition to poverty and inequality,
social disadvantage can be perpetuated through mechanisms of
social exclusion. Many factors may combine to exclude or
marginalize large sectors of the population from participating
fully in mainstream economic, social or political life. These
factors may be associated with social class, caste, ethnicity,
religion, culture, age or gender, for example
6.5.3. Fighting for social exclusion. In addition to poverty and
inequality, social disadvantage can be perpetuated through
mechanisms of social exclusion. Many factors may combine to
exclude or marginalize large sectors of the population from
participating fully in mainstream economic, social or political life.
These factors may be associated with social class, caste,
ethnicity, religion, culture, age or gender, for example. It remains
a controversial issue whether concepts of social exclusion
constructed in the industrialized nations in relation to minorities.
However, the goal of promoting greater social integration and
inclusion into the mainstream of substantial groups which have
been actively discriminated against, trapping them in situations
of poverty and vulnerability, has become an increasingly
important social policy objective
6.5.4. Social policy and human rights. Since the mid-1990s, the
issue of human rights and the promotion of social justice have
also entered the social policy agenda. The early focus on civil
and political liberties has been complemented by a concern for
economic, social and cultural rights, providing a link with
development and social policy discourses. Major international
organizations such as the World Bank and UNDP have long
emphasized the importance of providing education, adequate
health care and other basic necessities. Yet these policy
recommendations have often been couched in rather
instrumentalist terms, justified because they contribute to
improving economic and social development indicators rather
than because they intrinsically constitute a fundamental human
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right. Such concerns were, however, formalized in the UN

Declaration on the Right to Development (1986) that placed
economic, social and cultural rights on a par with civil and
political rights. A human rights approach brings to development
the notion that people are entitled to have their basic needs met,
and that those in power have a duty and a moral obligation to
facilitate this process. By attributing culpability to those who fail
to duly deliver these benefits, a rights-based approach thus
introduces an element of accountability that can be a powerful
tool in the hands of civil society groups lobbying for change.
7. Values of Social Policies.

7.1. Equality. The egalitarian claim of welfare reformers has been
that different groups should be treated as of equal value in social policy.
In practice this has led to demands for equality in entitlement to benefits
and services, in treatment by welfare authorities, and in participation in
decision-making.
7.1.1. Equality has been a central topic of debate in social
policy analysis for many years, framing the development of the
welfare state and playing out as a more or less central point of
debate by political leaders on both the Left and Right since.
However, equality means different things to different people and
is as contested as other central topics in social policy including
rights, freedom, and social justice.
7.1.2. As well as different forms of equality, there are also
different reasons for promoting equality. For example, economic
equality may be valued to reduce poverty and low income, while
political equality may be valued in order to achieve status
equality (an element of social equality) via each person having
an equal right to vote. The reasons for promoting equality, and
the type of equality promoted, will be influenced by a range of
economic, political, social, and ideological values.
7.1.3. Debates on equality within social policy have tended to
highlight a distinction between equality of opportunity and
equality of outcome.
a) A minimal approach emphasizes merit, with
equality in access to opportunities in education,
employment, and so on.
b) A broader approach recognizes people’s
different histories and ensures equal chances on
this basis.
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c) A third approach involves offering fair chances

and taking affirmative action (e.g. quotas) to
address disadvantages.
d) Finally, significant intervention comes through
positive action, which can be used as a means of
achieving proportionality in participation in public
life and employment. Positive action involves
favoring candidates from underrepresented
groups where they meet the core requirements
for the role. Moving from minimalist to maximalist
interventions corresponds with a move from
concerns with promoting equality of opportunity
towards measures that more directly influence
equality of outcomes.
7.1.4. Forms of Equality.
a) Legal equality – having equal protection and
treatment by the law.
b) Political equality – having equal opportunities to
play a part in political life, including voting and
standing for political office.
c) Social equality – having status equality with other
social groups and an absence of domination of
one group over another.
d) Economic equality – having opportunities to
access economic resources, with recognition of
the role played by the state in intervening to
achieve this.
e) Moral equality – recognizing through the
organization of society, people’s morally
significant interests in relations to freedoms,
resources and so forth, that different people have
equal claims in relation to their respective
interests.
7.1.5. Approaches to Equality
a) Sameness: focuses on treating everyone the

same way. This would mean that we neither see
particular group characteristics (for example,
ethnicity, disability, gender, sexual orientation)
as being relevant to someone’s abilities, nor
would we recognize these characteristics as
meaning that a person is entitled to adaptations
to current policies or practices.
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b) Difference: focuses on recognizing and

accommodating differences. This would mean
recognizing that different people have different
needs and adapting policies and practices to
take account of these differences.
c) Transformative: focuses on fundamental change
within policy and practice. A much more
significant change to relations between groups is
emphasized, with concern to design equalities
issues into policies and practices rather than
adapt or offer adjustments to meet the needs of
specific groups.
7.2. Rights. Human rights are associated with freedoms that all
humans are entitled to hold. In contrast with needs, wants, preferences,
or resource claims, human rights do not need to be assessed by the
state or society as being valid or justifiable before we can claim them.
Rather, it is the duty of the state to ensure that people’s human rights
are safeguarded. This means that public bodies must respect human
rights and the government must ensure that there are laws in place to
protect them. Claims in the welfare area can be legitimated as rights in
a number of ways:
7.2.1. Need-based arguments maintain that a class of human
needs can be identified, which provides the justification for an
obligation on government to ensure that these are met, so far as
the current stage of development allows. There are a number of
problems in this approach, not least in establishing a bed-rock
of human needs that is secure against relativist reduction. The
human needs approach has offered some of the most profound
arguments for the legitimation of welfare as an ineluctable duty
of government.
7.2.2. The capability-based approach, developed in the
pathbreaking work of Nobel Laureate economist Amartya Sen
(2009) understands well-being in terms of the capabilities a
person has, ‘the substantive freedoms he or she enjoys to lead
the kind of life he or she has reason to value’. Poverty can be
understood as the deprivation of capabilities. The onus lies on
government to remedy this, if possible. People’s access to
capabilities can be established by comparing what more or less
privileged groups are able to do or enjoy in a society. The
approach underlies the construction of the widely used UN
Human Development Index, which, broadly speaking, seeks to
compare the achievement of a range of capabilities in different
countries. It has been expanded to support demands from
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systematically disadvantaged groups such as women and

disabled people.
7.2.3. Desert-based claims are founded on the view that some
quality of, or activity by, a particular group imposes an obligation
on society to provide them with certain services. Examples of
such arguments are claims that motherhood or contribution
through work or in war is deserving of social support, and that
the duty to provide it should come home to the state. Such
claims are typically linked to functional or reciprocal arguments
or are part and parcel of a normative system.
7.2.4. Forms of Human Rights.
a) Natural rights – are not contingent upon the laws,
customs or beliefs of a particular society or political
context. Rather they are morally universal. The
Declaration of Human Rights fits within this
conceptualization of rights.
b) Legal rights – are codified through legal statute,
legislation, and legal systems. Legal rights can only be
called upon where there is a corresponding legal
provision in place to protect those rights.
7.2.5. Principle of Human Rights. There are a number of guiding
principles surrounding human rights protections. First, human
rights belong to everyone regardless of sex, race, nationality,
socio-economic group, political opinion, sexual orientation, or
any other status. Second, they are universal, held by everyone
simply on the basis of being human. Third, they are inalienable,
they cannot be removed from people. They can only be limited
in certain tightly defined circumstances. Some rights, such as
the prohibition on torture and slavery, can never be limited.
Finally, human rights are indivisible, you cannot pick and choose
the rights you will endorse and those you will not. Many rights
also depend on each other to be meaningful. For example, the
right to free speech must go hand in hand with the right to
assemble peacefully.
7.2.6. Promoting human rights involves recognition of both negative

rights and positive rights.
7.2.6.1. Negative rights include civil and political rights

such as freedom of speech, freedom from violent crime,
and a fair trial. The emphasis is on an absence of
constraint on your actions or absence of action taken
against you that will have negative results.
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7.2.6.2. Positive rights include civil, political, social,

economic, and cultural rights such as education, health
care, and social security. The emphasis is on action
being taken to ensure that you can achieve your rights.
This echoes with distinctions between negative and
positive freedoms – with negative freedoms (‘freedom
from’) concerned with minimal state/political intervention
and positive freedoms (‘freedom to’) promoting a more
significant role for the state (e.g. in providing education
and health services) to ensure that people can take up a
range of life opportunities.
7.3. Social Justice. Social justice is concerned with who ought to get
what. Resource allocation in most welfare states is dominated by
market systems which rest on the idea that goods are property to be
owned, valued, bought and sold, and by normative systems of
distribution closely linked to kin relationship. Arguments about rights
and about equality have provided a basis for claims about justice which
often cross-cut market and kin allocation. The most important positions
of recent years have been those of Nozick and Rawls, and these
illustrate the way in which individualistic and social approaches to social
justice may be developed.
7.3.1. Nozick argues that the core of just claims is labor – people
have a right to what they have ‘mixed their labor with’, that is,
improved by their work. As a matter of strict justice, it is a
violation of individuals’ autonomy to appropriate or redistribute
the goods that people have gained through their work, although
individuals may as a matter of charity choose to surrender
property to those they view as needy and deserving.
7.3.2. Rawls’s approach rests on the notion of a ‘veil of ignorance’. The
central idea is that just arrangements are those which people would
agree on if they did not know what position in society they themselves
would come to occupy, if they had no vested interests themselves. He
goes on to argue that it is in principle possible to ‘second guess’ the
kinds of choices about the allocation of goods (and bads) that
individuals would arrive at under these circumstances. Uncertain
whether they would end up at the bottom of an
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in which the only permitted inequalities were those that

improved the position of the worst off; for example, by raising
living standards throughout the community.
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Activity 1. For this part, let’s try to evaluate your understanding on different concepts discussed
above. Please write your answer in the space provided before each item.
____________________1. Social policy is traditionally equated with?

______________________________________2.&3. These concepts are the justification for the
need of social policy or social welfare.
____________________4. This constitutes policies and programs that seek to reduce poverty
and vulnerability to risks and enhance the social status and rights of the marginalized by
promoting and protecting livelihood and employment against hazards and sudden loss of
income.
____________________5. This goal of social policy aims to promote greater social integration of the
marginalized and excluded sectors of society.
____________________6. In this conceptualization, social policy is concerned essentially
with more fundamental questions of sources and stability of employment, support institutions,
processes and structures that determine people’s well-being as well as broader natural and
political factors which encourage and constrain human development.
____________________7. ____________________8. ____________________9.
____________________10. These are the characteristics of a social problem.
____________________11. This concept gives notion that people are entitled to have their
basic needs met, and that those in power have a duty and a moral obligation to facilitate this
process.
____________________12. This refers to the treatment of “other” group as relevant, thus they
should be given equal opportunities in social policy.
____________________13. This approach in equality includes reparation of historical injustices.
____________________14. These rights emphasized the absence of constraint on your actions or
absence of action taken against you that will have negative results.
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____________________15. In the Philippine context, this is the main reason why social welfare is
provided.
Activity 2: In this part, you need to thoroughly discuss the following items based from your readings
and researches.
1. Differentiate a social “need” from a social “problem”. Think of the community where you live.
What human needs exist; what human problems are there? How do people meet their needs?
How do they and/or society respond to their problems?
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2. “Human needs must be satisfied in the context of our interdependency with others.” What does it
mean?
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3. The most notable forms of social policy are laws. In the Philippines, women have more laws
that advance their rights and welfare compared to men. Why do you think this is the
arrangement of our public policy? Is it fair and just? What is/are the value/s operating in behind
this policy arrangement?
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1. There are numerous definitions of social policy depending on what perspective

you are using. But for social work, social policy is concerned with both overall
welfare and about how welfare is being distributed among different sectors
according to important facets of life, such as health, education, income, and
employment.
2. In order for the social welfare to realized, it must be translated into social
services for without it, social welfare would be meaningless. As social worker, we
provide social welfare activities in response to an existing need or a problem.
Society respond through individual and group efforts, major societal institutions,
and social agency where social workers are usually employed. The goals of social
services are humanitarian and social justice goal, social control goal, and
economic development goal.
In this section, all your questions or clarifications may be listed down. You may
wish to raise you concern through LMS or other modes such as email or sms (in
case of distant learning). After the clarification, you may write your understanding
of the question/ raised in the “answer” portion.
Questions/Issues Answers
1.
2.
3.
4.
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5.
Social welfare Social services Residual social Incremental social

welfare welfare
Institutional social Absolute poverty Relative poverty Humanitarian and

welfare Social Justice goal
Social Control Economic Equality Human Rights

Goal Development Goal
Social Justice Social Protection Safety Net Social Inclusion
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ULOb. Analyze various theoretical perspective of social welfare policies
The following terms are useful to have an operational understanding of the topics below.
1. Neoliberalism – It is the resurgence of liberal philosophy that believes in the free

market is the main organizing feature of society state intervention in market
activities to be inherently destructive.
2. Social democracy – It is aa political ideology advocating a gradual transition to
socialism or a modified form of socialism by and under democratic political
processes.
3. Socialism - Socialism is an economic system in which the factors of production
are valued in relationship to their usefulness to people. Socialists take into account
both individual needs and greater social needs. They allocate resources using
central planning, as in a command economy.
4. Feminism - Feminism is a term used to describe economic, political, or economic
movement for the purpose of establishing equal rights and legal protection for
women. Feminism incorporates social and political theories and philosophies with
regard to gender inequality, as well as movement that campaigns for women's
rights and interests.
5. Liberal Feminism - Liberal feminism purported the equality of men and women
through legal and political reform. In itself is an individualistic form of ideology that
zeroed-in on the actions and choices of women concerning equality. According to
them, personal interactions between men and women are the platforms to
transform society with the assumption that all women are capable of asserting
their ability to overcome inequality; therefore, it is possible for them to change the
society without altering its structure. Issues that are concerning for liberal feminists
are sexual harassment, reproductive and abortion rights, affordable childcare,
affordable health care, voting, education, equal pay for equal work, and domestic
violence.
6. Radical Feminism - Radical feminism considers the male-controlled capitalist
hierarchy, which it describes as sexist, as the defining characteristics of women's
oppression. Radical feminists believe that women can only acquire freedom when
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they have done away with what they consider a "naturally" oppressive and
dominating patriarchal system. Radical feminists suggest that there is no
significant change in the system when the system itself values the male-based
power and authority responsible for inequality and oppression. Some radical
feminists see no other way than the total uprooting and reconstruction of society
in order to achieve their goals.
7. Marxist/Socialist Feminism - Socialist feminism aligns the oppression of women to
Marxist ideas about oppression, exploitation, and labor. Socialist feminists imply
that unequal standing in both the domestic and workplace sphere holds women
down. Socialist feminists view, domestic work, childcare, prostitution, and
marriage as ways wherein women are exploited by a patriarchal system that
devalues women and work they do. Socialist feminists zeroed-in their energies in
the structural problems that affect a great range of women, rather than the
individual's struggles. They view the capitalist system as the main force that
devalues their efforts and womanhood. Marx implies that class oppression has a
direct relationship with gender; that is, when class oppression vanquished, so
does gender oppression. This perspective of gender oppression, a sub-class of
class oppression, is ingenious, and much of the work of socialist feminists has
focused towards separating gender phenomena from class phenomena.
8. Welfare Feminism – This movement of feminism advocates for the welfare of
women in their private life.
9. Post-modern Feminism – A typology of feminism that emerge during 1980s and
1990s that emphasize on the differential relations of race, age, ethnicity, and
culture into the sphere of “gender”.
10. Welfare state – A concept of government in which the state or a well-established
network of social institutions plays a key role in the protection and promotion of
the economic and social well-being of citizens. It is based on the principles of equal
opportunities equitable distribution of wealth, and public responsibility for those
unable to avail themselves of the minimal provisions for a good life. The general
term may cover a variety of forms of economic and social organization.
11. Utopian ideology – Is an imagined community or society that is characterized by
nearly perfect qualities and highly desirable for its citizens.
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In this part, you will be introduced to a different theories and perspectives that will help you
understand the necessity of social welfare policy. You need to analyze "social welfare” through
the identified theoretical lenses.
1. Neo-liberalism. Developed from the 1960s onwards, the core beliefs and principles
of neo-liberalism are best understood as concerted attack on the comprehensive
system of social protection.
1.1. Neo-liberals believe that nation-states were undermined economically

during the post-war period (roughly 1945–80) because governments diverted
resources away from productive, entrepreneurial firms and individuals
operating in the free market to the systematic state-based protection of
vulnerable sections of their populations. The high taxation required to sustain
levels of welfare provision that went beyond a basic ‘safety net’ for the worst
off reduced the scope for private sector investment.
1.2. Neo-Liberals argue that comprehensive social protection does not work
anyway. For one thing, public money is wasted on vast welfare bureaucracies
that appear keener to preserve their own budgets than to provide a good level
and choice of services; for another, welfare recipients tend to become ‘welfare
dependent’ and so fail to act as responsible individuals earning in the
marketplace and looking after themselves and their families.
2. From classical liberalism to neo-liberalism. The roots of neo-Liberalism lie in the

particular understandings of the nature of the free market and individual freedom
developed by Liberal political economists in the late eighteenth and nineteenth
centuries.
2.1. Adam Smith (1723–90) is regarded as the founding figure of an

approach to political economy. He believes that the free market is the main
organizing feature of society state intervention in market activities to be inherently
destructive.
2.2. Smith argued that the market can secure individual and social welfare,
and, most importantly, human liberty. It creates these benefits in his view
because, paradoxically, individuals’ self-interested pursuit of wealth naturally
leads to collective prosperity. . Simply put, the selfish desire to prosper and make
a profit is constrained by market competition because free competition among
producers inevitably leads to falling prices and thus a ‘natural’ balance between
supply and demand. As long as this self-correcting mechanism is allowed to
function essentially unhindered, prosperity is assured. Indeed, for Smith,
interference in the marketplace is only justifiable on the grounds that its free
operation is being protected and preserved. A legal framework for market
operations is important, for instance, as is the provision of certain public goods
like law and order, and public health.
3. Key Principles of Neo-liberalism.
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a) Human liberty: individuals are free to act as they choose providing that their
actions are consistent with the liberty of others.
b) A competitive market economy kept as free as possible from state
interference.
c) Preservation of the rule of law: a constitutional framework that limits state
powers and institutionalizes rules of property and contract.
d) Minimal public provision: applying only to those goods like public health that
markets cannot efficiently provide.
e) ‘Safety-net’ security: for those who are unable to work in the marketplace.
4. Neoliberalism and Social Welfare.
a) For neo-Liberals, ‘welfare states’ with their large, complex public welfare
bureaucracies are inherently coercive. Coercion comes through
monopolistic state provision of social services, which has the effect of
‘squeezing out’ private and voluntary alternatives, thus limiting both
consumer choice and the freedom of individuals to supply welfare goods
and services.
b) Bureaucratic over-supply: public servants will devise budgetmaximizing
strategies to increase salaries and prestige rather than dispense high-
quality services to service users.
c) State coercion: state welfare services are monopolistic and therefore
restrict choice.
d) What policies do neo-Liberals recommend to reduce the size of the state
and ‘manage’ welfare?
i. Reduction of state welfare provision: reduced state activity
will allow private and voluntary organizations to enter the
welfare marketplace, cutting the costs of public sector
bureaucracy.
ii. Greater choice of services: new service providers will allow
welfare consumers greater choice of provision.
iii. Negative income tax: the state should subsidize low
earnings through a negative income tax (NIT) to ensure
continued participation in the labour market.
iv. Safety-net welfare: individuals should be encouraged to
insure against risk. The poorest will need public support, but
income should be provided at subsistence level and services
delivered through voucher schemes wherever possible.
v. Tax cuts: savings from the closure of monopolistic state
bureaucracies should be returned to individual earners
through tax cuts.
5. Criticism of Neoliberalism.
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a) Neo-liberals definition of human liberty is too narrow that it focuses

exclusively on individuals and, as mentioned, is conceived negatively
as ‘freedom from’ constraint. This understanding dismisses a ‘positive’
conception of liberty cast in terms of various social groups’ ‘freedom to’
enhance their potential and prospects. Women, disabled people and
minority ethnic populations, for example, typically have less access to
resources and suffer from greater discrimination than others. To offset
these disadvantages, it may be that they need to pursue specific
political objectives and demand particular policies that can increase
their collective opportunities, thus adding to the liberties of individual
members.
b) Neo-liberals do not distinguish between ‘freedom’ and ‘ability’. The free
market distributes income and resources neither fairly nor equally, and
those with less earning power and few other advantages have less
ability to use their liberty than wealthier individuals. Lacking access to
particular goods (the best education and healthcare) they are not in a
position to make the most of their notional freedom.
c) State institutions are not necessarily more coercive than their private
sector counterparts. Any organization can be insensitive to the needs
of its ‘customers’ – and state welfare agencies are certainly no
exception. Nevertheless, private sector service providers can also
‘coerce’ consumers by creating price cartels, thus restricting choice, or
by providing ‘selective information’ about the benefits of their products.
d) Neo-liberals fail to understand that the socio-cultural dimensions of
welfare are important.
6. Social Democracy. As a political movement its only fixed point is its constant search
to build and sustain political majorities for reforms of economic and social institutions which
counter injustice and reduce inequality.
6.1. All social democrats are committed to maximizing personal freedom for
all, which is deemed to require positive action on the part of an elected
government to ensure that individual liberty is not undermined by the adverse
effects of unregulated free market activity, the lack of an adequate income or
healthcare, or the denial of educational opportunities.
6.2. Social democrats are strong advocates of democracy, believing this to

be the best means for reconciling the conflicts that will inevitably arise in any
society through peaceful means. The political process is seen as vital for
engendering the broad degree of solidarism and cooperation needed for
communities and nations to flourish.
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6.3. Those on the liberal wing of social democracy tend to display less
utopian zeal, believing that it is better to focus on small-scale advances that
avoid the threats to both personal freedom and to the democratic process to
which more expansive, transformative approaches can give rise. Liberal social
democrats tend to hold more positive attitudes towards the market, provided
that they are properly regulated, and they are more receptive to the use of
innovative, non-state methods to resolve contemporary problems.
6.4. Those on the socialist wing of the social democratic movement tend to
be less enamored by capitalism, believing it to be inherently unstable and in
need of tight regulation and control. Their greater commitment to equality of
outcome also leads them to favor more extensive constraints on personal
freedom if these can be shown to have broader social advantages. Socialist
social democrats are more deeply wedded to values such as universalism,
have greater confidence in the benevolent power of state action, and are keen
to ensure that an extensive public realm is protected from unwarranted
incursions from market influences.
7. Social democracy and social welfare. State action to protect and promote the welfare
of citizens, irrespective of labor market participation, has been a hallmark of social
democratic societies.
a) In conjunction with economic interventionism and an active labor

market policy, the welfare state is seen as a key means of providing
security and opportunity for all citizens, enhancing equality and
fostering social solidarity.
b) Liberal social democrats, with their emphasis on ‘progressive’
outcomes, have accepted that it is possible to tackle injustice and
pursue equality by diverse configurations of public, private, voluntary
and informal provision. This has led to a focus on ‘progressive’
outcomes rather than adherence to a particular principle (universalism),
method (public provision) or ‘form’ of government (national rather than
local).
c) Socialist social democrats, in contrast, have tended to be more wedded
to the principle of universalism, state provision and a more uniform
pattern of service delivery.
8. Criticism of social democrats.
a) Social democratic welfare regime is characterized by de-commodified,

comprehensive, universal state welfare services provided on the basis
of citizenship, with relatively minor contributions from the private,
voluntary and informal sectors. This calls into question the ethos of
some of the welfare policies pursued by supposedly social democratic
governments in recent decades.
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9. Socialist Perspective. While liberalism champions individual freedom, socialism

champions social equality. It emerged in Western Europe as political critique of the capitalist
economic system and its consequences.
9.1. Socialism as a creed is humanistic, collectivist and egalitarian. Modern

socialism articulated itself in opposition to industrial capitalism: its
dehumanizing effects, its individualistic competitive ethos and the ways in
which it exacerbated social inequality.
9.2. Socialism is the project by which workers’ control will be exercised,

leading in time to a classless or communist society in which human needs can
be fully realized and properly satisfied.
9.3. Writings of Karl Marx (1818–83) offered a brand of ‘scientific’ socialism

that crystallized its essential tenets. His central insight is that control over the
natural, physical, technological and financial resources required for the
maintenance of life determines the structure of society. Human history has
been a story of struggles between dominant and oppressed classes and, under
capitalism – the most recent stage in human history – the mass of humanity
has become alienated from the productive process by which it sustains its own
existence. Capitalism, however, contains the seeds of its own destruction,
because the oppressed class under capitalism (the working class) will in time
be able to seize control of the state apparatus established by the dominant
class (the capitalist class).
10. Socialism and Social Welfare. From a socialist perspective there are various ways in
which we can interpret the role of the welfare state as it has in practice developed. We can
distil these into three kinds of explanation: the instrumentalist, the structural-logical and the
neo-Marxist.
a) Instrumentalist critiques: The welfare state in capitalist countries

ultimately serves the interests of the capitalist, not the working class.
The key positions in government and administration are held by people
from relatively privileged backgrounds or those who have an underlying
allegiance to ‘the establishment’ and/or the status quo. The welfare
state, by implication, is a conspiracy against the working class.
According to this explanation, the shape and nature of the welfare state
are deliberately contrived to accord with the economic requirements of
capital. The welfare state has become both the handmaiden of
capitalism and its henchman. Through health and education policies,
the state ensures an orderly supply of workers for industry and
commerce, so reducing the costs of reproducing labor power. Through
a range of social services the state ensures that the costs of the weak
and vulnerable do not fall on industry. Through social security and labor
market policies the state manages those workers who are unemployed
or temporarily unproductive. The welfare state has not hastened
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capitalism’s demise but smoothed over its contradictions and helped to

sustain it.
b) Structural-logical critiques: A different line of reasoning is that the
functioning of the state under capitalism is not a cunning conspiracy so
much as a consequence of capitalism’s structural constraints or
immanent logic. The state behaves like a managing committee only in
a metaphorical sense. It is not necessarily a willing handmaiden or
henchman. It has a degree of autonomy. And yet well-meaning
reformers remain, in part at least, captive creatures of circumstance. In
the last instance, it is economic imperatives that determine the
outcomes of social policy. This happens because in order to survive the
state must acknowledge certain priorities over which it has no control.
For example, it must maximize economic growth, protect profits and
maintain social order. In liberal democracies economics trumps politics.
It is deterministic or functionalist argument.
c) Neo-marxist critiques: While the welfare state has brought real benefits
to the working class and the most disadvantaged members of capitalist
society, it has also played a part in repressing or controlling them. The
welfare state succeeded in increasing social consumption and living
standards, but capital benefited more than labor, while poverty and
inequality persisted. State welfare enhanced the productivity of labor,
while minimizing the adverse social consequences of the capitalist
economic system. It regulated both the quantity and the quality of labor
power. The development of state welfare played a necessary part in
constituting the modern wage laborer and by according popular
legitimacy to capitalism. It also subjected the working class to new
forms of administrative scrutiny and normative control – through, for
example, compulsory education and the conditions that attach to the
receipt of many welfare benefits. Capitalism could neither survive
without having a welfare state nor endure the costs and implications of
having one. To an extent, this prophecy has been borne out since in
times of crisis capitalist countries seek to ‘roll back’ their welfare states
and to shift the responsibility and costs of welfare provision from the
public to the private sector, from the state to the individual or, in effect,
from capital to labor.
11. Feminist Perspective. What does it mean to have a feminist perspective on social
welfare and social policy? There are a vast and changing range of contested responses to
this question. Liberal, welfare, socialist, Marxist and post-modern feminisms approach this
question differently. Each is concerned in different ways about women’s equality, their
agency, gender relations and social justice, and how these are achieved enabled or
hindered through the arrangement of welfare. Feminist debates show the complexities of
understanding gendered inequalities; where being treated the same as men causes a
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problem for women because of the neglect of their specific needs (as mothers, for example),
but being treated differently on the basis of an assumed women’s specificity can lock women
into unequal and dependent relations with men and constitutes the source of their inequality.
11.1. Liberal feminism focus on the equal participation of women in the public
sphere. It influence policies for equal employment rights, including equal pay,
and anti-discrimination legislation.
11.2. Welfare feminism concern itself to improve lives of women in private

sphere, as wives and mothers.
11.3. Radical, Marxist and Socialist feminists were critical of the connection
between women’s public and private disempowerment and the assumption as
to the existence of natural, biological differences between men and women.
Their arguments were around the important role of welfare in maintaining the
subordination of women in the home which served to support the broader
material and ideological needs of labor. Thus, the gendered division of welfare
was viewed as an important means of reproducing class relations and
maintaining the social stability necessary for the smooth running of capitalist
labor relations.
11.4. Post-modern feminists critiqued the universalizing and generalizing

nature of earlier debates over sameness and difference. Their aim is to think
about the differential relationships of various groups of older, black, disabled
and heterosexual women to welfare arrangements and their varying material
and social consequences. This sort of approach emphasizes the dynamic,
changing and contradictory processes of welfare and its changing gendered
relations between men and women, rather than assuming universally
disempowering consequences of social policies for women.
12. Rational Choice Theory.

The rational-choice theory, which is sometimes called
socialchoice, public-choice, or formal theory, originated with
economists and involves applying the principles of
microeconomic theory to the analysis and explanation of political
behavior (or nonmarket decision-making).
Perhaps, the earliest use of rational-choice theory to study the
political process is Anthony Downs’ Economic Theory of
Democracy. In this influential book, Downs assumes that voters
and political parties act as rational decision-makers who seek to
maximize attainment of their preferences. Parties formulate
whatever policies will win them most votes and seek to
maximize the portion of their preferences that could be realized
through government action. In attempting to win elections,
political parties move toward the center of the ideological
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spectrum to appeal to the greatest number of voters and

maximize their voting support. Thus, rather than providing
„meaningful alternatives‟, parties will become as much alike as
possible, thereby providing an „echo rather than a choice‟
(Downs, 1957).
The rationalist model is conceptually quite simple. Policymakers using
it are expected to take the following steps:
o . Identify all the value preferences currently existing in a society
Assign each value a relative weight,
o Discover all the alternative policies available to accomplish
these values
o Know all the costs and consequences of each alternative policy
o Select the best alternative which is also the most efficient in
terms of the costs and benefits of social values
For the above steps to be taken, the rational-choice theory

according to Ikelegbe (1996) assumes the following: That
perfect information can be obtained for example, to objectively
assess policy alternatives; that there is commonality of values
and preferences particularly in the setting of goals and
objectives, that the rational actor thinks of the greatest good of
the greatest number as a guide to decision-making, that
objectives and alternatives can be quantified and compared on
a single monetary measure; that the conditions and parameters
for the decision are static within the decisionmaking period.
There is no doubt that these assumptions are simply not
realizable in the real world situations, hence making the
implementation of the model clearly impossible.
12.1. Criticism of Rational Choice Theory
o The rationalist model is appealing in its simplicity. But,

there are problems that lie with its implementation. For
instance, it lacks explicit concern for the political
environment in which public policy must be carried out.
Furthermore, according to Braybrooke and Lindblom
(1964), the rational policy-making process, ideally, is
based on knowledge of all of society’s value
preferences, and their relative weight, all of the
alternatives, all of the potential consequences (costs and
benefits) of each policy alternative. The final selection
must be that alternative that maximizes the weighted
value preference.
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o The obvious limitation of this approach is its demand for

knowledge (facts and information) not within the reach of
mere mortals. The prospects of the successful
application of this model in developing countries like
Nigeria is very dim indeed given the paucity of data (in
coverage and quality) needed for policy-making. Some
scholars have argued that the average developing
country has neither the technology, the resources nor
the time to effectively employ this model in policymaking
(Braybrooke and Lindblom, 1964).
o Another serious objection to this model is its bias toward
efficiency to the exclusion of other values such as equity
and responsiveness. No doubt, rationalist model has its
limitations but, it can be useful to policymakers and
administrators as a tool of policy output analysis.
13. Incremental Theory.
The idea of incrementalism is closely associated with the work

of Charles Lindblom, who suggested that policy-making is a
process whereby policy-makers cope with problems as they
arise, and that they tend to stick with the manageable and
familiar, with new policies often differing only marginally from old
policies. He argued that incrementalism (‘muddling through’) is
therefore a more realistic model of policy-making than is
rationalism.
According to this approach, the policy-makers examine a limited

number of policy alternatives and implement change in a series
of small steps. It may be noted that each of the alternatives
available to the policy-maker represents only a small change in
the status quo. This approach recognizes the less than ideal
circumstances under which administrators must make policies.
There are very real limits of time, brains money etc. on
administrator's ability to understand complex problems and
make different policies about them. Because of these
limitations, the policymakers, though they try to be rational,
accept the past policies that satisfy them as legitimate and
suffice to deal with the issue.
Incrementalism is politically expedient because it is easier to

reach agreement when the matters in dispute among various
groups are only limited modifications of existing programs rather
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than policy issues of great magnitude or of an all-ornothing

character. Because policy makers operate under conditions of
uncertainty about the future consequences of their actions,
incremental decisions tend to reduce the risks and cost of
uncertainty. Incrementalism is also realistic because it
recognizes that policy makers lack the time, intelligence, and
other resources needed to engage in comprehensive analysis
of all alternative solutions to existing problems. Moreover,
people are essentially pragmatic seeking not always a single
best way to deal with a problem but, more modestly, something
that would work. In a nutshell, incrementalism utilizes limited
analysis to yield limited, practical, acceptable decisions.
13.1. Criticism of Incremental Theory
o One is that it is too conservative, to focused on the

current order; hence, it is a barrier to innovation, which
is often necessary for effective policies.
o Another is that in crisis situations, incrementalism
provides no guidelines for handling the tasks of
decisions.
o Third, geared as it is to past actions and existing
programs and to limited changes in them,
incrementalism may discourage the search for or use of
other readily available alternatives (Anderson, 1997).
o Fourth, incrementalism does not eliminate the need for
theory in policy-making, are some of the more
enthusiastic advocates contend. Unless changes in
policy are to be made simply at random or arbitrarily,
some theory is needed to guide the action and to indicate
the likely effect of proposed changes (Hayes, 1992:2).
Non-withstanding reservations of these sorts,
incrementalism has become a form of conventional
wisdom.
14. Systems Theory.
The systems theory in political science owes its origin to David

Easton who is reputed to be the scholar that attempted to
analyze politics from the perspective of systems in his famous
work political system‟ which appeared in 1953. His work which
was regarded as the foundation of the behaviorist revolution in
political science outlined eight major characteristics. He
described the characteristics as the intellectual foundation stone
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of behaviorism which are regularities, verification, techniques,

quantification, values, systemization, pure science, and
integration.
The political system, as Easton defines it, comprises those

identifiable and interrelated institutions and activities (what we
usually think of as government institutions and political
processes) in a society that make authoritative allocations of
values (decisions) that are binding on society (Anderson, 1997).
This environment consists of all phenomena-the social system,
the economic system, the biological setting - that are external to
the boundaries of the political system. Thus, at least analytically
one can separate the political system from all the other
components of a society (Easton, 1965).
If the open system model is applied in public policy analysis the

issues to reflect on include the nature of the components of the
system which constitute the sub-systems, and the outside
components that impinge on the system directly, which is
referred to supra-system (Dlakwa, 2004). Inputs into the political
system from the environment consist of demands and supports.
Demands are usually the claims for action that individuals and
groups make to satisfy their interest and values. Support is
rendered when groups and individuals abide by election results,
pay taxes, obey laws, and otherwise accept decisions and
actions taken by the political system in response to demands.
The amount of support for a political system indicates the extent
to which it is regarded as legitimate, or as authoritative and
binding on its citizens.
On the other hand, outputs of the political system include laws,

rules, judicial decisions, and the like. Regarded as the
authoritative allocations of values, they constitute public policy.
The concept of feedback indicates that public policies (or
outputs) made at a given time may subsequently alter the
environment and the demands arising therefrom, as well as the
character of the political system itself. Policy outputs may
produce new demands, which lead to further outputs, and so on
in a never-ending flow of public policy.
On the whole, this model applies systems theory to the

policymaking process. In simple words, according to this model,
the political system receives inputs from its environment and
converts them into outputs. The inputs are in the form of
demands from groups or individuals for specific policy
outcomes. The policy outcomes take the form of determination
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of societal values and allocation of resources. A feedback loop

exists by which the outputs alter the future inputs. This model
thus relies on concepts of information theory. In other words,
systems theory conceives public policy as the response of the
political system to demands from its environment. The political
system consists of those institutions that make authoritative
allocation of values binding on the society as a whole. The
environment of the political system consists of those institutions
found in the economic, social, cultural and international systems
which shape political process and whose activities are
influenced by the political system. Using systems approach, it is
assumed that a state of mutual causation exists between
public policy and environmental variables
(Abdulsalami, 1987).
14.1. Criticism of Systems Theory.
o The usefulness of the systems theory in studying public

policy is limited by its highly general and abstract nature.
It does not, moreover, say much about the procedures
and processes by which decisions are made and policy
is developed within the “black box‟ called the political
system.
o Nonetheless, this approach can be helpful in organizing
inquiry into policy formation, it also alerts us to some
important facets of the political process, such as these:
how do inputs from the environment affect the content of
public policy and the operation of the political system?
How in turn does public policy affect the environment
and the subsequent demands for policy actions? How
well is the political system able to convert demands into
public policy and preserve itself over time (Anderson,
1997).
15. Elite Theory
Approached from perspectives of elite theory, public policy can

be regarded as reflecting the values and preferences of a
governing elite. The essential argument of elite theory is that
public policy is not determined by the demands and actions of
the people or the masses but rather by ruling elite whose
preferences are carried into effect by political officials and
agencies. In other words, according to this theory, the elite
simply believe that they alone have the ability to determine the
policies to promote the welfare of the masses and implement
them. Thus policies flow downward from the elite to the masses.
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The policies made by the elites reflect elite values and prefer
status quo to radical changes. Professors Thomas Dye and
Harmon Zeigler provide a summary of elite theory:
o Society is divided into the few who have power and the
many who do not have. Only small number persons
allocate values for society; the masses do not decide
public policy.
o The few who govern are not typical of the masses who
are governed. Elite are drawn disproportionately from
upper socio-economic strata of society.
o The movement of non-elites to elite positions must be
slow and continuous to maintain stability and avoid
revolution. Only non-elites who have accepted the basic
elite consensus can be admitted to governing circles.
o Elites share a consensus on the basic values of the
social system and the preservations of the system.
o Public policy does not reflect demands of the masses but
rather the prevailing values of the elite. Changes in
public policy will be incremental rather than
revolutionary. Incremental changes permit responses to
events that threaten a social system with a minimum of
alteration or dislocation of the system.
o Active elites are subject to relatively little direct influence
from apathetic masses. Elites influence masses more
than the masses influence elites (Dye and Zeigler,
1990).
The above assumptions presuppose that if the government is
committed to serving the interest of the masses it must do
something about curtailing the excesses of the elite. This could
be done by adopting a participatory approach to policy making,
involving all key stakeholders, thereby subduing the undue
manipulation of the elite. Once this feat is achieved the structure
of the society would move away from the hour-glass shape to a
more horizontal or flatter shape. However, for this objective to
be achieved the formation of the government itself has to first
be devoid of elite manipulation in terms of elections and
appointment to political positions.
15.1. Criticism of Elite Theory
o The implication of this theory as indicating that public

policy reflects elite values, serves elite ends, and is a
product of the elite. The corollary of this assumption is
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that the general citizenry or the masses are apathetic

and ill-informed and do not determine or influence policy
through their demands or actions.
o Elite theory is a provocative theory of policy formation
because policy here, is the product of elites, reflecting
their values and serving their ends, one of which may be
a desire to provide in some way for the welfare of the
masses.
o It assumes a highly structured and stratified society. In
structurally diffused societies, elite formation and
therefore, elite values and elite identity is relatively
undeveloped.
16. Group Theory
According to the group theory of politics, public policy is the

product of the group struggle. What may be called public policy
is the equilibrium reached in this group struggle at any given
moment, and it represents a balance which the contending
factions or groups constantly strive to win in their favor. Many
public polices do reflect the activities of groups (Anderson,
1997). This means that this theory attempts to analyze how each
of the various groups in a society tries to influence public policy
to its advantage at the policy formulation level.
In other words, the central practice of this model is that

interaction among groups is a critical ingredient in politics. Public
policy is thus a temporary point of compromise reached in the
course of competition between mosaics of numerous interest
groups with cross-cutting membership. The ability of the group
that is favored at one point to sustain its gain depends on its
power to counteract the powers of other groups that would make
efforts to tilt decisions to their favor. It is this type of competition
between groups that determine pattern of allocation of societal
resources (Enemuo, 1999: 24).
The locus of power in the society changes from time to time,

depending upon the group that succeeds in exerting its own
supremacy over the others. Accordingly, the power to determine
policy direction changes with the changes in the fortunes of each
or a combination of these groups. It is in appreciating the fluidity
of power base in society that Latham contends that what we
regard as public policy is in reality a temporary equilibrium
reached in the course of the inter-group struggle (Latham,
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1965). As soon as the equilibrium point is altered in the favor of

new groups another policy will emerge, or the old policy will be
modified. Politics in essence entails a dynamic equilibrium
created by the struggle between different groups. In Latham’s
opinion the legislature acts only as a referee to the inter-group
struggle and it ratifies the victories of the successful coalitions,
as well as record the terms of the surrender, compromises, and
conquest in the form of statutes or Bills (Latham, 1965).
Since the power to dominate policy decision is dependent on

group solidarity and power, the dynamics of the policy process
is expected to be more vibrant and fierce in plural societies than
in homogenous ones. In such societies the ability of a group to
tilt the policy to its favor depends on a number of factors,
prominent among which are: o Wealth. Wealth
o Organizational skill o Leadership quality o
Bargaining skill o Access to decision-makers
o A modicum of luck
Wealth is essential because political mobilization is resource
absorbing. All over the world, even in the most democratic societies,
politics involves a lot of expenditure; as such only the wealthy can
afford to mobilize the electorate and those in authority to tilt decisions
in their favor. Wealth alone without organizational skills will render a
group ineffective. It is the ability to conceive of ideas and get people
to subscribe to such ideas that can get a group or person to succeed
in tilting policy decision in its favor. In contemporary period,
organizational skill requires the tack of bringing all stakeholders on
board in the process of policy decision. For example, the group that
attempts to mobilize the public in order to push its ideas would have
to be tactful in main-streaming various interest groups such as the
women, youth, professional groups and, in some cases, traditional
rulers. Central to organization ability in mobilizing the public is
leadership. Without a concrete rallying focal point a wealthy group,
with a sprinkling of persons with diffuse organizational skills, will fail
woefully in pushing its agenda in the policy process. But, when there
is a strong leadership, especially a charismatic on the group can
succeed in pushing its agenda through with relative ease. One of the
virtues of good leadership is the ability to bargain successfully even
in a turbulent environment. A group would thus succeed in pushing
its agenda through the parliament when it has strong bargaining skill.
The power of lobby is often complemented by the degree of visibility
of the lobbyist. Persons that are well known and respected in society
could easily influence decision makers to support their ideas in
parliament.
Dahl observes that the good thing about pluralism is that no

single group has monopoly over all these resources (Anderson,
1997). The equilibrium point will thus continue to shift position
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as different groups manipulate these resources to get public

policies to their favor, either singly or in concert with other
groups that share common interest with them. Coalition building,
compromises, trading of favor and conflicts among groups are
the key tactics used in the struggle. In this situation the majority
or more dominant group will have its way but the minority or less
dominant group for the moment will have their say. The struggle
will continue without rancor.
16.1. Criticism of Group Theory o First, the group theorists did not really
define in clear terms what they mean by the two key concepts in the
analysis; group and interests. Thus, while Bentley sees groups as a
relation between men, a process of adding man to man, Truman
defines it as any collection of individuals who have some
characteristic in common. None of these definitions clearly tells
us what a group that is really relevant to politics and decision
making is.
o Second, the theory was so concerned with
the role of groups that it leaves out the
individuals and society in their analysis. While
not disputing the fact that politics is a struggle
between and among groups, one can also not
forget that the role of particular individuals is
a very important variable. This is particularly
important in third world countries, where one-
man dictatorship has proved that an individual
could indeed hold a whole country to ransom
and dictate what happens mostly after
decimating all competing groups. Also, the
role of the society in this competition for
power is completely left out which is a defect.
17. Institutional Theory
One of the oldest concerns of political science and public administration

is the study of government institutions since political life generally
revolves around them. These institutions include legislatures,
executives and judiciary; and public policy is authoritatively formulated
and executed by them.
Traditionally, the institutional approach concentrates on describing the

more formal and legal aspects of government institutions: their formal
structure, legal powers, procedural rules, and functions. Formal
relationships with other institutions might also be considered, such as
legislative-executive relations. Usually, little was done to explain how
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institutions operated as opposed to how they were supposed to

operated, to analyze public policies produced by the institutions and to
discover the relationships between institutional structure and public
policies.
Institutionalism, with its emphasis on the formal or structural aspects of

institutions can nonetheless be usefully employed in policy analysis. An
institution is, in part, a set of regularized patterns of human behavior
that persist over time and perform some significant social function. It is
their differing patterns of behavior that usually distinguish courts from
legislatures, from administrative agencies, and so on. These
regularized patter ns of behavior, which are usually called rules or
structures, can affect decision-making and the content of public policy.
Rules and structural arrangements are usually not neutral in their
effects; rather, they tend to favor some interest in society over others
and some policy results over others.
In sum, institutional structures, arrangements, and procedures often
have important consequences for the adoption and content of public
policies. They provide part of the context for policy-making, which must
be considered along with the more dynamic aspects of politics, such as
political parties, groups, and public opinion in policy study. By itself,
however, institutional theory can provide only partial explanations of
policy.
17.1. Criticism of Institutional Theory

o This model studies the official structures and functions of
government departments and institutions in an attempt
to learn how public policy takes shape. It focuses on the
organization chart of government. However, this model
has shown little concern about the connections between
a department and the public policy emanating from it.
While the systems approach is dynamic and process-
oriented, institutionalist approach is more static and
formalistic.
Hall, Anthony, and James O. Midgley. Social Policy for Development, SAGE Publications,
2004. ProQuest Ebook Central,
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https://ebookcentral.proquest.com/lib/uniofmindanaoebooks/detail.action?docID=254
747.
The Student's Companion to Social Policy, edited by Pete Alcock, et al., John Wiley & Sons,
Incorporated, 2016. ProQuest Ebook Central,
https://ebookcentral.proquest.com/lib/uniofmindanaoebooks/detail.action?docID=456
7441.
Cerna, A. (2013). The Nature of Policy Change and Implementation: A Review of Different
Theoretical Approaches. Organization for Economic Co-operation and
Development. Retrieved from:
http://www.oecd.org/education/ceri/The%20Nature%20of%20Policy%20Chan
ge%20and%20Implementation.pdf
Anyebe, A. (2018). An Overview of Approaches to the Study of Public Policy. International Journal
of Political Science (IJPS) Volume 4, Issue 1. Retrieved from:
https://www.arcjournals.org/pdfs/ijps/v4-i1/2.pdf
Activity 3. Let’s assessed your learning by answering the modified true or false questions
below. Write True if the statement is correct. If the given statement is incorrect, write False
and rephrase the word/phrase to make the statement correct.
_____________________1. Socialist views welfares state as counterproductive to the growth of free
market.
_____________________2. Social democracy criticizes welfare state as an instrument of capitalist
to remedy the problem of the free market.
_____________________3. Socialist social democrats tend to hold more positive attitudes
towards the market, provided that they are properly regulated, and they are more receptive to
the use of innovative, non-state methods to resolve contemporary problems.
_____________________4. Liberal Feminism viewed gendered division of welfare as an
important means of reproducing class relations and maintaining the social stability necessary
for the smooth running of capitalist labor relations.
_____________________5. Neoliberalism viewed the welfare state as a form of monopolistic
provider of social service that limits the private sector’s participation in crafting its own social
welfare activities.
_____________________6. Post-modern feminism advocates for the inclusion of race, ethnicity and
culture in the political sphere of gender.
_____________________7. Socialist believes that welfare recipients tend to become ‘welfare
dependent’ and so fail to act as responsible individuals.
_____________________8. Feminism incorporates social and political theories and
philosophies with regard to gender inequality, as well as movement that campaigns for
women's rights and interests.
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_____________________9. Instrumentalist critiques imply that the shape and nature of the welfare
state are deliberately contrived to accord with the economic requirements of capital.
_____________________10. Neoliberals believe that oppressed class under capitalism will in
time be able to possess of the state apparatus established by the dominant class.
Activity 4. In this part, you need to explain comprehensively your answers based from the readings
and researches you have.
1. What are the contentions of neo-liberal thought on social welfare? How did this ideology influence
social welfare policies?
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2. What are the distinguishing features of social democratic welfare state?

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3. In what ways does socialist perspective interpret the role of welfare state?
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4. When can we say that a social policy becomes an advantage and disadvantage for women?
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5. Identify social policies in our country (national, local, private spheres) which might be said
to reflect ‘rational’ or ‘incremental’ approaches to policy-making. Explain your answer.
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6. Identify existing policy (national, local, private spheres) which might be said to reflect elite
theory and group theory. Explain your answer.
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7. Identify existing policy (national, local, private spheres) which might be said to reflect
systems theory and institutional theory. Explain your answer.
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1. Neo-Liberal ideas pose a significant challenge for supporters of extensive systems

of public welfare. It has its roots in classical Liberal thinking and in the writings
of Adam Smith in particular. Neo-Liberals want to cut back public welfare
systems, to eliminate bureaucratic waste, reduce taxation and allow greater
choice through private service provision. Neo-Liberal thinking contains critical
flaws. The conception of ‘negative liberty’ is unduly restricted and the faith in pure
market solutions may be misplaced.
2. The political doctrine of social democracy originated in northern Europe in the
latter part of the nineteenth century. There has been ongoing debate about what
constitute the defining elements of social democracy. It has subcomponent of liberal social
democrats and socialist social democrats who has different perspective on social welfare.
3. Socialist perspective on social policy argues that capitalism as a social and

economic system is inimical to human well-being. It regards the welfare state as
an ambiguous phenomenon that has benefited disadvantaged and working-class
people, while also subjecting them to social control in the interests of capitalism.
It has nonetheless played a role in the development of social policy in capitalist
societies.
4. According to Feminist view, the welfare state, its policies and practices construct
are simultaneously constructed through gender inequalities. Feminists have used
women’s experiences to challenge what is understood by welfare to include the
cultural and intimate spheres. More differentiated approaches to feminist social
policy analysis includes issues of masculinity and relations of power. Feminists
interact with mainstream political structures to fight for gender inequality.
5. There is a wide range of models and concepts that can be used to analyze the
policy process. Applying particular models to specific policies and policy areas can
allow us to gain a better understanding of the role of different groups, their
power relative to one another, and the motivations behind particular
government actions and inactions
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In this section, all your questions or clarifications may be listed down. You may wish to raise
you concern through LMS or other modes such as email or sms (in case of distant learning).
After the clarification, you may write your understanding of the question/ raised
1.
2.
3.
4.
5.
Neoliberalism Social democracy Socialism Feminism
Liberal Feminism Marxist/Socialist Post-modern Radical Feminism

Feminism Feminism
Welfare Feminism Welfare State Utopian Ideology Capitalism
Economic Human Liberty Competitive Market Bureaucratic

Interventionism oversupply
Safety Net Welfare State Coercion Liberal Social Socialist Social

Democracy Democracy
Instrumentalist Structural-logical Neo-Marxist

critiques of social critiques of social critiques of social
welfare welfare welfare
in the “answer” portion.
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ULOc. Explain the policy cycle process.
Please proceed immediately to the "Essential Knowledge" part since all terminologies
were already embedded and contextualized below.
In this part, you will be introduced to the generic policy cycle process. Take note that there
are lot of models of the policy process but below is the simplified version. Thus, you are free
to explore other comprehensive and complex models to further understand the process. It also
includes the legislative process of the Philippine government.
1. Policy Cycle Process. The idea of modeling the policy process in terms of
stages was first put forward by Lasswell. As part of his attempt to establish a
multidisciplinary and prescriptive policy science, Lasswell introduced (in 1956) a model
of the policy process comprised of seven stages: intelligence, promotion, prescription,
invocation, application, termination, and appraisal. Based on the growth of the field of
policy studies during the 1960s and 1970s, the stages models served the basic need
to organize and systemize a growing body of literature and research. Subsequently, a
number of different variations of the stages typology have been put forward, usually
offering further differentiations of (sub-)stages. Today, the differentiation between
agenda-setting, policy formulation, decision making, implementation, and evaluation
(eventually leading to termination) has become the conventional way to describe the
chronology of a policy process.
1.1. The Stages of Policy Cycle
a) Agenda-Setting: Problem Recognition and Issue Selection
• Policymaking presupposes the recognition of a policy problem.
Problem recognition itself requires that a social problem has
been defined as such and that the necessity of state
intervention has been expressed. The second step would be
that the recognized problem is actually put on the agenda for
serious consideration of public action (agendasetting).
• The agenda is nothing more than “the list of subjects or
problems to which governmental officials, and people outside
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the government closely associated with those officials, are

paying some serious attention at any given time” (Kingdom,
1995). The government’s (or institutional) agenda has been
distinguished from the wider media and the overall public (or
systemic) agenda (Cobb and Elder 1972). While the
government’s (formal and informal) agenda presents the center
of attention of studies on agenda-setting, the means and
mechanisms of problem recognition and issue selection are
tightly connected with the way a social problem is recognized
and perceived on the public/media agenda.
• Problem recognition and agenda-setting are inherently political
processes in which political attention is attached to a subset of
all possibly relevant policy problems. Actors within and outside
government constantly seek to influence and collectively shape
the agenda (e.g., by taking advantage of rising attention to a
particular issue, dramatizing a problem, or advancing a
particular problem definition). The involvement of particular
actors (e.g., experts), the choice of institutional venues in which
problems are debated and the strategic use of media coverage
have been identified as tactical means to define issues.
• Agenda-setting results in a selection between diverse problems
and issues. It is a process of structuring the policy issue
regarding potential strategies and instruments that shape the
development of a policy in the subsequent stages of a policy
cycle. If the assumption is accepted that not all existing
problems could receive the same level of attention (and some
are not recognized at all).
• The crucial step in this process of agenda-setting is the move
of an issue from its recognition—frequently expressed by
interested groups or affected actors—up to the formal political
agenda. This move encompasses several substages, in which
succeeding selections of issues under conditions of scarce
capacities of problem-recognition and problem-solving are
made. Several studies of environmental policy development, for
example, showed that it is not the objective problem load (e.g.,
the degree of air pollution) which explains the intensity of
problem recognition and solving activities on the side of
governments. Instead, a plausible definition of a problem and
the creation of a particular policy image allowing to attach a
particular solution to the problem, have been identified as key
variables affecting agenda-setting.
• The actual agenda-setting is characterized by different patterns
in terms of actor composition and the role of the public:
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o The outside-initiation pattern, where social actors

force governments to place an issue on the
systemic agenda by way of gaining public
support, presents but one of different types of
agenda-setting.
o The inside-initiation pattern is an equally
significant processes of policies without public
input such as when interest groups have direct
access to government agencies and are capable
of putting topics on the agenda without major
interference or even recognition of the public.
o Another pattern has been described as the
mobilization of support within the public by the
government after the initial agenda-setting has
been accomplished without a relevant role for
non-state actors.
o Finally, consolidation is the fourth type whereby
state actors initiate an issue where public support
is already high.
•The confluence of a number of interacting factors and
variables determines whether a policy issue becomes a major
topic on the policy agenda. These factors include both the
material conditions of the policy environment (like the level of
economic development), and the flow and cycle of ideas and
ideologies, which are important in evaluating problems and
connecting them with solutions (policy proposals). Within that
context, the constellation of interest between the relevant
actors, the capacity of the institutions in charge to act
effectively, and the cycle of public problem perception as well
as the solutions that are connected to the different problems
are of central importance.
b) Policy Formulation and Decision-Making.

• During this stage of the policy cycle, expressed problems,
proposals, and demands are transformed into government
programs. Policy formulation and adoption includes the
definition of objectives— what should be achieved with the
policy—and the consideration of different action alternatives.
Some authors differentiate between formulation (of alternatives
for action) and the final adoption (the formal decision to take on
the policy). Because policies will not always be formalized into
separate programs and a clear-cut separation between
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formulation and decision-making is very often impossible, we

treat them as substages in a single stage of the policy cycle.
• Political scientists argued from the beginning (Lindblom 1968;
Wildavsky 1979) that decision-making comprises not only
information gathering and processing (analysis), but foremost
consists of conflict resolution within and between public and
private actors and government departments (interaction). In
terms of patterns of interdepartmental interaction, Mayntz and
Scharpf (1975) argued that these usually follow the type of
negative coordination (based on sequential participation of
different departments after the initial policy program has been
drafted) rather than ambitious and complex attempts of positive
coordination (pooling suggested policy solutions as part of the
drafting), thus leading to the typical process of reactive policy-
making. The aim of political science based policy analysis was,
therefore, to suggest institutional arrangements which would
support more active policy-making.
• Governments and higher civil servants are not strictly separated
from the wider society when formulating policies; instead, they
are constantly interacting with social actors and form rather
stable patterns of relationships (policy networks). Whereas the
final decision on a specific policy remains in the realm of the
responsible institutions, this decision is preceded by a more or
less informal process of negotiated policy formation, with
departments (and the units within the departments), organized
interest groups and, depending on the political system,
appointed members and their associates as major players.
Numerous policy studies have convincingly argued that the
processes in the preliminary stages of decision-making strongly
influence the final outcome and very often shape the policy to a
larger extend than the final processes within the parliamentary
arena.
• While patterns of interaction between governments and society
in policy networks are regarded as an omnipresent
phenomenon, the particular constellation of actors within policy
networks vary between policy domains, as well as between
nation states with different political/administrative cultures,
traditions of law (Feick and Jann 1988) and differences
regarding the wider constitutional setting.
• In order to allow for the analysis of different structural patterns
of state-society interaction, policy research has developed
taxonomies of policy networks. While considerable variation
(and maybe even confusion, cf. Dowding 2001) prevails, one
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major distinction has been made between iron triangles,

subgovernments, or policy communities on the one hand and
issue networks centered around a particular policy issues (e.g.,
abortion, fuel taxes, speed limits) on the other hand. These two
basic types are differentiated along the dimensions of actor
composition and the insulation of the network from the wider
environment.
• Another crucial aspect of policy formulation represents the role
of (scientific) policy advice. While earlier models differentiated
between technocratic (policy decisions depending on superior
knowledge provided by experts) and decisionist (primacy of
politics over science) models of the science/policy nexus
(Wittrock 1991), the dominant normative understanding favored
a pragmatic and cooperative interaction at eye level.
c) Implementation
• The decision on a specific course of action and the adoption of
a program does not guarantee that the action on the ground will
strictly follow policy makers’ aims and objectives. The stage of
execution or enforcement of a policy by the responsible
institutions and organizations that are often, but not always, part
of the public sector, is referred to as implementation.
• Policy implementation is broadly defined as “what happens
between the establishment of an apparent intention on the part
of the government to do something, or to stop doing something,
and the ultimate impact in the world of action” (O’Toole
2000).This stage is critical as political and administrative action
at the frontline are hardly ever perfectly controllable by
objectives, programs, laws, and the like (cf. Hogwood and Gunn
1984). Therefore, policies and their intentions will very often be
changed or even distorted; its execution delayed or even
blocked altogether.
• An ideal process of policy implementation would include the
following core elements:
o Specification of program details (i.e., how and by
which agencies/organizations should the
program be executed? How should the
law/program be interpreted?);
o Allocation of resources (i.e., how are budgets
distributed? Which personnel will execute the
program? Which units of an organization will be
in charge for the execution?);
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o Decisions (i.e., how will decisions of single cases

be carried out?).
• Earlier, implementation of policies was not recognized as a
separate stage within or element of the policy-making process.
What happens after a bill becomes a law was not perceived as
a central problem—not for the decision makers and, therefore,
also not for policy analysis. The underlying assumption was that
governments pass laws, and this is where the core business of
policy-making ends.
• Initially, implementation was regarded from a perspective that
was later called the top-down approach. Implementation studies
followed the hierarchical and chronological path of a particular
policy and sought to assess how far the centrally defined goals
and objectives are achieved when it comes to implementation.
Most studies centered on those factors leading to deviations
from these objectives. Intra- and interorganizational
coordination problems and the interaction of field agencies with
the target group ranked as the most prominent variables
accounting for implementation failures. Another explanation
focused the policy itself, acknowledging that unsuccessful policy
implementation could not only be the result of bad
implementation, but also bad policy design, based on wrong
assumptions about cause-effect relationships.
• Implementation studies of the first generation thus shared a
hierarchical, top-down understanding of governance, at least as
a normative yardstick for the assessment of outcomes of
implementation. Implementation research was interested in
developing theories about what works. One way to do this has
been to assess the effectiveness of different types of policy
instruments based on particular theories about cause and effect
relations. Policy instruments have been classified into
regulatory, financial, informational, and organizational policy
tools.
• The so-called bottom-up perspective suggested a number of
analytical reorientations that subsequently became accepted in
the wider implementation and policy literature.
o First, the central role of implementation
agencies and their personnel in shaping the
actual policy outcome has been acknowledged
in particular the pattern of coping with diverse
and often contradictory demands associated
with policies is a recurring theme in this line of
research.
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o Second, the focus on single policies regarded as

inputs into the implementation process was
supplemented, if not replaced, by a perspective
that regarded policy as the outcome of
implementation resulting from the interaction of
different actors and different programs. Elmore
(1979/80) suggested the notion of backward
mapping for a corresponding research strategy
that begins at the last possible stage, when
“administrative actions intersects with private
choices”.
o Third, the increasingly widespread recognition of
linkages and networks between a number of
(governmental and social) actors within a
particular policy domain, cutting across the
implementation/policy formulation borderline,
provided the ground for the eventual
abandonment of the hierarchical understanding
of state/society interaction.
d) Evaluation and Termination

• Policymaking is supposed to contribute to problem solving or at
least to the reduction of the problem load. During the evaluation
stage of the policy cycle, these intended outcomes of policies
move into the center of attention. The plausible normative
rationale that, finally, policymaking should be appraised against
intended objectives and impacts forms the starting point of
policy evaluation.
• Evaluation is not only associated with the final stage in the policy
cycle that either ends with the termination of the policy or its
redesign based on modified problem perception and agenda-
setting. At the same time, evaluation research forms a separate
subdiscipline in the policy sciences that focuses on the intended
results and unintended consequences of policies. Evaluation
studies are not restricted to a particular stage in the policy cycle;
instead, the perspective is applied to the whole policy-making
process and from different perspectives in terms of timing.
• The role of evaluation in the policy process goes far beyond the
scope of scientific evaluation studies. Policy evaluation takes
place as a regular and embedded part of the political process
and debate. Therefore, scientific evaluation has been
distinguished from administrative evaluations conducted or
initiated by the public administration and political evaluation
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carried out by diverse actors in the political arena, including the

wider public and the. Not only scientific studies, but also
government reports, the public debate and activities of
respective opposition parties embrace substantial elements of
evaluation.
• Evaluation research sought to establish evaluation as a central
part of rational evidence-based policymaking, activities of
evaluation are particularly exposed to the specific logic and
incentives of political processes in at least two major ways, both
related to blame games:
• First, the assessment of policy outputs and outcomes is biased
according to the position and substantial interest, as well as the
values, of a particular actor. In particular, the shifting of blame
for poor performance is a regular part of politics.
• Second, flawed definition of policy aims, and objectives
presents a major obstacle for evaluations. Given the
strong incentive of blame-avoidance, governments are
encouraged to avoid the precise definition of goals
because otherwise politicians would risk taking the
blame for obvious failure. Even outside constellations
that may be seen as shaped by partisan politics, the
possibility of a self-evaluating organization has been
strongly contested, because it conflicts with some of the
fundamental values and interests of organizations.
• Evaluations can lead to diverse patterns of policy-learning, with
different implications in terms of feed-back mechanisms and a
potential restart of the policy process. One pattern would be that
successful policies will be reinforced; a pattern that forms the
core idea of so-called pilot projects (or model experiment), in
which a particular measure is first introduced within a (territorial,
substantive, or temporal) limited context and only extended if
the evaluation is supporting. However, instead of enhancing
evidence-based policy-making, pilot projects may represent
tools that are utilized for purposes of conflict avoidance;
contested measures are not finally adopted but taken up as a
pilot projects and thereby postponed until the political mood is
ripe for a more enduring course of action.
• Evaluations could also lead to the termination of a policy. The
primary idea of policy termination—a policy problem has been
solved or the adopted policy measures have been recognized
to be ineffective in dealing with the set policy goals—seems
rather difficult to enforce under real-world conditions of policy-
making. Rather large-scale budget cuts (e.g., related to
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subsidies) or windows of opportunity (e.g., changing

governments, public sentiments) could trigger policy
termination. These processes are frequently connected with
partisan motivations, like the implementation of election
promises.
• Studies of policy termination are frequently concerned with why
policies and programs “live on” although they have “outlived
their usefulness”. Counterstrategies against termination efforts
range from window-dressing activities (instead of substantial
changes) to the formation of crosscutting antitermination
coalitions formed by beneficiaries of programs (e.g., delivery
agencies, affected interest groups, local politicians).These
coalitions can rely on a comparative advantage, because they
are easier able to overcome collective action problems than any
pro-termination coalition (given the threat of a potential loss of
resources provided by the policy). In addition, politicians face
greater incentives towards the declaration of new programs
rather than the termination of old ones that include the
admission of failures. The shortterm political, as well as
financial, costs of termination may outweigh the longterm
benefits.
2. The Philippine Legislative Process.
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2.1. Philippine Legislative Process.

i. Preparation of the Bill. The Member or the Bill Drafting Division of the
Reference and Research Bureau prepares and drafts the bill upon the
Member's request
ii. First Reading.

a. The bill is filed with the Bills and Index Service and the same is
numbered and reproduced.
b. Three days after its filing, the same is included in the Order of
Business for First Reading.
c. On First Reading, the Secretary General reads the title and
number of the bill. The Speaker refers the bill to the appropriate
Committee/s.
iii. Committee Consideration/Action

a. The Committee where the bill was referred to evaluates it to
determine the necessity of conducting public hearings. If the
Committee finds it necessary to conduct public hearings, it
schedules the time thereof, issues public notice and invites
resource persons from the public and private sectors, the
academe and experts on the proposed legislation. If the
Committee finds that no public hearing is not needed, it schedules
the bill for Committee discussion/s.
b. Based on the result of the public hearings or Committee
discussions, the Committee may introduce amendments,
consolidate bills on the same subject matter, or propose a
substitute bill. It then prepares the corresponding committee
report.
c. The Committee approves the Committee Report and formally
transmits the same to the Plenary Affairs Bureau.
iv. Second Reading

a. The Committee Report is registered and numbered by the Bills
and Index Service. It is included in the Order of Business and
referred to the Committee on Rules.
b. The Committee on Rules schedules the bill for consideration on
Second Reading.
c. On Second Reading, the Secretary General reads the number,
title and text of the bill and the following takes place:
i. Period of Sponsorship and Debate
ii. Period of Amendments
iii. Voting which may be by:
1. viva voce
2. count by tellers
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3. division of the House; or

4. nominal voting
v. Third Reading
a. The amendments, if any, are engrossed and printed copies of the
bill are reproduced for Third Reading
b. The engrossed bill is included in the Calendar of Bills for Third
Reading and copies of the same are distributed to all the Members
three days before its Third Reading.
c. On Third Reading, the Secretary General reads only the number
and title of the bill.
d. A roll call or nominal voting is called and a Member, if he desires,
is given three minutes to explain his vote. No amendment on the
bill is allowed at this stage.
i. The bill is approved by an affirmative vote of a majority of
the Members present.
ii. If the bill is disapproved, the same is transmitted to the
Archives.
vi. Transmital of the Approved Bill to the Senate. The approved bill is
transmitted to the Senate for its concurrence.
vii. Senate Action on Approved Bill of the House. The bill undergoes the
same legislative process in the Senate.
viii. Conference Committee

a. A Conference Committee is constituted and is composed of
Members from each House of Congress to settle, reconcile or
thresh out differences or disagreements on any provision of the
bill.
b. The conferees are not limited to reconciling the differences in the
bill but may introduce new provisions germane to the subject
matter or may report out an entirely new bill on the subject.
c. The Conference Committee prepares a report to be signed by all
the conferees and the Chairman.
d. The Conference Committee Report is submitted for
consideration/approval of both Houses. No amendment is
allowed.
ix. Transmittal of the Bill to the President. Copies of the bill, signed by the
Senate President and the Speaker of the House of Representatives and
certified by both the Secretary of the Senate and the Secretary General
of the House, are transmitted to the President.
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x. Presidential Action on the Bill

a. If the bill is approved the President, the same is assigned an RA
number and transmitted to the House where it originated.
b. If the bill is vetoed, the same, together with a message citing the
reason for the veto, is transmitted to the House where the bill
originated.
xi. Action Approved Bill. The bill is reproduced, and copies are sent to the
Official Gazette Office for publication and distribution to the
implementing agencies. It is then included in the annual compilation of
Acts and Resolutions.
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Activity 5. Let’s evaluate your learning. Write True if the statement is correct and write False
if the statement is wrong. If your answer is False, modify the word/phrase to make the
statement correct.
___________________1. Agenda is a collection of problems, understanding of causes,
symbols or solutions, and other elements of public problems that come to the attention of
members of the public and their governmental officials.
___________________2. Policy formulation and decision-making phase involves identifying
a set of policy alternatives to address problem, and narrowing the set of solutions in
preparation for the final policy definition.
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___________________3. Policy formulation is an explicit object of inquiry in studies of policy

design and policy tools.
___________________4. Top-down models put their main emphasis on the ability of decision
makers to produce unequivocal policy objectives and on controlling the implementation stage.
___________________5. Bottom-up critiques view of street level bureaucrats as the main
actor in policy delivery and conceive of implementation as negotiation processes within
networks of implementers.
___________________6. Top-down model of implementation=hierarchical guidance and
elitist; bottom-up model of implementation=decentralized problem-solving and participatory.
___________________7. According to rational model, any decision-making usually should be
based on a comprehensive analysis of problems and goals, followed by an inclusive collection
and analysis of information and a search for the best alternative to achieve these goals.
___________________8. The crucial step in the process of agenda setting is the move of an
issue from its recognition – frequently expressed by interested groups or affected actors – up
to the formal political agenda.
___________________9. Evaluation of policy marks the imminent ending of the
implementation of a policy.
___________________10. Evaluation could lead to the termination of a policy.
Activity 6. In this part, you need to explain comprehensively your answers based from the
readings and researches you have.
1. Why might the view of “other” groups be excluded from policy agenda?
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2. Why might top-down approaches to social policy implementation appeal to

decisionmakers but prove problematic in practice?
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3. What are the grounds for a policy to be terminated?

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4. What is the importance of pilot project in policy cycle process?

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Studying the policy process can add to our understanding of the

ways in which policies are made, implemented, and evaluated and the reasons
that particular policies are or are not adopted, including how power is exercised
to bring social issues and problems to the agendas of decision-makers.
In this section, all your questions or clarifications may be listed down. You may wish to raise
you concern through LMS or other modes such as email or sms (in case of distant learning).
After the clarification, you may write your understanding of the question/ raised
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1.
2.
3.
4.
5.
Agenda-Setting Problem Policy Formulation Implementation

Recognition and and Decision
Selection Making
Evaluation Termination Top-down approach Bottom-up approach
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Big Week 4-5: Unit Learning Outcomes (ULO)

a. Examine different tools in social policy analysis

b. Analyze the Five-E approach in policy analysis
ULOa: Examine different tools in social policy analysis
In this part, you need to understand various concepts to grasp the bigger policy analysis. You
will encounter these terms as we progress with our study. All terminologies are conceptually
defined since most of the ideas and concepts are considered borrowed knowledge from other
social science disciplines. Please refer to these definitions in case you will encounter difficulty
in understanding social change concepts.
1. Institutional Analysis – looks at the “rules” that people develop to govern group
behavior and interaction in political, economic, and social spheres of life.
Institutional analysis is based on understanding that these rules – whether
formally constructed or informally embedded in cultural practice – mediate and
distort, sometimes fundamentally, the expected impacts of policy reform.
2. Political Analysis – looks at the structure of power relations and
oftenentrenched interest of different stakeholders that affect decision making
and distributional outcomes. Political analysis is built on recognition that
political interest underpin many areas of policy debate and economic reform,
challenging assumptions about the technical of nature of policy making.
3. Social Analysis – looks at the relationships that govern interaction at different
organizational levels, including households, communities, and social groups.
Social analysis is built on an understanding of the role of social and cultural
norms in governing relationships within and between groups of social actors,
with implications for the degree of inclusion and empowerment of specific social
groups.
4. Macro-level tools - help us to understand the significance of the historical
context, political-ideological climate, political-institutional culture, and economic
and social makeup of countries engaging in policy reform.
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5. Meso-level tools - aid our understanding of the rules and incentives that govern
the implementation of policy reform, transmitted through price-based incentives
and through less predictable organizational cultures and social norms.
6. Micro-level tools - help with analysis of the distributional impacts of policy
reform, identifying winners and losers, and explaining the dynamics of poverty
in local settings.
In this section, data on different tools for policy analysis at micro, meso and macro
levels are discussed. These tools are framed after the PSIA or Political, Social and Institutional
Analysis of Policy of the World Bank. These tools are common in development practice which
make it relevant to social work practice at the grass root levels. Be notified that you are not
limited to refer to these resources exclusively. Thus, it is expected from you to utilize other
books, research articles, and other resources that are available in the university's library, e.g.,
e-brary, search.proquest.com, and other credible platforms.
1.0. Policy Analysis in developing countries dealt around the issues on poverty and
social impact of policy reforms on well-being or welfare of different stakeholder groups,
with particular focus on the poor and vulnerable. In generic sense, the term “social
analysis” encompasses institutional, political, and social analyses. These three
overlapping areas, derived from different disciplinary backgrounds, focus on the rules
and relations that underpin and influence reform outcomes: institutional analysis,
political analysis, and social analysis
1.1. Policy analysis can be applied to policy reform across a range of areas and
sectors. Some “nonmarket” types of reform, such as decentralization or public sector
reform, are more likely to have direct impacts that lend themselves most obviously to
institutional, political and social analysis. Yet these tools can be applied to impacts that
are both market and nonmarket in nature because of the nature of indirect (upstream
and downstream) impacts of policy reform and because market reforms are mediated
in their impact by behavioral responses among institutional actors and affected
persons.
Policy Issue that might be appropriate to study under policy analysis.

Policy issue Example
Macroeconomic and fiscal policy reform: monetary policy, broad external policy, broad Monetary an
fiscal policy exchange ra
policy reform
various
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countries
(Conway 2005)
Trade and exchange rate reform: tariff and (Bussolo non-tariff barriers, exchange rates Trade poli
reforms, variou
countries an
Nicita 200
Trade polic
Brazil (Wor
Bank 2004b)
Agricultural reform: eliminating administered taxes, eliminating Coffee pric
marketing boards liberalization,
Tanzania
(Temu an
prices,
changing
domestic
subsidies an
Winter-Nelson
2001)
Cotton pr
liberalization
cotton, Ben
and Ivory Coa
(Makdissi and
Wodon 2004)
Land reform: distribution to the landless own, exchange, or inherit land Land polic
reforms,
various
countries o
passing law
governing th
right t
(Deininger
2005)
Land allocatio
Vietnam
(Ravallion a
de Walle 2003
Labor market reform: minimum wage labor market programs Selected labo
market
reforms,
various
countries
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legislation, jo
security
regulation,
active
(Coudouel an
Paci 2006)
Utility reform: restructuring state-owned, utilities, increased private participation in Electricity ta
state-owned utility, full divestiture of reform, Rwan
(AngelUrdinol
Cosrove-
Davies, a
Wodon
2006) Electric
tariff reform,
Ghana
(Keener and
utility Banerje
2006)
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Water sec
privatization,
Albania
(Beddies , a
De Soto 2006
Privatization: lease of assets,

management contracts, full divestiture
Civil service reform: results- based, management, layoffs, reductions in wage bill Public sect
downsizi
vario
countries (Dia
2006)
Decentralization of public services: resources, policy design and/or Decentralizati
implementation, fiscal authority reforms
various
countries
(Kaiser 2006)
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Water sector
decentralizatio
Albania
(Beddies and
De Soto 2006
Social sector reform (including health and education): delivery mechanisms, public Education pol
spending allocations, fee abolition, cost recovery mechanisms reform, vario
countries
(Tiongson 200
Social safety nets: targeted cash/in-kind transfers, categorical benefits, contribution- Welfare reform
based social insurance benefits Sri Lanka
(Narayan,
Vishwanath a
Yoshida 2006
Pensions: scaling back public pension schemes, increasing private provision, Pension
introducing social pensions system
reforms
various
countries.
1.2. In understanding policy, we have to determine level and scope of analysis by

differentiating it into three levels because each has its own unique set of tools utilized.
Each level of analysis is applied with its own set of practical tools: macro level tools,
meso-level tools, and micro level tools.
I. Macro Level Analysis.
a. Country context analysis is important because policy reform
does not take place in an historical vacuum but takes place in a
particular context. Understanding country context better means
investigating the inherited and evolving mix of political, economic and
social variables that influence policy agendas and change. Donors in
particular now recognize that
• The experiences and “lessons of history” of other countries
regarding development and poverty reduction can provide
insights and learning for current international development.
• Governments of many countries remain unresponsive to the
needs of the poor and uninterested in achieving development
targets such as the Millennium Development Goals. Concepts
such as “lack of political will” that are often used to describe
these situations are inadequate because although they identify
a problem, they fail to explain the reason for these failures or to
identify viable solutions.
• Conditionality, associated with development assistance and
intended to change the behavior of recipient governments, is a
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blunt instrument. Aid effectiveness increases when aid supports

national efforts, making the local situation the point of departure
rather than preconceived policies. This means giving greater
attention to analysis of the country context and the ways in
which it is changing
b. Policy reform is, of course, highly political and should not be
treated as a technical exercise. When a policy reform process is
initiated without an in-depth understanding of the political, economic,
and social context of the reform in question, the danger is that policies
are designed as a one-size-fits-all-solution that ignores country-specific
factors that can be crucial for the success or failure of reform. These
factors are diverse and can include the country’s history, characteristics
of the constitutional framework, the distribution of domestic political
power (such as power struggles between political factions), interests
and incentives of political actors, and the influence exerted by different
socioeconomic groups.
a. Tools for Country Analysis

Tool Objective
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Country social
analysis
Country social analysis is a diagnostic tool that

integrates social, economic, political, and institutiona l
analysis to understand the influence of country context
on policy reform and development outcomes. CSA is
primarily based on existing qualitative and quantitative
data, suppleme nted with collection of new primary data
on issues of partic ular concern in t he specific case.
CSA gives particular attention to:
• the distribution of assets, economic activity, and

access to markets across different social groups
• how local institutions and political systems a ffect
policy making and implementation, and how
they include or exclude the poor
• the opportunities and constraints to the country’s
development that emerge from the current
country social context
Power analysis Power analysis is a diagnostic tool developed by Sida

that analyzes actors, interest groups, and structures to
uncover where the real power in a society lies and how
power is distributed geographically, institutionally and
socially. It might also point to the kind of power being
exercised, and how this power is perceived. Issues that
should be covered could be summarized as actors,
structures, processes, relations, and hierarchies. This
analysis is based on an understanding that sustained
poverty reduction requires poor people to have access to
political power and resources.
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country context and to link this understanding with an

identification of the key policy and institutional “drivers”
of change that provide the context for poverty reduction.
Six elements form part of a drivers of change analysis
(DFID 2003b):
• basic country analysis
• medium-term dynamics
• role of external forces
• impacts on poverty • operational implications
• incentives.
Drivers of change Drivers of change was developed by DFID and aims to

improve the understanding of political, economic, social
and cultural forces that inform change in a regional and
Tool Objective
Stakeholder
Analysis Matrices At the macro-level, stakeholder analysis is usually a
combination of a review of secondary literature and
additional brainstorming sessions or workshops with a
small number of knowledgeable key informants.
Analysts use stakeholder analysis matrices to list and
plot the stakeholders and their relationship to the policy
process. These matrices can be used to plot two or
more of the following variables:
• the degree to which the policy reform will impact
stakeholders
• the level of interest in a specific policy reform •
the level of importance attached to satisfying the
needs and interests of each stakeholder
• the level of influence that the stakeholder has to
facilitate or impede policy design and
implementation
• the level of resources that stakeholders possess
and are able to bring to bear in the policy process.
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b. Tools for
Political Mapping While stakeholder analysis matrices focus on the power,
Analysis of
influence, and proximity of individuals and interest
Reform
groups to a particular policy reform, political mapping
Context
focuses more directly on the political landscape of policy
reform by identifying the strength and nature of political-
ideological opinion on a reform issue. Political mapping
identifies the most important political actors and spatially
illustrates their relationships
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to one another with respect to policy design and delivery.

By so doing, political mapping can:
• provide a graphic representation of the political
viability of a regime
• offer clues about the vulnerabilities of the regime
• detect the existence of opposing alliances and
potential support coalitions
• indicate the level of authority possessed by the
regime
• help indicate implementation capacity of various
actors
• detect new directions in policy
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Network analysis
Network analysis is a tool that helps analysts to think

strategically about the strength and nature of
institutional connections in the political landscape. It is a
visual method of mapping that “meas ures” the
relationships and interaction between a set of
actors/entities (people, groups, organizations) in a
community sector, industry and so on. It focuses on the
structure of relationships rather than on their at tributes.
Network analysis can be used for:
• understanding organizational structure and

functioning of systems
• understanding organizational behavior, inter -
organizational relations, social
• support, and the flow of
information/knowledge/resources
• understanding potential impacts of policy
changes or implementation on
• relationships between a set of actors.
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Transactional Transaction cost analysis is a tool for political economy

Analysis analysis that focuses on the uneven distribution of
information. This tool is most relevant in public sector or
privatization reforms where it identifies potential
constraints in the design and implementation phase of
the reforms based on transaction costs. Transaction cost
analysis starts from the premise that uncertainty and
information are unevenly distributed among agents and
actors. The incentive-structure underlying all decision-
making processes (in private firms, governments, NGOs,
and so on) is determined by this distribution of
uncertainty and information. Thus, power relations are
explained in terms of the “transaction
costs” that are imposed on less-powerful actors by their

lack of access to information.
II. Meso Level Analysis

• a. Meso-stakeholder analysis to test assumptions about the
interests of social actors. While macro-level stakeholder
analysis focuses on the key stakeholders (those most able to
influence the outcome of an intervention), stakeholder analysis
at the mesolevel focuses additionally on secondary
stakeholders, meaning all other individuals or groups with a
stake, interest, or intermediary role in the activity. At this level of
policy implementation, stakeholder analysis helps to build an
understanding of the relative importance and influence of
different interests groups and actors and the role each might
play in the implementation process.
• b. Meso institutional analysis to test assumptions about the
social rules governing the implementation of policy. We know
that institutions are sets of rules that govern individual and
collective behavior. Institutions may be formal or informal and
will include organizational procedures and social norms.
Institutions operate and influence behavior in different domains
of daily life: the state, the market, and societal domains. The aim
of institutional analysis at the meso-level is to understand these
“rules of the game” that mediate the implementation of policy
reforms. Several tools can be used to support institutional
analysis of policy implementation. Organizational mapping
involves three analytical steps that can be used sequentially or
independently: static (institutional) mapping, process tracing,
and process mapping.
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a. Tools for Analysis of the Policy Implementation Process

Tool Objective
Stakeholder As discussed at the macro-level, stakeholder analysis
Analysis Matrices matrices follow a series of steps and can be conducted
in individual or group settings. Additional group-based
stakeholder analysis can introduce strategic bias due to
the group dynamic, but can triangulate individual
interviews and is useful as a process of bringing together
actors in the policy process in a workshop context and
strengthening policy dialogue and ownership. In this way
the stakeholder workshop functions both to generate
information on the influence of stakeholders over the
policy implementation and as a step in the process of
negotiating and agreeing on the best path for policy
reform/
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Micro-political
mapping
Micro-political mapping provides more disaggregated

insights into the meso - and micro -level political
landscape and the dynamics that could potentiall y
affect the design or implementation of reform. Micro -
political mapping can be used to illustrate
concentrations of support for the government by various
actors and indicate how certain sectors will react to
particular policies. The actors and groups in a micro-
political map are disaggregated in order to identify
different competing factions within government
ministries and departments or other public agencies
(such as military institutions, courts, chambers of
commerce). Micro -political maps will usually depict two
dimensions of degree of support to and power over a
given reform process.
Force-field Analysis Force-field analysis is an illustrative method that

presents an overview of key stakeholders’ support and
opposition to particular reforms. It is capable of providing
an overview of the pressures for and against change.
The method of placing stakeholders on a continuum
according to their opinion of the reform provides a quick
overview of the political climate surrounding the reform.
With the identification of key stakeholders and an
assessment of their potential impact on the direction of
reform design and implementation, it can be used as an
initial step in a more comprehensive political economy
analysis.
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organizational context for policy reform implementation

by illustrating the resources and responsibilities of the
agencies and organizations that are implementing policy
change. Through analysis of existing case study material
and through interviews with key informants, the
incentives that operate and the information available to
the players can be identified.
Process tracing Process tracing is a qualitative method for tracing, or

following, the cause-effect flow of resources and
decision making from a policy change through the
implementation process as a means of testing
assumptions about the expected impact of a particular
policy reform. Process tracing can follow the path of
services, products, money, decisions, and information,
identifying actual or ideal paths, revealing problem areas
of risk and potential solutions. When used carefully, it
can illustrate often intricate connections and sequences
clearly. The tool’s focus on the intervening processes
between cause and effect makes it an indispensable tool
in a political economy analysis of reform processes and
their impacts.
Process mapping
Process mapping is a tool that “zooms out” from the
detail of process tracing to illustrate in map form the
broader network of flows of decision making, resources,
and information in policy implementation. It is a
comprehensive flow diagram created by the many
individual threads of process tracing. Once these flows
have been mapped, the tool can be used to identify
bottlenecks and constraints and to analyze opportunities
for changing processes to make them more efficient and
effective.
Static Mapping Static mapping provides a snapshot of the
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III. Micro Level Analysis.

This section introduces frameworks and tools for examining the likely or
actual impact of policy reform at the meso- and micro-levels. The micro-
level is characterized by processes of poverty that are complex and
often non-quantifiable. Social analysis at the meso- and microlevels
takes us beyond the sometimes mechanical view of transmission
mechanisms that measures changed incentives in the market-to-
producer responses and enhanced producer incomes to general
improvements in consumption and other dimensions of wellbeing. The
frameworks and tools introduced here allow us to differentiate between
winners and losers and to apply theories on how policy change is likely
to affect poverty dynamics at the local level.
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• Analytical Frameworks for Impact Evaluation. Social analytical

frameworks as summarized below are now widely used to try to
understand and explain poverty outcomes and impacts. The
frameworks share a conceptualization of poverty as
multidimensional and complex and introduce a more dynamic
and entitlements-focused analytical approach to poverty
assessment. The social frameworks introduced here employ
concepts—such as vulnerability, assets, livelihoods, and
empowerment—that allow for analysis of different dimensions of
poverty and go beyond simple monetary notions of poverty.
Moreover, they look at the dynamic nature of poverty and try to
explain why people move in and out of poverty.
Social Analytical Frameworks for Impact Analysis
Tool Objective
Vulnerability Vulnerability analysis looks at how people act when

Analysis faced with events, or shocks, that affect their lives.
Vulnerability is increased when people, faced with
shocks, are unable to manage their assets and prevent
a decline in welfare or a slide into poverty. The concept
of vulnerability, rather than poverty, can capture
processes of change, where people become more or
less vulnerable as a result of the range of shocks they
face and how the shocks are managed.
A vulnerability analysis seeks to identify:
• what shocks people face and their capacity to
respond
• whether a policy has lessened or increased
existing shocks, or introduced new ones, and
whether it has changed people’s capacity to
respond
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• • the types of responses to policy-induced shocks

that are evident among different social groups
Sustainable The sustainable livelihoods approach is a useful
Livelihood Analysis framework for analyzing people’s livelihood strategies —
based on their inve stment in and use of assets—in the
face of the policies, institutions, and processes that
affect their lives and in the broader vulnerability context.
It recognizes that the poor draw on a range o f material
and nonmaterial assets to pur sue multiple strateg ies to
ensure individ ual and household well -being. According
to the framework, people’s ability strategically to draw
down on or invest in these assets in the face of external
(exogenous) and inte rnal (endogenous) events will
determine their livelihood out comes. Methods have
been developed to use the framework to explore
macro-, meso -, and micro -dynamics more explicitly.
Khanya (2000) for example, developed and applied a
“vertical transect” researc h method as part of a
sustainable rural livelihoods study in which researchers
move from community -level participatory research
upwards through successive layers of government
service and support using a combination of workshops,
semi-structured interviews , and key informants to look
at the diff erence between polic y on paper and policy in
implementation.
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Gender Analysis Most gender analysis tools are primarily designed for
planning purposes but also provide an additional set of
conceptual tools for generating empirical data and for
analyzing the likely or actual differential impact of policy
reform on men and women, with a focus on their relative
access to and control over resources, their workloads,
and on the broader social rules that govern gender roles
and relations.
Empowerment If a person or group is empowered, they possess the

Analysis capacity to make effective choices. Empowerment
analysis examines the extent to which policy change will
increase or decrease individual or group capacity for
making effective choices. This analysis involves
examining the dynamic relationship between agency and
opportunity structure.
Agency is defined as an actor’s ability to make
meaningful choices, that is, the actor is able to envisage
and purposively choose options. Agency is
built up by the assets that individuals or groups possess.
People can have material assets (such as financial and
productive capital) and nonmaterial assets (such as skills,
knowledge, social networks, and the psychological
capacity to aspire and imagine change).
The opportunity structure is the context in which people
live and make choices. It is made up of the institutions
(both formal and informal) that govern people’s behavior
and influence the success or failure of the choices that
they make.
• These social analytical frameworks help frame questions

regarding the impact of policy changes through the six
transmission channels and how these impacts will affect
different social groups, whose relationships with each other may
be unequal.
o Employment and Other Income Sources. If policy
changes are expected to affect employment, then it is
likely that the impact will not be uniform across all
segments of the economy.
o Price (Production, Consumption, and Wages). Prices
(actual monetary price and opportunity costs) determine
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real household income. Price changes will affect

consumption and resource allocation decisions.
o Assets. If policy changes are likely to affect asset
endowments or the returns on assets, then the changes
are likely to generate winners and losers.
o Transfers and Taxes. Welfare is affected by transfers
that can take the form of private flows (such as
remittances) and public flows (such as subsidies and
taxes).
o Access to Public Goods and Services. If policy changes
are expected to improve, restrict, or modify the
conditions of access, the impacts on different social
groups may be unevenly distributed.
o Authority. Changes in authority structures,
decisionmaking processes, and power relations often
lead to differential impacts.
• Data Collection Methods for Impact Analysis
Method Objective
Secondary A secondary literature review is an essential

Literature Review methodological step in establishing what we already
know from existing social, economic, and political
research about the distributional impacts of similar policy
decisions. The aim of a systematic review method of
secondary literature review is to develop an answerable
question, search for relevant research (and other
evidence), and/or produce a summary of what the
existing evidence tells us. This is particularly important in
a PSIA context where discussions take place in advance
of a policy decision, and might help save on time and
need for primary research.
Noncontextual Noncontextual methods are usually applied across the

Method population universe, often a country or region of a
country. Noncontextual methods typically use random
sample surveys, such as household surveys,
employment surveys, or population censuses.
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Contextual Methods
Contextual methods are applied to a specific l ocality,

case, or social setting. Contex tual research employ s a
range of interactive methods, including ethnographic
techniques, such as direct and participant observation
and interviews, to generate qual itative data relating to
complex and often non -quantifiable cause -and-effect
processes, and to informal social i nstitutions and
cultural practices.
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numerical data that are representative, comparable, and

generalizable.
Mixed Method Mixed-method tools have been developed to describe
Tools and analyze poverty at the local method tools level,
some of which have been applied specifically to
PSIAtype studies.
The Household Economy Approach was developed by
Save the Children Fund and uses quantitative and
qualitative methods to model the rural economy and
generate information and analysis regarding the
economic lives and livelihoods of poor people.
Participatory Participatory research, such as qualitative research,

Methods tends to use more contextual methods and elicit more
qualitative and interpretive information. However,
participatory methods bring with them an important
additional philosophical commitment to respect local
knowledge and facilitate local ownership and control of
data generation and analysis. In this way, participatory
research can be empowering for different groups of
stakeholders.
Participatory methods are by no means restricted to
qualitative data output. People map, count, estimate,
compare, and value using numbers during participatory
research, often producing empirical insights that are
difficult to capture through conventional methods.c
Participatory methods are often quick and efficient,
producing data in a timely fashion for evidence-based
analysis and action. Through robust sampling and
triangulation, participatory research can generate
Method Summary Description
1. Poverty characteristics, incidence and distribution
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Transect Walk A tool for describing and showing the location and
distribution of resources, features, the landscape and
main land uses along a given transect.
Community Profile An overview of a community containing information on a

broad range of factors (eg, environmental/natural
features and management, sociodemographic
characteristics, political, and economic structures, local
institutions, economic activities and livelihoods, basic
household and community facilities, and social
organization).
Social mapping A visual method of showing the relative location of

households and the distribution of people of different
types (eg, male, female, adult, child, landed, landless,
literate, illiterate) together with the social structure and
institutions of an area.
Community A method of showing information regarding the

Resource Mapping occurrence, distribution, access to and use of resources;
topography; human settlements; and activities of a
community from the perspective of community members.
Enabling people to picture resources and features and to
show graphically the significance attached to them.
Wealth Ranking Involves the ranking of different individuals, households

or communities according to locally-developed criteria of
wellbeing. Performing such exercises for communities as
well as households or individuals
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• Participatory Tools for Micro-Level Poverty and Social Impact Analysis
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illustrates the significance of factors and assets which

affect poverty at the community, group or household
level.
2. Understanding Poverty Dynamics: Assets, Vulnerability, and Livelihood
Strategies
Risk Mapping Good for understanding the vulnerability context,
delineating perceptions of risk at different levels and
examining the multiple risk and vulnerabilities (the most
vulnerable will experience multiple risks) and
concomitant vulnerabilities as a result of a policy change;
Risk mapping helps to identify the covariance of risk and
the coincidence of (multiple) vulnerabilities that impact
most severely on the poorest.
Risk Indexing A systematic approach to identify, classify and order

sources of risk and examine differences in risk
perception.
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Seasonal Calendar
A visual method of showing th e distribution of

seasonally varying phenomena (eg, economic activities,
resources, production activities, problems,
illness/disease, migration, natural events/ phenomena,
climate) over time. Nuances analysis of impact of policy
change by revealing the seas onal variations in
vulnerability and acc ess to assets and re sources.
Useful for understanding the relationship between
seasonally-varying phenomena and liveliho od
strategies.
24-hour calendar A visual method of showing the way people allocate their
time between different activities over a 24-hour period.
Enables understanding of the impact of policy changes/
implementation on daily schedules/workloads/time use.
Reveals differences in schedules and workloads
between people from different social groups and at
different times of year and can be used to look at the
social impacts (eg, on health and education) of different
workloads.
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Asset Wheel A visual method of showing the different

assets/resources and the linkages between them. It is
useful for understanding differences in the asset bases
of different social groups; establishing an asset baseline,
which can be used to explore livelihood strategies/
diversification and opportunities for and constraints to
increasing asset holdings; and examining potential
impacts of a policy change on the asset bases
of different social groups.

Livelihood Matrix A method of investigating preferred and prioritized
Scoring livelihood options of population sub-groups against
specified criteria (rather than a description of current
livelihood strategies). Contributes to an understanding of
possible impacts of policy reform on livelihood options
and preferences.
Entitlements Matrix A method of representing socially differentiated

perceptions of and actual rights and entitlements, and
understanding differences in the way they are applied to
different groups of people (e.g. women and men, poorer
households, different ethnic groups etc). Useful for
identifying possible linkages between capacity and
resources to claim rights and people’s capacity to deal
with risk and vulnerability; and potential impacts of policy
reform on rights and entitlements.
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Causal flow
diagram
A method of showing diagrammatically the causes,

effects and relationships between variables associated
with policy ch ange and poverty and social change.
Traces differences in ca use-effect relationships by
different social groups. Reveals relationships betw een
economic, political, social and environmental factors.
3. Institutional Analysis
Institutional A visual method of identifying and representing
Mapping/Venn perceptions of key institutions (formal and informal) and
Diagramming individuals inside and outside a community and their
relationships and importance. Enables understanding
how different community members perceive institutions
both within the community (in terms of decision-making,
accessibility and services) and outside the community (in
terms of participation, accessibility and services).
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Institutional A visual method of identifying and representing

Perception perceptions of key institutions (formal and informal) and
Mapping individuals inside and outside a community and their
relationships and importance to different social groups.
Good for understanding the sets of social relations that
mediate the transmission of a policy change.
Mobility Mapping A visual representation of people’s movements within

and outside their community. Identifying issues and
problems related to socially differentiated mobility and
access to resources (eg, land, water, health and
education services, information, capital,
decisionmaking). Socially differentiated mobility within
and
outside a community can indicate differing levels of
freedom, wealth, empowerment, and rights.
Consequences of socially differentiated mobility for
different social groups, their households and livelihoods.
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Handbook of Public Policy Analysis : Theory, Politics, and Methods, edited by Frank Fischer,
and Gerald J. Miller, Taylor & Francis Group, 2006 . ProQuest Ebook C entral,
https://ebookcentral.proquest.com/lib/uniofmindanao -
ebooks/detail.action?docID=283245 .
Holland, J. (2007). Tools for institution al, political, and social analysis of policy reform : A
sourcebook for development practitioners. ProQuest Ebook Central
https://ebookcentral.proquest.com
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Activity 7. Let’s evaluate your learning. Write True if the statement is correct and write False
if the statement is wrong. If your answer is False, modify the word/phrase to make the
statement correct.
___________________1. Lack of political will is part of the analysis at the macro-level.
___________________2. Analysis of the reform context aims to understand the interests of
the stakeholders affected by the reform and with influence at the macro-level.
___________________3. Stakeholder analysis at the meso-level focuses additionally on
secondary stakeholders, meaning all other individuals or groups with a stake, interest, or
intermediary role in the activity.
___________________4. The aim of institutional analysis at the meso-level is to understand
these “rules of the game” that mediate the implementation of policy reforms.
___________________5. The micro-level is characterized by processes of poverty that are
complex and often non-quantifiable.
___________________6. Risk Indexing refers to the systematic approach to identify, classify
and order sources of risk and examine differences in risk perception.
___________________7. Force Field Analysis is an illustrative method that presents an
overview of key stakeholders’ support and opposition to particular reforms.
___________________8. Power analysis is a diagnostic tool that point to the kind of power
being exercised, and how this power is perceived. Issues that should be covered could be
summarized as actors, structures, processes, relations, and hierarchies.
___________________9. Network analysis is a tool that helps analysts to think strategically
about the strength and nature of institutional connections in the political landscape.
___________________10. Process mapping is a tool that “zooms out” from the detail of
process tracing to illustrate in map form the broader network of flows of decision making,
resources, and information in policy implementation.
___________________11. Sustainable Livelihood Analysis recognizes that the poor draw on
a range of material and nonmaterial assets to pursue multiple strategies to ensure individual
and household well-being.
___________________12. Empowerment analysis examines the extent to which policy
change will increase or decrease individual or group capacity for making effective choices.
This analysis involves examining the dynamic relationship between agency and opportunity
structure.
___________________13. Asset wheel is a tool under meso-level of analysis that shows the
different assets/resources and the linkages between them. It is useful for understanding
differences in the asset bases of different social groups.
___________________14. Mobility Mapping is a visual representation of people’s movements
within and outside their community.
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___________________15. Social analytical frameworks allow us to distinguish impacts

among different social groups. It is key to rigorous impact analysis to differentiate between the
social characteristics of individuals and groups and to analyze the implications of social
difference for poverty dynamics and outcomes.
Activity 8. In this part, you need to explain comprehensively your answers based from the
readings and researches you have.
1. Among the tools presented above, what do you think is the most useful in policy analysis
at:
a. Micro-level
b. Meso-level
d. Macro-level
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2. How important are the tools of policy analysis in social work practice?
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1. In analyzing a policy, it should address the institutional, political, and
social dimensions of policy design and implementation that will affect

poverty and distributional equity. This should be our framework as
development practitioner focusing on the welfare of our clients in the
context of third world country.
2. There is a growing awareness among international donor agencies and partners in

government and civil society that policy reform should be based on a better
understanding of country and reform contexts. At the macrolevel of country and
reform context, broad, upstream country analysis that
examines the political landscape can be complemented by more specific

analysis of the context for a particular type of reform.
3. While macro-level stakeholder analysis focuses on the key stakeholders

(those most able to influence the outcome of an intervention), stakeholder analysis
at the meso-level focuses additionally on secondary stakeholders, meaning all other
individuals or groups with a stake, interest, or intermediary role in the activity. At this
level of policy implementation, stakeholder analysis helps to build an understanding
of the relative importance and influence of different interests groups and actors and
the role each might play in the implementation process.
4. The micro-level is characterized by processes of poverty that are complex and often
non-quantifiable. Social analysis at the meso- and micro-levels takes us beyond the
sometimes mechanical view of transmission mechanisms that measures changed
incentives in the market-to-producer responses and enhanced producer incomes to
general improvements in consumption and other dimensions of well-being. The
frameworks and tools introduced here allow us to differentiate between winners
and losers and to apply theories on how policy change is likely to affect poverty
dynamics at the local level.
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case of distant learning). After the clarification, you may write your understanding of
1.
2.
3.
4.
5.
Political Analysis Social Analysis Institutional Analysis Macro-level Analysis
Meso-level Analysis Micro-level Analysis Country Context Reform Context
Stakeholder Institutional Analysis Analytical Data Collection

Analysis Frameworks for Methods
Impact Evaluation
the question/ raised in the “answer” portion.
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ULOb: Analyze the Five-E approach in social policy analysis
In this part, you need to understand various concepts to grasp the bigger picture of social
policy. You will encounter these terms as we progress with our study. All terminologies are
conceptually defined since most of the ideas and concepts are considered borrowed
knowledge from other social science disciplines. Please refer to these definitions in case you
will encounter difficulty in understanding social change concepts.
1. Effectiveness – This answers the question on how effective is the policy, its
outcomes, and achievement of the purpose of the policy.
2. Efficiency – This refers to extent which a policy and its implementation
through programs and services are economical
3. Ethical Considerations – It refers to the extent which a policy and program
implementing respect people’s right and dignity, and confidentiality
4. Evaluation of Alternatives – This may refer to the extent does the policy
under examination propose the best way to address the issue or solve the
problem
5. Establishment of Recommendation for Positive Change – This propose
how can a policy be amended so that it becomes more effective, efficient
and ethically sound.
In this part, you will examine different concepts and methodologies in understanding
policy analysis through the Five-E approach. Much of the content below entails evaluation of
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the program. Hence, you are expected to view the reference in the self-help section for an
example of each concept. Be notified that you are not limited to refer to these resources
exclusively. Thus, it is expected from you to utilize other books, research articles, and other
resources that are available in the university's library, e.g., e-brary, search.proquest.com, and
other credible platforms.
2.0. The Five-E Approach to Policy Analysis. In analyzing the dynamics and impacts
of social welfare analysis there are lot of framework that exist to help us understand better
the intricacies of social welfare policies. But it worth to point out that the Five-E approach,
that is Effectiveness, Efficiency, Ethical Considerations, Evaluation of Alternatives, and
Establishment of Recommendation of Positive Change, has been proven to be an
appropriate approach due to the nature of social work practice in the field of social policy.
This approach is the central dimension why social workers need to evaluate social welfare
policies. But we also need to understand that programs and services are the concrete
manifestations of a policy, thus we need to narrow our discussion to the actual programs.
Evaluation in general provides accountability of work and help restructure welfare
programs and services to have an effective, efficient responsive and ethically grounded
interventions.
2.1. Effectiveness. In this criterion, a social welfare/social policy becomes effective

when it is being evaluated base on the outcomes. the main purpose of an outcome
evaluation is to demonstrate the nature of change, if any, for our clients after they have
received our services; that is, after they have left the program. Given the complexity of
many social problems that our programs tackle, we must think about an outcome
evaluation as an integral part of the program’s planned activities and the intended results
that were derived from these activities. But the question remains why do we need to
analyze the effectiveness of a social policy, or program? Below are some reasons why
outcome evaluation is needed.
• Feedback. There are many reasons for wanting to monitor and evaluate
our program’s objectives over time. One reason is to give concrete
feedback to the program’s stakeholders. As we know, a program’s goal
and its related program objectives are dynamic and change over time.
These changes are influenced by the political climate, organizational
restructuring, economic conditions, availability of new evidence-based
interventions, staff turnover, and administrative preferences. Rarely are
a program’s goal and objectives changed or modified because of the
results from a single outcome evaluation.
• Accountability. Another reason for doing an outcome evaluation is so
that we can demonstrate accountability in terms of showing whether or
not our program is achieving its promised objectives. In this spirit, a
program’s logic model, in addition to its outcome evaluation plan, serves
as a great concept map—it’s a useful tool for telling us where we are
headed and the route we plan to take to arrive at our destination which
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is always client success. This focus helps to keep program

administrators and workers in sync with the program’s mandate (which
is reflected in the program’s goal). If an outcome evaluation of your
program is positive, you then have more of a justification to support and
continue your program.
• Selecting Best Intervention to Use. On the other hand, if the evaluation
of a program’s objectives turns out to be poor, we can investigate the
reasons why this is so though a process evaluation. In either case, we
are working with data with which to make informed case- and program-
level decisions. Because we want our clients to be successful in
achieving our program’s objective(s), we select evidence-based
interventions (and their associated practice activities) that we believe
have the greatest chance of creating positive client change. Selecting
rock-solid interventions in this way increases the likelihood that a
program’s objectives, the practice objectives, and the practice activities
have a strong and logical link.
• Improving Programs and Services to Clients. A primary use of any
outcome evaluation is to improve a program’s services (or
interventions) that it delivers to clients. Thus data collected in an
outcome evaluation tell us things such as how many clients achieved a
program objective and how well the objective was achieved. Suppose,
for example, a rural child abuse prevention program has as one of its
program’s objectives:
o Program Objective: To increase parents’ awareness of crisis
services available to them by the end of the program.
At the end of our program, however, we learn that, for 90% of
our parents, their awareness level of the available crisis services
remained the same—it did not change. Looking into the matter
further, we find that there is only one crisis service available to
parents living in the rural area and all of parents knew about this
service before they became clients of the child abuse prevention
program.
• Influencing Decisions. Ideally, a program outcome evaluation should
have a major impact on how concrete program decisions are made.
Realistically, this is simply not the case. It’s more likely that its results
will assist us in resolving some of our doubts and confusion about a
program or will support facts that we already know. The results
contribute independent information to the decision-making process
rather than carrying all the weight of a decision. The findings from an
outcome evaluation usually assist us by reducing uncertainty, speeding
things up, and getting things started.
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• Generating Knowledge for the Profession. Evaluating a program’s

objectives can also lead us to gain new insight and knowledge about a
social problem. program objectives are derived in part from what we
know about a social problem (based on the literature and previous
research studies). Thus when we evaluate a program’s objectives, we
are in effect testing hypotheses—one hypothesis for each program
objective.
2.2.1 Process of Analyzing the Effectiveness of a Policy/Program
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I. Step 1: Engaging Stakeholders.

Almost all social work evaluations involve partnerships with and
among its stakeholders; therefore, a ny evaluation of a program
requires consi dering the value systems of th e various stakeholder
groups. Stakeholders are people or organizations invested in your
program, interested in the results of your evaluation, and/or with a
stake in what will be done w ith the results of your evaluation.
Representing their needs and intere sts throughout the process is
fundamental to doing a good program evaluation. When stakeholders
are not eng aged, your evaluation findings can easily be ignored,
criticized, or resisted because your evaluation doesn’t address y our
stakeholders’ individual e valuation questions or values. After
becoming involved, stakeholders can easily help to execute the other
five steps. Identifying and engaging three stakeholder groups are
critical to your evaluation:
• Group 1: Those involved i n your program’s operations,

such as sponsors, collaborators, coalition partners,
funding officials, administrators, executive directors,
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supervisors, managers, line-level social workers, and

support staff.
• Group 2: Those served or affected by your program,
such as clients, family members, neighborhood
organizations, academic institutions, elected officials,
advocacy groups, professional associations, skeptics,
opponents, and personnel at related or competing social
service programs.
• Group 3: Primary users of your evaluation’s results, such
as the specific persons in a position to do and/or decide
something regarding the findings that were derived from
your evaluation.
Stakeholders are much more likely to support your evaluation and act
on the results and recommendations if they are involved in the
evaluation process. Conversely, without stakeholder support, your
evaluation may be ignored, criticized, resisted, or even sabotaged.
II. Step 2: Describe the Program.

Writing a good description of your program sets the frame of reference
for all subsequent decisions in the evaluation process. Your
description enables comparisons with similar programs and facilitates
attempts to connect your program’s components to its intended
outcomes. Moreover, your stakeholders might have differing ideas
regarding your program’s overall goal and objectives. Evaluations
done without agreement on your program’s description will be of
limited use.
• Using a logic model to describe your program.

Your evaluation plan must include a logic model
for your program as a whole. When developing
your evaluation plan it’s important to develop a
logic model that specifically describes what your
propose to evaluate. Simply put, the product of
this step is a logic model of what is being
evaluated, which must be accompanied by a
text-based description. Logic models are nothing
more than simple tools that help people
physically see the interrelations among the
various components of your program. They are
concept maps with narrative depictions of
programs in that they visually describe the logic
of how your program is supposed to work. In
sum, a logic model is a pictorial diagram that
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shows the relationship among your program’s

components. It provides your program staff,
collaborators, stakeholders, and evaluators with
a picture of your program, how it operates, and
how it’s intended to accomplish your program’s
objectives.
• How to develop a logic model.
o Step 1: Establish a logic model work group. Your
evaluation work group can be composed of
program staff, collaborators, evaluators, and
other stakeholders. Identify areas where each
stakeholder is needed and contact them to
discuss their potential interest in participating in
the discussion and any questions or concerns
they have about your program.
o Step 2: Convene the work group to discuss the
purpose and steps for constructing your logic
model. Review and summarize relevant
literature, planning documents, reports, and data
sources that will help explain your program’s
purposes, activities, and intended outcomes.
o Step 3: Step 3: Provide an overview of the
general logic modeling process. Review the
definitions of terms, outline the overall steps to
construct or revise a logic model, choose the type
of logic model that best fits your program needs,
review your goals and objectives (if they already
exist), or reach consensus on program goals and
subsequently outline the objectives in support of
each goal.
o Step 4: Decide whether you will use the “if-then”
method, reverse logic method, or both to
construct the logic model. If you have a clear
picture of what your inputs and activities will be,
you will want to use the “if-then” approach, in
which you construct your logic model from left to
right, starting with the process components and
working toward the outcomes.
o Step 5: Brainstorm ideas for each logic model
column. After brainstorming is complete, arrange
these items into groups such as professional
development, collaborations, and so on. Check
that each activity logically links to one or more
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outputs and each output links to one or more

outcomes.
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o Step 6 : Determine how to show your program’s

accomplishments and select indicators to
measure your outputs and short -term outcomes.
The question number for each associated
indicator should be placed under the output or
short-term outcome that it measures.
o Step 7 : Perform checks to assure links across
logic model columns. You should be able to
read the logic model from both left to right and
right to left, ensuring that a logical seq uence
exists between all of the items in each column.
It’s often helpfu l to color -code specific sections
of your logic model to illustrate which sections
logically follow one another.
o Step 8: Ensure that your logic model represents
your program but does no t provide unnecessary
detail. Review the items placed under the
headings and subheadings of the logic model,
and then decide whether the level of detail is
appropriate. The work group should reach
consensus in fine -tuning the logic model by
asking: What it ems in the logic model can be
combined, grouped together, or eliminated?
o Step 9: Revise and update your logic model
periodically to reflect program changes.
Changes in your logic model may be needed to
reflect new or revised programmatic activities or
interventions or to account for a change in a
new intervention or new evaluation findings
Below is the basic logic model of a program and how to
read it.
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III. Step 3A: Specifying Program Objectives

An outcome evaluation is a major collaborative effort. It’s most
successful when the social workers are included in its design and
implementation. If a program has clearly defined its goal and
programrelated objectives, the first step in an outcome evaluation is
nearly done. Clearly specifying a program’s objectives is a critical task
because it defines how we understand our overall program in concrete
terms. This is a very simple task when a program has a logic model as
all of its objectives are clearly listed.
For example, one of the program objective of family support
program is ‘to increase problem-solving skills of family members.”
Conceptually, we need to determine specifically how the social workers
in the program define “problem-solving skills of family members.”
• Is problem-solving the skill whereby family members
apply prescribed steps in the problem-solving process?
• Is it the number of problems they successfully solve in a
given day?
• Is it problem-solving in a general sense or
problemsolving that is specific to family conflict?
Clearly there are many ways to define, and therefore measure,
problem solving. To ensure that the program objective remains linked
with the broader expectation of the program, we can look for direction
from the program’s goal. As a guide, the program goal is more helpful
in telling us what problem solving is not, rather than what it is.
Performance Indicators Versus Outcome Indicators
Given the difficulties faced with measuring change in a client’s self-

esteem, for example, programs often opt to monitor variables such as
the number of clients served in a given year and the number of hours
of direct service contact between social workers and clients. These are
performance (or output) indicators, not outcome indicators.
Nevertheless, these performance data are important to decision-

making around client services and worker supervision, but they can
seriously misguide the overall direction of an outcome evaluation if
we’re not careful. If, in fact, performance measures are used to define
program outcomes, then social workers will focus on maximizing their
direct service time without necessarily giving thought to how their time
is spent or what it will accomplish.
Even more serious, by focusing on these types of performance
outcomes, a program is at risk for developing an unhealthy culture
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among its workers. If workers in our family support program were to

focus on increasing the number of direct service hours spent with
clients, for example, then we might easily become misled into thinking
that the social worker who spends the greatest number of hours in direct
service hours with clients is in fact the “best” social worker. It may be,
however, that this practitioner’s work does not benefit clients at all.
Focusing on these operational statistics has an important role for
administrative decision-making and should be included in process
evaluations.
IV. Step 4A: Measuring Program Objectives

Now that we have specified our program objectives, we need to
measure them. Selecting the best measurements for a program’s
objectives is a critical part of an outcome evaluation. To measure
Program Objective sample above in our family support program
introduced in, for example, we could use a standardized measuring
instrument that has high validity and reliability.
If no such instrument is available or using a questionnaire is not
feasible, we might ask clients a few direct questions about their
problem-solving skills. We might ask them to talk about a
problemsolving example they used in the past day or two and then ask
them to tell us the number of steps they used to solve the problem.
We could also rely on the individual client’s own perspective and
ask, “Since completing the program have your skills at problemsolving
improved?” We could ask the client to respond “yes” or “no” or have the
client rate the degree of improvement on a 5-point scale, where 1
means problem-solving skills are worse, 3 means they are about the
same, and 5 means they have improved.
After it, we need to ensure that our instrument must be valid and
reliable. At the very least, we can put our efforts into making sure that
the measurements of our program objectives have face validity. We
want each question (in addition to the whole questionnaire) to
accomplish the following:
• Directly relate to the program objective being measured
• Be part of a group of questions that together directly
assess the program objective being measured
• Provide descriptive data that will be useful in the analysis
of our findings
Once we have determined what measuring instrument(s) is
going to be used to measure each program objective and who will
provide the data (data source), we need to pretest or pilot-test the
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measuring instrument. A pilot test helps to ascertain whether in fact the

instrument produces the desired data as well as whether any obstacles
got in the way, such as when instructions are not clear or too many
questions are asked at one time.
In measuring program objectives, it is essential to specify the

objective into a measurable term called “indicators”. Below is an
Examples Of Three Levels Of Outcomes And Indicators F or Outpatient Adult Mental Hea lth Service Providers (The
Three Outcomes Are From A Logic Model).
Initial Outcomes
Initial Outcome 1: Members of the community are aware Indicator 1 : : Number of consumers who received
of and are able to avail themselves to outpati ent mental outpatient services during th e quarter - This is the total
health services number of public mental health syste m consumers who
received any type of serv ice at your clinic at least on ce
during the reporting period.
Indicator 2: Number and percentage of consumers who

Initial Out come 2: Consumers take respons ibility for their had a treatment plan update this quarter
mental health problems
example.
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Intermediate
Outcomes
Indicator 3: Number and percentage of consumers who managed symptoms or experienced a reduction in
Intermediate negative symptoms
Outcome 1:
Consumers • This is the total number of consumers who, with or without medication, reported an ability to manage their
manage or symptoms or had a reduction in negative symptoms as measured by a therapist using the General
Assessment of Functioning score
reduce their
presenting
symptoms
assessment was completed during the

reporting period.
• Each consumer should b e assessed at intake

and every 6 months and/or at discharge.
There may be some consumer s who happen
to have two assessments in a quarter
because case closure occurs a month or two
after last assessment. In this case, report the
case closure assessment
Indicator 4: Number and percentage of consumers in
an appropriate day program or other mean ingful
activity during all or part of the reporting period.
• This is the total number of active consumers

from your clinic who were attending an
appropriate day program, such as school,
community centers, group meetings, or
volunteer work, or engaging in other
meaningful activity during all or par t of the
reporting period.
Intermediate
Outcome 2:
Consumers
experience
an improved
level of
functioning
Number of consumers with improved General Assessment of Functioning score out of number of
consumers for whom follow-up
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Long-term
Outcomes:
Indicator 5: Number and percentage of consumers who had a psychiatric hospitalization.
Long-Term
Outcome 1: • This is the total number of active consumers from your clinic who had to be admitted during this reporting
Consumers period to a hospital for psychiatric reasons.
do not Indicator 6: Number and percentage of consumers who were treated in hospital emergency rooms.
require
• This is the total number of active consumers from your clinic who were treated at a hospital emergency
emergency
room during this reporting period.
hospital
services.
Indicator 7: Number and percentage of consumers who were arrested, detained, diverted, or incarcerated
• This is the total number of active consumers from your clinic who were arrested, detained, diverted, or
incarcerated at a correctional facility during this reporting period.
Long-Term
Outcome 2:
Consumers
avoid first or
new
involvements
with the
criminal
justice
system
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Indicator 8: Number and percentage of consumers who were not housed in a homeless shelter during all or part
of the reporting period.
Long-Term
Outcome 3: • This is the total number of active consumers from your clinic who were housed in a shelter during all or part
Consumers of this reporting period.
do not
require
homeless
services.
Indicator 9: Number and percentage of co nsumers who
were competitively employed during all or part of the
reporting period
• This is the total number of active consumers

from your clinic who have been employed and
earning wages during all or part of the
reporting period
Indicator 10: Number and percentage of consumers

Long-Term
Outcome 4: who report an increase in well-being (life satisfaction).
Consumers • This is the total number of consumers who
are during the course of their treatment at your
employed clinic reported an increase in well -being (life
satisfaction) as measured by the attac hed
eight questions of the Maryland versi on of the
Mental Health Statistical Improvement
Program. (Questions beginning “As a Direct
Result of Services I Received …” as rated by
consumers on a scale of 1 to 5.)
• The score is calcula ted by adding the eight
scores and dividing by 8. So if a client c hecks
“agree” for four questio ns (4 × 4 = 16),
“strongly agree” for three (3 × 5 = 15), and
“neutral” for one question (1 × 3 = 3), the
Long-Term score would be 4.25. If a client scores 3.5 or
Outcome 5: higher, then the client is repor ting an
Consumers improvement in well -being/life sa tisfaction.
feel more Each consumer shou ld be assessed every 6
months thereafter and/ or at discharge. Some
positive
consumers may have two assessments in a
about their
quarter because case closure occurs a month
lives. or two a fter last assessment. In this case,
report the case-closure assessment.
V. Step 4B: Designing a Monitoring System.
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There are many procedural matters that must be thought

through in carrying out an outcome evaluation. The evaluation is more
likely to go smoothly when these matters are considered in advance.
Practical steps are dictated by the need to minimize cost and maximize
the number of clients included in the evaluative effort. Time and
resources are important considerations for developing an outcome
evaluation design.
Ideally, social workers should incorporate evaluation activities
and tasks into their ongoing client service delivery. How we design our
outcome evaluation can impact when the social workers meet with their
clients. It may also change the nature of the worker–client interaction
in their first meeting, as is the case when standardized measuring
instruments are administered at intake.
• How Many Clients Should Be Included?
In general, we want to collect data for as many clients as
possible in an outcome evaluation. For programs with a few clients,
such as a single group home program or a private social worker
working independently, 100% coverage of clients served is more
likely. For programs with many clients, however, such as child
protection services or a large family and children service agency,
we can use basic sampling techniques to develop a representative
sample of all clients receiving services.
• Sample Size
The major issue affecting sample size is whether
program resources exist to collect data from all clients in the
program. If it’s not feasible to do so—an independent private
social worker cannot afford to include 30 minutes of “testing” for
each client, or a family service agency does not want to give up
valuable “client time” for evaluation activities—then sampling is
an option. The number of clients needed for an outcome
evaluation is affected by the number of subgroups that may be
included in the evaluation. Suppose for example, our family
support program wants to compare the levels of problem-
solving skills (Program Objective 2) for single-parent and
double-parent families. Ideally, we want to have roughly
equivalent groups so that we do not end up comparing, say, 120
single parents with 240 double parents. Clearly, the double-
parent families are better represented in this comparison.
Ideally, we should aim to have a minimum of 30 clients for each
subgroup included in our analyses. The more subgroups we
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include (say we are also interested in the age of parents,

whether substance abuse is a factor, or what services our family
has used previously), the more clients we need
• When Will Data Be Collected?

When the data are collected directly relates to the
question asked in an outcome evaluation. An outcome
evaluation indicates whether the program is meeting its
program objectives, or working, but it says nothing about how
it’s working, or failing to work. Nor is there any mention of
efficiency; that is, the time and dollar cost of client success.
Questions related to outcome generally fall into four major
categories, which have a direct link to the type of evaluation
design used.
First, the evaluator wants to know to what

degree the program is achieving its objectives.
Does participation in our family support program
in relation to Objective 1, for example, increase
positive social support for parents and by how
much? This question requires that we collect
data at (or near) the beginning of the program
and at (or near) the end of the program to detect
how much change has occurred.
Second, we want to know whether people who
have been through our family support program
have more positive social supports than similar
people who have not been through the program.
This question suggests that we collect data not
only from clients in the program but also from
clients who did not participate in the program.
These could be clients who were turned away or
perhaps are on a waiting list for program
services. The aim of this question is to directly
compare outcomes for clients receiving program
services with those who do not.
Third, there is the question of causality. Is there
any evidence that services provided by our
family support program caused the increase in
positive social supports? This question requires
the use of more complex evaluation. A related
problem with collecting follow-up data is that
clients may be receiving services from other
programs during the follow-up period. How will
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we know if treatment effects are maintained as a

result of our work with clients, or if the other
current social service is somehow helping clients
to do well? There are no perfect solutions to
such a problem, but we can simply ask clients
what additional social services they
are involved with, if any. These data can be used
to compare clients who are receiving additional
social services with those who are not.
Fourth, we might be interested in assessing the
longevity of changes made by clients. In this
case, we want to collect data from clients not
only when they leave the program but also at
some predetermined points afterward. Many
clients who have exited from human service
programs return to their previous social
environments, which were at least partially
responsible for their problems in the first place.
Often, clients’ gains are not maintained; equally
often, programs have no follow-up procedures to
find out if they in fact have been maintained.
Ideally, follow-up data are collected at intervals,
such as 3, 6, or 12 months after clients exit a
program. The time span should allow for enough
time to pass in order to comfortably say that the
program’s effects were not simply temporary
VI. Step 4C: Analyzing and Displaying the Data

It’s possible that, by the time clients have answered questions
on a program’s intake form and completed any standardized measuring
instruments used by a program, they may have produced 50 or more
separate pieces of data. From marital status, to service history, to the
level of a social problem, we must decide how each unit of data will be
presented and what the possibilities for analyses are.
With outcome data, our data analyses tasks focus on the output
of the program; that is, what is the condition (or situation) for clients at
the time they exit the program and beyond? We may use demographic
data on our intake form to present outcome data, according to
subgroups, that reveal interesting results.
Suppose, for example, that overall family progress on
problemsolving skills for our family support program was rather
mediocre. But with further analyses, we are able to show that families
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with toddlers had great improvement compared with families with

teens; in the latter, almost no improvement was observed. The
additional information that can be gained from analyzing data in
subgroups gives important detail for program decision-makers. It also
helps to pinpoint a program’s strengths and weaknesses, rather than
simply looking at a program’s results as a whole
• Aggregating Data
Although social workers may have some interest
in analyzing client data on a question-byquestion basis,
outcome data are most useful when data can be
aggregated and summarized to provide an overview on
client outcomes. We must, therefore, decide how to
aggregate responses to individual questions. When a
standardized measuring instrument is used, the
procedures for scoring and summarizing data derived
from it are usually provided with the instrument.
Suppose we used a simple standardized
measuring instrument to measure problem-solving
skills, where a score of zero is considered “very low
problemsolving skill” and a score of 100 is considered
“very high problem-solving skill.” If we measured clients
at program intake (pretest data) and program exit
(posttest data), we might report the average score for
all clients at intake (e.g., 40) and the average score at
program exit (e.g., 80), thereby reporting an
“average” increase in problem-solving skills of 40 points
• Using Benchmark
We can report additional information when
normative data are available with standardized
measuring instruments. For example, if our measuring
instrument reported that when tested on a clinical
population, the mean score was 50, and when tested
on a nonclinical population, the mean score was 70, we
could use these data to compare our client scores with
these normative data. Normative data are particularly
helpful for interpreting client data when measurement
occurs only at program exit.
Because many stakeholders desire concrete

and objective results, it’s also worthwhile to consider
reporting outcome data according to preset
expectations, or benchmarks. We may have worded
Program Objective 2, for example, as follows: “Seventy-
five percent of families will show improvement in their
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problem-solving skills.” We should measure outcomes

in this way only if we have a sound rationale for
estimating success. Estimates may be derived from
previous evaluation data, research studies, or general
expectations of a given population. Estimates may
focus on the amount of “average improvement” rather
than the number of clients expected to show success.
Including such estimates serves to educate
stakeholders who might not be as well informed about
a client population or a social problem.
It’s important that stakeholders understand that

100% success in deterring runaways, family violence,
drug addiction, child prostitution, crime, and welfare
fraud is an unrealistic expectation for any program. In
some cases, we may not expect a better than 50/50
chance of seeing improvement for clients. If this is the
case, then outcome results should be interpreted in this
context.
For the most part, analysis of outcome data is

done by summarizing key outcome measures and
reporting either the amount of change and/or the
number of clients achieving a certain predetermined
level, or benchmark. In either case, it’s helpful to report
these data using actual numbers and percentages. The
numbers provide stakeholders with a realistic view of
how many clients are included in each analysis, while
percentages offer an easy way of comparing data
across categories. We can also use basic graphing
techniques and statistics to gain further insight into our
data analysis.
VII. Step 4D: Developing Feedback System

Outcome evaluation can produce useful and telling data about
what is happening for clients after they receive program services. The
results are most useful when they are routinely shared with key
stakeholders. In most cases, the emphasis on outcome data is for the
benefit of the stakeholders who are external to the program.
Funders and policymakers learn about program outcomes
through annual reports or perhaps new proposals. Program outcomes
may be disseminated more broadly as well. The local newspaper may
be interested in doing a feature article on the services a program offers.
In addition to providing anecdotes and general descriptions of a social
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problem, program administrators have the option of reporting outcome

data, thereby increasing public awareness.
When it comes to program-level evaluations, developing a
feedback system for internal stakeholders such as program
administrators and social workers is absolutely essential. Making
outcome data available to them on a regular basis helps to keep them
focused on the program’s goal and its related program objectives.
Discussing outcome data can also stimulate important
questions such as the following:
• Why are our clients doing so well (or so poorly)?
• Are our program outcomes realistic?
• Are there any aspects of client outcomes that are
being ignored?
VIII. Step 5: Justify Conclusion.

When agencies, communities, and other stakeholders agree
that evaluation findings are justified, they will be more inclined to take
action on the evaluation results. Conclusions become justified when
analyzed and synthesized data is interpreted through the ‘prism’ of
values that stakeholders bring, and then judged accordingly. This step
encompasses analyzing the data you have collected, making
observations and/or recommendations about the program based on the
analysis, and justifying the evaluation findings by comparing the data
against stakeholder values that have been identified in advance
IX. Step 6: Disseminating and Communicating Evaluation Results.

The purpose(s) you identified early in the evaluation process
should guide the use of evaluation results (e.g., demonstrating
effectiveness of the program, modifying program planning,
accountability). To help ensure that your evaluation results are used by
key stakeholders, it’s important to consider the timing, format, and key
audiences for sharing information about the evaluation process and
your findings.
Disseminating and communicating outcome results need to be
taken seriously if we want to see our evaluation used. As we have seen,
the findings that emerge from an outcome evaluation give us objective
data from which to make decisions about how clients make changes.
Such results can affect program operations, funding, and even what we
believe about our clients and the expectations we have of our
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programs. The likelihood of having evaluation results used is increased

when results are presented in a straightforward manner.
It’s useful to think about the obstacles that get in the way of
putting evaluation results into practice. One obstacle occurs when we
fail to remember the law of parsimony when presenting the final report.
As mentioned in the last chapter, a report should be straightforward,
clear, and concise. It should be designed for the intended audience
(stakeholder group).
Note, however, that a program might have several versions of
the same evaluation report—one version for each type of stakeholder.
A report may be presented to the program’s funders, while a pamphlet
on the same information (presented differently) may be available for
clients.
Another obstacle to using the findings of an outcome evaluation
is created when the results contradict strong predetermined beliefs. It’s
fair to say, for example, that most social workers believe that their
efforts are helpful to clients. We design programs with the hope and
promise of improving human lives and social conditions. Thus, when
our outcomes show that no, or little, client change has occurred or that
a client problem has worsened, it’s easy to become defensive and to
question the integrity of the evaluation methods.
2.3. Efficiency.
The basic question that we need to answer in analyzing the efficiency of a

policy or program is: “What did it cost to produce the program’s outcomes?” A policy
or program that obtains its results (program objectives, or outcomes) at a lower cost
than another similar program that achieves comparable results can be said to be more
efficient.
The question of efficiency arises for a number of reasons. At a practical level,

think of your own purchasing practices; if you’re like most people, you want to obtain
the goods and services you use at the lowest possible cost. By doing so, you can
“stretch your dollar.” It’s no different in the social services field. By being efficient, we
create savings, which in turn can then be used to meet other social needs via the
establishment of other evidence-based social service programs. In addition, because
resources available to our profession are always scarce, it’s a responsible practice to
ensure that those resources are used wisely and in the most efficient manner as
possible.
• Cost-effectiveness Analysis. A cost-effectiveness

analysis is the relationship between program costs and
program effectiveness, that is, patient outcome. Costs
are measured as dollars spent, whereas effectiveness
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or outcome is measured as changes in patients’

behaviors, thoughts, feelings, or biology. For example,
the costeffectiveness of an opiate treatment program
might be measured as the cost of generating an opiate-
free month for the average patient. There is no single
standard for “cost-effective.” Generally, the term is used
loosely as a way of saying that something probably
costs less, or is more effective, than something else.
Costeffectiveness indices can be compared for different
programs, different treatment modalities (such as
residential versus outpatient clinics), and different
treatment techniques (such as drug-free with or without
acupuncture or drug-free versus methadone
maintenance).
The overall cost-effectiveness of a program can be improved

by first finding the parts of the program that contribute most to
effectiveness and then discovering which of those program
components have the lowest cost. Although substance abuse
treatment programs are complex, it may be possible to improve
costeffectiveness by enhancing use of these more effective and less
expensive components while decreasing use of less effective and
more expensive components.
However, cost-effectiveness indicators vary somewhat over

time and over patients because of many factors, not all of which are
controlled by the program. It is easy to find an apparent difference in
the cost-effectiveness of different program components or different
programs. It is harder to show that the difference is real—for example,
that it occurs reliably over months and for most patients and therefore
should be used in program management decisions.
• Cost-benefit Analysis. A cost–benefit analysis is the

measurement of both costs and outcomes in monetary
terms. Costs and benefits can be compared between
programs or contrasted within a single program. Cost–
benefit analysis can also discover whether program
expenditures are less than, similar to, or greater than
program benefits.
There are several ways to report the relationships between
costs and benefits:
• The net benefit of a program can be shown by
subtracting the costs of a program from its benefits. For
example, if a substance abuse treatment program cost
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$100,000 per year but generated in the same year

$500,000 in increased patient income, increased tax
payments by patients, and reduced expenditures for
social and criminal justice services, the net benefit of the
program would be $500,000 minus $100,000, or
$400,000, for that year.
• The ratio of benefits to costs is found by dividing total
program benefits by total program costs. For example,
dividing the $500,000 benefit of the program by its
$100,000 costs yields a cost–benefit ratio of 5:1.
• Because neither net benefits nor cost–benefit ratios
indicate the size of the cost (initial investment) required
for treatment to yield the observed benefits, it is
important to report this as well. We cannot assume that
the same exact relationships between costs and
benefits will exist at different levels of investment.
Sometimes an increase in cost allows new, more productive
procedures to be used for treatment, increasing benefits
dramatically. For example, increasing a program budget to
allow hiring of a community liaison, vocational counselor, or
physician might dramatically increase patient outcome.
Therefore it often is best to report the initial investment, the net
benefit, and the cost–benefit ratio.
• The time to return on investment (the time it takes for
program benefits to equal program costs) is yet another
indicator used in cost–benefit analysis. For programs,
benefits and costs occur at the same time, or at least in
the same year. For individual patients, however, the
investment in treatment may pay off substantially only
after several months or years. Costs usually occur up
front, but program benefits may take time to reach the
point where they exceed costs.
• The decreasing value of benefits attained in the distant
future can be calculated as the present value of benefits.
When most of the cost of treatment occurs in the first
year of treatment but most benefits occur only several
years after treatment, the value of those delayed
benefits needs to be adjusted (decreased) to reflect the
delay.
Analyses of cost, cost-effectiveness, and cost–benefit
relationships can provide valuable insights into how a program
operates and how its operations could be improved to serve
more people better for less. Analyses of costs,
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costeffectiveness, and cost–benefit also show funders that

program managers are aware of the importance of
accountability—accountability for how funds are used and what
they are used to achieve.
• Cost-effectiveness vs. Cost-benefit

The evaluation of efficiency has two types of analyses:
costeffectiveness analyses and cost–benefit analyses. Generally
speaking, a cost-effectiveness analysis seeks to examine the costs of
a program in relation to its outcomes, expressed in terms of the
program’s objectives. A cost–benefit analysis also looks at the costs
of a program. However, when looking at a program’s outcomes, a
cost–benefit analysis takes a further step by assigning a monetary
value to the outcomes achieved, a process referred to as monetizing
outcomes. Both types of analyses provide information regarding
efficiency. Cost-effectiveness analyses are somewhat easier to
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conduct than cost–benefit analyses because there is no requirement

to place a monetary value on the outcomes produced. This saves a
difficult step in the evaluation process . Placing a dollar value o n
outcomes is often exceedingly difficult , particularly when we are
dealing with intangible outcomes. For example, what dollar value
should we assign to our clients’ increased levels of self -esteem or
their increased quality of life?
The decision about whi ch type of analysis to conduct depends
on the circumstances and on the type of data required. If our intent is
to assess the efficiency of a single program or to compare two or
more programs producing the same outcomes, for exampl e, a cost -
effectiveness an alysis will provide the required informat ion. If, on the
other hand, ou r desire is to compare two or more programs that
produce different outcomes, a cost –benefit analysis will be
appropriate because this procedure places a dollar value on
outcomes, thereb y making it possible to make the desired
comparison. Box 13.2 presents an in -depth discussion on comparing
cost-benefit analyses with cost –effectiveness analyses for a
residential drug treatment program.
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2.3.1. Process of Analyzing the Efficiency of a Policy/Program.
Understanding the efficiency of a certain policy or program also

requires process. The same with outcome or effectiveness analysis,
I.
efficiency analysis follows the same phase, but it differs on the focus of the
evaluation and the data that It utilized. Please refer to the discussion on the
previous topic on the Step 1, 2, 5 and 6 since it was already detailed and the
focus of the discussion below is on the Step 3 and 4.
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Step 3A: Deciding on Accounting Perspective. The first step in

conducting a cost–benefit analysis is to decide on an accounting
perspective to be used. A cost–benefit analysis can be conducted from
a number of accounting perspectives. We discuss only two of the
perspectives: the individual program’s participants’ perspective and the
funding source’s perspective. The perspective adopted determines
what specific costs and benefits are to be considered in the analysis.
II. Step 3B: Specifying the Cost-benefit Model. Once an accounting
perspective is decided on, it’s then possible to describe the general
cost–benefit model to be used. This model specifies which specific
costs and which specific benefits will be included in the model.
• Looking at Cost. For program administrators, the cost of
simply delivering the program is usually the largest cost
to be considered. For the individual perspective cost can
be categorized as direct cost, “less” visible cost or
known as hidden or indirect cost. For example, if the
program requires fees for membership in the
organization it will be considered a direct cost. And,
indirect cost includes transportation fees and meals (if
any) if the sessions of the program is far from the
residency of the beneficiary.
• Looking at benefits. The same considerations apply to
benefits as to costs. The beneficiary of the program may
secure an income out from the training or secure a
sustainable job at a company. This benefit has monetary
value that might be included in a cost-benefit analysis.
The participants may also gain in confidence and in their
enjoyment of life. These are very important and real
benefits but may be difficult, if not impossible, to convert
into monetary terms. The evaluator would have to
decide whether to monetize these benefits or to exclude
them and note them as benefits to which a monetary
value cannot be attached.
III. Step 4A: Determining the Costs
• When considering costs, it’s important to assign an accurate
market value to each cost element. Occasionally, some goods
and services are obtained through special arrangements and
thus at a lower cost than would be normal. For example, a
university professor may be interested in providing training, on
a voluntary basis, to the participants in our program as part of
a research project. The professor, therefore, offers services
without reimbursement. Because this service is unlikely to be
obtained again without cost, it’s common to use the normal
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market value (rather than the actual cost) of the service in the
cost–benefit analysis. This process is known as shadow
pricing.
• Direct Cost.
The first and usually most important cost factor to be
accounted for is the direct cost of actually running the
program. This information can usually be obtained from
budgets, financial statements, or contracts between the
funders and the program’s administrators. When an
agency delivers a single program, the total budget, or
funding, can be considered to be the program cost.
However, in an agency that has several programs where
it delivers its programs side by side, the accounting for
direct costs becomes much more complicated. For
example, some staff members may work in more than
one program, and thus only a portion of their salary can
be attributed to the program of interest. In some
instances, separating out the costs to be attributed to a
particular program can be a difficult and time-consuming
task.
• Indirect Cost
Next, indirect costs must be considered. By their very
nature, indirect costs are difficult to pinpoint. Often only
a portion of such costs can be directly attributed to a
particular program under review. For example, in a large
agency operating several programs, part of the senior
administration’s time, some clerical time, as well as a
portion of building costs and utilities would constitute
overhead and would need to be attributed (via
proportions) to the program being evaluated. The task
of the evaluator in such circumstances is to identify the
portion of indirect expenses that should be attributable
to the cost of the program that is under review.
IV. Step4B: Determining the Benefits
• As we know, social service programs produce a variety of
outcomes. These may include outcomes that are already
expressed in dollar terms, such as an increase in annual
income or a decrease in expenditures on medicines. However,
more typically, programs produce outcomes that are not
expressed in monetary terms. For example, a program might
increase the self-esteem of its clients.
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• Another program might result in better communications

between parents and their teenage children. Other outcomes
might be expressed even more generally, such as increasing
the overall happiness or improving the quality of life for
individuals. It’s a major challenge in cost–benefit analyses to
monetize, or express in amounts of money, outcomes that are
not inherently “financially oriented.”
• For example, we are looking at the benefits of a smoking
cessation program from the participants’ point of view, or
perspective. When participants stop smoking, the direct
benefits can be easily quantified by calculating the amount of
money saved on tobacco products. Indirect benefits would
include savings to the individuals on future medical costs,
among others. These indirect benefits can also be calculated
with data obtained from findings derived from previous research
studies and population statistics. The numbers from such
analyses could be included in a cost–benefit evaluation.
However, other good outcomes will also be produced. For
example, participants’ children may be less likely to become
smokers. A participant may also live longer and enjoy a better
quality of life. These gains may well be more important than the
financial savings that can be identified. However, it would be
very difficult to monetize these important benefits. What
financial value can be attached to a child not starting to smoke,
from not being physically abused, or from not taking drugs?
• Some evaluators use complicated and, at times, imaginative
methods in an attempt to place a value on happiness,
enjoyment of life, and other warm and fuzzy benefits. However,
the fact remains that there is no easy way to monetize such
outcomes without making huge and sometimes contentious
assumptions. Under the circumstances, the most reasonable
and prudent approach for evaluators to take is to monetize only
those outcomes that can be reasonably converted into financial
terms. Other outcomes, even if important, can be noted as
unquantifiable benefits. The limitation of this approach is that
other important benefits are not accounted for in the cost–
benefit analysis.
V. Step 4C: Adjusting for Present Value

• In many instances, the benefits of a social service program may
continue for a number of years. When that is the case, it’s
necessary to adjust the value of benefits in future years. This is
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a practice known as discounting and is based on the premise

that the value of a sum of money at the present time (today) is
higher than the value of the same amount in the future. For
example, if someone offered you a choice between receiving
Php. 100,000 today or receiving the same sum next year, you
would be better off taking the money now. By having the money
in your pocket now you could invest it and by next year have
Php. 100,000 plus the amount earned through your investment.
This is known as an opportunity cost.
• Suppose it costs a participant Php 15,000 to complete a
smoking cessation program and this results in savings of Php.
20,000 per year on tobacco products. This means that the
person will only save Php 5,000 for the first year when the Php
15,000 enrollment fee is figured in (Php. 20,000 – Php. 15,000
= Php. 5,000). The initial Php. 15,000 cost of attending the
program is incurred only once, but the benefit stream for the
participants continues for years. When we decide to compute
the savings, we cannot simply add Php. 5,000 for each future
year to arrive at the total benefit because the value of the Php.
5,000 decreases as time marches on. In cost–benefit analyses,
the following formula is used to discount the value of benefits in
future years:
where:
r = the discount rate t = the number of
years into the future
• Before applying the discounting formula, the discount
rate needs to be determined. There are a variety of ways
for determining the discount rate, each requiring a
number of economic assumptions. For purposes of the
evaluation of social service programs, however, a
reasonable way to set the discount rate is to set it at the
opportunity cost of a safe investment (e.g., certified
deposits). Thus if the money could be safely invested at
4%, the discount rate should be set at 0.04.
• A second decision is to determine the number of years
that the benefits will last. In some instances, the benefits
may last for a set period of time. In other cases, such as
those of smoking cessation or employment training
programs, the benefits may continue without a fixed
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end. However, projecting benefits into the future is an

imprecise proposition at best because it requires the
assumption that the participants’ statuses will not
substantially change in the future.
• In the absence of longer term follow-up data, such
assumptions are necessarily speculative; the farther
into the future projections are made, the more
speculative they become. Nevertheless, evaluators
must make some assumptions regarding the length of
time that the benefit stream will continue. Usually, this
determination is made after examining the literature
regarding similar programs and having consultations
with knowledgeable stakeholders and experts. An
alternative approach is to conduct multiple analyses,
each assuming a different duration for each level of
benefit.
Time Periods Yearly Benefits Total Benefits over a Present Value of

Three-Year Period Total Benefits
12 months 5,000 5,000 5,000
24 months 4,807 5,000+4,807 9,807
36 months 4,622 5,000+4,807+4,622 14.429

*After discounting using rate of 0.040.
VI. Step 4D: Completing the Cost-Benefit Analysis

• With the information obtained in the previous steps, a cost–
benefit analysis can now be completed. This step involves a lot
of numeric data, and tables are an effective way of presenting
them. The program costs, benefits, and net benefit (or cost) are
usually presented. at this step, both on a per-participant basis
and on a program basis as a whole.
• Sometimes a benefit–cost ratio is reported. This ratio can be
readily computed by dividing the benefits by the costs
(benefits/cost). A ratio of 1.0 indicates that the program’s
benefits equal its costs; this is sometimes known as the
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breakeven point. A ratio greater than 1.0 indicates that benefits

outweigh the costs. A ratio below 1.0 indicates that costs are
higher than benefits. Thus, the higher the benefit–cost ratio, the
greater the efficiency of the program.
• As we now know, efficiency analyses require an

“accountingminded” approach and are focused on the financial
and economic aspects of a social service program and its
outcomes. As we also know, a program may produce other
outcomes that cannot be readily or reasonably expressed in
financial terms. An effectiveness analysis, which does not try to
establish a monetary value for a program’s outcomes, provides
only one way of examining efficiency. Simply put, a cost-
effectiveness evaluation establishes the cost of achieving each
unit of a program’s outcome.
• On the cost side, a cost-effectiveness analysis proceeds in
much the same way as a cost–benefit analysis. In identifying
outcomes, cost-effectiveness analyses depend on prior
outcome evaluations, which will have identified relevant
program outcomes. The process then continues by selecting
the outcomes to be analyzed and determining the number of
units of each outcome that have been achieved. For each
outcome, it’s then possible to determine the cost of each unit
achieved by dividing the total program cost by the total number
of units of outcome achieved.
• As has been seen, in cost–benefit analyses it’s necessary to
select an accounting perspective and to consider only those
costs and benefits that are relevant to the chosen perspective.
This results in some outcomes being excluded from the
analyses. In cost-effectiveness analyses, it’s possible to mix
perspectives and to report the costs of outcomes that are
relevant to individual participants as well as to the funding
source or some other entity, such as the program’s
stakeholders.
2.3. Ethical Consideration
• For a policy to be considered effective and efficient, one must integrate

ethical considerations to it. In what ways is ethics relevant to policy
makers and those who advise them? There are at least two issues that
are central to policy analysis and that are fundamentally ethical in
nature:
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o First, what is policy for? Or, to put it differently, what ends

should governments strive to achieve?
o Second, what are the appropriate means or policy instruments
for achieving these ends? Bear in mind that ends and means
are closely interrelated: some ends, for instance, are
simultaneously the means for achieving other purposes.
• With respect to the purpose of policy, any answer necessarily entails
ethical values. The problem, however, is to determine which particular
values should be pursued and what the end should be. On this matter,
moral and political philosophers have offered many different answers
over the centuries. One common approach has been to say that public
policy should be directed towards the goal of building the good society,
or at least a better one than we currently experience.
• Others, such as John Rawls (1971), have given pride of place to the
quest for justice. Others have argued that the overarching aim should
be to realize the common good or the public interest. Still others have
invoked theological categories and argued that the role of the state is
to uphold the divine will or build the Kingdom of God. And yet others,
notably utilitarians such as John Stuart Mill (see Robson 1966), have
emphasized the need to maximize utility, happiness, or welfare or
achieve the greatest good for the greatest number.
• A key issue for many of these approaches is that they beg the question
of what is ‘good’, ‘valuable’, or ‘just’. What, for instance, constitutes a
‘good’ or ‘just’ society? What kinds of ‘values’ – pleasure, happiness,
well-being – should be maximized? But setting aside the issue of
providing a theory of the good, justice, or value, a related issue is what
constitutes a good policy. From the perspective of moral philosophy,
there are two broad approaches to answering this question.
o The first, which is a consequentialist approach, is to assess the
goodness or otherwise of a policy solely on the basis of its
consequences. But the consequences of a policy are often
difficult to discern or may not be fully evident for many years or
even decades. Moreover, the consequences may include both
positive and negative impacts, and the weighing up of these is
often highly controversial. Hence, judging the worth of a policy
solely on the basis of its consequences is fraught with
problems.
o The second approach is to adopt a non-consequentialist or
deontological approach, and thus assess a policy not on the
basis of its consequences but on whether it is consistent with
certain agreed ethical principles. But this raises the issue of
what particular principles should count, and, if there are
conflicts between the relevant principles, how these should be
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resolved. Not merely do deontologists favor different ethical

principles but they also support different decision-rules for
resolving ethical conflicts: some favor giving absolute priority to
one particular principle; others favor the use of maximin or
maximax rules; while yet others favor some kind of weighting.
• In considering the ethical rationale for any particular policy proposal or
objective, it is important to recognize that in many situations it is
possible to advance several different justifications. In some cases,
these may be distinctive and competing, in others overlapping and/or
mutually reinforcing. Tom Campbell’s analysis, as he observes, it has
been common over recent decades for poverty eradication to be
justified ethically on the basis of considerations of global justice;
indeed, for some, this is the sole justification. But while the pursuit of
justice is a critically important ethical imperative, Campbell argues that
it is not the only, and perhaps not even the most significant, value of
relevance to the issues of global poverty. Instead, he suggests that a
more important ethical motivation for reducing poverty is what he calls
‘humanity’ – that is, the moral duty to alleviate severe suffering for its
own stake. In other words, the imperative to relieve hunger and
starvation arises out of a basic concern for the well-being of other
human beings. This goal of ‘humanity’, Campbell maintains, is distinct
from considerations of justice, and ought to serve as a fundamental
ethical driver of public policy with respect to the challenge of alleviating
global poverty.
• Additionally, Campbell advances the proposition that in order to justify
and develop a satisfactory policy approach for eradicating global
poverty we need to embrace what might be termed ‘virtuous prudence’
– which he sees as a moral virtue that is distinct from both justice and
humanity. Virtuous prudence, in Campbell’s view, entails something
more than simply enlightened self-interest and includes the notion of
mutually beneficial conduct and a concern to provide assistance to the
poor and disadvantaged in ways that will minimize dependency and
generate increased self-sufficiency. Hence, policy measures to
alleviate global poverty need to be designed and implemented with
care. While the central goal must be kept sharply in focus, it is also
important to recognize that the various policy instruments that are
available may have very different implications, including different
impacts on the longer-term capabilities and wherewithal of those
receiving assistance.
• At least two important lessons concerning the relationship between
ethics and public policy can be drawn from Campbell’s analysis.
o First, being able to justify policies on multiple ethical grounds
has significant potential benefits: not merely does it strengthen
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the moral case for governmental action and increase the likely
level of public support, but it also helps to ensure policies are
appropriately crafted to take into account the full range of
relevant ethical values.
o Second, the means and the ends of public policy are closely
coupled. They both have ethical dimensions, and these need to
be considered simultaneously rather than sequentially.
2.4. Evaluation of Alternatives.
• Introducing a range of alternative policy responses to a problem can be

done in ways that significantly advance policy discussion and good
decision making. The subject of how we identify relevant solutions to
problems has been considered at length, both by scholars of decision
making and political scientists.
• Typically, solutions and problems come intertwined. That is, when
feasible solutions become apparent, perceptions of problems change,
and arguments are made that government action is necessary. For
example, as treatments have been discovered for life-threatening
diseases, arguments for government funding of those treatments have
grown compelling. Likewise, evidence of the life preserving effects of
airbags in cars produced compelling grounds for airbags to become
required features of all new cars. We see in these examples that the
suitability of the fit between solutions and problems tends to change
over time, predicated on the flow of evidence and of technical
innovations.
• A challenge for policy makers involves avoiding the adoption of policy
responses that lock in present technologies and potentially inhibit the
discovery of improved solutions. Another challenge is the way that
interest groups tend to promote their favorite solutions to problems,
even when evidence would suggest that those solutions might not
produce the best outcome for the greatest number of people.
• How can we approach a policy in constructing set of alternative policy
solutions?
o First, we should acknowledge that there are limits to how many
alternatives can be considered in any decision-making process
(Schwartz 2004). Three or four would seem a reasonable
number. To promote useful discussion, alternative approaches
included within the set should each be quite distinctive, so
decision makers can get a good sense of the range of
possibilities open to them.
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o Second, we should include alternatives that appear most

relevant, given the problem and discussions surrounding it. If
an alternative is well known to be favored by key stakeholders
then it is appropriate to include it – or a close approximation to
it – in the set. Decision makers will need to know how it stacks
up against other alternatives.
o Third, the set of alternatives should be constructed taking
account of the broader financial context. For example, when
government spending is highly constrained, there is little point
in proposing costly policies without accompanying the proposal
with suggestions for cost-savings in other areas.
o Fourth, the construction of alternatives offers an opportunity for
policy analysts to broaden policy discussions. Learning about
approaches tried in other jurisdictions or in other related areas
of policy can help analysts to devise innovative policy solutions
(Mintrom 1997; Mintrom and Norman 2009). This shows
evidence of both competence and concern.
o Finally, we should treat our analysis as a vehicle for facilitating
discussion of additional alternatives. If, on reviewing our advice,
decision makers request more alternatives to be considered
that build on those already presented, that should be treated as
good feedback.
• Policy analysts are required to weigh up the relative merits of
alternative policy responses to any given problem. To do this in a
systematic fashion, they must establish a set of criteria for judging each
alternative, and then make sure they assess the expected performance
of each alternative on each criterion of interest. It is common for policy
analysts to analyse policy alternatives using three criteria: efficiency,
equity, and administrative simplicity. Taken together, these criteria lead
us to consider the relative costs of each alternative, the fairness by
which different groups of people are affected by each alternative, and
the relative degree of burden that each alternative would place on those
required to implement it and those required to comply with it. There is
good reason to believe the use of these three criteria is both sound and
ethical. However, focusing on only these criteria can limit policy
analysis in unhelpful ways.
• It is often important to assess policy alternatives in terms of their
implications for personal freedom, human dignity, social harmony, and
environmental sustainability. When should other criteria be introduced?
The development of policy analysis as a discipline has seen increasing
calls by various groups in society to have their interests and their
concerns reflected in the criteria used to judge policy alternatives.
While there is no conceptual limit to what criteria might be applied, in
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practice we need to keep our analysis manageable. Reflecting on the

concerns expressed by stakeholder groups who have weighed in at the
problem-definition stage is helpful here. It can lead to the development
of a set of evaluative criteria that is appropriately suited to the context.
Discussing with others what they care about and how their concerns
could be captured in the evaluative criteria is a good way to show both
respect and concern during the process of policy development.
2.5. Establishment of Recommendation for Positive Change
• To complete the Five-E approach, policy analysist must establish

recommendation for positive changes. Effective policy
recommendations usually share a number of common characteristics.
The policy recommendation begins with an executive summary-or
overview of the issue, analysis, and recommendation-which
summarizes the analysis that will follow. This executive summary
serves two purpose.
o First, it helps the reader to understand both the argument that
the analyst is about to make as well as the analytical framework
that was used to solve the problem at hand.
o Second, the executive summary serves the practical purpose of
giving the busy decision maker the opportunity to digest the
analysis in a short amount of time if an immediate decision is
required on the policy problem. Over time, as we demonstrate
our propensity to produce rational, objective, and effective
analyses routinely, this executive summary may become the
only analytical product that the decision maker ever reads,
trusting that the balance of the analysis is correct. Regardless
of the scope of the problem, we usually try to limit the executive
summary to two pages of prose. Therefore, we highlight our
recommendation, the method of analysis, the key criteria, and
our compelling evidence in our executive summary.
• After the executive summary, our policy recommendation generally
follows the basic analytical framework in its organization, as we outline
the results of each step of the process concisely, precisely, and
completely. We begin with our precise definition of the problem, as we
define the relevant key terms while providing compelling empirical
evidence to substantiate the claim that a problem exists. We also aim
to identify the essence of the problem, as the underlying causes of our
condition will dictate the effectiveness of potential solutions to the
problem. Based upon our careful definition of the problem, we next
describe the potential courses of action (COAs) available to us,
summarizing the process through which we arrived at our short list of
potential COAs. We also make sure to describe the reasons why we
eliminated certain COAs from consideration at this point in the analysis.
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• In the next section of our policy recommendation, we outline the major

advantages and disadvantages that correspond to each of the potential
COAs that made it onto our short list. This is not to say that we rehash
every advantage or disadvantage that we identified in this step of the
analytical process. Instead, our goal here is to provide insight into the
respective upsides and downsides of the various COAs in order to set
the stage for the translation of those upsides and downsides into COA
assessments that correspond to our evaluative criteria. In other words,
our goal here is to continue the logical, sequential, and persuasive
argument that we are building in support of our policy recommendation.
The recommendation itself is our thesis, and all of these sections of the
policy recommendation are aimed toward the objective of convincing
the reader that the recommendation is compelling, logical, and correct.
• Similarly, we not only summarize our evaluative criteria in the next
portion of our policy recommendation, but we also justify the selection
of those criteria based upon the problem definition, our generation of
COAs, and the major advantages and disadvantages that we have
identified.
• The next section of the policy recommendation is just as critical, as it is
here that we layout the methods we used to predict the likely
consequences of each course of action in terms of those evaluative
criteria. In many respects, this section is the heart of our analysis, and
it is important that we are clear, focused, and comprehensive in our
description of the logic we used to arrive at the predictions that we did.
It is also important here that we delineate between the empirical
evidence, reasoning, and critical assumptions that combined to result
in our criteria values. We summarize the respective potential COAs in
a table that captures the gist of our analysis to enable the decision
maker to visualize the options available and the relative merits of those
options. The next section then addresses the sensitivity of the
assumptions and predictions that you have made, with the final section
of the policy recommendation reiterating the overall policy
recommendation that you first put forth in the executive summary.
Depending upon whether or not they have been addressed previously,
it may also be appropriate at this point for the analyst to comment upon
the likely obstacles to implementation of the policy recommendation
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Public Policy : Why ethics matters, edited by Jonathan B oston, et al., ANU Press, 2010.
ProQuest Ebook Central,
ebooks/detail.action?docID=4694029.
Irwin, Le wis G.. The Policy Analyst's Handbook: Rational Problem Solving in a Political
World, Taylor & Francis Group, 2003. ProQuest Ebo ok Central,
ebooks/detail.action?docID=1974456.
Grinnell, R. M., Gabor, P. A ., & Unrau, Y. A. (2012). Program evaluation for social workers :
Foundations of evidence -based programs. ProQuest Ebook Central
https://ebookcentral.proquest.com
Activity 9. Briefly discuss the following items.

In your own words define the following:
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1. Effectiveness analysis
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2. Efficiency Analysis
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3. Ethical Considerations
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5. Establishment of Recommendations for Positive Change

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Activity 10: In this part, you need to thoroughly discuss the following items based from your
readings and researches.
1. List and then discuss the main purpose of doing an outcome evaluation/effectiveness
analysis. How does it benefit social work practice?
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2. Discuss the differences between a cost-effectiveness evaluation and cost-benefit

evaluation. Provide a social work example of each one.
3. Why there is a need to consider ethics on policy practice? What are the benefits of our
clients and social workers in integrating ethics in policy?
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4. How important the evaluation of alternatives and establishment of recommendations of

social policy in social work practice?
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1. In analyzing the effectiveness of the program, we want to know whether client

changes have occurred as a result of our intervention efforts. It determines to what
degree the program is meeting its overall program
objectives. In our profession, this usually means the degree to which our
interventions are effective. We analyze the effectiveness simultaneous to efficiency
analysis.
2. Efficiency analysis put a clear focus on the financial and economic aspects of
programs. This is particularly true in the case of cost–benefit analyses. Efficiency-focused
analysis will put decision-makers in a position where they can make better and more
rational decision.
3. Ethical considerations played a crucial role in analyzing a policy. It looks at the

both means and ends of a policy with underpinning philosophical base that justify the
existence of if.
4. Evaluation of alternatives requires a set of criteria which among the different

course of actions should be taken. Efficiency, equity, and administrative simplicity is the
standard for which alternative course of action is being evaluated.
5. Establishment of recommendation for positive change put emphasis on how

policy analyst articulates their analysis in black and white. It starts with executive
summary that highlights recommendation, the method of analysis,
the key criteria, and compelling evidence. Then, it will be followed with
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In this section, all your questions or clarifications may be listed down. You may wish to
raise you concern through LMS or other modes such as email or sms (in case of distant
learning). After the clarification, you may write your understanding of the question/ raised in
the “answer” portion.
1.
2.
3.
4.
5.
Effectiveness Efficiency Analysis Ethical Evaluation of

Analysis Considerations Alternatives
Establishment of
Recommendations
for Positive Change
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d. Examine flagship social programs of the Department of Social

Welfare and Development
e. Map-out existing sectoral plans of government social welfare agencies in
partnership with NGOs.
ULOa: Examine flagship social welfare programs of the Department of Social

Welfare and Development
In this part, you need to be acquainted with different terminologies used in this lesson for you
to grasp the bigger picture of the social welfare policies and programs of the DSWD. All
terminologies are defined according to existing Implement Rules and Regulations of the
program. Please refer to these definitions in case you will encounter difficulty in understanding.
1. Pantawid Pamilyang Pilipino Program (4Ps) – the 4Ps is the national poverty reduction
strategy and a human capital investment programs that provides conditional cash
transfer to qualified household-beneficiaries. It is also a human development program
which provides social protection, social assistance, social development, and other
complementary support services in partnership with concerned agencies, local
government and other stakeholders towards improving health and nutrition, education
and socio-economic aspects of their lives.
2. Authorized Government Depository Banks – refers to the banking institutions
accredited and managed by the government which is also categorized as government-
owned and controlled corporation (GOCC) or government financial institution.
3. Case Management – refers to a process used by the DSWD to enable the qualified
house-hold beneficiaries to improve their functioning by dealing with their difficulties
specifically in complying with the terms of the Program. It shall refer mutually agreed
process of assessing, planning, managing, coordinating and advocating for services
and other interventions towards improving the well-being of households using the
Social Welfare and Development Indicators (SWDI) and other-related tools.
4. Case Manger – refers to program staff directly working with qualified households
beneficiaries to effect change and assist them to improve their well-being. They are
the city/municipal links and other staff trained in case management process,
counselling, family therapy, group process, project management and other related
training, as may determined by the DSWD.
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5. Compliance verification – refers to the checking and monitoring undertaken using

standardized monitoring too to ensure that the qualified household-beneficiaries
complied with the conditions for entitlement set forth by the 4Ps
6. Conditional Cash Grant – refers to the amount received by the qualified
householdbeneficiaries who comply with conditions for entitlement.
7. Educational Facility – refers to school or any structure or space, with or without marked
visible boundaries, which is either recognized by the government or known by the
community as learning space for children.
8. Family Development Sessions – refer to appropriate monthly activities conducted with
and attend by the grantee/s or responsible person towards enhancing their parenting
capabilities, thereby encouraging them to be more active citizens of the society.
9. Graduation – refers to the improvement level of well-being of poor households from
survival and subsistence towards their eventual exit from the Program through
provision of integrated and holistic support services and programs.
10. Grantee – refers to the most responsible adult member of the qualified
householdbeneficiary authorized to receive the conditional cash transfer.
11. Grievance Redress System – refers to the mechanism of the DSWD which addresses
and resolve issues and concerns related to the implementation of the Program.
12. Health Facility – refers to a barangay health station, rural health unity, barangay health
center, infirmary or hospital.
13. Household – refer to the social unit including any space dwelling or facility, and have
common arrangement for the preparation and consumption of food.
14. Household registration – refers to the process of enrolling eligble household
beneficiaries in the 4Ps.
15. Institutionalization – refers to making the 4Ps an added function of the DSWD and
regular program funded from its annual appropriation.
16. Near-Poor Households – refers to household whose estimated income per capita is
within 10% above poverty threshold at a given year. The 10% cut-off shall be the basis,
until the government has established its official near-poor policy. They are considered
as near poor due to high risk of subsequently falling again into poverty. They shall also
be identified through adopted standardized targeting system.
17. Parent Groups – refer to the qualified household beneficiaries clustered base on
residence proximity being headed by a parent leader.
18. Poor – refers to households whose income falls below the poverty threshold defined
by National Economic and Development Authority (NEDA) cannot afford in a sustained
manner to provide their minimum basic needs of food, health education, housing and
other essential amenities of life.
19. Poverty Threshold – refers to a minimum income/expenditure required for a
family/individual to meet the basic food and non-food requirements based on Philippine
Statistic Authority (PSA) definition of poverty.
20. Preventive Health Check-up – refers to health and nutrition services comprising of
complete immunization, deworming, growth and development monitoring,
management of childhood diseases, malnutrition, and services for pregnant, lactating
and postpartum women.
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21. Qualified Household-beneficiaries – refer to households identified by the DSWD for

entitlement to the monthly conditional cash grants. It is understood that only
households whose members are resident Filipino citizens are qualified in the Program.
In addition, these households are deemed partners of the Program.
22. Responsible Person – refers to the parent or guardian in the qualified
householdbeneficiary.
23. Skilled Health Professionals – refer to competent maternal, newborn, child and
adolescent health and nutrition professionals, educated, trained and regulated in
accordance to national and international standards.
24. Social Service – refers to range of services to facilitate the achievement level of
wellbeing of the qualified household-beneficiaries.
25. Supply Side – refers to the educational and health facilities such as schools and health
centers and other related social services in a specific area that are necessary for
qualified household-beneficiaries to comply with the set of conditions of the Program.
26. Standardized Targeting System – refers to a system for identifying who and where
households are, through the generation of socio-economic database of poor
households that is adopted by the national government agencies (NGAs) and
implemented by the DSWD.
27. Sustainable Livelihood Program -refers to the livelihood and capability building
program and managed by the DSWD for the poor, vulnerable, and marginalized
families and individuals to help improve their socio-economic conditions through
accessing and acquiring necessary assets to engage in and maintain thriving
livelihood. The one time livelihood assistance is in the form of micro-enterprise
development (MD) and employment facilitation (EF). The MD tracks provide
microenterprise interventions to the poor or savings generation while the EF tracks
provide interventions that facilitates employment.
28. Social Welfare and Development Indicators (SWDI) – is a case management tool
specifically developed by the DSWD to assess and monitor the well-being of the
households of 4Ps.
29. Transaction Account – refers to an account in the form of deposit account or electronic
money/wallet, held by AGDBs and other Banko Sentral ng Pilipinas (BSP)regulated
financial service providers which can be used to store money, send payments, and
receive deposits. It is an essential financials service in its own right and can also serve
as a gateway to other financial services.
30. Vulnerable groups – refer to those who experience a higher degree of social exclusion
and deprivation than the general population, and those who go through difficult
circumstances. Including but not limited to the following: (1) children, (2) women, (3)
indigenous people (IPs), (4) homeless street families, (5) groups that experience a
higher risk of poverty in line with Special Protection Operational Framework of NEDA.
To meet the ULOa, social welfare policies and programs of the DSWD are defined and
discussed throughout this section. The 4Ps or Pantawid Pamilyang Pilipino Program and the
KALAHI Convergence Program were the only program prioritized to be include in this part due
to scope and alignment of social work helping methods to the policy implementation. Please
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take not that there are lot of social welfare programs and services of the DSWD, hence the
agency itself is considered the biggest employer of social workers. Thus, be notified that you
are not limited to refer to these resources exclusively. Thus, it is expected from you to utilize
other books, research articles, and other resources that are available in the university's library,
e.g., e-brary, search.proquest.com, and other credible platforms.
1. Pantawid Pamilyang Pilipino Program (4Ps). The Pantawid Pamilya serves as the
vehicle for combating the poverty cycle in Filipino households. Implemented by the
Department of Social Welfare and Development (DSWD), it is one of the key poverty
alleviation programs of the national government that seeks to contribute in breaking
the intergenerational transmission of poverty in the country.
1.1. There are two goals of the program: (a) Social Assistance – to provide cash
assistance to the poor to alleviate their immediate need (short term poverty
alleviation) and (b) Social Development - to break the intergenerational poverty cycle
through investments in human capital.
1.2. Program Objectives:
a) To improve the health of young children and mothers by
promoting preventive health care
b) To increase the enrollment and attendance rate of children in
Day Care, Kindergarten, elementary, and secondary schools
c) To contribute to the reduction of incidence of child labor
d) To raise the average consumption rate in food expenditure of
poor households
e) To encourage parents to invest in their children’s health,
nutrition and education
f) To enhance the performance of parenting roles of beneficiaries
and their participation in community development activities
1.3. The conditional cash transfer to qualified household-beneficiaries has a
maximum period of 7 years. For existing households, the maximum period of 7 years
shall be reckoned from the implementation of the IRR of the R.A. 1130 or “An Act
Institutionalizing the Pantawid Pamilyang Pilipino Program” provided that they are still
eligible and willing to comply with the program conditions. However, the NAC or
National Advisory Council may recommend longer period under exceptional
circumstances through issuance of resolutions and guidelines consistent with the
adopted or used standardized targeting system.
1.4. Selection of Qualified Households and Criteria for Eligibility.
a) On the national basis, the DSWD shall select qualified

householdbeneficiaries of the 4Ps using standardized targeting system.
Until a new standardized targeting system is adopted by the government,
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the National Household for Poverty Reduction (NHTS-PR) or Listahanan

shall be utilized but he DSWD.
b) The DSWD shall ensure the use of uniform, objective, and transparent
procedure of identifying poor households as potential beneficiaries.
Further, it shall conduct a regular validation of beneficiary targeting
system every 3 years.
c) Farmers including farm workers, fisher folks, homeless families, IPs,
those in the informal sector, those in geographically-isolated and
disadvantaged areas (GIDA), including those in areas without electricity,
persons with disabilities (PWDs) and other vulnerable groups shall be
automatically included in the standardized targeting system to be
conducted by the DSWD.The lists of those included in the
abovementioned sectors and other vulnerable groups under this section
shall be provided by the respective appropriate government agencies.
d) To be eligible for cash grants, households automatically included in the
standardized targeting system under the mentioned sector above must
meet the following criteria:
i. Classified as poor or near-poor based on the adopted
standardized targeting system and the poverty threshold
issued by the PSA at the time of selection.
ii. Have members who are aged zero (0) to eighteen (18) years
old or have members who are pregnant at the time of
registration
iii. Willing to comply with the conditions with the conditions set
oath of commitment and mutually-agreed household
intervention plan (HIP).
1.5. Conditional Cash Transfer to Beneficiaries
a) The Advisory Council shall determine the regularity and the amount
of conditional cash transfer (CCT) to beneficiaries through a
resolution by the NAC, as policy-making body of the Program, with
the following scheme:
i. The CCT grant per child enrolled in day care and elementary
programs shall not be lower than Three Hundred Pesos
(Php. 300.00) per month per child for a maximum of 10
months per year.
ii. CCT grant per child enrolled in junior high school shall not
be lower than Five Hundred Pesos (Php. 500.00) per month
per child for a maximum of ten (10) months per year.
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iii. Health and nutrition grant shall not be lower than Seven
Hundred Fifty Pesos (Php. 750.00) per month per child for a
maximum of ten (10) months per year.
iv. Health and nutrition grant shall not be lower than Seven
Hundred Fifty Pesos (Php. 750.00) per month for a
maximum of twelve (12) months per year.
b) The health and nutrition grant component aims to promote healthy
practices and family development; improve the health and nutritional
status of pregnant and postpartum mothers, infants and young
children; and increase the use of health services by the qualified
household-beneficiaries. The health and nutrition grant is a fixed
amount and does not depend on the number of members in the
household.
c) The grants shall be in accordance with the approved program
timeline released for a particular period in a year. The grants shall
be timely and accurately released based on the compliance of
qualified household-beneficiaries. The initial grant shall be released
to the households upon the completion of the registration process.
IPs and other vulnerable groups, and other qualified household-
beneficiaries residing in GIDA shall be facilitated in accordance with
other particular needs, dynamics and culture, following rights-based
strategies to provide them with convenient and cost-effective means
to collect their cash grant.
1.6. Mode of Cash Transfer
a) The DSWD shall provide qualified household-beneficiaries with direct

access to cash grants that is secured via transaction accounts to any
number of AGDBs. Moreover, DSWD shall implement more frequent
payouts.
b) For localities not adequately served by an AGDB, the DSWD may, by
itself or through an AGDB, contact the service of rural banks, thrift
banks, cooperative banks, and institutions engaged in money
remittances duly accredited by the BSP
c) To ensure direct and secured access to cash grants by the qualified
household-beneficiaries, the same shall be credited directly to their
transaction accounts held and maintained in any BSP-regulated
financial institutions.
d) The AGDBs shall ensure that the channels through which the qualified
household-beneficiaries can access their transactions account are
adequate, available and accessible to the qualified
householdbeneficiaries regardless of their geographical locations.
Consultations with the stakeholders shall be held in order to determine
the efficiency of the AGDBs.
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e) The DSWD shall coordinate with the BSP to promote an enabling

regulatory environment in order to ensure adequacy, availability and
accessibility of transaction channels in line with the national strategy for
financial inclusion.
1.7. Conditions for Entitlement
a) As applicable, all qualified household-beneficiaries shall comply with all

the following conditions as a requirement for continued program
eligibility:
i. Pregnant women must avail pre-natal services, give birth in
a health facility attended by a skilled health professional,
and receive post-partum care and postpartum visits, and
essential newborn care and post-natal follow-up visits for
her newborn infant.
ii. Children zero (0) to five (5) years old must receive regular
preventive health and nutrition services including checkups
and vaccination, growth and development monitoring, and
promotion from City/Municipal Health Center, Rural Health
Units, or Barangay Health Station to avail applicable health
services, based on existing DOH guidelines.
iii. Children one (1) to fourteen (14) years old must avail of
deworming pills/medicine at least twice a year.
iv. Children three (3) to four (4) years old must attend day care
service or preschool classes and at least maintain class
attendance at a rate of eighty-five percent (85%) of the time
per month.
v. Children five (5) to eighteen (18) years old must attend
elementary or secondary classes at maintain a class
attendance at a rate of least 85% of the time per month. vi.
At least 1 responsible person or any appropriate member
of the household must attend Family Development
Sessions (FDS) conducted by the DSWD, at least once a
month. This shall include all sessions and programs
conducted by DSWD and its partners.
b) Any or all of the conditions for entitlement may be suspended by the
DSWD Secretary during times of calamities, war and armed conflict and
force majeure situations in accordance with relevant laws and DSWD
guidelines. In such case, full compliance to such conditions are deemed
waived and payments to beneficiaries shall be granted in full.
1.8. Case Management and Non-compliance with Conditions
a) The DSWD shall develop a set of standardized procedures,

mechanisms and tools to ensure that household-beneficiaries are
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assessed on their level of well-being and status of compliance to the

conditions of the Program upon entry into and until they exit from the
program within a 7-year timeline. Until a new tool is developed, the
Program shall periodically administer the SWDI to assess and monitor
the well-being of the qualified household-beneficiaries. They shall be
engaged in a mutually agreed HIP, the goal of which is to support their
compliance with conditions and achieve an improved level of wellbeing
towards self-reliance. To achieve this end, convergence initiatives
involving resources and programs and services provide partner
agencies and organizations shall be accessed and mobilized through
the Advisory Councils.
b) The responsible person of reported qualified household-beneficiary who
fails to comply with all conditions set forth under mode of cash transfer
shall at least be notified in writing. Thereafter the payment of cash
grants will immediately be terminated without prejudice to any case
management process of DSWD.
c) After 4 consecutive months of willful non-compliance, the
householdbeneficiary shall be subject to intensive case management.
The conduct of intensive case by the DSWD shall be for the purpose of
identifying and resolving barriers impairing them from complying with
the terms of the Program and enable them to comply again.
d) The grants of qualified household-beneficiaries shall be not be forfeited
in case they fail to comply conditions for reasons beyond their control
subject to case management strategies. In case where the necessary
socials services to aid their compliance are unavailable, they shall be
referred to the concerned agency for appropriate actions.
e) In addition, household with children with disabilities; with IPs, and those
in GIDA, whose peculiar situation are determined to cause their inability
to comply with the program conditions, shall not be penalized by
withholding their cash grant under this Rule. Provided that, a report shall
be made to address the situation that resulted in the inability of
compliance by these groups. Circumstance not mentioned in the
immediately preceding paragraph shall be considered willful
noncompliance to the conditions of the Program.
f) Should the qualified household-beneficiaries member so notified persist
in not complying with the conditions within period of one (1) year since
the day of receipt of the written notification, the qualified household-
beneficiary member shall be removed from the program. There shall be
proper notice to the non-compliant qualified householdbeneficiary prior
to removal from the program. Guidelines for the removal of non-
compliant qualified household-beneficiaries shall be formulated by the
DSWD, with the approval of NAC. However, interventions shall be
conducted by the respective government agency vis-à-vis the non-
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compliance of the qualified household-beneficiary member based on a

specific case management intervention plan to address the reason for
non-compliance.
1.9. Family Development Sessions and Formation of Parent Groups
a) At least one (1) responsible person must attend FDS conducted by the
DSWD and its implementing partners at least once a month.
b) The FDS shall be delivered by the DSWD with its implementing
partners. It shall aim to provide venue to enhance and acquire new skills
and knowledge in responding to their parental roles and responsibilities,
promoting the concept of parenting. It shall focus on health and nutrition,
education, economic and psychological needs of their children, while
promoting positive values. It shall strengthen marital relationships, and
further advocate citizenship, spiritual development, gender sensitivity,
disaster resiliency, financial literacy, entrepreneurial skills and
volunteerism towards community development.
i. The FDS will become a venue to promote the roles of
qualified household-beneficiaries as community
members in their respective communities by enhancing
their level of participation and contribution in community
development. It shall be an avenue to transform
households from passive attendees to decisionmakers,
thereby allowing them to develop beneficial programs
and/or projects for their respective communities.
ii. Youth Development Sessions (YDS) shall be
encouraged among the young members of the
households.
c) The grantees of the qualified household-beneficiaries shall be

organized into Parent Groups as a strategy and a venue for the FDS
implementation. They shall establish peer support and cooperation
among the qualified house-hold beneficiaries and monitor their
performance in complying with the conditions of the Program.
d) Each Parent Group shall select one (1) Parent Leader (PL) and one (1)
Assistant PL based on a set criterion by the DSWD, and both shall serve
as community leaders and volunteers for a prescribed term of service.
Parent Leaders may assist the DSWD in the case of management of
qualified household-beneficiaries.
1.10. Livelihood Interventions
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a) Qualified household-beneficiaries shall be given a priority in the

availment of the modalities and interventions under DSWD’s SLP or
other appropriate or similar programs offered by other government
agencies and accredited private institutions, in accordance with their
policies and guidelines.
b) The qualified household-beneficiaries shall also be given priority in the
availment of the EF services provided by the SLP or other employment
programs of appropriate government agencies implementing the same,
in accordance with their policies and guidelines.
c) The qualified household-beneficiaries, upon assessment of their
readiness to avail of entrepreneurial project or activities, shall be
referred to DSWD, other appropriate government agencies, and LGU
for livelihood interventions or other similar support services.
1.11. Coverage in the National Health Insurance Program
a) All qualified household-beneficiaries of as identified by the standardized

targeting system shall automatically be covered in the National Health
Insurance Program (NHIP). The necessary funding for their coverage
shall be sourced from the revenue generated pursuant to R.A. No.
10351, otherwise knows as the “Sin Tax Reform Act
2012.”
b) The coverage in the NHIP shall be administered by the Philippines
Health Insurance Corporation (PhilHealth) in accordance with their
policies and guidelines. Benefits and mechanisms available shall be in
accordance to the provisions stated in the R.A. No. 11223, otherwise
known as the “Universal Health Care Act”, and its IRR.
1.12. Grievance Redress System
a) A gender-sensitive and IP-responsive Grievance Redress System

(GRS) serves as a mechanism to address grievances relative to the
implementation of the Program, essentially ensuring its goals and
objectives are achieved. The system is a venue where both the qualified
household-beneficiaries and the general public can report their
grievances for resolutions. The GRS is a guide for program staff on
handling and resolving grievances that invariably emerge in the
program implementation. The period for resolving grievances brought
under this rule shall be based on the existing guidelines of the DSWD
4Ps GRS. In case of doubt, it shall be resolved in favor of the qualified
household-beneficiary.
b) Upon the promulgation of the GRS by the NAC, the DSWD shall
formulate the rules on appeal for instances or cases not covered by the
GRS.
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1.13. Exit from 4Ps. A qualified household-beneficiary shall be deemed to exit from the
Program, whichever comes first, when:
a) The last monitored child in the household turns 19 years old

b) The last monitored child in the household finishes highs school
c) The household reaches the 7-year duration in the Program
d) The household voluntarily waives its membership from the Program
e) The household commits offenses wherein the sanction is delisting,
subject to the standards to be developed by the DSWD
1.14. Lead Agency
a) The DSWD shall serve as the central planning, coordinating,

implementing and monitoring body of the Program. It shall establish an
arrangement of line of authority, communications, and the roles and
responsibilities of different divisions, including regional, provincial,
city/municipal structures, in the implementation of the Program. As the
Program’s monitoring body, the DSWD shall ensure cultural
appropriateness and gender responsiveness of its program
management cycle including planning, implementation, and evaluation.
Appropriate data and statistics on gender and vulnerable sectors,
among others, shall be regularly collected, generated, and analyzed to
inform assessment process. The DSWD shall ensure appropriate
program structure and sufficient staffing personnel for the program’s
effective implementation. This shall be reviewed as a part of the
Program performance to ensure structure and staffing complement
remain relevant and achieve program objectives.
b) The DSWD shall perform the following functions:
i. Select and use an appropriate, effective and costefficient
method to identify and select qualified household-
beneficiaries.
ii. Identify and select target household-beneficiaries on the
basis of a uniform objective and transparent selection
process.
iii. Coordinate with different national and local agencies,
including organization from the private sector to ensure
full implementation of statutory commitments herein.
iv. Set up participatory monitoring and evaluation (M&E)
system and methodologies on compliance of conditions,
implementation of operations, and output and impact
assessments. It shall also coordinate with NAC and with
Independent Monitoring Committee (IMC) at the national
and local levels to verify compliance on a monthly basis,
using M&E systems designed for purpose.
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v. Recommend to the NAC measures and policies for the

responsive delivery of the committed under the act.
vi. Identify the coverage of the 4Ps based on Standardized
Targeting System.
vii. Provide seminar-workshops and training programs to
educate qualified household-beneficiaries about the
conditions and other actions pertinent to the Act. viii.
Organize a session on entrepreneurial and disaster
preparedness and risk reduction or arrange a community
development activity in the qualified household-
beneficiaries respective cities/municipalities or
barangays whichever are available annually.
ix. Submit an annual report to Congress on all aspects of its
operations, financial status and other relevant data.
x. Formulate and IRR and guidelines for the enactment of
the Act
xi. Perform such other functions as may be necessary or
incidental to the proper implementation of the provision
of the Act.
c) Capability-building and related capacity development activities for
parent leaders, household members, partners and 4Ps personnel shall
be implemented by DSWD in collaboration with the NGAs, LGUs and
other stakeholders.
1.15. Advisory Council
a) The National Advisory Council shall be the policy-making body

manifested through approval of resolutions and enhancement of
guidelines aimed towards ensuring supply side requirements and
necessary support for household members to meet the conditions for
entitlement and strengthening of overall implementation of the Program.
It shall formulate and recommend to the President, as stated in the Act,
policies and strategies to enhance and improve program
implementation which is aimed towards enhancement of national and
local efforts with partner agencies in ensuring that the necessary
support for qualified household-beneficiaries are provided towards
improvement of their well-being.
b) The Regional Advisory Council (RAC) shall provide policy directions
and recommendations on program implementation at the regional level.
They translate national policies to region specific operational guidelines
to ensure smooth implementation of the Program. This joint effort shall
promote regional ownership among other agencies and local
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implementers to guarantee the availability and provision of necessary

support services or access to basic services for the qualified house-hold
beneficiaries.
c) The NAC and RAC shall have, as members, representative from the
following:
i. The Department of Social Welfare and Development
Office (DSWD), Chair.
ii. Department of Health (DOH), Vice Chair
iii. Department of Education, Vice Chair
iv. Department of Labor and Employment (DOLE), member
v. Department of Agriculture (DA), member
vi. Department of Agrarian Reform (DAR), member vii.
Department of Science and Technology (DOST),
member
viii. Department of Trade and Industry (DTI), member

ix. Technical Education and Skills Development Authority
(TESDA), member
x. Two accredited Non-Government Organizations (NGO),
member
2. KALAHI-CIDDS. Kalahi-CIDSS, otherwise known as the Kapit-Bisig Laban sa

Kahirapan-Comprehensive and Integrated Delivery of Social Services, is one of the
poverty alleviation programs of the Philippine Government being implemented by the
Department of Social Welfare and Development (DSWD). It uses the communitydriven
development (CDD) approach, a globally recognized strategy for achieving service
delivery, poverty reduction, and good governance outcomes.
Started in 2003, its scale-up was approved on 18 January 2013 by the National
Economic Development Authority (NEDA) Board, which was headed by President
Benigno Aquino III.
CDD:
• Helps communities in poor municipalities identify challenges around reducing

poverty and make informed decisions on a range of locally identified options for
development, including how this is made and in what form;
• Gives control of resources to address local poverty to communities; and
• Builds the capacity of both state (including local governments) and civil society
stakeholders to provide assistance and respond to calls for support from poor
communities as they implement development initiatives.
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The development objective of Kalahi-CIDSS is to have barangays/communities

of targeted municipalities become empowered to achieve improved access to
services and to participate in more inclusive local planning, budgeting, and
implementation.
2.1. Situationer – Poverty in the Philippines. One of the aims of the program to reduce
poverty incidence, according to 2009 National Statistic Coordination Board (NSCB)
data:
• 26.5% of Filipinos are poor. This means that 23.1 million Filipinos
earn less than PhP 16,841.00 yearly (equivalent to PhP 1,403.42
per month or PhP 46.14 per day).
• In order to stay out of poverty, a family of five will need to earn PhP
7,017 monthly. The family will need to earn PhP 4,869 just to meet
basic food needs.
• The average poverty incidence is 26.5% among population.
• Almost half of the cities and municipalities in the country have a
poverty
incidence between 32.1 to 60%. There are also 67 municipalities that have a
poverty incidence higher than 60%. The poorest identified municipality in the
Philippines, Siayan in Zamboanga del Norte, had a 79.86% poverty incidence.
The situation above urged the government to put up the program as a strategy to
combat poverty incidence.
a) Rural Poor in the Philippines:

i. Low farm harvests
ii. Lack of employment opportunities
iii. Absence of facilities to help increase current income
levels
iv. Absence and/or restricted ownership of lands
v. Vulnerability to natural and man-made disasters
vi. Limited/no access to basic services, leading to poor
health conditions and low literacy
vii. Pervasive powerlessness
Given this, the NCDDP defines poverty as a condition of deprivation,
wherein people are denied:
Participation in decision-making
Opportunities and access to basic services
Ownership of assets to allow sustained income; and
Resources to meet basic needs
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2.2. Kapit-Bisig Laban sa Kahirapan-Comprehensive and Integrated Delivery of Social

Services: Kapangyarihan at Kaunlaran sa Barangay (KALAHI-CIDSS, for short) is a
CDD initiative of the Government of the Philippines’ Department of Social Welfare and
Development (DSWD). KALAHI-CIDSS seeks to reduce poverty and vulnerabilities to
poverty by addressing a lack of capacity and resources at the local level and limited
responsiveness of local governments to community priorities
2.4. KALAHI-CIDSS seeks to “empower communities in targeted poor municipalities to

achieve improved access to sustainable basic public services and to participate in
more inclusive Local Government Unit planning and budgeting”. The acronym,
LETCIDSS, summarizes the basic principles that guide its implementation: localized
decision making, empowerment, transparency, community priority setting,
inclusiveness, demand-driven, simple, sustainable.
Guiding Principle of KALAHI-CIDSS

Localized This principle emphasizes the importance of community discussions and decision
Decision Making making, including the formulation and implementation of projects and other
interventions to address problems that community residents have identified.
Empowerment The project invests heavily in capacity-building activities that progressively develop
the capabilities of the people, including analysis of local conditions, design of
appropriate development interventions, and implementation of development
projects. Capacity building takes place throughout the community empowerment
activity cycle in which communities realize their individual and collective strengths,
acquire and develop community and project management skills, and increase their
confidence to engage local governments in periodic dialogues to improve resource
allocation and delivery of basic services.
Transparency Peoples’ participation is the project’s core requirement and the prerequisite to the
success of all activities and interventions. Village assemblies provide opportunities
for people to participate and be informed about the physical and financial status of
subprojects. Consultation on community issues or problems promotes responsibility
and accountability. The KALAHI-CIDSS multilevel monitoring system, including the
use of nongovernment organizations and media as independent monitors and the
grievance monitoring and resolution mechanism, supports transparency.
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Community
Priority Setting
Selection of subprojects and capacity -building activities is the produc t of a

collective decisio n-making pr ocess. P rojects are prioritized for funding by a
municipal inter -barangay (intervilla ge) forum whose members are elected by the
participating villages.
Inclusiveness The entire community, including formal and traditional leaders, representatives of
different sectors, individuals, groups, and local organizations, are encouraged to
participate in KALAHICIDSS. Special efforts ensure the participation of women and
indigenous people. Broadening the base of participation prevents elite capture of
project activities and benefits.
Demand Driven KALAHI-CIDSS supports communities with prioritizing their own needs and
problems, designing their own subprojects, and making decisions on how resources
are used. Residents develop ownership of the subprojects they have identified,
developed, and implemented, so the subprojects have better outcomes and are
more sustainable than would otherwise be the case.
Simple KALAHI-CIDSS procedures and other requirements are simple and are designed to
facilitate understanding, appreciation, and involvement of all stakeholders.
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Sustainable Communities are required to develop and implement viable plans for sustainability
for each subproject to ensure that they deliver intended benefits over the long term.
2.8. KALAHI-CIDSS: KKB COMMUNITY EMPOWERMENT ACTIVITY

CYCLE
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Capacity-building and implementation support, community grants, and

monitoring and evaluation are the three main components of KALAHI-CIDSS. Grants
for community subprojects are provided to participating municipalities with each
municipality’s allocation equal to the number of villages within its jurisdiction multiplied
by approximately $14,000 per year for 3 years. Since the grant to a municipality is not
enough to meet the funding needs of proposed subprojects from all villages within the
municipality, funds for subprojects are allocated through a competitive community
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priority-setting process. This competitive element is possibly the defining characteristic

of KALAHI-CIDSS and the single most important feature that differentiates it from other
community development programs in the Philippines with CDD characteristics, such
as the Mindanao Rural Development Program, the Agrarian Reform Communities
Development Program, and the Autonomous Region in Muslim Mindanao Social Fund.
The cornerstone of the KALAHI-CIDSS approach is the community

empowerment and activity cycle (CEAC). Each village that entered KALAHI-CIDSS
since the project started in 2003 went through the CEAC three times (approximately
once each year) during its engagement with the project. There are four stages in the
CEAC: social preparation, subproject identification and development, subproject
selection and approval, and subproject implementation
a) Social preparation involves training to identify communities’ problems

and propose solutions. The key activity during social preparation is the
participatory situation analysis (PSA), which is a collective assessment
of conditions by community volunteers chosen by their peers. The
analysis involves visual tools, such as resource and social maps, time
division of labor, Venn diagrams, and the like. Village residents
subsequently validate the results of the PSA at a barangay (village)
assembly or meeting.
b) The major activity during subproject identification and development is
the criteria-setting workshop, where village representatives determine
the quantitative and qualitative criteria for the selection and ranking of
village proposals. Sample criteria for subproject selection can include
responsiveness to a priority problem, beneficiary reach, quality of
benefits, and cultural acceptability. The criteria guide villages in the
selection and preparation of their subproject proposals.
c) A community can propose any subproject it considers important for its
development except for activities that have adverse social or
environmental impacts or microcredit activities that involve the lending
of funds. Based on KALAHI-CIDSS-1 (KC-1) experience, subprojects
likely to be proposed and supported include water systems, access
roads, schools, health stations, and day care centers. Together, such
subprojects accounted for 80% of all KALAHI-CIDSS community grants
during the first phase of KALAHI-CIDSS.
d) In the subproject approval phase, democratically elected village
representatives convene in an intervillage meeting (known as the
municipal interbarangay forum) for the competitive ranking of subproject
proposals using the criteria selected earlier. When all proposals have
been ranked, the municipal grant is allocated first to the amount needed
for the highest-ranked subproject, and then to the second highest-
ranked, and so on, until the municipality’s grant has been fully
committed.
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e) Communities with approved proposals then move to the fourth stage,

subproject implementation, monitoring, evaluation, and operation and
maintenance (O&M). During subproject implementation, community
residents find new ways of working with each other, engage local
government officials for technical support and counterpart resources,
and learn about procurement and financial management. O&M plans
and arrangements are also completed at this stage.
f) Finally, after the construction is completed and subprojects are about to
become operational, communities undergo a transition stage before
proceeding to a new CEAC. The transition involves a communitybased
evaluation to identify changes resulting from the residents’ experience
with the subprojects, accountability reporting, and review to determine
the performance of different stakeholders (village residents, KALAHI-
CIDSS staff, local government officials and staff, and other donors) in
the delivery of subproject commitments.
2.9. Key Features of the KALAHI-CIDSS
• Assistance for social preparation and capability building training for

LGUs and communities
• Support funding through community grants. The funds will be released
directly to the community accounts.
• Transparency and Accountability Measures. Citizens other than public
officials are involved in local planning and decision-making.
• Community-chosen priorities are turned into projects, plans and
activities and feed into the budgeting process, planning and
programming of LGUs and NGAs.
• Allowable community projects. KC-NCDDP follows an open menu
system. However, it has a set of disallowed activities, specified on the
Negative List
• Post-disaster response in covered municipalities declared as
disasteraffected:
• Accelerated Cycle 1
• Portion of future earmarked allocation will be advanced to cycle 1
• Activities eligible for funding will include shelter and resettlement
• Can also adjust in KC-NCDDP areas at any point a municipality is
declared disaster-affected
2.10. Project Component of the KALAHI-CIDSS
• Component 1: Community Grants. This component supports two

types of assistance: 1) Planning Grants that which funds the
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conduct of community level social and technical preparation and

training around the CEAC, and 2) Investment Grants to fund
proposals of community infrastructure subprojects and activities
based on an open menu of eligible projects.
• Component 2: Capacity –Building and Implementation Support
(CBIS). This component shall provide funding for the cost of the
services of local facilitators and technical officers who will assist
communities on social and technical preparation. The facilitators
and technical officers (i.e. Area Coordinating Team, as well as the
LGU and Grassroots Participatory Budgeting (GPB) implementers)
will receive capacity building training on participatory development,
CDD and related competencies.
• Component 3: Program Management and Monitoring and
Evaluation. This will cover costs at the regional and national levels,
for supporting, supervising and monitoring CDD operation. Also
covered in this component is the cost of evaluating and verifying
local outcomes from CDD implementation.
2.11. Enrollment Process of the Qualified LGU to KALAHI-CIDSS
These are the steps they need to follow to enroll:

• Formally signify interest to participate in Kalahi-CIDSS
• Go through an assessment process to verify their readiness to
implement CDD;
• Adequately comply with the conditions for participation in the
Kalahi-CIDSS.
• The enrollment process will be undertaken by the DSWD Field
Offices, which will also conduct meetings and LGU forums with
all eligible municipalities to explain the objectives and design of
the program and conditions for participation.
2.12. Roles of LGU in KALAHI-CIDSS
• Community-driven development requires a facilitating environment.

The MLGU needs to provide a conducive environment that will enable
residents to participate in discussions regarding the development of
their communities.
• The MLGU, through its Mayor, will be responsible for mobilizing
resources in order to help barangays fund the prioritized community
projects.
• The MLGU, through the Sangguniang Bayan and the Mayor, can also
pass ordinances and policies in support of CDD to institutionalize this
as a local poverty alleviation strategy.
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• The MLGU needs to assume a steering role in promoting active

stakeholders’ engagement in CDD. The Mayor, who heads the
Municipal Inter-Agency Committee (MIAC) and the Municipal
Development Council (MDC), can tap these structures to provide
technical assistance, monitoring and oversight to CDD implementation.
The Mayor can also link the communities to other agencies when
needed.
• The MLGUs must also promote the integration of community
development and action plans into the local development plans
• Other roles of the MLGU in the Project may be included in the
Memorandum of Agreement.
2.12. Management of Funding of the KALAHI-CIDSS Project
• The intended recipient communities through their selected volunteer

management committees will hold the funds.
• For safeguards and local checks and balance, Kalahi-CIDSS will set up
and standardize in all of its municipalities the following technical, social
process, wide transparency, and accountability measures, by means of:
o Giving communities, LGU officials and the general public in the locality
orientation, training and standard manuals of operations and
procedures on the KC-NCDDP community social preparation,
community procurement, community finance and community
infrastructure;
o Dividing up into smaller amounts the releases of funds to the
communities, comprising of two or three tranches;
o Conducting prior review, due diligence and co-signing by local
KCNCDDP staff of the requests, transactions and reports of the
communities;
o Practicing transparency in local decision-making and access to project
information, through community reporting of project information and
progress during Barangay Assembly and community monitoring
meetings, as well as display of the project information and physical and
financial progress in community notice boards;
o Exercise of oversight by local government officials, local development
council members and the barangay treasurer through their participation
in endorsing the requests of communities, as well as taking part in the
community consultations, planning, implementation and monitoring
meetings;
o Keeping the composition of various community-level project
management committees diffused among different community
members, who are given training on community procurement, basic
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financial management, project management, simple audit, and

operation and maintenance with organizational development;
o Setting up a grievance and complaints system, accessible to community
members and the general public, for reporting to the KC-
NCDDP any observation or wrongdoing; o Feeding back observations
to community members and LGU officials during the conduct of on-site
supervision, audit and monitoring inspections by KC-NCDDP staff at
various levels and external supervision Missions;
o Sponsoring the conduct of local inter-municipality audit of financial,
procurement and related transactions reflected in the records of
communities;
o Implementation of the provision on sanctions in the KC-NCDDP
Memorandum of Agreement with LGUs and Sub-Project Agreements
with communities; and
o Establishing a computer-based KC-NCDDP database of information, at
the municipality and up, and web-based reports on community projects
receiving KC-NCDDP funding.
2.13. Eligible Projects Supported by the KALAHI-CIDSS
KC-NCDDP will follow an open menu system, wherein communities will choose
what projects will answer their prioritized needs. The following types of projects
may be supported by KC-NCDDP:
• Basic services sub-projects. These include community water systems,
school buildings, health stations, and electrification.
• Basic access infrastructure. These include foot bridges, access roads,
and foot paths.
• Community common services facilities. These include pre- and
postharvest facilities, as well as small-scale irrigation systems.
• Environmental protection and conservation. These include flood control
systems, sea walls, artificial reef sanctuaries, and soil protection
structures.
• Skills training and capability building. These include eco-tourism
projects.
• Others not prohibited in the Negative List below.
Negative List of Sub-Projects and Activities Prohibited for

KCNCDDP Funding:
• Weapons, chainsaws (except during disasters), explosives, pesticides,
insecticides, herbicides, asbestos, and other potentially dangerous
materials and equipment
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• Fishing boats and nets above the prescribed size and weight set by the
Republic Act 8550, Philippine Fisheries Code of 1998
• Road construction into protected areas
• Use of project funds for purchase of or compensation for land
• Micro-credit and livelihood activities which involve onlending of project
funds
• Maintenance and operation of facilities provided with project funding
• Activities that have alternative prior sources of committed funding
• Recurrent government expenditures (e.g. salaries for government and
LGU staff)
• Political and religious activities, rallies, and materials
• Salaried activities that employ children below the age of 16 years
• Activities that unfairly exploit women or men at any age
• Travel
• Consumption items or events
• Activities that will violate existing provincial ordinances or policies
related to mining and logging, among others
• In post-disaster operation of KC-NCDDP, the eligible sub-projects can
be expanded to include items like purchase and use of chainsaws to
recover fallen trees, shelters, acquisition of equipment.
2.14. Coverage of KALAHI-CIDSS
• 4th – 6th class municipalities identified as “poor”, that is, with poverty
incidence above the national average of 26.5%, based on the 2009
Small Area Estimates (SAE) of the National Statistical Coordination
Board (NSCB); and
• 1st – 3rd class municipalities with high poverty incidence (40% or
higher)
2.15. Gains of the KALAHI-CIDSS in Its Implementation.
• Inclusiveness and minimized elite capture. It was successful in directing

resources to the poorest municipalities. Within these municipalities,
participation in the process was not dominated by local elites, and
monitoring show that indigenous people, women and the poorest
barangays are benefitting.
• Impact on household well-being was positive, as indicated by increased
consumption. Per capita consumption increased by 5% in Kalahi-
CIDSS-assisted municipalities.
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• Improved basic service delivery. Kalahi-CIDSS has shown to make

basic service facilities more accessible to and utilized by community
members.
• Increased social capital outcomes as indicated by growing group
membership and trust levels. Community members’ attendance and
participation in barangay assembly meetings have increased in Kalahi-
CIDSS municipalities.
• Increased participation in barangay assemblies. Community members’
attendance and participation in barangay assemblies have increased in
Kalahi-CIDSS areas.
2.16. The KALAHI-CIDSS Institutionalization Framework
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Framework seeks to
a) Institutionalization of CDD is reflected in how local governments
undertake participatory, inclusive development planning; allocate
resources for development as well as the parameters and criteria used
in allocating resources; and implement development programs in a
participatory, transparent, and inclusive manner.
b) The KALAHI-CIDSS Institutionalization mainstream KALAHI-CIDSS
principles and processes and sustain their application in the LGU
development planning and implementation processes at the barangay
and municipal levels.
c) These village and municipal governmental units also constitute the key
arenas for engagement when the institutionalization agenda is
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advanced. The institutionalization agendas, which are advocated by

local communities with the support of the area coordinating teams,
include the following:
i. Policy development: (a) issuance of local ordinances
adopting KALAHI-CIDSS as a local povertyreduction
strategy at the village and municipal levels; (b) issuance
of priority targets, programs, and resources based on
experiences or lessons learned from KALAHI-CIDSS; (c)
issuance of local ordinances responsive to communities’
priority needs; (d) issuance of ordinances to adopt the
MIAC as a regular structure of the municipal
government; and integration of village plans into
municipal development plans.
ii. Structural adjustments: (a) continued operations of the
MIAC beyond the period of KALAHI-CIDSS
engagement, such as by integrating the MIAC and its
functions into municipal development councils; (b)
enhancing convergence of government and
nongovernment development agencies and programs at
the village and municipal levels; (c) developing open
governance systems and processes for participative
development; (d) enhanced representation of the poor
and other vulnerable groups on development councils;
and (e) recruitment of community facilitators as
municipal employees to continue CDD efforts.
iii. Systems enhancement: (a) adoption of participatory
tools and techniques in planning and program
development; (b) transparent resource allocation and
utilization; (c) participatory monitoring and evaluation;
(d) continued development of innovative,
povertyfocused programs; and (e) improved client
targeting of poverty alleviation/reduction programs and
services.
iv. Resource allocation: (a) integration of progressive
increases in funding of pro-poor activities into annual
budgets; (b) adoption of resource sharing schemes; and
(c) adoption of participatory and inclusive resource
allocation processes.
d) In sum, institutionalization of KALAHI-CIDSS involves incorporation of
the following practices and mechanisms into the operations of the local
government unit:
At the Village Level At the Municipal Level
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councils councils and the municipal

• Village-based interagency committee
mechanisms to address Staff of the municipal local
community priorities government unit (MLGU)
performing KALAHI-
• Consistency of CIDSS functions
budget allocation with
community • Consistency of MLGU
priorities budgets with village
priorities.
• O&M committees
transformed as people’s
organizations with legal
status.
• Legislation integrating CDD • Legislation integrating CDD

in regular programs in regular programs
• Adoption of participatory • Adoption of participatory
development processes processes
• Functionality of the • Functionality of the
barangay development municipal development
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Activity 11. For this part, let’s try to evaluate your understanding on different concepts
discussed above. Enumerate and briefly explain your answers in the space provided.
1. What are the qualifications for a household to qualify for the Pantawid Pamilyang Pilipino
Program? How are they selected?
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2. What are the conditionalities for the beneficiary to continue for the 4Ps program?
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3. What are the qualifications for a community or LGU to avail a project under KALAHICIDSS?
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4. Briefly explain the Bottom-up Budgeting (BUB) as a concept under KALAHI-CIDSS.

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5. Briefly explain the main strategy employed by the KALAHI-CIDSS program.

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1. Can we consider the 4Ps as a dole-out program? Does it promote disempowerment by

making them dependent on cash grants?
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2. How does 4Ps reduce poverty incidence in the country?

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3. How does KALAHI-CIDSS promote poverty reduction and good governance?

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4. What do we mean by “participation” through the lens of KALAHI-CIDSS?

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1. Pantawid Pamilyang Pilipino Program is a human development program of

the national government that invests in the health and education of poor
households, particularly of children aged 0 -18 years old. Patterned after the
conditional cash transfer scheme implemented in other developing
countries, the Pantawid Pamilya provides cas h grants to benefic iaries
provided that they comply with the set of conditions re quired by the
program.
2. Kalahi-CIDSS (Kapit-Bisig Laban sa Kahirapan-Comprehensive and

Integrated Delivery of Social Services) is a poverty alleviation program of the
National Government implemented by the Department of Social Welfare and
Development (DS WD). With Kalahi -CIDSS ass istance, communities and local
government units have built school buildings, farm -to-market roads and
bridges, health stations, day care centers, com mon service post -harvest
facilities, and many others, small -scale but responsive to community -
identified ne eds. It employs community-driven development (CDD) as a
strategy, Kalahi -CIDSS trains and engages communities together with their
local governments ( barangay and munici pal) to choos e, design, and
implement development projects to address their most pressin g needs.
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1.
2.
3.
4.
5.
Social Assistance Social Development Pantawid Pamilyang KALAHI-CIDSS

Pilipino Program
Listahanan Conditional Cash Conditionalities Community Driven

Transfer Development
Community Grants Capacity Building Program Poverty Reduction

Implementation Management and and Good
Support Monitoring and Governance
Evaluation
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ULOb: Map-out existing sectoral plans of government social welfare agencies in

partnership with NGOs
Please proceed immediately to the “essential knowledge” section for all terminologies
are already embedded and contextualized below.
Below are the existing sectoral plans taken by government and non-government that
serve as arching framework of any social welfare agency. These plans were organize by the
government, civil society organization, faith-based organization, non-government organization
and academe in response to the unified and coordinated efforts for the welfare of different
sectors. Be notified that you are not limited to refer to these resources exclusively. Thus, it is
expected from you to utilize other books, research articles, and other resources that are
available in the university's library, e.g., e-brary, search.proquest.com, and other credible
platforms.
1. Children.
The 3rd National Plan of Action for Children (3rd NPAC), which covers the
period 2017-2022, is the third and the penultimate multi-sector medium-term action
plan that concretizes the strategies, policies and programs for children into an action
plan to achieve and realize the vision for Filipino children by 2025.
This vision is articulated in Child 21 which serves as the blueprint for national
government agencies, local government units (LGUs) and non-government
organizations (NGOs), in planning measures/interventions and budget appropriations
to achieve the goals and targets for the realization of Filipino children’s rights in the
21st century. Child 21 is translated into clear, actionable and time-bound plans in
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medium-term multiple-year time frames toward disparity reduction concretized in the

National Plan of Action for Children (NPAC) and local plans of actions for children.
The First National Plan of Action for Children (NPAC1) was for the period 2005-
2010 and the Second National Plan of Action for Children (2nd NPAC) for the period
2011-2016. The 2nd NPAC came in a most critical period when the Philippines’
commitment to achieving the Millennium Development Goals (MDGs) by
2015 was measured. A terminal and final report of the results of the 2nd NPAC
provided recommendations for consideration in the 3rd NPAC.
1.1. Children’s Rights: Vision, Goals and Development Plans
a) Child 21. The vision is laid down in the overarching long-term
development agenda of the Philippine National Strategic
Framework for Plan Development for Children or Child 21, 2000-
2025, which articulates that by 2025, Filipino children would
have been:
o Born healthy and well with an inherent right to life,
endowed with human dignity;
o Happy, loved and nurtured by a strong, stable and
God-loving family; o Living in a peaceful, progressive,
gender-fair and child-friendly society;
o Growing safe in a healthy environment and ecology;
o Free and protected by a responsible and enabling
government;
o Reaching his/her full potential with the right
opportunities and accessible
o resources;
o Imbued with Filipino values steeped in his/her
indigenous cultural heritage;
o Assertive of his/her rights as well as those of others;
and
o Actively participating in decision-making and
governance, in harmony and in
o solidarity with others in sustaining the Filipino nation.
b) Convention on the Rights of the Child (CRC). The 3rd NPAC is a
rights-based plan anchored on the United Nations Convention
on the Rights of the Child (UN CRC). The Philippines ratified the
CRC in 1990, a year after it was adopted by the UN General
Assembly. It also ratified the following: (a) Convention’s Optional
Protocols on the Sale of Children, Child Prostitution and Child
Pornography in 2002; (b) the Optional Protocol on Children in
Armed Conflict in 2003; (c) the Second Optional Protocol to the
International Covenant on Child and Political Rights, aimed at
the abolition of death penalty also in, 2003; and, (d) the
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Convention on the Rights of Persons with Disabilities, including

children, in 2008.
i. The CRC is the most widely ratified and
comprehensive human rights treaty in history that
embodies social economic, cultural, civil and
political rights of all children. It provides a
common ethical and legal framework for the
development of an agenda for children and a
common reference against which progress may
be assessed. CRC has four foundation
principles: non-discrimination, best interest of the
child, right to life, survival, and development, and
respect for the views of the child.
c) Sustainable Development Goals (SDGs). The 3rd NPAC is the
first medium-term plan of action for children that lays the
foundation and defines the key results and outcomes towards
achieving the Sustainable Development Goals by 2030. The
SDGs comprise a set of combined new and re-emphasized
MDGs but the end to poverty remains to be at the core of the
sustainable development agenda.
i. There are 17 Sustainable Development Goals and ten
(10) of these are directly related to children:
1. SDG 1 End poverty in all its forms
everywhere
2. SDG 2 End hunger, achieve food security
and improved nutrition and promote
sustainable agriculture
3. SDG 3 Ensure healthy lives and promote
well-being for all ages
4. SDG 4 Ensure inclusive and equitable
quality education and promote lifelong
learning opportunities for all
5. SDG 5 Achieve gender equality and
empower all women and girls
6. SDG 6 Ensure availability and
sustainable management of water and
sanitation for all
7. SDG 8 Promote sustained, inclusive and
sustainable economic growth, full and
productive employment and decent work
for all
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8. SDG 11 Make cities and human

settlements inclusive, safe, resilient and
sustainable
9. SDG 13 Take urgent action to combat
climate change and its impacts*
10. SDG 16 Promote peaceful and inclusive
societies for sustainable development,
provide access to justice for all and build
effective, accountable and inclusive
institutions at all levels
d) Philippine Development Plan (PDP), 2017-2022. The 3rd NPAC
draws lessons and recommendations from the previous NPAC,
as summarized in the previous chapter, and from emerging
priorities, directions and commitments aligned with those of the
Philippine Development Plan. The PDP is anchored on the
Duterte administration’s 0 to 10 Development Agenda and gears
towards achieving the AmBisyon Natin 2040. The Plan
enunciates the country’s development strategies, policies,
programs, and activities. The overall objective of the PDP is to
lay down a solid foundation for inclusive growth, a high-trust
society, and a globally competitive knowledge economy.
i. The 3rd NPAC is driven by a long-term vision to realize
children’s rights. Goals and desired results for 20172022
have been formulated for its progressive achievement
and are made consistent with the three pillars of the PDP
and the overall commitment to the Sustainable
Development Agenda.
1. The first pillar on “Malasakit” aimed at
enhancing the social fabric by regaining
people’s trust is illustrated in the 3rd
NPAC’s overall thrust of child-rights
focused and child-centered governance
and respect for cultural diversity by
ensuring that programs and projects are
inclusive, designed and implemented for
all children in general, and special
programs that are designed specifically
for children of indigenous peoples and
Muslim children.
2. The second pillar on “Pagbabago” or
reducing inequality is the core strategy of
the 3rd NPAC. It espouses equity at the
same time focusing in areas that lag
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behind in children’s indicators to ensure

that vulnerable children are given equal
opportunities, access to quality basic
services, and not discriminated upon for
a better and improved standard of living,
food security, adequate nutrition and
health care, inclusive and quality basic
education, safe and protective
environment.
3. The third pillar on “Patuloy na Pagunlad”
or increasing potential growth for children
is reflected in poverty alleviation for
children and their families, promotion of
peace and development in conflict
vulnerable areas, relief and rehabilitation
for children in disaster-prone and
disaster-affected areas.
1.2. 3rd NPAC Strategic Approach. As a rights-based and results-oriented plan
of action, the 3rd NPAC is focused on children’s rights to improve quality and
standards of life for them, survival and development, protection,
nondiscrimination, and participation. And as such, it recognizes that a broader
strategic approach is called for beyond child-specific and child-centered
programs and projects by taking into account national socio-economic
programs that have bearing and impact on children.
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The 3rd NPAC’s overall strategic framework, towards realizing children’s rights, is
show below.
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The 3rd NPAC puts together sector and agency plans on children and at the
same time introduces strategies and programs which the Council for the
Welfare of Children spearheads to reinforce and strengthen existing ones. It is
calling on the private sector, through its corporate social responsibility, to
support LGUs to improve children’s living standards in areas that lag behind to
reduce inequities. It shall sustain United Nations and multilateral/bi-lateral
agency cooperation for children. It is further embarking on a government and
civil society/non-government organization (CSO/NGO) partnership for joint
accountability for children.
1.3. The 3rd NPAC Plan Development Process.
a) The 3rd NPAC is a product of an extensive consultative process

involving national government agencies, interagency
committees/councils, CSOs, NGOs, and children’s organizations. At the
helm of the plan development process is the CWC. The plan
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development process, as illustrated in Figure above, constituted two (2)

phases.
i. The first phase, conducted in late September until the
fourth quarter of 2016, was twopronged. First, it basically
focussed on the terminal implementation review,
assessment and analysis of the factors that contributed
to the achievement/non-achievement of the targets,
strategies, policies and programs. The final report of the
2nd NPAC was approved by the CWC Board in
December 2016. And second, the process segued to
defining the general directions of the 3rd NPAC based
on the findings and recommendations of the review
process.
ii. The second phase, which commenced in February 2017
until the approval of the 3rd NPAC by the CWC Board in
October 2017, was on setting the goals, targets,
strategies, policies, programs and plans of the 3rd
NPAC. It further defined the 3rd NPAC’s legislative and
research agenda, the critical role of duty-bearers,
monitoring and evaluation and the development of its
Results Matrix. The process involved a series of
planning workshops, consultative discussions and
meetings, and technical/policy reviews/additional inputs.
1.4. Policy Framework
a) The country’s long-term vision as articulated in Ambisyon Natin 2040

and Child 21 (2025) and transformed into multiple time-bound
development and action plans are main drivers to realizing Filipino
children’s right as a commitment to the Convention on the Rights of the
Child.
b) The international commitments and national development agenda
provide the directions and pathways of the 3rd NPAC. The six-year
children’s development agenda, 2017-2022, articulated in this plan, vow
to effect “real change” and raising the notch higher for a better quality
of life for all Filipino children.
c) The 3rd NPAC policy framework, as shown below, illustrates the
significant contributions of national sector plans that include children
and those that articulate policies, programs and strategies that directly
address children’s rights to quality of life, survival and development,
protection, non-discrimination and participation.
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d) Regional and local level plans of action f or children sh all be

formulated to contribute to the achievement of the 3rd NPAC goals
and targets and identify those that shall respond to their specific
situations and requirements. Guidelines shall be pro vided in
transforming the national plan to regional and local plans.
e) Child-Focused and Child-Specific Program Plans and Frameworks.
o Child Injury Prevention Multi-Sector Plan
o Comprehensive N ational Juvenile Intervention Programme
(CNJIP), 2017-2022
o Education Plan
o Inter-Agency Council against Child Pornogr aphy (IACACP)
Response Plan on Online
o Child Pornography
o National Council for Children’s Television (NCCTV) Plan o Philippine Program
Against Child Labor Strategic Framework
(PPACL), 2017-2022 o Philippine Plan of Action to End Violence
against Children
(PPAeVAC), 2017-2022
o Government of the Philippines (GOP) and the United Nations
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Children’s Fund (UNICEF) o 7th and 8th Country

Programmes for Children (CPC) o CSO/NGO Plans for
Children o Other Child-Specific Plans
Goal 1 Children have a Goal 1.1 Child poverty incidence is reduced from 31.4 percent in 2015 to 20.35
better quality and percent by 2022 (SDG 1.1)5
improved way of life.
Goal 1.2 Children from poor and vulnerable households are substantially
covered by universal health insurance and appropriate social protection
measures (SDG 1.2)
Goal 1.3 The resilience of poor children and those in vulnerable situations are
building up and the exposure and vulnerability of children to climate-related
extreme events and other social and environmental shocks and disasters are
reduced (SDG 1.5)
Goal 1.4 Child combatants and children of former combatants are demobilized
and reintegrated back to their communities
Goal 1.5 All Filipino children have legal identity and that birth registration is
increased to 95 percent in 2022 from 87.4 percent in 2011 (SDG 16.9)
Goal 2 Children are Goal 2.1 Hunger among children is reduced and their access, to safe, nutritious
well-nourished, have and sufficient food all year round is ensured (SDG 2.1)
healthy lives and are
active learners with Goal 2.2 All forms of malnutrition is reduced by 2022, and that, for children
good quality education under 5 years of age, stunting is reduced to 21.4 percent from 33.4 percent in
2015 and wasting is reduced to
Goal 2.3 Maternal mortality ratio is reduced to less than 90 deaths per 100,000
live births in 2022 from 221 deaths per 100,000 live birth in 2011 (SDG 3.1)
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Goal 2.4 New-born mortality rate is reduced to 10 deaths per 1,000 live births in
2022 from 13 deaths per 1,000 live births in 2015 and infant mortality rate is
reduced to 15 deaths per 1,000 live births in 2022 from 23 deaths per 1,000 live
births in 2013 (SDG 3.2)
Goal 2.5 Under-five mortality is reduced to 22 deaths per 1,000 live births in
2022 from 31 deaths per 1,000 live births in 2013 (SDG 3.2)
Goal 2.6 The epidemics of HIV, tuberculosis, other diseases among mothers,
f) Child Related Sector Plans o Inter-Agency Council against Trafficking

(IACAT) Strategic
Plan o Philippine Health Agenda o Philippine Plan
of Action for Nutrition, 2017-2022 o Philippine Youth
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and Development Plan o Social Welfare Plan o

Violence against Women and Children (VAWC) Plan o
Other Sector Plans
1.5. 3rd NPAC Goals. The 3rd NPAC is aimed at advancing the progressive
realization of children’s rights and further pursuit of time-bound commitments
for children and sustainable development:
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youth and children are reduced by 50 percent in 2022 from their status prior to
2017(SDG 3.3)
Goal 2.7 Substance abuse among children, including narcotic drug abuse, is
reduced by 2022 (SDG 3.5) toward its subsequent elimination
Goal 2.8 The number of deaths and injuries from road traffic crashes is reduced
by 50 percent in 2022 based on the number of deaths prior to 2017 (SDG 3.6)
Goal 2.9 Universal access to sexual and reproductive health-care services.

Goal 2.10 Young girls and boys, 0-4 years old, are prepared and ready for
primary education and formal schooling and that kindergarten net enrolment rate
for 5-year-old children is increased to 95 percent in 2022 from 74.65 percent in
2015.
Goal 2.11 School-age children have access to equitable and quality basic
education and that elementary net enrolment rate is increased to 95 percent in
2022 from 91.05 percent in 2015 and junior high school net enrolment to 75.44
percent in 2022 from 68.15 percent in 20168 and that girls and boys complete
basic education leading to relevant and effective learning outcomes (SDG 4.1).
Goal 2.12 Households and their children have access to safe and affordable
drinking water and to adequate sanitary and hygienic facilities with special
attention to the needs of girls, CWDs and those in vulnerable situations (SDG
6.2)
Goal 3 Children are Goal 3.1 Child labor in all its form is reduced by 30 percent from the 2.1 million
safe and free from working children reported in 2011 toward its elimination by 2025 (SDG 8.7)
violence, abuse,
neglect and Goal 3.2 Child trafficking is reduced in 2022 (SDG 8.7 and SDG 16.2) toward its
exploitation subsequent elimination
Goal 3.3 Children are prevented and rescued from recruitment as combatants by
non-state armed groups (SDG 8.7)
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Goal 3.4 All forms of violence against children are reduced in 2022 from 80
percent in 2015 (SDG 16.2) toward subsequently ending them
Goal 3.5 Reduction in the number of new cases of children in conflict with the
law and rehabilitation and reintegration of CICL to their families and communities
by 2022 (SDG 16.3).
Goal 3.6 All forms of abuse and exploitation of children are reduced by 2022
toward subsequently ending them.
Goal 3.7 Children are not at-risk on the streets of Metro Manila and other urban
centers.
Goal 3.8 Children left behind are safe and in the care of foster or adoptive
parents, other family members and relatives.
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Goal 4 Children are Goal 4.1 A responsive, inclusive, participatory and representative
actively participating in decisionmaking among children according to their age level and evolving
decision-making capacities (consistent with SDG 16.6)
processes affecting
their lives according to
their evolving
capacities
1.6. Strategies:
The following strategies shall be pursued to achieve the desired goals and
expected results or outcomes for children:
o Putting more aggressive and results-oriented approaches high in the

agenda of the 3rd NPAC in addressing the major challenges that were
identified in the 2nd NPAC specifically in calling an end to child poverty,
hunger, child labor, child trafficking, recruitment of child soldiers, and
violence against children;
o Adoption of a holistic and more comprehensive approach that go
beyond child-focussed and child-specific programmatic interventions by
weaving into the 3rd NPAC and identifying programs that are national
in scope and intended for the general population or particular population
groups that are not directly focused on children but strategically bear
and impact on the lives and situations of children especially along
poverty alleviation, social protection, and food security;
o Sharpen targeting and disparity reduction by concentrating purposively-
designed program interventions to more vulnerable children or where
child poverty incidences are high, children who are in situations of
armed conflict and disasters, and where identified and distinctive
problems of children are widespread;
o Advocacy for child-centred and enabling policy measures for budget
support and funds augmentation to local governments for programs
managed by national government agencies;
o Engaging the private sector to support and invest in high impact
programs that will have major bearing on improving and elevating the
living standards of children;
o Amplification of the critical role, primary responsibility and accountability
of local governments in the implementation of the 3rd NPAC, ensuring
that children are intrinsically embedded in their local development plans
and executive-legislative agenda and that basic services for children
are managed, administered and delivered efficiently and sufficiently;
o Enhancement of institutional mechanisms and building human resource
capacities and competence of composite technical, managerial and
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frontline workers for the operation and administration of social services

at national, regional and local levels;
o Building a more cohesive and expanded CSO/NGO partnership for the
3rd NPAC to ensure and maximize their contributions and sharing of
their technical expertise, programs and projects, and development
assistance for children, including financing;
o Empowerment of children, families and communities by providing them
with appropriate and supportive measures for expanding their learning
opportunities, participation in children informal and formal
organizations, family development sessions and community
improvement processes and recognition of their respective valuable
roles and contributions to social-economic advancement; and,
o Build-up the evidence or basis for addressing emerging issues: children
whose parents are in correctional facilities, stateless children
and surrogacy, among others.
1.7. Programs and Projects to Improve Living Standard of Filipino Children
a) The 3rd NPAC puts child poverty alleviation as a fundamental strategy

towards a better way of life and improving the living standards of Filipino
children. In addition to child poverty alleviation, children’s living
standards shall be improved with social protection, relief, rehabilitation
and protection during emergencies, peace and development in conflict-
affected areas, and, importantly, birth registration for a child’s legal
identify.
b) Child poverty alleviation programs and projects are directed to parents
but bear on the status of their children. Foremost is the Pantawid
Pamilyang Pilipino Program, a human development program that aims
to break the intergenerational cycle of poverty by investing in children
through conditional cash transfers. Livelihood support programs to
families and communities are to be provided through Kapit-Bisig Laban
sa Kahirapan Comprehensive and Integrated Delivery of Social
Services-National Community-Driven Development Project
(KCNCCDP) and Sustainable Livelihood Program (SLP) or the
transition program for graduating Pantawid beneficiaries, Payapa at
Masaganang Pamayanan (PAMANA) sustainable rural development
and convergence programs in isolated, hard-to-reach and
conflictaffected communities, DOLE Integrated Livelihood and
Emergency Employment Program (DILEEP) for families of working
children and child laborers and their families. A more child-specific anti-
poverty program shall be developed. The private sector shall be tapped
to support LGUs with anti-poverty programs for children.
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c) Existing social protection that impact on children shall be given focus.

In addition to Pantawid, unversal health insurance coverage for Filipino
children and their families including a severe acute malnutrition benefit
package are provided through the National Health Insurance Program
(NHIP).
d) Children’s emergency relief and protection shall be provided under an
umbrella Comprehensive Emergency Program for Children to be
spearheaded by major national agencies – DOH, DepEd, DSWD – in
partnership with LGUs. Children shall be provided with packages of
social and protection, health care and nutrition, and education. This also
covers the provision of disaster relief assistance and early recovery
program. Permanent evacuation and relief centers in areas which are
highly-prone to natural disasters and child-friendly spaces shall be
established. Family development sessions (FDS) shall be strengthened
and families affected by disasters and calamities shall be provided with
emergency shelter assistance/core shelter assistance, and cash for
work. Continuing trainings of LGUs on disaster risk reduction and
management shall be conducted.
e) Peace and development in conflict-affected areas where children are
most vulnerable can materialize with the implementation of the
government’s peace agreements with various groups. A national
system for Rapid Family Tracing and Reunification shall be developed
for displaced children, unaccompanied and separated. A National
Action Plan on Women Peace and Security shall be formulated.
1.8. Programs and Projects on Food Security, Nutrition, Health Care, Early
Child Development, Education, and Water, Sanitation and Hygiene
a) There are two major types of nutrition programs that will be pursued,
consistent with the Philippine Plan of Action on Nutrition (PPAN): (a)
nutrition-sensitive programs that address underlying effects of
malnutrition; and (b) nutrition-specific programs that address immediate
causes of malnutrition.
i. Nutrition-sensitive programs that shall be undertaken are
as follows: (a) Farm-to-market roads and child nutrition;
(b) Target Actions to Reduce Poverty and Generate
Economic Transformation (TARGET) and child nutrition;
(c) Coconut Rehabilitation Program; (d) Gulayan sa
Paaralan; (e) Diskwento caravans in depressed areas;
(f) Family Development Sessions; (g) Mainstreaming
nutrition in sustainable livelihood; (h) Public works
infrastructure and child nutrition; (i) Adolescent Health
and Nutrition Development and (j)
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Water, Sanitation and Hygiene ii. Nutrition-specific

programs that address immediate causes of malnutrition
include those that are identified in the Philippine Integrated
Management of Acute Malnutrition Program. The First 1,000
Days of Life is a major policy that shall include programs and
projects which shall focus on the strengthening and
promotion of the following: Mother-Baby-Friendly Health
Facility Initiative Certification and Accreditation,
communitybased complementary feeding practices,
breastfeeding in the workplace, breastfeeding both in the
government and private sectors, breastfeeding in public
places, and breastfeeding support for women in informal
economies and small-medium enterprises.
iii. Complementary, supplementary and feeding programs
and projects shall be implemented by different national
government agencies and the respective bureaus and
offices under them and in partnership with other
agencies, the LGUs and other non-government entities.
iv. Moderately acute malnutrition and severe acute
malnutrition shall be managed therapeutically with
provisions of “ready to use supplementary food” through
the Stunting and Low Birth Weight Prevention and Zero
Severe Acute Malnutrition Projects. Supplementary
feeding projects include the National
Dietary Supplementation Program, Micronutrient
Supplementation, and the Mandatory Food Fortification.
180-200-day feeding programs for underweight and
malnourished children include the expansion of Milk
Feeding (local dairy cooperatives) and the
Supplementary Feeding Programs in day care centers
and early childhood development centers and the School
Feeding Program. The ARMM shall pursue the
Bangsamoro Umpungan sa Nutrisyon Program
(BangUN), the Duterte administration’s flagship program
in combating hunger and malnutrition in the ARMM in
line with its theme of “reducing vulnerabilities of children
from hunger and malnutrition in the ARMM”.
b) Health care interventions are embodied in the National Health Plan
which is further articulated in related sub-plans that are critical to
reducing maternal and neonatal mortalities: (a) the National Safe
Motherhood Program which defines the policies and specific
interventions to reduce maternal mortality and improve maternal care,
and; (b) the Philippine New-born Action Plan.
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c) For new-born care: (a) Unang Yakap, for the continuing implementation
of the essential intrapartum and new-born care (EINC), lactation
management, and the care for the small baby package of interventions;
(b) human milk banking and network development for preterm, low birth
weight and sick new-born infants in neonatal care units; and (c) new-
born screening for the early detection and early intervention for the
prevention of disabilities. Child health care shall focus on decreasing
the prevalence of vaccine-preventable diseases and other diseases by
further strengthening the National Immunization Program (NIP) and the
Integrated Management of Childhood Illness (IMCI). Oral health care
shall, likewise, be continued.
d) Other communicable and water-borne diseases that affect mothers,
children and youth shall be prevented and interventions are detailed in
the National Sexually-Transmitted DiseasesHuman Immunodeficiency
Virus-Acute Immune Deficiency Syndrome (STD-HIV-AIDS)
Prevention and Control Program, National Tuberculosis Prevention and
Control Program, Water-borne Diseases Program, National Malaria
Prevention and Control Program, National Emerging and Remerging
Infectious Disease Prevention and Control Program and National
Hepatitis Prevention and Control Program.
e) The National Drug Rehabilitation Program shall be implemented
through the health sector’s Prevention and Treatment of Substance
Abuse Program and the DSWD’s Strategies toward Acceptance Reintegration and
Transformation (START) Program.
f) Early child development interventions that shall be pursued: putting in
place and enforcing quality standards and the accreditation of facilities
and venues that provide ECCD services; upgrading of existing public
day care system into national child development centers (NCDCs);
further expansion of LGU day care programs to achieve the target to
put up a day care center (DCC) in every barangay and provide
homebased day care services in remote and far-flung areas; and
scaling-up of ECCD programs of NGOs-CSOs. The professionalization
of ECCD service providers shall be promoted through the Early
Childhood Teacher Education Program and the training of child
development workers (CDWs) in the identification and profiling of
children with disabilities..
g) The education agenda shall focus on quality and inclusive basic
education. In its support, an inclusive education policy framework shall
be developed, spearheaded by the Department of Education together
with concerned agencies, to establish seamless strategies and
mechanisms to adequately respond to diverse learning needs. Gender
equality, nondiscriminatory policies and protection policies shall be
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mainstreamed in various interventions, learning and teaching methods

and materials, and school improvement plans and management.
h) The K to 12 program, the flagship program of the education sector, shall
be fully implemented. Culturally relevant Muslim education and
indigenous people’s education shall form part of the K to 12 curriculums
for Muslim and IP school children. Efforts to getting and keeping
children in school up to completion of basic education shall continue to
be intensified. Special education shall provide access to children with
special needs or those with disabilities.
i) A policy on Flexible Learning Options on alternative delivery modes
(ADMs) and alternative learning systems (ALS) shall continue to be
enhanced. Alternative Delivery Modes of education delivery in the
formal school system that are proven and effective modalities shall be
continued. These are the Enhanced Instructional Management by
Parents, community and Teachers (E-IMPACT), Modified In-School Off-
School Approach (MIMOSA), and Open High School Program (e.g.
Project Ease/home studies program/blended learning). Other programs
include multi-grade education for children learners in sparsely
populated, geographically isolated and disadvantaged areas (GIDAs),
education service contracting (ESC) that extends financial support to
private education for qualified junior high school students in public
schools and the technical vocational education and training (TVET) for
out-of-school children.
j) Innovative alternative learning system shall be developed and
introduced to cover those who are not reached by the formal basic
education system: introduction of ALS in drug rehabilitation centers,
alternative learning methods for GIDAs, as well as densely populated
areas, and establishing ALS in countries with undocumented Filipino
migrants where children do not have access to formal education. The
Basic Literacy Program, under the ALS, shall be delivered also through
a contracting scheme with qualified education service providers with the
use of government funds for field operations. ALS enrolees may be
enrolled in the Basic Literacy Program or the continuing education-
accreditation and equivalency (A&E) based on the results of their
functional literacy test.
k) Emphasis on curricular reform will be given to culture and the arts, drug
abuse prevention, reproductive health, gender, environment, disaster
risk reduction and management, climate change, and science and
technology. Furthermore, the curriculum will be made more
genderresponsive and relevant by contextualizing and localizing
lessons.
l) Waterless and poor communities shall be empowered to put up or
increase their access to water supply and sanitary facilities through
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Salin-Tubig and KC-NCDDP. Day care centers and schools shall be

provided with adequate potable water supply and sanitary facilities.
Hygiene practices shall be promoted. A WASH strategy shall be
pursued as a collaborative effort with different sectors and as a longterm
approach in the prevention and control of water-borne diseases.
1.9. Programs and Projects for Children in Need of Special Protection
a) The Philippine Program against Child Labor (PPACL) aims to achieve

a Child Labor-Free Philippines by aggressively expanding the creation
and accreditation of Child Labor-Free Barangays and Child LaborFree
Establishments. Project Angel Tree which provides an array of social
services that range from food, clothing, educational assistance or
school supplies made available by sponsors or benefactors (‘angels’) to
child laborers and their families shall be accelerated. Sagip Bata
Manggagawa (SBM), the inter-agency quick action mechanism to
respond to cases of child labor in extremely abject conditions in a timely
manner, shall be strengthened.
b) The program strategy to deter child trafficking shall be on the prevention
and suppression of trafficking in persons and the conduct of inter-
agency and police operations, through child desks in prosecution
offices, to intercept and rescue children from being trafficked and to
entrap criminal elements after surveillance. The Recovery and
Reintegration Program for Trafficked Persons (RRTP), a
comprehensive package of programs and services, enhancing the
psychosocial and economic needs of the beneficiaries shall be
implemented.
c) The Armed Forces of the Philippines (AFP) shall implement and enforce
its directives and circulars pertaining to recruitment of children by non-
state armed groups. More focussed interventions shall be on conflict-
sensitive peace promoting (CSSP) approach, protection and
empowerment of children in situations of armed conflict, and the rescue
of child soldiers who shall be provided with appropriate services and
interventions. The implementation of Executive Order (EO) No. 138 on
the Monitoring, Response and Reporting System of Grave Child Rights
Violation in Situations of Armed Conflict (MRRSGCRVSAC) shall be
accelerated.
d) The Philippine Plan of Action to End Violence Against Children
(PPAeVAC) shall focus on (a) parenting programs and positive
discipline; (b) teaching children and developing their skills and ability to
protect themselves from becoming victims of violence; (c) development
of a comprehensive, multi-sector, protective, mental, health, legal,
economic, and judicial response plan on VAC and a structure for its
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implementation; (d) provision of free legal counselling and multi-sector

services; and (e) establishment of a help hotline across the country.
e) A comprehensive national juvenile intervention program takes into
account the prevention, rehabilitation, diversion and reintegration of
children at-risk and in conflict with the law. Key program interventions
include: (a) policies, protocols and standards to provide a safe and
protective environment for CICL and CAR; (b) primary, secondary and
tertiary interventions to prevent children from committing criminal
offenses; (c) center-based services and residential care facilities
through Bahay Pag-Asa and Regional Rehabilitation Centers for the
Youth; (d) diversion programs to prevent children from committing
offenses against the law; and, (e) after-care programs. Agricultural
camps shall likewise be put up. More essentially, positive parenting and
life skills education and positive behaviour for children shall be
promoted.
f) Ending abuse and exploitation shall be pursued through stopping on-
line abuse and cyberbullying, quad media advocacy on
#StopChildPornPh Program, putting up a child-sensitive HELPLINE for
children and the provision of free legal counselling, advice and legal aid
to child victims of abuse, including case management support for those
who choose to file a case in court.
g) Basic services for street children shall be provided through modified
conditional cash transfers (MCCTs) for street families with children and
LGU-initiated projects.
h) Alternative parental care for abandoned and neglected children shall
continue to be provided through foster care and adoption programs
wherein children are legally adopted. A program shall be developed for
other children left behind, such as those whose parents are imprisoned,
those whose parents are overseas workers, and those whose parents
are soldiers killed in action, and those whose parents are drug
dependents.
1.10. Child Participation
a) The Philippines Child Participation Framework provides the policy

guidelines, standards and spaces for child participation. The 3rd
NPAC shall focus on more meaningful children and youth
participation in governance processes and in conflict affected
situations.
2. Senior Citizen or Elderly.
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The Philippines, like many developing countries, does not have sufficient government-
funded institutional support for its elderly population. The Filipino elderly have
historically been dependent on their children or co-resident kin for economic, social
and physical support. In a traditional Filipino family, grandparents are commonly seen
living with their children because they enjoy their remaining lives with their children and
grandchildren. The children, in particular, are expected to provide care and economic
security to their parents in old age.
Significant concerns of the elderly have only recently been offered serious
consideration. Perhaps because of the prevailing view that the local population is
generally a young one that the research community has yet to give close attention to
elderly issues. Some of the dominant issues are the following:
• First is the security in old age. Poverty is perceived as an obstacle to a

secured old age. As such, the current pension system in the Philippines
requires careful consideration and evaluation. The government offers
welfare services such as homes for the aged and Senior Citizens
Centers to better address the plight of the Filipino elderly. However, the
effectiveness of such welfare services can only be confirmed by the
level of satisfaction of their intended beneficiaries
• Second, occurrence of abuse committed against the elderly in homes
and in institutions. Abuse of the elderly may be in the form of physical
violence, psychological abuse, financial exploitation and neglect.
• Third is the health status of the elderly. As people age, their bodies
undergo changes which can make them less resistant to chronic,
debilitating and disabling conditions. Consequently, the elderly tend to
be more at high risk of developing disabilities and contracting diseases.
One of the challenges of older persons is age discrimination in health
care. Aged-based inequalities in clinical treatment partly stemmed from
the lack of geriatric doctors or gerontological training for medical staff.
Consequently, there is a lack of knowledge about the specific care
needs of the elderly.
• Fourth issue is the economic impact of ageing on overall welfare. Given
their increasing number, the elderly pose a great economic challenge
as their productivity declines. There is thus, a need for a strong
commitment and a comprehensive policy that would respond to the
various needs of the elderly.
2.1 The Philippine Plan of Action for Senior Citizen.
The Philippine Plan of Action for Senior Citizens (PPASC) 2012-2016 is a

timely and effective response of the Philippine government to respond to
various key issues related to population aging in the Philippines with a vision of
“a society for all ages where the senior citizens are empowered to achieve
active ageing”. Covering a five year period, the document serves as an
important guide to strategic policymakers and decision-makers. As the
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successor plan of the PPASC 2006-2010, the Philippine Plan of Action

20122016 builds on the achievements of the former plans while enhancing the
strategies and mechanisms for a more responsive actions given the emerging
challenges the senior citizens sector faces. There was no recent National Plan
of Action for Senior Citizen because it was already embedded in the Philippine
Development Plan as unifying policy framework of all sectors, but its important
to discuss this plan, although it was ended in 2016, because some of the
programs and services are still operational and sustained to support the welfare
of our elderly.
a) The Plan focuses on strengthening the collaboration of different

stakeholders and the senior citizens themselves to ensure
implementation of various programs and services for the elderly.
This Plan aims to be the blueprint in addressing the best
interests of the senior citizens through the implementation and
development of social protection programs and services senior
citizens. Through the Plan, the government and the private
sector is able to firm up its commitment to vigorously pursue
measures to address challenges of population ageing and
combat elderly poverty.
b) Consistent with the goals laid down in the Madrid International
Plan of Action on Ageing 2002 and the Macau Plan of Action on
Ageing in 1999, the PPASC has set the following goals:
i. To develop a holistic and multi-generational care
program for Senior Citizens with the
Filipino family network; ii. To ensure the priority
of community-based approaches which are gender-
responsive, with effective leadership and meaningful
participation of Senior Citizens in decisionmaking
processes, both in the contexts of family and
community;
iii. To ensure active ageing for Senior Citizens in a
society where preventive aspects of health are
granted in communities and where health
services are accessible, affordable and
available at all times; and
iv. To develop and enhance comprehensive
programs and policies on housing,
transportation, and build an environment for the
care and protection of Senior Citizens
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c) The PPASC 2012-2016 adopts the following three priority

directions laid down by the Shanghai Regional Implementation
Strategy on Ageing:
i. Senior Citizens and Development. This area
focuses on the strategies and solutions to
prevent isolation, neglect and abuse of senior
citizens, particularly: (i) mainstreaming the
concerns of senior citizens into development; (ii)
provision of social protection and security; (iii)
education; (iv) capability-building; (v)
employment and livelihood; (vi) promotion of
active ageing.
ii. Advancing Health and Well-being into Old Age.
This plan determines appropriate interventions
to advocate active ageing specifically to ensure
access to and availability of quality and
appropriate health and nutrition care services for
senior citizens.
iii. Ensuring Supportive and Enabling Environment.
The family being the sole institution in which care
for the elderly is outsourced undergoes pressure
as a result of urban and labor migration.
Therefore, the institution of family as a cradle of
care for the elderly should be reinforced, the
same with center and community-based
program approaches which will serve as
alternatives. Specifically this strategy aims to
provide (i) advocate for the passage of related
policies and legislations on senior citizens; (ii)
ensure that NGAs comply with 1% total budget
allocation for senior citizens; (iii) provide
capability building activities for families and care-
givers; (iv) strengthen community-based and
residential institutions, centers as well as
community support; (v) full compliance to the
provisions of RA 9994; and (vi) make consumer
services more accessible and responsive for
senior citizens.
d) Among the milestones of the PPASC includes:
i. The passage of the Republic Act No. 9994 or the
Expanded Senior Citizens Act in 2010 and the
formulation of its Implementing Rules and
Regulations
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ii. 85% of cities and municipalities in the country

have established functional OSCA from the
period 2006-2008. In 2013, 236 provinces/cities
and municipalities in the county have functional
Office of Senior Citizens Affairs (OSCA) in FOs
CAR, CARAGA, VI, X and XI. Also in 2013, a
total of 232 LGUs have been monitored with
established Senior Citizens Centers.
iii. Nine regions in the country have established and
operationalized a volunteer program for senior
citizens from 2006-2009
iv. Inclusion of the concerns of senior citizens
regarding poverty in Social Development or
Chapter 8 of the Philippine Development Plan
(PDP)
v. 80% of National Government Agencies have
designated their focal persons for senior citizens’
concerns and implementation of PPASC
vi. Eight Topics on the Elderly were identified in the
DSWD’s Research Agenda for CY 2010-2014
2.2. Programs and Services in Accordance to the PPASC.
a) One of the provisions of RA 9994 or the Expanded Senior

Citizens act of 2010 is for the DOH to administer free
vaccination against the influenza virus and pneumococcal
diseases for indigent senior citizens. The DOH in
coordination with local government units (LGUs), NGOs and
POs for senior citizens institutes a national health program
that provides an integrated health service for senior citizens.
It shall train community – based health workers among
senior citizens health personnel to specialize in the geriatric
care and health problems of senior citizens.
b) Long Term Care Service for Elderly. The DSWD programs
for the elderly include technical assistance, training, program
development, licensing and accreditation of welfare
agencies including public and private homes for the aged.
Programs and services planned for the elderly are based on
the following guiding principles:
• The individual elderly’s right to have access to
services and opportunities that will help him achieve
a productive, wholesome and satisfying life;
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• Family and community responsibility in recognizing

the potentials of elderly persons and the need to
provide opportunities to make minimum use of such
potentials;
• The government’s responsibility to provide basic and
essential services for the elderly’s well-being through
the provision of adequate care and relief from stress.
i. Residential Care Services (RCS). A 24-hour facility that
provides long term or temporary multi-disciplinary care to
senior citizens who are abandoned by their families or with
no significant others to provide the needed supervision and
supportive care. The services that will be provided includes
social services, health and medical services, psychological
services, skills training, group work activities, dietary
services, homelife / group living services, spiritual services,
and provision of assistive devices.
ii. Community-Based Services for Senior Citizens and their
Families. Refers to the programs and services rendered
when the helping process takes place in the community as
the primary client system or when social welfare and
development activities are provided to individuals, groups
and families while they remain in their own homes.
• Strengthening the organization of Senior Citizens
Association. Refers to the Organization /
strengthening of existing organization of people
aged 60 years old and above who shall be
provided with opportunities for participation,
conscientization, and action of senior citizens on
socio-political and economic endeavors
• Senior Citizens Center. The enactment into law
of the “Senior Citizens Center Act of the
Philippines”, ( R.A. No. 7876, An Act Establishing
A Senior Citizens Center in all Cities and
Municipalities of the Philippines and
Appropriating Funds Therefor) is indeed very
timely and significant given the different issues of
aging faced by our elderly today. R.A. 7876
upholds and recognizes the Senior Citizens’ right
to have access to vital facilities to be able to
achieve a more productive, healthful and
satisfying life. “Center” refers to the place
established in this Act with recreational,
educational, health and social programs and
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facilities designed for the full enjoyment and

benefit of the senior citizens in the city or
municipality.” The establishment of the centers
shall be jointly decided and implemented by the
Local Government Unit, Department of Social
Work and Development (DSWD) and
Federation of Senior Citizens Association of the
Philippines (FSCAP)
• The Senior Citizens Center aims to: (i) provide
opportunities where the senior citizens can
participate in economic and social development
activities in the country giving them feelings of
fulfillment and self-esteem; (ii) serve as a place
where the senior citizens share one’s knowledge,
expertise, experiences, time and financial
resources to help other needy people; (iii)
provide a venue for the social, recreational and
other needs that would suit the energy levels,
abilities and interests of the senior citizens
• The Senior Citizen Center shall serve as a focal
point in the delivery of integrated and
comprehensive social services to the senior
citizens. The DSWD in coordination with the
LGUs, Department of Health and other
nongovernment organizations shall provide the
necessary service to include but not limited to the
following:
 Social and recreational services such as
social interaction with peer counseling,
active participation in sports, recreation
and socio-cultural activities and holding of
special celebration to recognize the
contribution of the senior citizens.
 Health and personal care such as regular
physical and dental check-up, eye care,
lectures on proper health and nutrition
and how to grow old gracefully.
 Spiritual services such as bible studies,
special masses, retreats and other kinds
of religious services, preparation for
death and support services for the dying
and their families.
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 Livelihood services such as the

provisions of self-employment assistance
to supplement their earnings. This will
include the provision of small capital
loans or grants for their livelihood
projects.
 Volunteer resource services such as
identification/recruitment, training and
mobilization of Senior Citizens for
community volunteer works where they
can share their time talent, resources and
willingness to be involved in community
development.
 Other services which the DSWD and
other coordinating agencies may deem
necessary for the benefit of the senior
citizens.
iii. Home Care Support Service. This pertains to services

provided to senior citizens while in their homes such as
assisting senior citizens in their daily living activities; training
volunteers and family members on caregiving for senior
citizens; provision of assistive devices for senior citizens;
and community-based rehabilitative activities.
• Hospice Care Service. This service offers shelter
and care to weary-sick senior citizens.
• Foster Home. This is the provision of a planned
temporary alternative family care for older persons
who are abandoned, neglected, unattached from
the community or those in residential care facilities
but found eligible to benefit from the program. It
provides subsidies and care giver training for foster
families licensed by the DSWD.
• Family / Kinship Care. This is a form of foster care
which involves the placement of a senior citizen
under the care of his/her relatives and/or family
members. This includes provision of caregiving
training to the main family cared; establishing
community-based support system to prevent burn-
out of the cared; and prevent institutionalization of
the senior citizens.
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• Support Services for Caregivers. This refers to

capability-building and continuing education for
caregivers on care and management of older
persons and on burn-out prevention. It also seeks
to relieve caregivers/family cares of stress arising
from the responsibility of providing daily care. It
provides subsidies and allowances to volunteers in
the amount approved by the LGUs.
iv. Volunteer Resource Service (VRS). This encourages and

mobilizes individuals, interested groups and intermediaries
as well as able-bodied senior citizens to volunteer contribute
their time, skills and capabilities for the delivery of programs
/ services for the benefit of the impoverished senior citizens.
The components are the following:
• Friendly Visitor Service. This provides
opportunities for interested individuals,
organizations members of senior citizens
organizations and other sects to volunteer, visit,
befriend advise and assist senior citizens who are
either living on their own or in the residential care
or alternative care.
• Volunteer Companion Service. This encourages
volunteers to escort/accompany senior citizens
who would need to go to the hospital, church,
malls, and other public places. This service taps
the National Student Training Program (NSTP)
students as volunteers to which the DSWD
provides orientation and basic training.
• Inter-Generational Service. This provides
opportunities for the young and old to interact and
mutually learn from each other. The senior
citizens act as resource persons for the younger
generation, sharing their vast experiences and
insights. The LGUs and OSCA facilitates
memorandum of agreements with schools to allow
volunteer senior citizens to act as resource
persons on particular subject or topics or mentor
pupils who are slow learners. The Integrated Day
Services for Senior Citizens and Children
provides an integrated and comprehensive social
services for older persons and pre-schoolers
where intergenerational approaches and
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strategies would bridge the gap between

generations.
v. Assistance to Individuals in Crisis Situation (AICS). AICS is
the provision of assistance to individuals and families in
crisis situation, which include but are not limited to, medical,
transportation, burial, referral, and counseling services.
AICS is being provided through the Crisis Intervention Unit
(CIU). A special unit in the DSWD located in Field Offices
which serves as an action center to immediately responds to
cases of individuals families in crisis situation.
vi. Social Pension for Indigent Senior Citizens. Indigent senior
citizens shall be entitled to a monthly stipend amounting to
Php 500.00 to augment the daily subsistence and other
medical needs of senior citizens. Social Pension Program
for Senior Citizens. was designed to protect indigent senior
citizens from the loss of income and unemployment as a
result of illness, injury, disability, harvest failure, and other
circumstances. This program fulfills the obligation of the
government to protect the most vulnerable sector through
social protection and the full implementation of RA 9994 or
the Expanded Senior Citizens Act of 2010.
3.0. Women
3.1. Plan Framework of the Philippine Plan for Gender-Responsive Development

1995-2025.
The Philippine Plan for Gender-Responsive Development (PPGD) rests on a

vision of development that is equitable, sustainable, free from violence,
respectful of human rights, supportive of self-determination and actualization of
human potentials, and participatory and empowering. It places people at the
center and aims to make development works for all groups. However, it
recognizes that discrimination exists on the basis of gender, class and ethnicity.
In the light of historical gender inequalities and inequities, it puts greater
emphasis on women as a disadvantaged group.
Basic Goals, National Strategies and Policies. The task integrating

women’s concern at all levels of development planning and
implementation requires a multi-sided approach which rests heavily on
national commitment and political will, relevant and effective policies and
programs, the provision of adequate resources, efficient monitoring and
women’s participation. The PPGD must address concerns for women
equality and development across six major spheres: individual, family,
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socio-cultural, economic, and political and legal But across each of these
spheres, three basic goals must cut through.
i. First, the establishment of mechanisms/structures for

gender-responsive policy and program formulation and
implementation. This would include coordination among
government agencies with NGOs, institutionalizing
sexdisaggregated data bases, mainstreaming of gender
issues in all aspects of government concerns.
ii. Second, special attention must be placed on women in
special circumstances and manner in which their
circumstances are aggravated by other national policies
and programs. Specifically, this would refer to
victim/survivors of violence and armed conflict, as well
as special sectors of women namely prostituted
populations, adolescents, women with disabilities,
indigenous women and migrant women.
iii. The third goal is continuing conscious-raising, advocacy
and affirmative action. These would entail training and
other educational programs, information dissemination,
research and documentation, and a concrete plan for
revision or creation of genderresponsive laws
a) Individual.
Precisely because of the role of differentiations of between men and
women that developed as a result of historical circumstances, most
women learned to view their own self-worth as being lower than that of
their male counterparts. This is specially true among poorer sectors of
the population. Thus, a primary task must be to ensure each woman’s
individual personal development.
The PPGD must aim to alter the traditional concept of women’s self-
worth as being subordinate to men. Such transformation requires a
commitment to one’s own personal growth, both intellectually and
cratively. This includes the motivation to care for one’s self, especially
among poor women whose usual practice is to put their health concerns
as a last priority. This results in women going for medical care only when
illness is no longer preventable. Because of the huge percentage of
poor women in the country, it is of primary importance to provide training
programs that women can use for preventive medicine as well as to gain
some degree of control over their own bodies.
Since women have remained largely uncritical of their subordinate role
in society, much emphasis will be placed in consciousness-raising
which should be aimed at enhancing their own self-concept and
enabling them to actively participate in local and national development.
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Every increase is awareness should also be translated into strength and

capacity to asserts one’s right. Such a process will result in women who
are able to define their own problems, determine feasible solutions and
affect the direction of their own future, neither as self-serving individuals
nor as mere extension of their reproductive roles but as whole human
beings.
To attain the goal of personal development, three main thrusts are
necessary.
i. Sufficient support mechanisms, such as child care support
systems, must be provided free for women’s time and enable
them to acknowledge their own selfworth ii. Programs must be
created to enhance the capacity of women to develop their full
potentials
iii. Concrete manifestations of attainable goals must be given.
These must take the form of propagating women role
models, making certain, however, that these do not
generate into token examples of women’s equality. At
the same time, there must be a conscious advocacy for
a modification of the qualities and characteristics that are
emphasized in projecting model women like mothers,
martyrs and other achievers.
b) Family
At the base of all the goals that relate to women within the sphere of
the family is the necessity for Filipinos to recognize and acknowledge
child-bearing and rearing as vital social functions. For as reproduction
is viewed as being of secondary importance to production, women will
continue to be subordinate to men. A genuine realization of the value of
reproductive sphere will naturally engender more ideal and more equal
relations within the family. Concretely, the goal is to encourage the
formation of families that are characterized by a sharing of
responsibilities, from parenting to breadwinning to domestic work.
In this aspect of share parenting, attention must also be placed on
ensuring a non-sexist rearing of children whereby daughters and sons
are trained in the same manner, sex biases in issue like career choice
and personality traits are avoided, and equal opportunities are made
available by both parents. In order to ease the burden of housework,
government must ensure promotion of research and development of
affordable and efficient technology as well as provision of basic utilities
like water and electricity. The participation of women in housing
programs form design to implementation as well as the re-orientation of
the entire concept of housing program must also be paid attention to.
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While all these are directed towards the strengthening of family

foundation, there will be always be problem areas in families which
require intervention. Institutional support and facilities, like counselling
must be provided both as preventive measures to family breakdown and
to resolve family problems.
Special attention must also be given to the real, although hidden,
problem of violence in the family. This must start with attitudinal change
by accepting the appropriateness of external support especially in the
case of wife-battering, rape and incest. Many of women, because of the
stigma attached to sex crimes as well as because of the tendency to
accept this as part of women’s burden, tend to keep such experience
unknown to others and even refuse external support. In addition to
attitudinal change, there is a need to alter conditions the reinforce the
refusal of external support. Society must learn erase the stigma that is
usually attached to women involve in crimes against chastity. Ironically,
in cases of rape and even incest and wife-battering, the woman who is
the victim is not accorded with the same compassion as victims of other
crimes. Rather, the woman is stigmatized as though she was to be
blamed for the crim rather than the victim.
Court proceedings dealing with these crimes require
modification such that women are protected from further violence.
Concrete programs for institutional support for women victims of
violence are urgently needed.
c) Socio-cultural
Since subordination of women is largely sustained by values and
norms prevalent in society, consciousness-raising has to be
emphasized. Programs aimed at women must confront the prevalent
views that are held by both women and men that serve to reproduce
acts of discrimination against women.
The educational system plays a crucial role in this regard. Nonsexist
education must be instilled. Textbooks and school curricula need to be
analyzed and shorn of discriminatory stereotyping, language and career
options. Children who are reared in an educational system that
recognized the quality of sexes will invariably have a tremendous impact
on the full development of each human being.
Urgent attention must be given to women’s health, nutrition and family
planning. Unless these are prioritized, the cause of gender equality will
continue to be flounder. Women’s health programs which are usually
are targeted only to women of childbearing age manifest limited
perspective that is used for women. Finally, family planning and
reproductive health must be viewed primarily as basic rights of women
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rather than simply as requirement that is necessary for national

economic development.
The media- print out and broadcast – are also very instrumental for
reinforcing or changing status of women. Stereotyped images of women
which are so prevalent today serve to subjugate women, confine them
to traditional sex roles and even provide the justification for women’s
subordination. Such situation is reflected further in the entertainment
and advertising industries where women are trivialized and doomed to
be portrayed as sex objects. In a very real sense, such as milieu
drastically affects women artists because they to overcome the bias that
relegate women to being objects and subjects rather than equally
talented and creators of art. A strong advocacy for women in media,
recognizing especially the degree of influence it has over society; is a
necessary component of any attempt to conform the problems that
women face.
There is an urgent need to examine discrimination against women in
religious tenets and institutions. Like education and the media, religion
is one of the socio-cultural institutions that have a tremendous impact
on national perspective and their consequent effect on values and
behavior. Harnessing the potential of religious institutions is crucial
factor for the cause of equality and development for women.
Finally, hand in hand with changes in socio-cultural milieu deal with
consciousness and attitude change, are the urgent support systems
that need to be instituted to support the development of women toward
achieving gender equality. Most important would be childcare support
systems like daycare centers, without which women are invariably tied
down to housework.
d) Economic
Economic policies that relate to production, distribution and consumption
must be assessed in terms of gender-responsiveness. On the production
side, two specific areas are crucial: employment and training/education.
With regards to the latter, mechanisms should be created to ensure equal
opportunities to both men and women in formal/nonformal education and
on-the-job training. The acquisition of nontraditional skills for women must
also be given attention. Recognizing the childbearing function of women,
training programs for women must be set up in order to ease their re-entry
into the labor force after the childbearing/rearing period.
With regard to employment, the primary principle must be upheld is that

of equal pay of work of equal value. Affirmative action programs for women
must be instituted especially in the area of consciousness goal-setting to
change the pattern of sex discrimination in hiring and promotion. In relation
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to this, a complete understanding and recognition of the biological function

of women in society is necessary in order to ensure that special needs of
women with regard to maternity benefits and the like are shared by the
wider society.
A very crucial aspect of economy related to the creation of institutional

support and programs that will encourage greater participation of women in
production and distribution. One important component of such support is
the provision of credit status of women. Similarly, social credit systems will
go a long way towards mobilizing the full potential of women.
Women-friendly technology and infrastructure as well as the role of

women in environmental protection must be attended to. In the final
analysis, women are crucial contributors not only to the economy as whole
but also the thrust of minimizing environmental degradation.
Finally, since women are largely responsible for consumption in the

home, they must be afforded with greater participation in decisionmaking,
especially with regard to prices of commodities.
e) Political
The empowerment of women through their full participation in political
processes and structure is the main political goal for women. The
exercise of political rights, the participation and determination of laws
and policies must not be limited to traditional concern for women. While
these will take on some primacy, as equal human beings, women
should participate in issues that are usually associated primarily with
men. Special mentions must be made of issues like peace and ecology
which already occupy women’ attention.
Full participation, however, is dependent upon literacy and provision of

popular education both women and men. As such, attention must be
devoted to ensuring that the backbone of popular participation – literacy,
information and education – is made available to all.
Finally, as an added impetus to equality and development of women,

government must engage in affirmative action programs as in the case
of women’s participation in Congress and the local governments, the
judiciary, unions and the like, as well as the encouragement of the
formation and strengthening of women’s organizations so as to afford
them an equal say in decision-making. In this regard, a specific priority
should be voter education and the ultimate creation of women’s vote
that can help along policies and laws aimed at gender equality.
f) Legal
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Since law is the reflection of the goals and aspiration of any societies, the
concern of women’s equality and development should be incorporated in
the legal system. Specifically, this would require the formulation of concrete
legal basis for the standard set to ensure equal rights between women and
men. This is particularly important to the areas of property rights, citizenship
rights, safety standards and equal opportunities.
Legal sanctions must be instituted to promote and to protect equal

employment opportunities for women. In addition, protective legislation is
necessary for employed women so that child-bearing function of women is
given special consideration as, for instance, maternity benefits and non-
exposure to harmful chemical, etc.
To ensure that such laws are implemented, government must provide for
legal literacy for both women and men. This condition is critical component
in empowering human beings as well as creating conditions for the full
implementation of the law.
As conclusion, the PPGD is a plan that will evolve through years depending
upon breakthroughs that are achieved the obstacles emerge. In the final
analysis, a plan is only as good as its implementation is only as good as the
will, the resources, and the people who choose to undertake the plan in its
concrete form. While much have been achieved, much more is left to be
done. The purpose of this section is to outline the framework that govern
the plan itself.
3.2. The Women’s Empowerment, Development and Gender Equality Plan 2013–
2016
The Women’s EDGE Plan 2013–2016 (Women’s EDGE Plan, or the

Plan), is the gender equality guiding plan of the Philippine Development Plan
2011–2016. It is the second (2nd) Framework Plan for Women and the second
time-slice plan of the Philippine Plan for Gender-Responsive Development
(PPGD 1995– 2025). The first (1st) Framework Plan for Women, the first time-
slice plan of the PPGD 1995–2025, was implemented during the period 2004–
2010.
The Women’s EDGE Plan responds to the commitment to realizing the

Presidential gender vision: “From a lack of concern for gender disparities and
shortfalls to the promotion of equal gender opportunity in all spheres of public
policies and programs . . .” (Philippine Development Plan 2011−2016, page
398.
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The PDP seeks to mainstream this gender commitment in the different sector
goals, objectives, and strategies, although in varying degrees and levels of
integration. In explaining “Gender Roles in Governance Structures,” it
recognizes that “the challenge remains for government to ensure statutory
mandates relating to gender and development [GAD] concerns are observed
and implemented efficiently and effectively by all concerned sectors” (ibid.,
214). The PDP also acknowledges the gains made in legislation, referring in
particular to the Magna Carta of Women (Republic Act [RA] No. 9710), which
became law in 2009.1 It reiterates GAD mainstreaming in government planning
and budgeting, and the inclusion of GAD budget allocation of all government
agencies and local government units (LGUs) in the annual General
Appropriations Act (GAA).
In implementing the PDP, the government is committed to fulfilling the

President’s social contract, including working toward gender equality. The
Women’s EDGE Plan serves to guide the achievement of gender-focused
goals and objectives, defining the responses appropriate for government as the
primary duty-bearer, together with civil society partners and claim-holders.
Implementing the Plan alongside the PDP will ensure monitoring of the
accountability of government agencies for attaining gender equality goals and
carrying out gender-responsive strategies that have been mainstreamed in the
sector-specific plans of the PDP.
a) Policy Mandate for the Women’s EDGE Plan. Given its thematic and
sectoral priorities, the Women’s EDGE Plan embodies several laws and
policies intended to address gender disparities. It provides the platform
for implementing these laws and policies and monitoring and evaluating
their implementation against the envisioned gender equality results and
outcomes of the Plan. Principal among these laws and policies are those
that focus on gender equality and women’s empowerment, which the
Philippines has committed to implementing. These are briefly discussed
below.
i. The Philippine Plan for Gender-Responsive
Development 1995−2025. The PPGD 1995−2025 is the
thirty-year long-term perspective plan that carries the
country’s long-term vision of women’s empowerment
and gender equality. It mandates every government
administration to develop time-bound framework plans
for women.
ii. The Magna Carta of Women. The Magna Carta of
Women (MCW, or RA 9710), a watershed legislation
signed into law on 14 August 2009, reiterates the
Constitutional policy declaring: “the State affirms the role
of women in nation building and ensures the substantive
equality of women and men.” Defining, recognizing, and
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upholding the human rights of women the MCW

implements the Convention on the Elimination of
Discrimination against Women (CEDAW), which seeks
to eliminate discrimination by dismantling social
structures, such as laws and institutions, that treat
women unequally and bar them from attaining their full
human development. As a rights-based law, the MCW
brings to sharper focus the responsibilities of two groups
of human rights stakeholders that are major
implementers of the Plan:
1. Rights-holders, who are all Filipino women. Among
the women population, a greater number belongs to
the poor and marginalized sectors, whose rights in all
spheres or aspects of life — civil, social, cultural,
political, and economic — are threatened and
disregarded by the powerful sectors of society. Key
to claiming their rights is their own capacity to think,
act, organize, and advocate these rights.
2. Primary duty-bearers, which comprise the state, with
all its agencies and instrumentalities. Their main
mandate is to respect, protect, promote, and fulfill the
rights of women in all spheres of life. iii. The UN
Convention on the Elimination of All Forms of
Discrimination against Women. An active member of
the United Nations, the Philippines is a signatory and
state party to major international human rights
treaties, including CEDAW. The Women’s EDGE
Plan is intended to catalyze the more comprehensive
national implementation of CEDAW, particularly in
terms of eliminating discriminatory values and
practices and progressively realizing women’s
human rights in the political, economic, and
sociopolitical spheres.
Aside from CEDAW, the Plan pursues the realization of
the country’s commitments to other international
conventions and agreements as well as their gender
equality and women’s empowerment provisions. In
particular, it focuses on the goals enshrined in the Beijing
Platform for Action (BPfA), the Millennium Development
Goals (MDGs), and Agenda 21 (Global Action for
Women towards Sustainable and Equitable
Development).
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b) Coverage of the Plan The Women’s EDGE Plan consists of five main
parts or strategic goal areas that have been identified based on the
priorities of the MCW, PPGD 1995−2025, and government commitments
to CEDAW.
Part 1: Women’s Economic Empowerment.
• Formal Labor
• Migrant Workers
• Informal Economies and Micro, Small, and Medium
Enterprises
• Agriculture, Fisheries, and Forestry
Part 2: Women’s Social Development Rights

• Health and Nutrition
• Education
• Housing
• Vulnerable Groups (women and girls with disabilities,
women in detention, senior citizens, and lesbians,
gays, bisexuals, and transgender persons)
• Indigenous Women and Girls
• Muslim Women and Girls
Part 3: Gender in Security, Justice and Peace
• Protection and Access to Justice
• Peace and Security
Part 4: Gender in Environment
• Environment, Biodiversity, Climate Change, and
Disaster Risk Reduction
Part 5: Gender Responsive Governance
• Empowerment and Gender Equality in Civil Service
• Politics and Governance
• Culture, the Arts, and Popular Media
3.3. National Action Plan on Women, Peace and Security 2017-2022
1. Substantive Pillar 1: Empowerment and Participation

Outcome Statement: Women and girls, through meaningful participation
and leadership, are active change agents in conflict transformation and
post-conflict development.
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Overall Strategy: Application of the gender approach in all procedures

and mechanisms of the peace process, including post-reconstruction
that seeks to address gender inequalities in the politico economic lives
of women as well as institutional reforms in the security sector to
improve the status of women.
a. Action Point 1: Gender perspective integrated in Track 1/formal

peace process.
i. Women occupy leadership positions in peace panels,
peace agreement implementation, and other peace
mechanisms. ii. Gender and women’s political and
economic empowerment provisions are explicitly included in
peace agreements, blue prints, and mechanisms for
implementation.
iii. The NSC WPS serving as the advisory body to oversee
the integration of gender in the peace negotiations,
agreements, blueprints and mechanisms for
implementation
b. Action Point 2: Women’s participation and leadership in Tracks
2 and 3 peace process.
i. Peace process supported by civil society and grassroots
women’s constituency. IMPACT STATEMENT:
Contributed to the expansion of women’s role in the
peace process and conflict transformation and to the
protection of their human rights in conflict situations 13.
ii. Women from conflict-affected/vulnerable communities
capacitated on peace, human rights, governance, and
economic empowerment.
c. Action Point 3: Actively engaged with peace, human rights, and
women CSOs and grassroots women.
i. Awareness raising initiatives of CSOs with regard to
women, peace and security (WPS), CEDAW General
Recommendation 30, NAP WPS, Magna Carta of
Women (specific to armed conflict and peace and
economic and political empowerment in post-conflict
reconstruction supported.
ii. Practice of regular dialogue, consultation with, and
feedback from CSOs and grassroots women
institutionalized
d. Action Point 4: Addressed gender inequality in productive and
reproductive labor as well as in land and property rights to
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enable women to actively participate during post-conflict

reconstruction.
i. Supported grassroots women’s economic
empowerment initiatives.
ii. Awareness raising on women’s economic rights
conducted at the grassroots level
e. Action Point 5: Improved the role and status of women in the
security sector.
i. Policy and comprehensive programmatic design
formulated for the recruitment, training, deployment, and
career-pathing of women in the military and the police.
ii. Enabling institutional mechanisms for the strategic
maximization of women’s contribution in the security
sector created.
iii. Increased the number of women in decision-making
positions in the military and the police
iv. Increased the number of women in leadership positions
specific to in civil-military operations (CMO) and
community-police relations (CPR).
v. Increased number of women participating in
international committees and inter-state initiatives (e.g.
UN Peacekeeping, ASEANAPOL, INTERPOL etc.)
related to gender, conflict-related sexual and
genderbased violence (SGBV) and human trafficking,
and WPS.
2. Substantive Pillar 2: Protection and Prevention
Outcome Statement: Human rights of women and girls are protected at
all times — before, during, and after various conflict situations — and
incidence violence against women (VAW) that violate human rights and
international humanitarian law are prevented.
Overall Strategy: Integration of NAP WPS in the framework of disaster
and risk reduction and management, particularly, in
conflictaffected/prone areas and development of a comprehensive
gender and culturally-sensitive inter-agency humanitarian protection
and rehabilitation program that specifically highlights the context of
various conflict situations and the vulnerabilities of women.
a. Action Point 6: Women and girls affected and displaced by and
vulnerable to different forms of conflict (i.e. vertical and
horizontal) provided with immediate and sustained protection
from violence.
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i. Areas affected and/or prone to conflict situations

brought about by insurgency, tribal wars, rido,
communal conflict, criminal violence, violent extremism,
terrorism, and complex emergencies (i.e. conflict
affected/vulnerable areas prone to natural disasters)
and possible vulnerabilities of women in these contexts
identified.
ii. Gender and culturally-sensitive quick response (QR)
humanitarian relief and assistance for displaced women
and girls standardized by relevant frontline agencies.
iii. Gender and culturally- sensitive protection/security
mechanisms for displaced women and girls, including
those staying with relatives and friends, established by
relevant frontline agencies.
iv. ‘Women-child-friendly spaces’ (WCFS) in all evacuation
areas and internally displaced peoples (IDP) camps
established as a standard procedure.
v. Culturally-sensitive guidelines for responding to conflict-
related SGBV (i.e. forms of VAW directly resulting from
the situation of 15 conflict such as trafficking, rape,
sexual harassment, etc.) developed by relevant NGAs
and LGUs.
b. Action Point 7: Women and girls affected and displaced by and
vulnerable to different forms of conflict (i.e. vertical and
horizontal) have expeditious access to healing and services.
i. Comprehensive gender and culturally-sensitive
humanitarian rehabilitation and recovery program with
particular focus on shelter, health (including
psychosocial programs), social health insurance,
livelihood, and educational support implemented by
relevant agencies.
ii. Women Peace Centers (WPC) catering to the needs of
women and girls from conflict-affected/vulnerable
communities are established in various PAMANA
Provincial LGUs.
c. Action Point 8: Women and girls who were victims of
conflictrelated (i.e. vertical and horizontal) violence have access
to legal remedies, including transitional and restorative justice.
i. Immediate and efficient reporting/documentation,
investigation, and prosecution of conflict-related VAW,
including rape, prostitution, trafficking practiced. As
and/or if possible, this shall include data gathering on
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VAW for on-going conflicts that have been amicably

settled at the local levels as well as those resolved
through traditional/ customary laws.
ii. Gender and culturally-sensitive legal assistance
program are provided for women and girls who
experienced conflict-related VAW.
iii. Inclusion of gender and transitional justice in negotiated
peace agreements as well as in mechanisms relevant to
the implementation of closure agreements.
iv. Implementation of the gender-specific
recommendations of the Transitional Justice and
Reconciliation Commission (TJRC) on the
Bangsamoro, particularly, those related to emblematic
mass atrocity 16 crimes committed against Moro and
indigenous women and those pertaining to reparation
and land rights.
v. Appropriate gender-sensitive protocols in handling of
captured, arrested, and surrendered women rebels and
political detainees drafted.
d. Action Point 9: Women from frontline agencies deployed in
conflict-affected/ prone areas as well as situations of complex
emergencies have access to security and protection.
i. Deployment protocols and coordinating mechanism to
ensure the physical security of women from frontline
agencies developed.
e. Action Point 10: Preventive mechanisms and early warning
systems in place for women and girls to avert conflict-related
violence.
i. Initiatives on gender, peace, security, and human rights
aimed at building an enabling environment for peace
through formal, nonformal, indigenous/cultural
education supported.
ii. Capacities of women on community-based early
warning protocols and monitoring at the grassroots level
developed.
iii. Initiatives to address the proliferation of small arms and
light weapons, including in the context of peace
agreements (i.e. normalization; end of hostilities,
disposition of firearms, disarmament, demobilization,
and reintegration) are strengthened.
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f. Action Point 11: Women and girls as former rebels and/or as

members of former combatant families benefiting from
reintegration, rehabilitation, and normalization programs.
i. Former rebel women and girls as female combatants and
women and girls as members of former rebel families
accessing shelter, health, social health insurance, livelihood,
and educational support.
g. Action Point 12: Needs of children born from conflict-related
rape are addressed.
i. Documentation, protection, and provision for psychosocial
support, healing and development programs and access
to justice for children born of conflict-related rape.
3. Support Pillar 3: Promotion and Mainstreaming

Outcome Statement: Gender perspective mainstreamed in all initiatives
geared toward conflict prevention and resolution as well as peace
building and conflict transformation.
Overall Strategy: Full implementation of NAP WPS in all relevant
mechanisms at the national and local levels (i.e. GPBs, GAD ARs,
national and subnational peace and order/development/natural disaster
councils); formulation and/or review of policies and action plans by all
implementing NGAs, LGUs, and inter-agency bodies; and development
of comprehensive capacity development programs on relevant WPS
topics
a) Action Point 13: Sustained awareness and understanding of duty
bearers on NAP WPS through its integration in the GAD Framework.
i. Evidence-informed development and
implementation of a policy mandate and mechanism
on NAP WPS within the various
agencies’ gender mainstreaming initiatives
ii. Development and implementation of individual
agency NAP WPS policy and programs within their
respective GPBs.
iii. Continuous and progressive capacity development
programs, particularly, those specific to WPS,
CEDAW General Recommendation 30, NAP WPS,
Magna Carta of Women (i.e. relevant provisions on
armed conflict and peace), economic and political
empowerment of women in post-conflict
reconstruction, and gender and transitional justice.
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iv. Establishment of WPS Resource Pool (i.e. group of

trainers within the organization as well as a group of
inter-agency trainers).
v. Capacitation of all GAD Focal Persons on NAP
WPS.
b) Action Point 14: Mainstreaming of NAP WPS in existing relevant
national and local mechanisms.
i. Institutionalization of the inclusion of NAP WPS in
GPBs and GAD ARS.
ii. Agency policy and programmatic review and
enhancement.
iii. Sub-national (i.e. regional, provincial, municipal/city,
and barangay) Peace and Order Councils (POCs)
involved in the implementation of NAP WPS.
iv. Integration of NAP WPS framework in
humanitarian/natural disaster and complex
emergency plans.
v.Integration of NAP WPS framework in
humanitarian/natural disaster and complex
emergency plans.
c) Action Point 15:Engage Executive, Legislative, and Judicial
branches of government both at the national and local levels in the
implementation of the NAP WPS.
i. Formulated a specific policy (i.e. EO) on the
implementation of the NAP WPS.
ii. Interfaced with House and Senate Committees on
Peace on the implementation of the NAP WPS.
iii. Capacity development for the Judiciary on women’s
human rights in vertical and horizontal conflict
situations conducted
d) Action Point 16: Multi-level implementation of WPS.
i. WPS Action Plans at the level of NGAs (i.e NSC
WPS and relevant PAMANA implementing
agencies) created.
ii. Regional, provincial, and local Action Plans on WPS
that shall reflect the unique peace and security
context, concerns, and contributions of women (e.g.
ARMM RAP WPS) drafted.
Support Pillar 4: Monitoring and Evaluation
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Outcome Statement: Ensure the accountability in implementing women,

peace and security interventions through the development of a
comprehensive system to document, monitor, evaluate, and report the
implementation of the NAP WPS using evidence-informed tools and
enabling mechanisms.
Overall Strategy: Development of specific NAP WPS monitoring and
evaluation (M & E).
a) Action Point 17:Institutionalization of a comprehensive and
systematic M & E mechanism for NAP WPS.
i. Sex-and-conflict disaggregation of data
practiced by relevant agencies.
ii. Existing M&E mechanisms harmonized. iii.
Creation of a NAP WPS data base.
iv. Inter-link Country Reports on CEDAW, BPFA, WPS,
SDG 16 specific to women in conflictsituations and
peacebuilding, peacekeeping, and peacemaking as
well as conflict prevention, resolutions, and
transformation.
v. Institutionalization of regular reporting (i.e. issuance
of semi-annual progress reports) internally to the
NSC WPS and externally to other publics (i.e. House
and Senate Committees on Peace, civil society
forum).
vi. Report on Overseas Development Assistance (ODA)
support for NAP WPS initiatives.
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3.4. Strategic Plan on Violence Against Women and Their Children 2017-2022
This 2017-2022 Strategic Plan of the Inter-Agency Council on Violence Against

Women and their Children (IACVAWC) succeeds the Strategic Plan
2014-2016 as IACVAWC’s guide in pursuing its mandate under Republic Act
9262 or the Anti-Violence Against Women and their Children Act passed in
2004.
In line with its mandate, the IACVAWC Strategic Plan is focused on the
implementation of Republic Act 9262 entitled Anti-Violence Against Women
and their Children Act of 2004. However, cognizant of the fact that intimate
partner violence is within the purview of women’s human rights where various
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forms of violations are strongly influenced by and closely connected to other

forms of VAW, the Council has decided to consider other forms of VAW and to
strengthen its coordination with related mechanisms such as with the
InterAgency Council Against Trafficking (IACAT), the Inter-Agency Council
Against Child Pornography (IACACP) and with other human rights mechanisms
at national and sub-national levels.
Central to addressing VAW is prevention and quality response to victims driven

by an efficient coordination mechanism at national and local level. Thus, the
main goal of the plan is an “improved strategy towards a violence-free
community through more systematic primary prevention, accessible and
effective response system and strengthened functional mechanisms for
coordination, planning, implementation, monitoring, evaluation and reporting.”
Accordingly, the plan is presented along the three key result areas (KRA) of
primary prevention, response system and cross-cutting structures and actions,
to put emphasis on the distinct but mutually reinforcing aspects of VAW
prevention and response. Each KRA focuses on priority issues and a key
objective for the strategies that are expected to address the issues.
The Plan recognizes the intersecting forms of violence particularly suffered by

women who are marginalized and vulnerable, such as poor women, indigenous
women, women with disabilities and women who are less educated and are
living in remote areas hardly reached by information and services. To track the
Plan’s responsiveness in these groups, the outcome indicators require data
disaggregation for poor and marginalized women, persons with disabilities
(PWDs), IP women and other sectors. Thus, the Plan stresses the role of
empowerment at all levels, beginning with women’s empowerment, through
better information, more responsive services and more consultative processes
of planning and monitoring of programs. Building the capacities of service
providers, heavily stressed in the response strategy is expected to contribute
to quality and more empowering delivery or services.
Vital to building the capacities of service providers is a deeper understanding

of the law and its focus on intimate partner violence as a gender-based
violence, committed against women because they are women and persistence
of society’s patriarchal view of women as weaker and more inferior to men.
Intimate partner violence constitutes more than 80 per cent of all forms of
violence committed against women reported by the police every year.
Feedback and monitoring the effectiveness and responsiveness of the strategy

will be an important aspect of plan implementation. With clear outcome
indicators and targets defined by the Plan, agencies are expected to constantly
monitor and ensure that their programs, projects and activities contribute to
realizing these objectives and targets.
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As the driving force in the successful implementation of the plan, the

IACVAWC is challenged to improve its leadership and coordination with the
various agencies and mechanisms involved in the different aspects of
prevention and response. The Plan includes recommendations and proposals
to strengthen its work in steering the strategy towards its vision and goal. The
Secretariat, an important technical and administrative support to the Council,
will also be strengthened.
a) Strategic Directions and Plan Matrix. The same Key Result Areas
(KRAs) from the previous plan, 2014-2016, namely: Primary
Prevention, Response System, and Cross-Cutting Structures and
Actions were adopted for the Third Strategic Plan. This plan outlines
the identified issues, objectives, and targets, including key
strategies, programs, projects, and activities by KRA for the period
of 2017-2022. In cooperation with other stakeholders from GOs,
NGOs/CSOs, and Faith-Based Organizations, these will be pursued
during the term of President Rodrigo R. Duterte.
o Vision. A gender-fair and violence-free community where
women and their children are empowered.
o Goal. Improved strategy towards a violence-free community
through more systematic primary prevention, accessible and
effective response system, and strengthened functional
mechanisms for coordination, planning, implementation,
monitoring, evaluation, and reporting.
i. KRA1: Primary Prevention. Under this KRA, all strategies and
programs are directed at preventing violence against women
from happening. This covers information and awareness
campaigns to inform women and the general public that VAW is
a violation of women’s human rights and therefore should not be
tolerated in both public and domestic spheres. Hopefully, with
sustained and consistent advocacy efforts, the occurrence of
VAW will be reduced significantly and eventually influence the
individuals’ pattern of behavior towards women. Another
important component under primary prevention is the integration
of VAW core messages in school curricula and learning
materials at all levels.
o Priority Issues:
1. Advocacy on VAW is seasonal or periodic
2. Lack of target-specific advocacy activities for high-risk
population segments
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satisfaction)
Strategies/Programs/Activities Lead Partners

PCW Council
Member
Develop
and
Impleme
PCOO,
2017-2018 OPAPP
1. Preparation and implementation of an ADVOCOM Plan that builds on (FORWA
good practices in advocacy Women
Pilipina,
*2017 GABRIE
1.1 Gathering of success stories and good practices of NGAs, LGUs, NGOs Bantay
and CSOs as preparatory work for the works hop Familia)
1.2 Gathering of reports of the 18-Day Campaign To End VAW since 2002 and Impleme
other advocacy activities implemented by other agencies outside the PCW Lo
Campaign Learning
RIACAT
*2017-2018
VAWCP
1.3 Conduct of workshop for the development of the ADVOCOM Plan (to Regiona
include assessment of previous advocacy activities and good practices) Mechan
Note: MGEC
agencie
1) Identify high-risk areas to be prioritized;
2) Develop core messages;
3) Consider age, sector, vulnerabilities in developing the ADVOCOM
1.4 Presentation of the ADVOCOM Plan for approval and a doption of
IACVAWC
*2018-2022
1.5 Implementation of the ADVOCOM Plan
1.6 Roll-out of ADVOCOM Plan to RIACAT-VAWC
1.7 Monitoring and Evaluation of the implementation of the ADVOCOM Plan
by IACVAWC
2018-2022 DOH IACVAW

2. Development of age and audience appropriate and user-friendly information materials (translated into
local language) for more organized dissemination to target audiences down to community level
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2.1 Gathering and review of existing materials

2.2 Conduct of workshop to conceptualize information materials 2.3 Pretesting of information materials to
intended users 2.4 Presentation of information materials to IACVAWC
2.5 Production and dissemination of information materials Note: IACVAWC to develop generic IEC materials; all
agencies may develop IEC materials consistent with their mandate/function
2018-2022 PCW IACVAW

3. Engaging the media in advocacy, and using existing mechanism as MGEC
3.1 Development and adoption of IACVAWC Terms of Engagement with Media
3.2 Preparation of Media Kits to include reconciled data on VAW, infographics, briefers
3.3 Conduct of media forum
3.4 Identify media personalities
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DepEd CHED, T
CWC, N
PCW
2018-2020
4. Integrating core messages in school curriculum
4.1 Conduct of consultation workshops for the integration of VAW core
messages per year level
4.2 Learning materials development
4.3 Pilot testing of learning materials
4.4 Training of teachers
DILG CHR, LG
2018-2022 LGUs
5. Building capacities of barangay officials to improve delivery of information and services to
victims and the community
5.1 Training of trainers
5.2 Dissemination of existing training modules to other agencies
PCW MOVE,
2017-2022 IACVAW
6. Strengthening and engaging new partnerships with male advocates, CSOs and NGOs, private sector
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DSWD IACVAW
2017-2022
7. Institutionalizing a feedback and monitoring mechanism on advocacy programs
2017-2022 DSWD, DILG, L

DOLE
8. Using empowerment and participatory approach in micro-finance and community-based training and
influencing relevant government capacity development programs to integrate messages on VAW
ii. KRA2: Strategies and programs to ensure the availability and

accessibility of required services for VAW victim-survivors are
covered under response system. These essential services
comprise health care, social service, police, and legal/justice. o
Priority Issues:
1. Need to increase access to comprehensive and quality
support services, i.e.
• Improve functionality of VAW desks in terms of
capacity of service providers
• Presence of appropriate facilities and information
for victims and the public
• Increased availability of facilities, i.e., WCPUs in
LGUs, psychosocial care facilities
• Women- and children-friendly spaces
2. Need to continuously improve capacity and gender
sensitivity of service providers
3. Inadequate resources for VAW programs (and assistance

to victims)
4. Need to improve access to justice
5. Inadequate measures to deal with perpetrators
6. Need to improve reporting and investigation and access

to justice of women in the marginalized sector
o Objective: To increase confidence in government response

through effective and consistent service to victims
Matrix of Indicators, Baseline, and Targets

Indicator Target MOV / D
Present value
(baseline) 2020 2022
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1. Percent change 35, 897 cases (PNP) Increase reporting rate by 10% from baseline Increase Agency
in reporting reporting rate report N
- Social Increase by 10% from baseline or 4 out of 10
(disaggregated by 20% Council
Services
by marginalized report
(DSWD) Increase by
sector) 20% from
- Health
baseline or
Services (DOH)
6 out of 10
Assumption 1: -Investigation (PNP,
Under response NBI, Barangays,
system, increase in CSC)
reporting will be
interpreted to mean - Prosecution
greater confidence (DOJ, Courts)
in quality and (disaggregated by
responsiveness of marginalized sector
service, thus as required by

encouraging CEDAW reporting)
victims to report.
Assumption 2:
Reporting is
directly related to
helpseeking
behavior
2. Percent 30% (2013 NDHS) 10% or 4 out of 10 20% or 5 out NDHS

change in help- of 10
seeking
behavior
3. Access of - number of 100% of barangays with VAW desks 50% of Result
victim survivors barangays with with at least basic barangays assess
to services established VAW level of functionality* with VAW of
(defined by desks: 88% desks with functio
proximity, (DILG, 2016) mature Note: L
availability, For data collection level of functio
affordability) in 2017: Percent of functionality
defined
3.1 Increase in the 88% that are JMC on
the number of functional of func
barangays with VAW d
functional VAW
desks
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4. Level of Each agency to Client Client s

satisfaction provide baseline: satisfaction survey
on quality rating is at
- Social
and least
consistency Services (DSWD)
95%
of service - Health
Services (DOH)
- Investigation
(PNP, NBI,
Barangays, CSC)
- Prosecution
(DOJ,
Courts)
Client satisfaction
rating is at least
75%
*Functionality levels of VAW desks (based on draft JMC for monitoring the functionality of VAW Desks to be issued by DILG)
1. Basic level of functionality: rating of 20 per cent and below in the assessment tool on presence of a policy issuance creating
appointing the desk officer; attendance in training of the officer; located within the barangay; separate room; and some reso
furniture, equipment, monitoring tools, references, budget, programs and activities
2. Progressive: 21-50 per cent rating in the assessment tool
3. Mature level: rating of 51-80 per cent in the assessment tool; able to satisfy requirements for establishment, resources, poli
budget, accomplishments
4. Ideal: rating of 81-100 per cent satisfies almost all if not all indicators
Strategies/Programs/Activities Lead Partners
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1. Ensure availability and enhance the functionality of VAW desks

1.1. Issue guidelines on the monitoring of functionality of VAW desks
DILG L
1.2. Issue advisory to LGUs which do not have VAW desks reiterating MC No. 2012-02
DILG L
1.3. Assess or evaluate availabi lity and functionality of VAW
desks (starting 2018) L
D
D
1.4. Capacitate VAW desk persons and barangay officials DILG R
V
P
1.5. Organize/strengthen women’s organizations including

DILG
groups of women with disability/support groups/communities in D
assisting women victim-survivors P
1.6. Develop information materials on services D
(A
L
1.7. Document and replicate good practices P
IACVAWC D
1.8. Monitor and evaluate functionality of VAW desks
F
D
D
IACVAWC P
P
C
IACVAWC R
DILG D
D
P
N
C
R
L
IA
L
M
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2. Ensure availability of protection, legal, health and psychosocial services and adequate resources
2.1. Map out available programs and services in each locality P
2.2. Review performance standards and assessment tools for services in addressing VAW V
IACVAWC N
W
N
IACVAWC
TWC on C
Response m
2.3. Develop performance standards for services provided to marginalized and vulnerable women and System a
children in all situations (peace, crisis and conflict situations) and re
CrossCutting a
2.4. Develop programs or mechanism to ensure access to VAW services of marginalized and vulnerable
sectors including those in crisis situations Concerns and
Actions
2.5. Establish VAW desks mechanisms in government agencies IACVAWC
(CODI for CSC, Help desk for DOJ, PAO,NBI, WFS and WCC of DSWD)
IACVAWC N
N
N
C
L
IACVAWC
C
P
D
3. Build the capacities of service providers on gendersensitive delivery of services.
3.1. Develop and enhance a standard module for service providers
3.2. Document good practices in service delivery
IACVAWC D
D
D
IACVAWC
D
D
D
R
3.3. Conduct multidisciplinary and specialized training for service providers N
D
F
W
IACVAWC
L
P
N
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4. Enhance measures to deal with perpetrators

4.1. Review researches conducted on restorative justice D
4.2. Develop a gender-sensitive rehabilitation program for perpetrators IACVAWC D
D
DSWD
IA
5. Strengthen implementation of programs on economic empowerment of women-survivors IACVAWC D

5.1. Assess economic/ financial support program and services for victim- survivors T
L
5.2. Implement and enhance programs and mechanisms to facilitate economic empowerment of women
DSWD,
survivors including marginalized and vulnerable sectors DOLE,
5.3. Strengthen Monitoring and Evaluation system for service delivery and ensure data disaggregation by TESDA IA
marginalized and vulnerable sector D
DOJ, PNP,
CHR,
iii. KRA3: Strengthening of mechanisms for planning, monitoring,

coordination and interagency collaboration is crucial in
implementing programs to address violence against women. As
of now, there are existing VAW mechanisms at the national,
sub-national and local levels. These are the following:
RCATVAWC for the region, PCAT-VAWC for the province,
MC/CATVAWC for municipality and city level, and VAW Desks
at the barangay level. In addition, the PNP has established
Women and Children Protection Desk (WCPD) in police stations
all over the country. There are also other committees and
mechanisms like the GAD Focal Point System (GFPS) created
in national government agencies and local government units
(LGUs).
o Priority Issues:
1. Weak IACVAWC coordination mechanism and
monitoring and reporting system
2. Weak functionality of the cross-cutting mechanisms (i.e.
R/P/M/C IACATVAWCs, technical working committees,
Secretariat, VAW Referral System, VAW Documentation
System)
3. Limited participation of CSOs/NGOs in the IACVAWC
4. Absence of IACVAWC agenda (research, policy, and evaluation) for
more evidence based anti-VAW
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of VAWC cases
Approved and issued resolution on
Evaluation Agenda
Approved and appropriations of
plantilla positions
Learning Development
Interventions Report
KRA 3.1: Convergence
Strategies/Programs/Activities Lead Partners Lead Part
1. Establishment of convergence strategic plan to include framework and communication plan

1.1 Convergence program 2017
a. National mapping of VAWC services in all 17 Regions
IACVAWC Tech
b. Development of TOR & Survey Tools (working draft IACVAWC level) work
com
1.2. Implementation, monitoring and reporting of convergence program (2019-2022)
(TW
and
Secr
IACVAWC,
PCW
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CSC, CWC
PCW
2. Development of IACVAWC research and policy agenda

2.1. Research agenda and policy agenda 2017
a. Drafting of 5-year research policy, and evaluation agenda
(IACVAWC level)
2.2. Review legislative provisions on VAWC 2017 a. Review
legislative provision on VAW 2018
b. Drafting of Bill OR include provision in the amendment of RA
9262 VAWC desk officers position should be elected instead of
appointed to guarantee continuity despite of change in
leadership (2018)
c. Hiring of consultants
d. Development of survey tools (working draft)
e. National and/or regional consultation workshop and write -shop
f. Issuance of resolution for the adoption of Convergence
Strategic Plan, Research, Policy and Evaluation Agenda
2019
g. Pilot-testing of Participation Rate of Stakeholders Survey Tool
2020
h. Participation Rate of Stakeholders Survey Result (Baseline)
2022
i. Participation Rate of Stakeholders Survey
KRA 3.2: Complementation
Strategies/Programs/Activities Lead Partners Lead Partners
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3.1. Partnership building program

2017
a. Option 1: Engagement of consultants re: Development
of survey tools (working draft)
2018
b. Development of survey tools for Satisfaction and
Engagement Rate of Stakeholders (working draft IACVAWC
level)
2019
c. Option 1: Satisfaction and Engagement Rate Survey
Result (Baseline) / Option 2: Hiring of Consultants to
development survey tools (working draft) for Satisfaction and
Engagement Rate Survey
2020
d. Option 2: Pilot-testing of Satisfaction and Engagement
Rate of Stakeholders Survey Tools
2021 e. Option 2: Satisfaction and Engagement Rate Survey
Result (Baseline)
3.2. Formulation of a communication plan
KRA 3.3: Functionality of Systems and Structures at All Levels
Strategies/Programs/Activities Lead Partners Lead Partners
4. Strengthening of monitoring and evaluation mechanisms IACVAWC DILG

4.1. Database and referral system in the management of
VAWC cases used at the local level
4.2. Development and implementation of functionality tools
for local and national level
4.3. Development of monitoring and evaluation (M&E) plan
and reporting system
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5. Strengthening IACVAWC structures and secretariat PCW IACVAWC

5.1. Development of an evaluation agenda
5.2. Creation of plantilla positions
5.3. Capacity building program for secretariat and council
members
Activities: 2017
a. Issuance of resolution adopting the Guidelines in Monitoring
the Functionality Tool of Barangay VAW Desks b.
DILG IACVAWC RCAT-VAWC
Consultation dialogue with the LCEs
PCATVAWC
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c. Administration of the Functionality Tool for Barangay VAW

Desks
d. Development of Functionality Tool for IACVAWC and LCAT-
VAWC
e. Development of M&E plan and reporting system
f. Inclusion re: creation of plantilla position under Tier 2 for 2018
Budget Proposal i.e. ToR for the Technical Secretariat
g. Creation of Qualification Standards for each position title
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Activities: 2018
a. Identifying/setting the baseline on the leve l of functionality of
Barangay VAW Desks
b. Interfacing of existing information system (webbased) for the
referral system in management of VAWC cases
c. Implementation of M&E plan and reporting system
Activities: 2019
a. Identifying/setting the baseline on the level of functionality of
LCAT-VAWC
b. Annual reporting on the functionality of Barangay VAW Desks
c. Strategic Review Workshop to report updates on the Strategic
Plan 2017 to 2022
d. Implementation of M&E Plan and reporting system
Activities 2020:
a. Identifying/setting the baseline on the level of functionality of
the IACVAWC
c. Implementation of M&E plan and reporting system
Activities 2021:
a. Annual reporting on the functiona lity of Barangay VAW Desks
b. Implementation of M&E plan and reporting system
Activities 2021:
a. Annual reporting
LCATVAWC
c. Planning Workshop to develop Strategic Plan 2023 to 2028
d. Implementation of M&E Plan and Reporting System
3.5. Other National Action Plan for Women and International Commitment.
a) National Advocacy and Communication Plan of Inter-Agency

Council on Violence Against Women and Their Children 20172022.
This National Advocacy and Communication Plan was formulated
in response to challenges faced in implementing RA 9262 as
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primary preventive mechanism to reduce the developmental and

human rights impact of gender-based violence against women. This
national plan was drafted through review of relevant documents,
reports as well as advocacy and communication materials produced
in the last five years; a stakeholders' communication planning
workshop and close consultation with the IACVAWC secretariat and
its technical working committee.
b) Beijing Platform for Action (BPfA). The Beijing Platform for Action
(BPfA) was the resulting document of the Fourth World Conference
on Women in Beijing, China in 1995 adopted in consensus by the
United Nations (UN). It is during this Conference the governments
and the UN agreed to promote gender mainstreaming as a strategy
to ensure that a gender perspective is reflected in all policies and
programmes at the national, regional and international levels. The
BPfA represents the international community’s commitment
towards the promotion of women’s welfare and aims at accelerating
the implementation of the Nairobi Forward-Looking Strategies for
the Advancement of Women.
c) Commission on the Status of Women. The Commission on the
Status of Women (CSW) is a principal global policy-making body
dedicated exclusively to gender equality and advancement of
women. Already in its 65 years, the CSW has remained instrumental
in the promotion of women’s rights and shaping policies on gender
equality and women empowerment. The CSW is a functional
commission of the United Nations Economic and Social Council
(ECOSOC) under the United Nations (UN). The
Philippines is currently among the 45 Member States of the UN
CSW. The country will serve a four-year term that will last until the
closing of the CSW session in 2014. Other States Members of the
United Nations and non-member States serve as observers in the
UN CSW. In the 55th session of the CSW in March 2011, the
Philippine-initiated resolution entitled “Mainstreaming Gender
Equality and Promoting Empowerment of Women in Climate
Policies and Strategies” was adopted in consensus by the
Commission’s Member States. The ground-breaking resolution on
gender and climate change highlighted the need to ensure women’s
full enjoyment of all human rights and their effective participation in
environmental decision-making at all levels.
d) ASEAN Committee on Women. The Association of Southeast Asian
Nations (ASEAN) has maintained its efforts and support in the
promotion of the status of women and has participated actively
in the regional and international arena pertaining to the
advancement of women. Specifically carrying out these thrusts is
the ASEAN Committee on Women (ACW) which serves as the
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primary coordinating and monitoring body of the ASEAN on key

regional priorities and cooperation in women’s issues and concerns.
The ACW has organized numerous regional workshops, seminars,
training sessions and consultative meetings that provided venues
for government officials, civil society organizations, professionals
and other stakeholders to exchange views, share experiences and
build commitments and a common understanding on various gender
issues. One of the most notable of these assemblies is the ASEAN-
High Level Meeting on Gender Mainstreaming within the Context of
CEDAW, BPFA and the MDGs held in November 2006. It was
during this meeting that the Joint Statement and Commitment to
Implement Gender Mainstreaming was adopted by ASEAN member
countries.
e) Women in the Asia-Pacific Economic Cooperation. The AsiaPacific
Economic Cooperation (APEC) recognizes that women are critical
to the achievement of sustainable economic development in the
region. In 1998, it held its First Ministerial Meeting on Women in the
Philippines that resulted to the adoption of the "Framework for the
Integration of Women in APEC" within APEC groups. An Ad-Hoc
Advisory Group on Gender Integration (AGGI) was created to
oversee the implementation of the Framework but its mandate
expired in 2002 which then led to the establishment of the Gender
Focal Point Network (GFPN) that is aimed at maintaining
awareness on gender issues within the Cooperation. The
Philippines, one of the Cooperation’s founding members, also works
for accelerating the progress of integrating women in the
mainstream of its APEC processes and activities.
4.0. Migrant Workers
National Arching Frameworks/Plans for the welfare of Filipino migrant workers

or OFW are still on progress. Consequently, below are the specific programs
and services derived from laws of state that advance their welfare and
privileges.
There two government agencies are usually associated with the plight of
migrant workers or OFWs. These are the Philippine Overseas Employment
Administration (POEA) and the Overseas Workers Welfare Administration.
a) POEA connects to the world and in partnership with all

stakeholders, facilitates the generation and preservation of
decent jobs for Filipino migrant workers, promote protection and
advocates their smooth reintegration into Philippine society.
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Program Thrust:
1. Industry Regulation
a. Continuing Agency Education and
Agency Performance
Evaluation/Ranking and Classification
System
-Pre-application orientation seminar
- Labor market fora
- Seminar on best recruitment practices
b. Implementation of comprehensive case
management program
- Conciliation
- Adjudication
- Monitoring of appeals
- Enforcement of decisions
c. Core Function of the POEA in these
programs:
i. Issues license to engage in
overseas recruitment and
manning to private recruitment
agencies and ship manning
companies
ii. Hears and arbitrates complaints
and cases filed against
recruitment and manning
agencies, foreign principals and
employers, and overseas
workers for reported violation of
POEA rules and regulations,
except for money claims
iii. Implements a system of
incentives and penalty for private
sector participants
iv. Sets minimum labor standards
v. Monitors overseas
job
advertisements on print,
broadcast and television vi.
Supervises the
government’s program on
anti-illegal
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recruitment
vii. Imposes disciplinary actions on
erring employers and workers
and seafarers
2. Employment Facilitation
a. Facilitation of 1 million
OFW deploymentM
- Dispatch of technical
- Intensify marketing intelligence work

- Pursue bilateral/multi-lateral
agreements
- Encourage visit of foreign gov’ts and
employers
- Strengthen linkages with education and
training sector
- Enhance coordination with host
governments
- Enforce policy on skills competencies
b. Core Function of the POEA in these

programs:
i. Accredits/ registers foreign principals

and employers hiring Filipino
workers
ii. Approves manpower requests of foreign
principals and employers
iii. Evaluates and processes employment
contracts
iv. Assists departing workers at the ports of
exit
v. Develops and monitors markets and
conducts market research
vi. Conducts marketing missions
vii. Enters into memorandum of
understanding on the hiring of
Filipino workers with labor–receiving
countries
marketing missions viii. Facilitates the
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deployment of workers hired through
government-togovernment arrangement
ix. Provides a system of worker’s registr
3. Worker’s Protection.
a. Global OFW mapping and profiling
- Fast track information on OFWs
worldwide, their work sites, skills, and
gender.
b. Intensification of AIR campaign
PREVENTIVE
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- Pre-employment orientation seminars

- Illegal recruitment free-LGUs
- Multi-media information and education
program
REMEDIAL
- Legal assistance to IR victims
- Surveillance/Entrapment operations
- Arrests
- Prosecution
- Closure of establishments
c. Implementation of incentive progra m for
victims and witnesses of illegal recruitment
- Payment of docket fees and other court or
legal fees
- Employment without placement fees
d. Provision of on -site remedies to OFWs to file
complaints against employer or agency
-OFWs may file complaints for violations of
POEA rules against principal, employer,
and/or Philippine recruitment agency at the
Philippine Overseas Labor Office s
(POLOs).
e. Core Function of POEA in these programs:
• Accredits/ registers foreign

principals and employers hiring
Filipino workers
•
Approves manpower requests of
foreign principals and employers
• Evaluates and processes
employment contracts
• Assists departing workers at the
ports of exit
• Develops and monitors markets
and conducts market research
• Conducts marketing missions
• Enters into memorandum of
understanding on the hiring of
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Filipino workers with labor–

receiving countries
• Facilitates the deployment of
workers hired through
government-to-government
arrangement
• Provides a system of worker’s
registry
b) Overseas Workers Welfare Administration or OWWA is an agency

of the Department of Labor and Employment or DOLE. It protects
the interests of OFWs and their families providing social security,
cultural services and help with employment remittances and
legal matters.
Programs and Services:
1. Social Benefits
a. Disability and Dismemberment Benefit - Up to a
maximum of Php 100,000.00 for accidentrelated
injuries.
b. Death and Burial Benefits. Php 100,000.00 for
natural cause. Php 200,00.00 for accidental
cause. On top of the death benefit, a rider of
Php20,000.00 will be received by the
beneficiaries for the funeral expenses.
c. Supplemental Medical Assistance for OFWs
(Medplus). Supplemental medical relief for
active OWWA and PhilHealth member-OFWs
who are afflicted with dreaded diseases and were
hospitalized, either at the job sites or while in the
Philippines. It is financial assistance that is
equivalent to the PhilHealth benefits under its
case rate system but not to exceed Php
50,000.00 per member.
d. Welfare Assistance Program (WAP). is
extended to active or non-active OWWA
members or their families not eligible under any
of the existing OWWA Social Benefit Programs
and Services.
i. Coverage:
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1. Calamity Assistance - for OWWA members

and their families affected by natural or
human-induced calamities/disasters
2. Bereavement Assistance - for families of
deceased OWWA members
3. Medical Assistance - for OWWA members
who have illnesses that are not covered
under MEDplus and for members who
sustained injuries due to accidents/crimes
4. Relief Assistance - for OWWA members
who were displaced/laid-off en masse due to
economic/political/health situations.
2. Education and Training

a) Pre-Departure Education Program.
a. Country-Specific Pre-Departure
Orientation Seminar (PDOS)– A one-day
compulsory orientation to OFWs consisting
of modules on employment contract, country
of destination, stages of the OFWs’ life
abroad, health and safety, financial literacy,
travel tips and airport procedures, and
government programs and services. This is
attended by all workers (all skills) prior to
their deployment abroad.
b. Comprehensive Pre-Departure Education
Program (CPDEP) – A four or six-day
orientation seminar attended by Domestic
Workers (DWs) consisting of language
training, culture familiarization, and stress
management.
b) Training Programs for Filipino Seafarers

a. Seafarer’s Upgrading Program (SUP) - Job-
related training assistance for upgrading
courses of up to P7,500.00
b. Mariner's Dugtong Aral (Bridging) Program -
A scholarship grant for prospective
seafarers who are graduates of BS
Mechanical Engineering (BSME) and BS
Electrical Engineering (BSEE) who wish to
pursue BSMarine Engineering (BSMarE)
course, in the following order of priority:
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• OFW-seafarers who are active members of

OWWA
• Immediate dependents/beneficiaries of
OFWs, both land-based and sea-based,
who are active or former members of
OWWA
• Next-of-kin of OFWs up to the first degree of
consanguinity.
c. Scholarship for Dependents.
i. Education for Development Scholarship
Program (EDSP). scholarship grant offered
to qualified dependents of active OWWA
members who intend to pursue a 4-5 year
baccalaureate course in any preferred
colleges/universities and Financial
assistance of P 60,000.00 per school year.
• Qualifications for incoming freshmen:
o The member-OFW must have an active
membership with OWWA at the time of the
application.
o The dependent-applicant must be single
and not be more than 21 years old
o Must have an average grade of at least 80%
and belongs to the upper 20% of the
graduating class
o Must pass the qualifying examination
conducted by DOST and belongs to the top
400 examination passer
• Qualifications for those who are already
enrolled in 2nd to 5th year college. o
Single o Not more than 30 years old o With
a GWA not lower than B letter grade or
85% equivalent in all academic and non-
academic subjects during the last school
year attended in full load. ii. OFW
Dependent Scholarship.
Educational assistance of P 20,000.00 per
school year to qualified dependent of an
active OWWA member-OFW whose salary
is not more than US$600.00.
Qualifications:
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• Child of an active OWWA member or sibling

of an unmarried OWWA member,
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who is single and not more than 21 years

old for incoming freshmen, and not more
than 30 years old for those who are already
enrolled or have been enrolled in college
Must p ass the entrance examination
conducted by state college/uni versity in
OWWA Regional Welfare Offices where
he/she intends to enroll
• Must not be a recipient of any other

scholarship grants
iii. Educational Livelihood Assistance Program
(ELAP) - Scholarship fo r the dependents of
OFWs who were active OWWA members
at the time of death, including convicted
OFWs facing death penalty in host country.
Only one child, usually the eldest child of
member-OFW is given scholarship grant.
• P5,000- allowance for elementary
• P8,000.00- allowance for high school
• 10,000.00- allowance for college
• Livelihood assistance: the surviving heir

shall receive P15,000.00 worth of livelihood
package
3. Welfare.
a. On-site Assistance and services extended
to OFWs at their job sites:
i. Assistance on OFW’s whereabouts
ii. Psycho-social counseling
iii. Mediation/conciliation with employer
iv. Airport assistance
v. Hospital/prison/work camp visitations
vi. Legal assistance to OFWs who wish to
pursue labor/welfare case against their
employer in the host country
b. In-Country Assistance extended to
OFWs/families at the home front:
Requests from families and next -of-kins
(NOKs) for
•
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i.
assistance from OWWA
overseas posts
ii. Post-repatriation assistance
iii. Temporary shelter at OWWA Halfway
House
iv. Transportation allowance to their provinces
v. Stress Debriefing/ Counseling
vi. Referral
4. Repatriation. Repatriation Assistance

Program - Bringing back of distressed
OFWs and human remains. Emergency
repatriation is carried out in the event of any
political unrest or natural calamities.
Workers are accorded with airport
assistance, temporary shelter at the OWWA
Halfway Home, psycho-social counseling,
stress debriefing, and transport services or
fares for their onward travel to their
respective provinces.
5. Reintegration. Reintegration Program -
Reintegration is a way of mainstreaming
returning OFWs into Philippine society.
a. Reintegration Preparedness (on-site):
i. Value formation training
ii. Financial literacy
iii. Entrepreneurial development training
iv. Techno-skills and capacity building
b. Reintegration (in-country)
i. Job referrals
ii. Business counseling
iii. Community organizing iv. Financial
literacy seminar
v. Networking with support institutions
vi. Social preparation implemented by OWWA
Regional Welfare Offices (RWOs)
c. Balik Pinas! Balik Hanapbuhay! Program - A

package of livelihood support/assistance
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intended to provide immediate relief to

returning member-OFWs
(distressed/displaced) amounting to a
maximum Php 20,000.00 as start-up or
additional capital for the livelihood project.
d. Overseas Filipino Workers – Enterprise

Development and Loan Program (OFW-
EDLP). Formerly known as
OFWReintegration Program (ORP), is an
enterprise development intervention and
loan facility of OWWA, in partnership with
Land Bank of the Philippines (LBP) and the
Development Bank of the Philippines (DBP),
intended to support enterprise development
among OFWs and their families.
e. Tulong Pangkabuhayan sa Pag-unlad ng

Samahang OFWs (Tulong PUSO) - A
onetime grant assistance in the form of raw
materials, equipment, tools and jigs. and
other support services, that aim to support
the formation, enhancement, or restoration
of livelihood projects/undertakings of OFW
organizations. The amount of grant shall be
based on the project requirement up to a
maximum of P 1 million for OFW
organizations with more than 51 members.
5.0. Persons with Disabilities
a) The National Council on Disability Affairs (NCDA) is the national government

agency mandated to formulate policies and coordinate the activities of all
agencies, whether public or private, concerning disability issues and
concerns. As such, the NCDA is the lead agency tasked to steer the course of
program development for persons with disabilities and the delivery of services
to the sector.
The NCDA is tasked to monitor the implementation of several laws to ensure
the protection of PWDs’ civil and political rights. These laws include Republic
Act No 7277 (Magna Carta for Disabled Persons), Batas Pambansa Blg. 344
(Accessibility Law), Republic Act 6759 (White Cane Act) and ILO Convention
No. 159 (Vocational Rehabilitation of Persons With Disability). It has also been
tasked, through Proclamation No. 125, to coordinate activities and to monitor
the observance of the Asian and Pacific Decade of Disabled Persons (1993-
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2002) in the Philippines. Proclamation No. 125 was issued by the President on
January 15, 1993, to enjoin both the government and the private entities to
organize projects based on the policy categories mentioned in the agenda for
action of the decade.
b) The same the sector of migrant workers, PWD sector has international
framework adapted from the United Nations but lacks an over-arching plan at
the national level. Instead, the NCDA issues guidelines to national
government agencies and local government units.
c) International Treatises and Commitments.
i. United Nations Conventions on the Rights of Persons with
Disabilities. https://www.ncda.gov.ph/internationalconventions-
and-commitments/united-nations-conventions-onthe-rights-of-
persons-with-disabilities/united-nationsconventions-on-the-
rights-of-persons-with-disabilities/
ii. Biwako Millennium Framework
https://www.ncda.gov.ph/international-conventions-
andcommitments/other-international-
commitments/biwakomillennium-framework/
iii. Biwako Plus Five
https://www.ncda.gov.ph/internationalconventions-and-
commitments/other-internationalcommitments/biwako-plus-
five/
iv. United Nations Sustainable Development
Goals
https://www.un.org/development/desa/disabilities/aboutus/sust
ainable-development-goals-sdgs-and-disability.html
d) Some Pertinent Policy Issued by the NCDA and other Laws.
i. Administrative Order No. 35 – Directing all Departments,
Bureaus, Government-owned and/or controlled Corporations,
Government Financial Institutions, Local Government Units,
State Universities/Colleges and Schools, and other
Government/Instrumentalities to Promote and Conduct
Relevant Activities During the Annual Observance of the
National Disability Prevention and Rehabilitation Week.
https://www.ncda.gov.ph/disability-
laws/administrativeorders/administrative-order-no-35/
ii. DOH AO 2017-0008 Implementing Guidelines of Republic Act
10754, otherwise known as “An Act Expanding the Benefits
and Privileges of Persons with Disability”, for the Provision of
Medical and Health-related Discounts and Special Privileges.
laws/administrativeorders/doh-ao-2017-0008-implementing-
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guidelines-of-republicact-10754-otherwise-known-as-an-act-
expanding-the-benefitsand-privileges-of-persons-with-
disability-for/
iii. Batas Pambansa Blg. 344 – An Act to Enhance the Mobility of
Disabled Persons by Requiring Certain Buildings, Institutions,
Establishments and Public Utilities to install Facilities and
Other Devices. https://www.ncda.gov.ph/disability-
laws/bataspambansa/batas-pambansa-blg-344/
iv. CSC Memorandum Circular No. 7 Series of 2014 -
Encouraging Government Agencies to hire PWDs pursuant to
Republic Act No. 7277, as amended.
https://www.ncda.gov.ph/disability-laws/csc-
memorandumcircular-no-7-series-of-2014/.
v. DILG Guidelines On Providing Proper Welfare Of Persons With
Disabilities During The Enhanced Community Quarantine Due
To The Corona Virus 2019 (COVID-19) Pandemic.
https://www.ncda.gov.ph/wp-
content/uploads//2020/04/DILGMC-066-s-2020-Guidelines-
on-the-Providing-Proper-Welfareof-PWDs-during-ECQ.pdf
vi. DILG Memorandum Circular on RA 10754 - Implementing
Rules And Regulations (Irr) Of Republic Act 10754 Entitled “An
Act Expanding The Benefits And Privileges Of Persons With
Disabilities. https://www.ncda.gov.ph/disability-
laws/dilgmemorandum-circular/dilg-memorandum-circular-on-
ra-10754/
vii. Memorandum Circular No. 2009-129 Compliance To The
Issuance Of Identification Cards And Purchase Booklets For
Persons With Disability (PWDs).
https://www.ncda.gov.ph/disability-laws/dilg-
memorandumcircular/memorandum-circular-no-2009-129/
viii. Memorandum Circular No. 2009-37 Support For
CommunityBased Program For Children With Disabilities.
memorandumcircular/memorandum-circular-no-2009-37-
support-forcommunity-based-program-for-children-with-
disabilities/
ix. Memorandum Circular No. 2010 – 103 Establishment of
Persons with Disability Affairs Office (PDAO) in Every
Province, City and Municipality Pursuant to RA 10070.
memorandumcircular/memorandum-circular-no-2010-103-
establishment-ofpersons-with-disability-affairs-office-pdao-in-
every-provincecity-and-municipality-pursuant-to-ra-10070/
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x. Memorandum Circular No. 2017-119 – Guidelines For The

Establishment Of Persons With Disabilities Affairs Office
(Pdao) And The Conduct Of The Persons With Disabilities
General Assembly.
https://www.ncda.gov.ph/disabilitylaws/dilg-memorandum-
circular/memorandum-circular-no2017-119-guidelines-for-the-
establishment-of-persons-withdisabilities-affairs-office-pdao-
and-the-conduct-of-the-personswith-disabilities-general-
assembly/
xi. DOT Memorandum Circular No. 2017 – 02 Series Of 2017 –
Guidelines On The Provision Of The Expanded Benefits And
Privileges To Persons With Disability Pursuan To Republic Act
No. 10754, Otherwise Known As The “Magna Carta For
Persons With Disability”.
https://www.ncda.gov.ph/disabilitylaws/dot-memorandum-
circular-no-2017-02-series-of-2017guidelines-on-the-provision-
of-the-expanded-benefits-andprivileges-to-persons-with-
disability-pursuan-to-republic-actno-10754-otherwi/
xii. Executive Order No. 437 Encouraging The Implementation Of
Community-Based Rehabilitation (CBR) For Persons With
Disabilities In The Philippines.
laws/executiveorders/executive-order-no-437/
xiii. Implementation of Republic Act No. 10754 “An Act Expanding
the Benefits and Privileges of Persons With Disability (PWD)”
and the Execution of Its Implementing Rules and Regulations.
https://www.ncda.gov.ph/disability-laws/implementation-
ofrepublic-act-no-10754-an-act-expanding-the-benefits-
andprivileges-of-persons-with-disability-pwd-and-the-
execution-ofits-implementing-rules-and-regulations/ xiv.
Instrument Of Accession (Marrakesh Treaty).
https://www.ncda.gov.ph/disability-laws/instrument-
ofaccession-marrakesh-treaty/
xv. AMENDMENTS TO JOINT DTI-DA ADMINISTRATIVE
ORDER (JAO) NO. 02, SERIES OF 2008 entitled “Granting of
Discounts to Persons with Disability on the Purchase of Basic
Necessities and Prime Commodities Pursuant to R.A No.
9442, otherwise known as the Magna Carta for Disabled
Persons”. https://www.ncda.gov.ph/disability-
laws/jointcirculars/amendments-to-join-dti-da-administrative-
order-jaono-02-series-of-2008-entitled-granting-of-discounts-to-
personswith-disability-on-the-purchase-of-basic-necessities-
and-primecommoditie/
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3rd National Plan of Action for Children 2017-2022. Council for the Welfare of Children.
Retrieved from:
https://drive.google.com/file/d/1rMIBGvBJG0vYLpJ_Hd_VKJ0RzEEtJPz/view
Philippine Plan of Action on Ending Violence Against Children 2017-2022. Council for the
Welfare of Children and United Nations Children’s Fund. Retrieved from:
https://www.end-
violence.org/sites/default/files/paragraphs/download/philippine%20plan%20of
%20action.pdf
Philippine Development Plan 2017-2022 Abridged Version. National Economic and
Development Authority. Retrieved from:
http://www.neda.gov.ph/wpcontent/uploads/2017/12/Abridged-PDP-2017-
2022_Final.pdf
Convention on the Rights of Children. United Nations. Retrieved
from: https://www.ohchr.org/Documents/ProfessionalInterest/crc.pdf
Philippine Country Report. 12th ASEAN and Japan High Level Official’s Meeting (HLOM) on
Caring Societies. Retrieved from: file:///C:/Users/ASUS-
X453S/Downloads/Philippines_CountryReport%20Senior%20Citizen.pdf
Philippine Plan of Action for Senior Citizen 2012-2016. Retrieved
from:
https://www.mhlw.go.jp/bunya/kokusaigyomu/asean/2014/dl/Philippines_Cou
ntryReport.pdf#:~:text=The%20Philippine%20Plan%20of%20Action%20for%
20Senior%20Citizens5,for%20all%20ages%20where%20the%20senior%20ci
tizens%20are
Plan Framework of the Philippine Plan for Gender-Responsive Development 1995-2025.
Philippine Commission on Women. Retrieved from:
https://library.pcw.gov.ph/sites/default/files/Plan%20framework%20of%20the
%20PPGRD%201995%202025.pdf
Women’s Empowerment, Development and Gender Equality Plan 2013-2016. Philippine
Commission on Women. Retrieved from:
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https://www.pcw.gov.ph/sites/default/files/documents/resources/womens_edg
e_plan.pdf
National Action Plan on Women, Peace and Security 2017-2022. Office of the Presidential
Adviser on the Peace Process. Retrieved from:
http://www.peacewomen.org/sites/default/files/Philippines_20172022NAP.pdf
Strategic Plan on Violence Against Women and their Children 2017-2022. Inter-Agency
Council Against Women and their Children.
Retrieved from:
https://library.pcw.gov.ph/sites/default/files/PCW_IACVAWC_Strategic_Plan
%5B1%5D.pdf Philippine Overseas Employment Administration’s Programs and Services.
Retrieved from: http://www.poea.gov.ph/programs/programs&services.html Overseas
Workers Welfare Administration’s Programs and Services. Retrieved from:
https://owwa.gov.ph/
Activity 13. For this activity, write True if the statement given is correct. Write False if the
statement is incorrect and rephrase the word/phrase in the statement to make it correct.
_______________________1. Philippine National Strategic Framework for Plan
Development for Children is the long-term plan for children and is also called Child 21.
_______________________2. The fulfillment of 3rd NPAC goals is also an achievement of the
vision of Child 21, Ambisyon Natin 2040, and UNCRC.
_______________________3. The Philippine Action Plan for Senior Citizen 2012-2016
adopted the three strategies of Madrid International Plan of Action on Ageing.
_______________________4. The lead agency that implements the National Action Plan on
Women, Peace and Security 2017-2022 is the Philippine Commission on Women.
_______________________5. The National Advocacy and Communication Plan of
InterAgency Council on Violence Against Women and Their Children 2017-2022 was made as
a response to the Implementation of the R.A. 9262.
_______________________6. The lead agency that implements the Strategic Plan on
Violence Against Women and Their Children 2017-2022 is the Philippine Commission on
Women.
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_______________________7. The Overseas Workers Welfare Administration under the

Department of Labor and Employment is the government agency that facilitate for the decent
jobs for Filipino migrant workers, promote protection and advocates their smooth reintegration
into Philippine society.
_______________________8. The the Strategic Plan on Violence Against Women and Their
Children 2017-2022 has three key result areas (KRA) of: KRA1 - primary prevention, KRA2-
response system, and KRA3- cross-cutting structures and actions.
_______________________9. NCDA is the lead agency tasked to steer the course of
program development for persons with disabilities and the delivery of services to the sector.
_______________________10. OFW Dependent Scholarship is an educational assistance
for the dependents of OFWs who were active OWWA members at the time of death, including
convicted OFWs facing death penalty in host country.
1. What is the importance of National Plan in advancing the welfare of its sector?
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2. Almost all local strategies in promoting the welfare at the grassroots have been anchored
or adopted the national plans and international commitments such as declaration of policy at
the United Nations. Explain the micro-macro continuum of interdependency of the plans and
give at least 1 example of plan in your locality that is coherent to national and international
platforms.
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3. As observe, there are more plans existing in advancing the welfare of children compared to
other sectors. Why do you think resources are allotted more to this sector as compared to
others? What is the principle behind this perspective?
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1. National Plan of dif ferent sector s serve as a vision for all governmental
institutions in partnership with t he private sectors. It unifies action of different
concerned bo dy of government, the non -government, and the public to avoid
duplication of services for effective and e fficient dist ribution of resources. Within
each plan, realisti c steps, key result areas, and indicators can be found for
accountability and transparency.
2. Mapping -out existing plans serve as guide for future social workers to find its
niche. It informs any endeavor of social workers specifically on its interventi ons
contribute to the fulf illment of the plan, thus she becomes part of the nation -
building.
learning). After the clarification, you may write your understanding of the question/ raised
1.
2.
3.
4.
5.
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National Plan of Child 21 United Nations Convention on

Action for Children Conventions on Optional Protocol
the Rights of on the Sale of
Children Children, Child
Prostitution, and
Child Pornography
Optional Protocol Second Optional Conventions on Sustainable

on Children in Protocol to the the Rights of Development
Armed Conflict International Persons with goals
Covenant of Child Disability
and Political Rights
Millennium Sustainable Philippine AmBisyon Nation

Development Development Development Plan 20140
Goals Goals
Philippine Plan of National Health Philippine Philippine Plan of

Action on Nutrition Plan Program Against Action on ending
Child Labor Violence Against
Children
Philippine Plan of Madrid Macau Action Philippine Plan on

Action for Senior International Plan Plan on Aging Gender-
Citizen of Action on Responsive
Ageing Development
Women United Nations Beijing Platform of National Action

Empowerment, Convention on the Action Plan on Women,
Development and Elimination of all Peace and
Gender Equality Forms of Security
Plan Discrimination
Against Women
Strategic Plan on National Advocacy Commission onWomen in the
Violence Against and Status of Women Asia-Pacific
Women and their Communication Economic
Children Plan of Inter- Cooperation
Agency Council on
Violence Against
Women and their
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Philippine Overseas Workers National Council United Nations

Overseas Welfare on Disability Conventions on
Employment Administration Affairs the Rights of
Administration Persons with
Disability
Biwako Millennium Biwako Plus Five

Framework
Children
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a. Examine major ethical perspectives in analyzing emerging policies

b. Review social work ethics and role of social work a policy change
advocate
ULOa: Examine major ethical perspectives in analyzing emerging policies
.Please proceed to the Essential Knowledge section for all essential

terminologies have been discussed below.
In this part, you need to examine different ethical perspectives on policies.

1.0. Universalism.
times, was mainly developed by Immanuel Kant, a German philosopher w ho
1.1. The Universalist approach, as it is most frequently discussed in our
lived in the 18th century (1724– 1804). Universalism is considered a

deontological or duty-based approach (Weiss, 2009).
1.2. Kant’s philosophy was centered on human autonomy. The notion of
autonomy should be interpreted here as formulating our own law on basis of
our understanding and the framework of our experiences. Being selfconscious
— and thus aware of the reasons behind our actions — is therefore one of the
highest principles of Kant’s theoretical philosophy (Rolf, 2010). Kant felt that
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one’s moral philosophy should be based on autonomy. In his opinion, there

should be one universal moral law which we should independently impose onto
ourselves. He named it the “categorical imperative.”
1.3. The categorical imperative holds that every act we commit should be based
on our personal principles or rules. Kant refers to these principles or rules as
“maxims.” Maxims are basically the “why” behind our actions. Even if we are
not always aware of our maxims, they are there to serve the goals we aim to
achieve. In order to ensure that our maxims are morally sound, we should
always ask ourselves if we would want them to be universal laws. In other
words, would our maxim pass the test of universalizability? Within the
framework of the categorical imperative, a maxim should only be considered
permissible if it could become a universal law. If not, it should be dismissed
(Rolf, 2010).
1.4. Weiss (2009) affirms that the categorical imperative consists of two parts:
• We should only choose for an act if we would want every person
on earth, being in the same situation as we currently are, to act
in exactly the same way, and
• We should always act in a way that demonstrates respect to
others and treats them as ends onto themselves rather than as
means toward an end.”
1.5. Strengths of Universalism
• The most obvious strength of Universalism is its consistency.
With this moral approach, there is no question about the
decision to be made: what is right for one should be right for all.
This redacts any emotional considerations and guarantees a
clearly-outlined modus operandi.
• Another major strength of Universalism is the fact that this moral
theory focuses on the intentions of the decision maker, thus
making him his own moral agent, and motivating him to practice
respect for those he encounters in his decisionmaking
processes. Furthermore, the reflective element in this theory,
evoking a deep consideration for the well-being of all parties
involved in our actions, exalts it moral magnitude.
• The foundational guideline in Universalism to make our
counterparts an end onto themselves instead of a means toward
our ends reminds us somewhat of the Golden Rule, The Golden
Rule, however, could be considered as having a narrower focus
than the Universalist approach since it only considers immediate
stakeholders while Universalism urges us to think in terms of
universalizability.
• The fact that intentions are more important than outcomes in
Universalism also emphasizes its noble foundation. While we
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cannot influence the outcomes of our actions, we can, after all,

always embark upon their realization with the best of intentions.
1.6. Weakness of Universalism
• t is first and foremost the aspect of universalizability that raises
concern within the opponents of the Universalist approach: how
possible is it, they claim, to consider all people, all nations, all
beliefs, and all cultures in every single act we implement?
• The equality-based approach, which Universalism proclaims, is
an ideal one, but not a very realistic one in today’s world. While
a good point could be made in favor of ending unfair treatment
of those who are already privileged, there is a serious weakness
to be detected if we start applying equal treatment when we
want to restore an existing imbalance. By utilizing the
Universalist approach at all times, we would not be able to
correct existing imbalances simply because Universalism does
not condone a more favorable approach to anyone — hence,
not even to those that are oppressed and subjugated. Similarly,
it does not support a less favorable treatment of anyone —
hence, not even those that have been unfairly privileged in past
centuries.
• The intention-based focus of Universalism may not always lead
to desired outcomes and may leave unwanted victims down the
line. This could be seen as an unwelcome side effect of a
generally well-considered moral approach. No one enjoys
disastrous outcomes, even if intentions were good.
Universalism may therefore not always be the most desired
mindset, depending on what is at stake
1.7. In Summary. Universalism tells us there are certain appropriate

behaviors and that those behaviors should be followed without any
reference to the mediating effects of context. The Ten Commandments
fit the universalism model.1 The Golden Rule offers another example of
universalism and has been proposed by many religions and cultures. It
is summed up in the words of Jesus: Do unto others as you would have
them do unto you.2 Immanuel Kant presented a variation of the Golden
Rule, ‘Act only on that maxim through which you can at the same time
will that it should become a universal law’.3 Universalism promotes
persistence and consistency, but it is difficult to apply because
exceptional circumstances abound. The focus is on strict adherence to
a code of practice; the assumption being that this will generate desirable
outcomes. In public policy, having uniform standards that all applicants
to university must meet to gain entry would represent a case of
universalism.
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2.0. Utilitarianism.
2.1. Utilitarianism is a form of consequentialism, which entails that the end

result (the “consequence”) should be the most important consideration in any
act implemented. The consequentialist approach, therefore, forms a stark
contrast with the deontological (Universalist) approach discussed earlier,
because Universalism focuses on intentions rather than outcomes while
consequentialism, and therefore Utilitarianism, focuses on outcomes rather
than intentions. “Whether an act is morally right [in this theory] depends only
on consequences (as opposed to the circumstances or the intrinsic nature of
the act or anything that happens before the act)” (Sinnot-Armstrong, 2011),
2.2. In general, Utilitarianism holds the view that the action that produces
the greatest wellbeing for the largest number is the morally right one.
2.2.1. Using more economic-oriented terms, Robertson, Morris, &

Walter (2007) define Utilitarianism as “a measure of the relative
happiness or satisfaction of a group, usually considered in questions of
the allocation of limited resources to a population.”
2.2.2. Two of the most noted Utilitarian advocates, Jeremy Bentham

(1748-1832) and John Stuart Mill (1806-1873 — a follower of Bentham),
felt that “the good” needed to be maximized to benefit as many
stakeholders as possible. Bentham and Mill are considered the
classical Utilitarians. They were major proponents of constructive
reforms in the legal and social realm which explains why they promoted
the stance of “the greatest amount of good for the greatest number.”
2.2.3. Due to Bentham’s focus on the happiness levels of the largest

group, there was a significant degree of flexibility embedded in the
Utilitarian approach. After all, whatever is considered a cause for
general happiness today may not be seen as such tomorrow. Tastes,
perceptions, needs, and social constructs change, and “the greatest
good for the greatest number” may look entirely different tomorrow than
it does today.
2.2.4. Johnson (2012) posits that there are four steps to conduct a
Utilitarian analysis of an ethical problem: 1) Identifying the issue at
hand; 2) Considering all groups, immediate and nonimmediate, that
may be affected by this issue; 3) Determining the good and bad
consequences for those involved; and 4) Summing the good and bad
consequences and selecting the option of which the benefits outweigh
the costs.
2.2.5. Weiss (2009) emphasizes that there are two types of criteria to
be considered in Utilitarianism: rule-base and act-based:
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• Rule-based Utilitarians consider general rules to measure the

utility of any act, but are not fixated on the
act itself. As an example, while a rule-based Utilitarian
may honor the general principle of not-stealing, there
may be another principle under certain circumstances
that serve a greater good, thus override this principle.
• Act-based Utilitarians consider the value of their act, even
though it may not be in line with a general code of honor. If, for
instance, an act-based Utilitarian considers a chemical in his
workplace harmful for a large group of people, he may decide to
steal it and discard it, considering that he saved a large group
of people, even though he engaged in the acts of stealing and
destroying company property.
2.6. Strength of Utilitarianism
• The most important appeal of the Utilitarian approach is its focus

on the wellbeing of the majority, thus ensuring a broadminded,
social approach to any problem that arises. This theory also
overrules selfish considerations and requires caution in
decision-making processes — with a meticulous focus on the
possible outcomes.
• he flexibility that is embedded in this approach makes it easy to
reconsider and adjust decision-making processes based on
current circumstances. As we live in an era where flexibility is
the mantra for succeeding, Utilitarianism seems to be a solid
way of ensuring that needs are met with consideration of the
needs and desires of all stakeholders.
2.7. Weakness of Utilitarianism
• When adhering to the Utilitarian (consequentialist) approach,

one should be willing to let the general welfare prevail and thus
be ready to denounce personal moral beliefs and integrity in
case these are not aligned with what is considered “the overall
good.”
• Illustrating the moral dilemma that may rise between a
potentially questionable “common good” and one’s personal
moral beliefs, Robertson, Morris and Walter (2007) discuss the
so-called “replaceability” problem. Within the Utilitarian mindset,
it would be preferable to kill one healthy person in order to
provide transplant organs for six others, or to kill one man in
order to save dozens of others.
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• Another point of caution within the Utilitarian approach is its

outcome focus; while the endresult may be considered
admirable for any decision, there is no guarantee that an act
will actually generate a desired outcome. Life is unpredictable,
and with the growing complexity of our current work
environments, there may be many factors we overlook. This can
lead to undesired outcomes that backfire, regardless of the
initial focus. If, for instance, a manager decides to layoff three
employees to reduce overhead and save the livelihood of twenty
other workers, he may find that several of the twenty remaining
workers either become demoralized and less productive as a
result of this decision or even resign if they have the opportunity
to do so.
• Utilitarianism is an individual perception-based approach.
Depending on the magnitude of factors involved, it may occur
that different Utilitarian decision makers come to different
conclusions and make entirely different outcomes based on the
angle from where they perceived the issue at hand. One
manager may, for instance, conclude that using secret data from
a competitor brings the greatest good for the greatest number in
focusing on his workforce, leading him to use the data; while
another manager may find that using this secret data will
negatively affect the well-being of the much larger workforce of
his competitor, leading him not to use it.
2.8. In summary. Utilitarianism focuses on outcomes; the maximization

of pleasure and the minimization of pain. Here, consequences of actions are
considered to be more important than whether those actions fit a universal code
of practice. The perspective is most closely associated with the thinking of
Jeremy Bentham and John Stuart Mill. Within the utilitarian perspective,
individuals are expected to promote the attainment of the greatest good for the
greatest number of people. There are many instances where deviations from a
universal law would be justified within this perspective. For example, there may
be times when failing to attend to the neediest people in a group allows effort
to be devoted to securing the best outcome for the group as a whole.
Utilitarianism is easily understood and is frequently used. However, outcomes
are often difficult to predict, and people might have different views about the
likely consequences of an action. In public policy, tying enrolment numbers for
specific university degrees to labor market demand for graduates with those
degrees would represent a case of utilitarianism.
3.0. Altruism
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3.1. Altruism is based on the principle that we should help others regardless
of whether or not we profit from doing so.13 Assisting those in need may be
rewarding (we may feel good about ourselves or receive public recognition, for
example). Nevertheless, altruistic behavior seeks to benefit the other person,
not the self.
3.2. The most notable cases of altruism are those that involve significant
selfsacrifice, as when a soldier jumps on a grenade to save the rest of his
platoon or when an employee donates a kidney to another worker in need of a
transplant.
3.3. The word altruism comes from the Latin root alter, which means “other.”
Advocates of altruism argue that love of one’s neighbor is the ultimate ethical
standard. People are never a means to an end; they are the ends.
3.4. Some skeptical philosophers argue that people are egoists. Every act,
no matter how altruistic on the surface, always serves our needs, like when we
help others because we expect to get paid back at some later time. However,
a growing of body of research in sociology, political science, economics, social
psychology—and other fields— establishes that true altruism does exist and is
an integral part of the human experience.
3.5. Care for others appears to be a universal value, one promoted by
religions the world over. Representatives from a variety of religious groups
agree that every person deserves humane treatment, no matter what his or her
ethnic background, language, skin color, political beliefs, or social standing.
3.6. Concern for others promotes healthy relationships. Society functions
more effectively when individuals help one another in their daily interactions.
This is particularly apparent in organizations. Many productive management
practices, like empowerment, mentoring, and teambuilding, have an altruistic
component.
3.7. Evaluation of Altruism.
• Concern for others is a powerful force for good. It drives people
to volunteer to care for the dying, teach prisoners, act as Big
Brothers and Sisters, provide medical relief, and answer crisis
calls.
• Following the principle of caring helps prevent ethical abuses.
We’re much less likely to take advantage of others through
accounting fraud, stealing, cheating, and other means if we put
their needs first.
• Altruistic behavior, as we’ve seen, promotes healthy
relationships and organizations. There are practical benefits to
acting in a caring manner.
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• Altruism lays the foundation for high moral character. Many

personal virtues, like compassion, hospitality, generosity, and
empathy, reflect concern for other people.
• While compelling, altruism suffers from serious deficiencies. All
too often our concern for others only extends to our immediate
family, neighbors, or communities. Sadly, well-intentioned
attempts to help others can backfire. They fail to meet the need,
have unintended negative consequences, or make the problem
worse. For example:
o Panhandlers use the money they collect from
compassionate passers-by to feed their drug habits.
o A large proportion of the money donated to some
charities pays for fundraising costs rather than client
services.
o Wealthy nations fail to follow through on their pledges to
provide money for disaster relief, sparking bitterness and
resentment in victims.
o Medicines donated for rural health care in a developing
nation are stolen and sold on the black market.
o Recipients of welfare assistance become dependent on
it.
3.8. In summary. Altruism requires that love of others serves as our ethical
standard. People are not treated as the means to an end. People are what
matter most. Altruism guides us to always take account of the position of the
least-advantaged person and make that position as dignified and comfortable
as possible. This perspective has been espoused by many people who have
dedicated their lives to working among the poor, or who have used their political
careers to promote the social circumstances of the least fortunate. Although
informed by imperatives that characterize universalism, altruism takes account
of context. Difficulties surround the application of this perspective, because
people can disagree on what is best for others. In public policy, allowing
exceptions to admissions standards to university so that individuals who do not
meet those standards may enroll if they demonstrate maturity and profess a
thirst for knowledge would represent a case of altruism.
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Marques, J. (2015). Universalism and Utilitarianism: An Evaluation of Two Popular Moral

Theories in Business Decision Making. The Journal of Values-Based
Leadership Volume 8, Issue 2. Retreived from:
https://scholar.valpo.edu/cgi/viewcontent.cgi?referer=https://www.bing.com/&
httpsredir=1&article=1124&context=jvbl
Public Policy : Why ethics matters, edited by Jonathan Boston, et al., ANU Press, 2010.
ProQuest Ebook Central,
https://ebookcentral.proquest.com/lib/uniofmindanaoebooks/detail.action?docI
D=4694029
Johnson. (2006). Ethical Perspectives. Sage Publication. Retrieved
from:
https://www.sagepub.com/sites/default/files/upmbinaries/12905_Chapter1.pdf
Activity 16. In your own words, briefly explain the following:

1. Universalism
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2. Utilitarianism
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3. Altruism
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Activity 17. Examine the pros and cons of the controversial Anti-Terrorism bill through the
lens of the three ethical perspectives.
1. Universalism
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2. Utilitarianism
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3.Altruism
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1. U niversalism ethical perspective follows a universal rule that assumes a

one-size fit all framework. In policy practice, it refers to the rigid uniform
standard that every member of an organization or community must
adhere.
2. Utilitarian decisi ons are based on their consequences. The goal is to

select the alternative that achieves the greatest good for the greatest
number of people. To apply Utilitarian principles, identify all the possible
courses of actions, estimate the direct and indirect costs and benefits of
each option, and select the alternative that produces the greatest amount
of good based on the cost-benefit analysis.
3. Altruism seeks to benefit the other person, not the self. By making caring
for others the ethical standard, you can encour age practices (empowering,
mentoring, teambuilding, organizational citizenship behavior) that build
trust and increase productivity.
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1.
2.
3.
4.
5.
Universalism Utilitarianism Altruism
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• In the role of social workers as agents and advocates of change and in

the promotion of professionalism, responsibility and accountability; and,
• That our professional practice is deeply rooted in our cultural values.
DO HEREBY DECLARE that we will abide by these standards of ethical

conduct:
A. Relative and the Profession
1. To conduct myself in a manner consistent with the philosophy,

principles, values and beliefs of the social work profession;
2. To act at all times with honesty, openness, and transparency in
all my professional transactions;
3. To constantly work towards my own professional advancement
so as to contribute to the promotion of social work practice;
4. To contribute time and professional expertise to activities that
promote respect for the integrity and competence of social
workers;
5. To share research knowledge and practice wisdom to
colleagues and other professionals
6. To be vigilant and act to prevent the unauthorized and
unqualified practice of social work;
7. To support the professional association duly organized and
constituted for the professional welfare of all social workers;
8. To respond and volunteer my professional services in times of
emergency.
9. To uphold and protect the dignity and integrity of the profession;
and
10. To promote cultural values that will enhance the practice of
social work profession.
B. Relative to Client
1. To uphold the basic human rights of clients and serve them

without discrimination;
2. To accept primary responsibility and accountability to clients,
respecting their right to self-determination, and observe
confidentiality in all my dealings with them;
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3. To seek out the marginalized and ensure equal access to the

resources, services and opportunities required to meet basic
needs; and
4. To expand choice and opportunity for all persons with special
regard for disadvantaged or oppressed groups or persons.
C. Relative to Colleagues
1. To acknowledge and respect the professional expertise of other

disciplines, extending all necessary cooperation that will
enhance effective services;
2. To bring any violation of professional ethics and standards to
the attention of the appropriate bodies inside and outside the
profession and ensure that relevant clients are properly
involved; and
3. To advocate with legislative and policy making bodies for the
welfare of all colleagues.
1.1. In addition to the foregoing Code, there are unwritten duties and obligations that
are expected of a professional social worker. Below are given or understood as being
practiced by professionals and therefore do not have to be stated explicitly in the Code.
Following are some of these:
a. Duties toward clients

• A professional deal with clients openly and frankly
• A professional is patient, tolerant, and considerate of client’s point of
view
• A professional never uses threat or deceit
• A professional is punctual in keeping appointments and makes no
compromises she cannot keep
• A professional is careful and thorough in dealing with client problems
• A professional never discriminates against any client, give so-called
“hopeless” cases as much attention as promising ones
• A professional will act in relation to a client’s problem only on the basis
of adequate knowledge of client’s situation
b. Duties toward colleagues and the profession

• A professional is courteous and fair in dealing with co-workers
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• A professional cooperates with co-workers in the pursuit of common

goals
• A professional should maintain high standards of honor, integrity and
morality
• A professional makes only constructive criticisms of co-workers and of
the profession
• A professional does not exploit her professional membership, and
distinguishes between activities she does a private citizen and as a
member of the profession
c. Duties toward the agency/organization

• A professional is loyal to her agency
• A professional cooperates in the achievement of her agency’s goals
• A professional seeks opportunities to participate in the formulation of
policies, thereby contributing to the improvement of agency services
• A professional does not just oppose agency policies without first
discussing the matter with appropriate persons
• A professional observes established agency rules, channels, and
procedures, and advocates for their change or modification if these are
not satisfactory
d. Duties toward the community/public

• A professional respond promptly to requests opportunities to interpret
her work to the community
• A professional makes use of appropriate opportunities to interpret her
work to the community
• A professional help bring about a sound and constructive public opinion
in matters of social concern
1.2. Purposes of Code of Ethics.
a. It helps check abuses which can result from the powers and privileges
accompanying the monopoly enjoyed by a profession (for example, by social
workers enjoy a monopoly in the preparation of client case histories in agencies
dealing with child adoption, as well as in family courts which decide action on
youthful offenders)
b. It provides community some protection against abuses by members of
profession (e.g. the community is made aware of professional standards in light
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of which the conduct of members may be evaluated, and if needed be,

censured)
c. It sets forth basic principles which serve as guidelines to the members of
profession, and which are helpful in the socialization of future professionals
d. It sets guidelines for relationships, if not specific duties of members to each
other, to their clients, and to other groups
e. It is useful resource for enrichment or improvement of the professional
curriculum
1.3. Ethical Dilemmas
a. Manipulation. In our setting, manipulation comes in many forms, such

as in the matter of influencing client to act in the way a worker wants
them to act in response to a given situation, or manipulating agency
reports to justify budgetary requests. Are there occasions when a
professional may engage in manipulation? Under what circumstances
would this would be justified, if at all? Perhaps we need to develop some
guidelines so that we will know what is action that is in the client’s
interest, and what is unwarranted manipulation.
b. Advocacy. We realize the need for social workers to engage in
advocacy that will bring about social reforms which will benefit large
segments of our population. However, we must deal with the ethical
problems that often go with advocacy. For example, in the cause of
advocacy, some promote unnecessary conflict situations, resorting to
various machinations, including the use of insult, embarrassment,
distortion of the truth, disruption, and violence, Rational processes are
set aside, ”for the end justifies the means.” How can such acts,
however, be reconciled with ethical principles that exhorts the
professional to treat everyone with respect and dignity, and to be open
and fair in dealing not only with clients, but with his agency and
coworkers?
c. Conflicting loyalties. We listed loyalty to one’s agency as among the
professional’s duties to her agency or organization. Wilensky and
Lebaux, on the other hand, mention loyal to one’s colleague (or
professional group) as one of the two areas around which norms
governing colleague relations cluster. They refer to this as “unity toward
outgroups,” which means that professionals unite against outsiders who
threaten the privileges and rewards of the group. Thus, an accepted
norm in a profession like medicine is “do nothing and admit to nothing
which will discredit the profession in the eyes of outsiders.” Should this
hold true in social work? Is loyalty to one’s professional organization or
group to be observe at all times or are there limits to this norm? When
is what called “whistle-blowing” against co-worker or a social agency is
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justified? Would loyalty to a client’s cause, such as where human dignity

or survival involved, be a justifiable reason for not upholding loyalty to
one’s organization or colleague group?
d. Cultural and other realities. Our culture presents certain ethical
dilemmas to the social worker. For example, the social worker is
expected to follow the established rules and procedures of an agency.
However, our workers know that our personalistic culture often calls for
the use of personal “connections” to facilitate action on a client’s
request. The use of one’s connections, however, quite often means that
one has to disregard accepted agency rules or channels, with the
resultant affect that one’s success in using “connections” can be to the
disadvantage of another worker’s client. Another reality in our setting is
political influence. The unwritten code expects the social worker to
cooperate with her co-workers, and to make only constructive criticisms
about them. But, what does a worker do when a co-worker (whether
trained or untrained), who remains on the job only because of political
influence engages in activities the former cannot accept? In addition,
what does she do if her co-worker’s patron is an important source of
agency funds? Indeed, there is a need to know the limits of the support
and cooperation one should give co-workers.
2.0. Advocate in generalist social work practice means the workers has to take a
partisan interest on the client and cause. She cannot remain neutral. The objective is
to influence, in the client’s interest, another party, usually possessing same power or
authority over the client. The advocate will argue, debate, bargain, negotiate and
manipulate the environment on behalf of the client. She may even have to utilize
nonconsensual strategies, such direct confrontation, administrative appeal, and the
use of judicial and political systems as appropriate. Below illustrates this role:
Several heads of families from Pitimini, a neighborhood on the predominantly
squatters’ area called Barangay Payatas in Quezon City approached a social worker of
an NGO based in the areas to seek help. They simultaneously that morning a notice
from City Hall informing them that a demolition crew would arrive after seven days to
demolish their “illegally constructed” houses. The notice cited a policy which would
allow some concessions to “authenticated long-time squatters” who would be given
options, i.e. 1. Loan/purchase of small lots in the Payatas area that was due for
development for low-cost housing or 2. Relocation in government sites close to Metro
Manila.
The group of residents presented their “evidences” of residence in the

neighborhood, which show they more than meet the minimum requirements. The social
worker gave them one day to get other “witness” and documents to prove their claim:
certification by the area health center, the parish priest, their children’s teachers in the
lone public school in the area, etc.
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The social worker was convinced about the truth of their claim. She made
several phone calls to make an appointment for the group to meet with City Hall
authorities but failed on the ground that there were too many illegal squatters “faking
evidences.” The worker went to the City Hall this first time because the personnel there
were already prejudiced against them. This prejudice became very evident upon the
social worker’s arrival in the concerned office at City Hall. Worker however had all the
necessary supporting papers and even hinted at brining the case to “Hoy Gising”, a
popular TV program that presents complaints from the public, mostly relating to
government offices. In short, the worker was able to get all the concessions allow the
“long-time squatters” which, the group she was representing, undoubtedly were.
Mendoza, T. (2007). Social Welfare and Social Work. Central Bookstore.
Activity 18. In your own words, define the following:
1. Professional Code of Ethics.
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2. Policy change advocate.
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Activity 19: In this part, you need to explain comprehensively your answer base from your
understanding of the topic above.
1. A client abruptly stopped coming to sessions after 6 weeks. He calls the social worker and
asks for a copy of his record about a month later. There is nothing in the record that is harmful
to the client, but the social worker refuses to give it to him. In this situation, the social worker’s
action is? Is it ethical or unethical? Justify your option.
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2. A social worker who is a director of a residential substance abuse facility sees a former
client who left the program about 5 years ago at a community event. The former client tells the
social worker that he has always been attracted to her and would like to go on a date with her
now that he has left the program and is no longer in need of services. The social worker accept
his invitation as it is ethical based on the length of time that he has been out of services. Does
the action of social worker ethical or unethical? Justify your answer.
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3. Therapy sessions conducted by social workers in an agency are frequently audiotaped for
review by their supervisors. These tapes are destroyed upon client terminations and are used
only for supervisory purposes, not shared with others outside the agency. The standard
consent form used by the agency states that social workers will receive supervision and client
information may be disclosed with supervisors to ensure service quality. In order to avoid
making clients feel uncomfortable, taping is not discussed with them, but consent forms are
read by the social worker to clients who sign them. The audiotaping of these sessions is ethical
or unethical? Justify your answer.
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4. After several months of treating a client, a social worker learns that the client goes to the
same church as the social worker. The social worker continues to go to the church, seeing
the client occasionally across the room. The social worker has no contact with the client at
church. This situation is ethical or unethical? Justify your answer.
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5. An agency is required by its funder to make extensive modifications to its human resource
policies. The agency director is worried about the financial health of the agency and reports
that the agency does not have the money to hire someone to complete this task. The social
worker’s wife is a human resource manager at a large corporation and agrees to work with
the agency for a few weeks at a deeply discounted rate in order to meet the requirements.
This situation is ethical or unethical? Justify your answer.
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1. Professional ethics are “rules” based on the core values of the

profession that should be adhered to by social workers. They are
statements to the general public about what they can expect from a
social worker. These standards tell new social workers what is
essential for practice based on the profession’s core values. Social
workers are judged with regard to competency based on these
standards.
2. Professional sta ndards are also helpful in guiding social workers

when they are u nsure about a course of action or conflicts arise. The
social work profession is based on the belief that every person has
dignity and worth. It is essential that social workers respect this value
and treat everyone in a caring and respectful fashion. Soci al workers
should also be mindful of individual differences, as well as cultural
and ethnic diversity.
3. Social workers should promote clients’ right to self -determination

and act as a resou rce to assist clients to address their own needs.
Social workers have multiple responsibility to wards clients, colleague
and profession, agency and to the broader society and must resolve
any conflicts, in a socially responsible and ethical manner, that ar ise
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case of distant learning). After the clarification, you may write your understanding
of the question/ raised in the “answer” portion.
1.
2.
3.
4.
5.
Code of Ethics Duties toward clients Duties toward Duties toward

colleagues and agency
profession
Duties toward public Advocate
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Rubric for Essays

Trait Insufficient Emergent (70-79%) Proficient Distinguished
(60-79%) (80-89%) (90100%)
Depth of Main points Main points are present with limited detail Main Main points
Analysis (10 lack and development. Some critical thinking is points well
points) detailed present. well developed
developme develope with high
nt. Ideas are d with quality and
vague with quality quantity
support.
little supporti
Reveals high
evidence of ng
degree of
critical details
critical
thinking. and
thinking.
quantity.
Critical
thinking
is
weaved
into
points
Coherence of Misundersta Responds adequately to the prompt, may have some Respond Responds
exampl nds factual, interpretive, or conceptual s well to comprehensiv
es (5 prompt errors or irrelevancies the ely to the
points) and/o prompt prompt;
r confuses analysis analysis
some goes relevant,
beyond
significant sophisticated,
the
concepts of and original
obvious
the case
example
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Organizat Writing Writing Writing shows

ion (5 lacks logical is high degree of
points) organizatio coherent attention to
n. It shows and logic and
some logically reasoning of
coherence organize points. Unity
but ideas
d with clearly leads
lack unity.
transitio the reader to
Serious
ns used the
errors.
between conclusion
ideas and stirs
and thought
paragrap regarding the
hs to topic.
create
coherenc
Writing is coherent e.
and logically Overall
organized. Some unity of
points remain ideas is
misplaced and stray present.
from the topic. Writing
Transitions evident is
but not used coherent
throughout essay and
logically
organize
d with
transitio
ns used
between
ideas
and
paragrap
hs to
create
coherenc
e.
Overall
unity of
ideas is
present.
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Trait Insufficient (6079%) Emergent (70-79%) Proficient (80-89%) Distinguished

(90100%)
Application of Fails to Demonstrates Demonstrates Demonstrates
theory to the demonstrate minimal acceptable excellence and
case (10 minimal proficiencies to proficiencies to proficiency in
points) proficiencies to describe, explain, or describe, predict, or describing,
describe, explain, or resolve the case or resolve the case or predicting, or
resolve the case or situation as situation as resolving the case or
presented; presented;
situation as situation as
demonstrates demonstrates
presented; provides presented;
cursory critical critical thinking
limited evidence of integrates
thinking
critical thinking scholarship in a way
that demonstrates
excellent critical
thinking
Foundational Explanation of Explanation of Explanation of Explanation of
Content theory/theories is theory/theories is theory/theories is theory/theories is
(5 points) inaccurate, vague, overly general and clear, detailed, and grounded, specific,
irrelevant or absent lacking depth accurate arguable, and
complex
Identify Misunderstands Responds Responds well to Responds
concept related prompt and/or adequately to the the prompt analysis comprehensively to
to the case (5 confuses some prompt, may have goes beyond the the prompt;
points) significant concepts some factual, obvious analysis relevant,
of the case example interpretive, or sophisticated, and
conceptual errors original
or irrelevancies
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Rubric for Analysis of Situation using Theory
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Big Picture C: Let’s Analyze Activities

Big Picture C: In a Nutshell
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Big Picture C: QA List
Big Picture C: Keywords Index
Week 4 – 5 (Big Picture)

Big Picture A: Metalanguage
Big Picture A: Essential Knowledge
Big Picture A: Self-help
Big Picture A: Let’s Check Activities
Big Picture A: Let’s Analyze Activities
Big Picture A: In a Nutshell
Big Picture B: Metalanguage

Big Picture B: Essential Knowledge
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Big Picture B: Self-help
Big Picture B: Let’s Analyze Activities
Big Picture B: In a Nutshell
Big Picture B: QA List
Big Picture B: Keywords Index

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1) All teachers/Course Facilitators and students are expected to abide by an honor

code of conduct, and thus everyone and all are exhorted to exercise self-
management and self- regulation.
3) All students are guided by professional conduct as learners in attending OBD or
DED courses. Any breach and violation shall be dealt with properly under
existing guidelines, specifically in Section 7 (Student Discipline) in the Student
Handbook.
4) Professional conduct refers to the embodiment and exercise of the University’s

Core Values, specifically in the adherence to intellectual honesty and integrity;
academic excellence by giving due diligence in virtual class participation in all
lectures and activities, as well as fidelity in doing and submitting performance
tasks and assignments; personal discipline in complying with all deadlines; and
observance of data privacy.
5) Plagiarism is a serious intellectual crime and shall be dealt with accordingly. The
University shall institute monitoring mechanisms online to detect and penalize
plagiarism.
6) Students shall independently and honestly take examinations and do

assignments, unless collaboration is clearly required or permitted. Students
shall not resort to dishonesty to improve the result of their assessments (e.g.
examinations, assignments).
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7) Students shall not allow anyone else to access their personal LMS account.
Students shall not post or share their answers, assignment or examinations to
others to further academic fraudulence online.
8) By enrolling in OBD or DED courses, students agree and abide by all the
provisions of the Online Code of Conduct, as well as all the requirements and
protocols in handling online courses.
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Course prepared by:
KENJAY N. SALVALEON, RSW

SW Faculty
Course reviewed by:
HELEN Q. OMBLERO, DSD

Program Head
Approved by:
KHRISTINE MARIE D. CONCEPCION, Ph.D.

Dean
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SW 221 Sim

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UNIVERSITY OF MINDANAO

College of Arts and Sciences Education

Physically Distanced but Academically Engaged

Self-Instructional Manual (SIM) for Self-Directed Learning (SDL)

Course/Subject: SW 221– Social Welfare Policies, Programs and Services

Name of Teacher: Prof. JEAN AGNES A. PASILIAO, MSSW

Course Outline Policy 5

Course Outcome and CC’s Voice 9

Week 1 – 3 (Big Picture) 10-77

Big Picture A: Metalanguage 10

Big Picture A: Essential Knowledge 10

Big Picture A: Self-help 11

Big Picture A: Let’s Check Activities 25

Big Picture A: Let’s Analyze Activities 26

Big Picture A: In a Nutshell 27

Big Picture A: QA List 30

Big Picture A: Keywords Index

Big Picture B: Metalanguage 32

Big Picture B: Essential Knowledge 34

Big Picture B: Self-help 50

Big Picture B: Let’s Check Activities 51

Big Picture B: Let’s Analyze Activities 52

Big Picture B: In a Nutshell 57

Big Picture B: QA List 58

Big Picture B: Keywords Index 58

Big Picture C: Metalanguage 59

Big Picture C: Essential Knowledge 59

Big Picture C: Self-help 72

Big Picture C: Let’s Check Activities 73

Big Picture C: Let’s Analyze Activities 73

Big Picture C: In a Nutshell 76

Big Picture C: QA List 77

Big Picture C: Keywords Index 77

Week 4 – 5 (Big Picture) 78

Big Picture A: Metalanguage 78

Big Picture A: Essential Knowledge 79

Big Picture A: Self-help 95

Big Picture A: Let’s Check Activities 96

Big Picture A: Let’s Analyze Activities 97

Big Picture A: In a Nutshell 99

Big Picture A: QA List 100

Big Picture A: Keywords Index 100

Big Picture B: Metalanguage 101

Big Picture B: Essential Knowledge 101

Big Picture B: Self-help 135

Big Picture B: Let’s Check Activities

Big Picture B: Let’s Analyze Activities 138

Big Picture B: In a Nutshell 141

Big Picture B: QA List 142

Big Picture B: Keywords Index 142

Week 6 – 7 (Big Picture) 143

Big Picture A: Metalanguage 143

Big Picture A: Essential Knowledge 146

Big Picture A: Self-help 167

Big Picture A: Let’s Check Activities 168

Big Picture A: Let’s Analyze Activities 170

Big Picture A: In a Nutshell 173

Big Picture A: QA List 174

Big Picture A: Keywords Index 174

Big Picture B: Metalanguage 175

Big Picture B: Essential Knowledge 175

Big Picture B: Self-help 243