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However, as the review considers system-wide governance, even if cases have been studied for a particularly successful aspect, feature or level, the case study will offer a new perspective – by linking up achievements in coverage 6 Conclusion 85 extension and the universal social protection agenda, with the nuts and bolts of a governance, including occasional failures.
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Governance is an enormously broad, yet fundamental, concept that pervades all stages and aspects of the social protection policy and delivery process. It is the vehicle through which the fundamental right to social protection is achieved.
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Seen in this way, governments must view governance from a higher, strategic role, steering the vehicle more purposely toward a universal social protection system based on entitlements, where core lifecycle social protection programmes come to be viewed as the axle around which the whole system turns. At the same time, they must ensure that the engine is smoothly functioning, that all systems are monitored regularly, and that no one is left behind or crushed along the way.
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Respecting the principles of good governance — the rules of the road — requires grappling with the complexity of existing systems, while mapping out a vision for a more streamlined future. Bibliography 86 Bibliography Ahimbisibwe, P., 2019. Workers demand to get their NSSF savings at 45. Dly. Monit. Aslam, G., 2018. Social accountability in the delivery of social protection: South Africa case study. Development Pathways, London. Ayliffe, T., 2017.
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Shock-Responsive Social Protection Literature Review (2nd edition). Oxford Policy Management, Oxford. Pierson, P. (Ed. ), 2001. The New Politics of the Welfare State, The New Politics of the Welfare State. Oxford University Press, Oxford. Pino, A., Confalonieri, A.M.B., 2014a. National social protection policies in West Africa: A comparative analysis. Int. Soc. Secur. Rev. 67, 127–152. https://doi.org/10.1111/issr.12051 Pino, A., Confalonieri, A.M.B., 2014b.
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National social protection policies in West Africa: A comparative analysis: National social protection policies in West Africa: A comparative analysis. Int. Soc. Secur. Rev. 67, 127–152. https://doi.org/10.1111/issr.12051 Repetto, F., Pottenza Dal Masetto, F., 2012. Sistemas de protección social en América Latina y el Caribe: Argentina, Sistemas de Protección Social en América Latina y el Caribe. Santiago de Chile. Roelen, K., 2014.
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Santiago de Chile. Roelen, K., 2014. Researching the Linkages between Social Protection and Children’s Care in Ghana - LEAP and its effects on child well-being, care and family cohesion (Technical Report). Institute of Development Studie. Roelen, K., Devereux, S., Abdulai, A.-G., Martorano, B., Palermo, T., Ragno, L.P., 2017. How to Make ‘Cash Plus’ Work: Linking Cash Transfers to Services and Sectors (Innocenti Working Paper No. WP-2017-10). UNICEF, Florence. Ruggia-Frick, R., 2016.
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UNICEF, Florence. Ruggia-Frick, R., 2016. Coordinating social programmes: Analysis of scenarios and implementation approaches based on the ISSA Guidelines on ICT. Int. Soc. Secur. Rev. 69. Rutkowski, M., 2020. COVID-19 reinforces the case for fundamental reform of our social protection systems. URL https://blogs.worldbank.org/jobs/covid-19-reinforces-case-fundamental- reform-our-social-protection-systems (accessed 10.25.20).
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Sabates-Wheeler, R., Gafaru Abdulai, A., Wilmink, N., de Groot, R., Renee Spadafora, T., 2017. Linking Social Rights to Active Citizenship for the Most Vulnerable: The role of rights and accountability in the ‘making’ and ‘shaping’ of social protection. Office of Research - Innocenti Working Paper WP-2017-14 | October 2017. Schjoedt, R., 2018. Social accountability in the delivery of social protection: India case study. Development Pathways, London. Schjoedt, R., 2017.
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Development Pathways, London. Schjoedt, R., 2017. Social accountability in the delivery of social protection: Nepal case study. Development Pathways, London. Sepúlveda, M., Nyst, C., 2012. The Human Rights Approach to Social Protection. Ministry for Foreign Affairs of Finland, Helsinki, Finland. Sharma, N., Koroivueta, J., 2019. Fiji National Ageing Policy Gap Analysis 2011-15. Sphere Association, 2018. The Sphere Handbook: Humanitarian Charter and Minimum Standards in Humanitarian Response.
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Sphere Association, Geneva, Switzerland. Stuart, G., 2018. Government to Person Transfers. Center for Financial Inclusion at Accion, Washington, DC, United States. Bibliography 93 Tendler, J., 2004. Why social policy is condemned to a residual category of safety nets and what to do about it. Soc. Policy Dev. Context UNRISDPalgrave Macmillan Basingstoke. The World Bank, 2017. Good Practices for Financial Consumer Protection: 2017 Edition. The World Bank, Washington, DC, United States.
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The World Bank, Washington, DC, United States. UNDESA, 2016. E-government in support of sustainable development, United Nations e-government survey. New York. UNDP, 2016. Marshall Plan Against Poverty - Volume 1: Action Plan. UNDP, Port Louis. UNDP, African Union, 2019. The State of Social Assistance in Africa. UNDP, New York. UNICEF and MWCPA, 2015. CHILD-SENSITIVE SOCIAL PROTECTION IN FIJI – Assessment of the Care and Protection Allowance.
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United Nations Development Group (UNDG), International Labour Organization, 2016. UNDG Social Protection Coordination Toolkit: Coordinating the design and implementation of nationally defined social protection floors. International Labour Organization, Geneva. UNU-WIDER, 2015. SAPI - Social Assistance, Politics, and Institutions database [WWW Document]. UNU-WIDER. URL https://www.wider.unu.edu/project/sapi-social-assistance-politics-and- institutions-database (accessed 6.23.20). World Bank, 2019.
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World Bank, 2019. World Development Report 2019: The Changing Nature of Work [WWW Document]. World Bank. URL https://www.worldbank.org/en/publication/wdr2019 (accessed 2.22.20). World Bank, 1994. Averting the Old-Age Crisis - Policies to protect the old and promote growth. Oxford University Press, Washington, DC.
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Oxford University Press, Washington, DC. Annex 1 94 Annex 1 Good governance among the ‘umbrella’ principles of ILO Recommendation 202 ILO Recommendation 202 lays out 19 principles in Article 3, which in Dijkhoff and Mpedi (2016) (and Behrendt et al., 2016, in the same volume) have been classified covering nine ‘umbrella’ principles. Their classification is reproduced here. Table 0-1: ‘Umbrella’ principles articulated in R202. Umbrella principle Corresponding principle from Article 3 1.
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State responsibility Article 3 (entire) 2. Universality of protection (a) Universality of protection based on social solidarity. (e) Social inclusion, including of persons in the informal economy. (g) Progressive realization, including by setting targets and time frames. (i) Consideration of diversity of methods and approaches, including of financing mechanisms and delivery systems; 3. Entitlements based on law (b) Entitlement to benefits prescribed by national law.
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(o) efficiency and accessibility of complaint and appeals procedures; 4. Adequacy and predictability of benefits (c) Adequacy and predictability of benefits. (f) Respect for the rights and dignity of people covered by the social security guarantees; 5. Non- discrimination (d) Non-discrimination, gender equality and responsiveness to special needs; 6.
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Financial solidarity (h) Solidarity in financing while seeking to achieve an optimal balance between the responsibilities and interests among those who finance and benefit from social security schemes; 7. Good governance (f) Respect for the rights and dignity of people covered by the social security guarantees. (i) Consideration of diversity of methods and approaches, including of financing mechanisms and delivery systems. (j) Transparent, accountable, and sound financial management and administration.
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(k) Financial, fiscal, and economic sustainability with due regard to social justice and equity. (m) Coherence across institutions responsible for delivery of social protection. (n) High-quality public services that enhance the delivery of social security systems. (p) Regular monitoring of implementation, and periodic evaluation; 8. Coherence of policies236 (i) Consideration of diversity of methods and approaches, including of financing mechanisms and delivery systems.
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(l) Coherence with social, economic and employment policies. (m) Coherence across institutions responsible for delivery of social protection 236 While some would separate coherence of policies from good governance (umbrella principles 7 and 8 in), we would argue that a failure to achieve policy coherence points fundamentally to a failing of governance and therefore the former should be considered a sub- component of system-wide governance, as we are proposing. Annex 1 95 9.
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Annex 1 95 9. Social participation (q) Full respect for collective bargaining and freedom of association for all workers; and (r)Tripartite participation with representative organizations of employers and workers; as well as consultation with other relevant and representative organizations of persons concerned. Source: Reproduced from Dijkhoff and Mpedi (2016). Annex 2 96 Annex 2 Social security institutional organigrams from select countries.
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Figure 0-1: Social security system in Finland Source: Development Pathways’ depiction based on Mutual Information System on Social Protection (MISSOC), (latest years). Figure 0-2: Social security system in the Maldives Source: Development Pathways. Annex 2 97 Figure 0-3: Social security system in the Republic of Korea Source: Development Pathways depiction based on ISSA/SSA (latest year). Figure 0-4: Social security system in Mongolia Source: Development Pathways.
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Annex 2 98 Figure 0-5: Social security system in South Africa Source: Development Pathways depiction based on ISSA/SSA (latest year). Figure 0-6: Social security system in Viet Nam Source: Development Pathways based on ISSA/SSA (latest year) and research conducted for UNDP and UNICEF. Annex 2 99 Figure 0-7: Social security system in Georgia Source: Development Pathways based on ISSA/SSA (latest year) and research conducted for ILO.
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Annex 3 100 Annex 3 Targeting effectiveness of different policy designs237 One of the key debates in social protection policy continues to be around the relative advantages and disadvantages of targeting versus universalism.238 Countries with limited fiscal space often look to poverty targeting as a cheaper way to concentrate fewer resources on those who need it most.
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However, poverty targeting entails higher administrative costs and requires a high degree of administrative capacity given the greater need for data collection and regular assessment.239 There is mounting evidence that the current tools available to low- and middle-income countries to identify potential beneficiaries of poverty targeted programmes (the proxy means test (PMT) being the most commonly applied) are wholly inadequate and consistently produce high exclusion errors.240 Even the best performing programme across low- and middle-income countries – Brazil’s Bolsa Familia – excludes 44 per cent of the eligible population, with most programmes excluding more than half.241 These high exclusion errors occur for several reasons, but two in particular stand out: first, because incomes are inherently dynamic and constantly influx, the idea of ‘the poor’ as a fixed or stable identifiable group is highly problematic,242 and second, re-assessment is generally only carried out every 5 to 10 years, whereas people’s circumstances are changing in real time.243 If one of the highest goals of good governance is to reduce the gap between legal and effective coverage caused by administrative errors, there is strong evidence that countries would be better off implementing universal schemes.
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Universal schemes are less prone to administrative errors because of their inclusive design and have therefore been shown to be much more effective at reaching their intended recipients. However, because they achieve high coverage overall, they are also better at reaching the poor.
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In a review of the effectiveness of different policy designs, including universal, benefit-tested as well as several poverty targeting mechanisms, Kidd and Athias (2019) found that universal schemes have exclusion errors of less than 10 per cent, while affluence-tested schemes (like South Africa’s social grants schemes) also have lower exclusion errors, as shown in Figure 0-8.
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Programmes based on poverty targeting have the largest exclusion errors, but even within poverty-targeted programmes, programmes with higher coverage have a lower likelihood of exclusion errors compared with those with lower coverage, which exclude most intended recipients. 237 This annex summarises evidence from Kidd and Athias (2019) 238 Cruz-Martínez (2019); Kidd (2012); Kidd and Athias (2019); Mkandawire (2005) 239 ILO (2019b) 240 Kidd et al.
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(2017) 241 Kidd and Athias (2019) 242 Knox-Vydmanov (2014) 243 Brown et al. (2016); Kidd et al. (2017); Kidd and Athias (2019). Section 0 discusses the implications of these errors for the fulfilment of rights in frontline processes. Annex 3 101 Figure 0-8: Relationship between coverage of schemes and exclusion measured against intended recipients. Source: Reproduced from Kidd and Athias (2019).
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Source: Reproduced from Kidd and Athias (2019). Likewise, if the goal of a poverty targeted programme is to concentrate resources among the poorest, it is reasonable to assess the programmes’ ability to reach those in the lowest income or consumption deciles.
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Figure 0-9 shows results: universal and other high-coverage schemes (e.g., South Africa’s grants) reach almost all of those in the poorest 20 per cent of the population, while poverty targeted programmes, despite their stated purpose, are much less effective at reaching those who need it the most. Annex 3 102 Figure 0-9: Relationship between the coverage of schemes and exclusion of the poorest 20 per cent of intended categories Source: Reproduced from Kidd and Athias (2019).
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Furthermore, no discernible patterns emerge with respect to the superiority of different poverty targeting mechanisms, and in particular, countries which have invested heavily in developing proxy means tests (e.g., Colombia’s Familias en Acción, Kenya’s HSNP, Indonesia’s PKH) do not necessarily perform better. Vietnam’s Poor List performs best, with exclusion errors among those classified as poor of 49 per cent.
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Annex 4 103 Annex 4 MIS integration experiences While the challenge of coordinating multiple institutions and actors in a complex social protection landscape is often cast as a problem for low- and middle-income countries, it is in fact an inherent feature in many high-income countries with complex institutional legacies.
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There are countless examples, in both high-income countries as well as low- and middle-income countries, of successful application of digital technology to improve the management and implementation of social protection systems. We briefly summarise a selection of them here, but more detailed accounts are available in the referenced literature.
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France’s RNCPS – a single registry for a complex social security system244 France’s national social protection registry, Répertoire national commun de la protection sociale (RNCPS), operated by the national old-age insurance fund (Caisse nationale d’assurance vieillesse, or CNAV) brings together data from the approximately 1,500 socials security institutions operating in France.
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The registry provides a single platform to monitor individuals’ interaction with the social security system, including their personal identification, the agency to which the individual is assigned, the benefits the individual receives according to risk (old age, disability, family, social assistance, health insurance, maternity, or unemployment) as well as the address to which benefits are sent and other addresses registered in other national databases, such as the tax authority.
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The system is regulated by the Commission for Information Technology and Freedoms (CNIL). The database and portal allow member institutions to consult beneficiary data to ensure that the benefits received are compatible with the rights and entitlements allowable under the law.
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For example, individuals are not able to receive two similar benefits from different institutions; certain types of risks are not compatible with others (such as unemployment benefits and old-age pensions); and some benefits are restricted to those currently residing in France. However, the system also allows for detection of benefits that have not been received, improving the overall performance of the system from a rights-based perspective.
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Belgium’s Crossroads Bank for Social Security (CRBB)245 The CRBB in Belgium is widely cited as among the most successful examples of multiple institution data exchange. All national social security institutions, as well as employers and foreign institutions can access the system with requests about social security functions ranging from affiliation, return- to-work, changes in circumstances.
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The CRBB manages receipt and routing of all data transmitted (coded in XML using standard schemas), including automatic transmission to the social security institutions. SIS cards are issued to each insured person attached to a unique identifier, and the data registry covers all citizens, where they are registered (in the social security system), for what contingencies and for which periods. Data requests transmitted through the system to the SS institutions automatically.
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Data exchange in international social security agreements246 The European multilateral agreement based on the Electronic Exchange of Social Security Information (EESSI), offers an international legal framework with specific regulations for health, 244 Kounowski (2012) 245 Ibid. 246 Ibid. Annex 4 104 maternity/paternity, disability, old age, survivors, employment injury, unemployment, pre- retirement, and family benefits.
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Similarly, in South America, the common market MERCOSUR (Argentina, Brazil, Paraguay, Uruguay) uses a federation model called the International Agreements System in Social Security (SIACI), which respects the individual information systems and privacy laws and standards of each country. It includes five modules: management applications, data transmission among institutions, digital signature and validation of information, record of operations (traceability), and reports of operations.
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Brazil’s Cadastro Unico247 Brazil’s Cadastro Unico is a social registry created in 2001 and is among the first social registries implemented in the Global South. The registry is used by more than 27 social development programmes, including beyond the social protection sector. For example, programmes that offer discounts on social security contributions, credit reduction programmes, social technologies, infrastructure programmes and social services.
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The primary programmes supported by the Cadastro Unico are poverty targeted social protection programmes, most notably including Bolsa Familia, as well as various means-tested programmes providing housing, fee exemptions, literacy, subsidies, and special services for children and the elderly. Cadastro Unico is managed at different levels of government depending on function.
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The Ministry of Social Development is responsible for high-level design of the system (e.g., the questionnaires, systems, data security and protection, etc). Local governments collect and input data based on central guidelines. The federal bank Caixa consolidates data under contract with the Ministry of Social Development and generates unique social ID numbers. Finally, State governments and the Central Government provide continuous training.
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Brazil’s experience with Cadastro Unico has revealed several lessons and challenges, including the need to further develop systems to enable automatic and online links with user programmes; the challenge of finding a work-around for the lack of a national ID; challenges related to connectivity and technology in certain regions; decentralization and the need to improve capacity at lower levels of government; and challenges related to excessive data collection requirements.
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Turkey’s Social Assistance Service Information (ISAS) system Turkey’s ISAS integrates data from 22 public institutions and provides 112 we-based services as part of an e-government system. ISAS facilitates the application process, determination of eligibility, disbursement of funds, and auditing for seven main social assistance programmes in the country.
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ISAS is managed by three separate institutions: The Social Assistance Directorate General of the Ministry of Finance (MoFSP) oversees the system’s management and maintenance; TUBITAK maintains software, including development of new modules; and the Social Assistance and Solidarity Foundations, which assess households’ living conditions.
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The success of the ISAS is owed to strong e-government platforms; comprehensive national ID system; security and data exchange protocols; strong political will; high internal technical capacity; and a phased and modular development approach.248 247 Chirchir and Hu (2019) 248 Ibid.
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Annex 5 105 Annex 5 Social protection and the social contract All citizens249 contribute to their societies through the course of their lives, through their labour, reproduction, taxes, and various contributions to their communities.250 In contrast to public investments in health, education, or infrastructure, where benefits are spread diffusely and often occur only over the long term, social protection provides an immediate, tangible way for societies –through their governments -- to acknowledge, reciprocate and assign value to those contributions.
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The secure knowledge that this protection will be forthcoming when citizens experience common risks across the lifecycle strengthens the social contract, and over time, can increase people’s willingness to contribute, including through taxes, creating a virtuous cycle. International evidence strongly suggests that higher social protection investment contributes to stronger societies through improvements to well-being and social cohesion.
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In general, people who live in countries that invest more in social protection tend to be happier.251 Indeed, it is no coincidence the happiest citizens on earth, according to the UN’s World Happiness Report 2018, live in Finland, Norway, Denmark, and Iceland, where taxation and social spending are highest.
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252 Moreover, high growth is generally only associated with higher levels of well-being when it is accompanied by fair distribution, often through social security.253 249 The term citizens are used in the broad sense to denote those living in and contributing to society, rather than in a redistricted technical sense.
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Social Security systems also incorporate non-citizens (permanent residents, migrants, refugees) to varying degrees, though overall progress on this front has been uneven and, globally speaking, unsatisfactory. 250 See McClanahan (2020) 251 However, strict labour market regulations that restrict flexibility may offset happiness, even in generous welfare states. (Anderson and Hecht, 2015)).
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252 https://s3.amazonaws.com/happiness-report/2018/WHR_web.pdf 253 Bradshaw (2008) Figure 0-10: Social security and the social contract Annex 5 106 Indeed, there is strong evidence from low- and middle-income countries that inclusive social protection can improve well-being by enhancing beneficiaries’ dignity, independence and self-worth testifying to the importance of social protection as an opportunity to provide citizens with a meaningful and positive interaction with the state.
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For example, recipients of the Child Support Grant in South Africa reported that the grant restored their dignity and reduced the stigma of poverty;254 Bolsa Familia beneficiaries in Brazil reported high overall life satisfaction; 255 also in Brazil, over 90 per cent of pensioners express satisfaction with family relations and a similar proportion express satisfaction with the respect they receive from other community members;256 in Indonesia’s Aceh Jaya District, 81 per cent of ASLURETI pensioners reported no longer being dependent on others and being able to contribute to their households and communities;257 and in Mexico, the social pension was associated with reduced depressive symptoms among beneficiaries.258 The contribution of social security to social cohesion is also widely recognised, where broad-based, inclusive social protection has been used as a stabilizing force in the face of social upheaval.
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For example, the biggest waves of social policy expansion in the United States followed the Great Depression and the Civil Rights Movement; Finland, Sweden and Norway introduced universal child benefits after World War II in part to unite deeply divided societies;259 the universal pension in Mauritius contributed to cohesion, while also enabling a transition from a single- crop economy to a prosperous, economically diverse economy; 260 South Africa’s Old Age Grant was expanded, equalizing the maximum pension amounts paid to 254 Hochfield and Plagerson (2011) 255 However, they scored lower on measures of financial well-being, likely because the transfer was insufficient to alleviate previously incurred debt.
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See Pulino Campara, Mendes Vieira & Grigion Potrich (2017) 256 Barrientos and Lloyd-Sherlock (2011) 257 MAHKOTA (2017) 258 Salinas-Rodríguez et al. (2014) 259 Kangas and Palme (2005) 260 Subramanian and Roy (2001) Box 0-1: Building alliances for a stronger social contract.
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While much of the welfare state and social policy regimes literature has focused on the role of political variables in explaining policy outcomes, many have recognized that the reverse is also true: policies often produce their own political dynamics.1 While operations are typically treated separately from higher-level decisions, policy design choices have a direct and lasting effect on the way that citizens experience and understand the social protection system.
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As Mkwandawire (2005) noted, “Targeting or means-testing is… treated as an administrative method whose function is to allocate welfare to claimants based on available financial resources.
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