Final Copy SP VAM Edited by JM.2
Final Copy SP VAM Edited by JM.2
Final Copy SP VAM Edited by JM.2
All rights reserved. This book, or parts thereof, may not be reproduced in any
form or by any means without the written permission from the copyright holder.
Published by:
Writers:
Luna, Emmanuel M.
Nicolas, Justin Francis Leon V.
Poverty incidence in the Philippines remains to be a problem, and exposure to risks Sunflower Greetings!
may be seen as one of the many dimensions of poverty. Poor families are typically
more exposed to risks and are least protected from these risks. This brings two sig- On behalf of the Department, I am pleased to share with our partners and stakeholders our
nificant consequences — the poor severely affected when shocks occur, and they Social Protection Vulnerability and Adaptation Manual (SP-VAM). This manual is a tool for
become unwilling to engage in the risk management activities. local government units, government agencies, civil society organizations and communities
in assessing the risks and vulnerabilities and identifying adaptation strategies for social
Confronted with these challenges, the Department of Social Welfare and Development protection that will respond to the situation of the community.
has established the Social Welfare and Development Reform Project (SWDRP), an
instrument that supports the social protection program of the Government. Given the fast and unpredictable pace of change in our environment, the importance of de-
veloping tools in implementing social protection strategies is one of the commitments of the
Along with the SWDRP, the Department has developed the Social Protection Vulner- Department in the social welfare and development agenda of our government. One of these
ability and Adaptation Manual (SP VAM), a tool for analysis that serves as a guide undertakings is the development of the SP-VAM which aims to strengthen the capacity of
in assessing risks and in identifying adaptation strategies. The manual also provides various stakeholders in social protection assessment, analysis and planning by providing
detailed procedures in making risk and vulnerability analyses. them this guidebook in their implementation.
This assessment tool could identify families who are vulnerable to risks and the re- I atrribute the realization of our manual to our stakeholders and LGU partners who partici-
sults could be used as guide for community leaders and local government officials pated in the consultation workshops, as well as the support of our LGUs in Pakil, Laguna
to identify families that need protection from the effects of social, environmental and and Cabanatuan City that accepted our pre-testing of manual and allowing us to create
economic shocks. fruitful results in the development of the SP VAM.
Together, let us join hands as we face future challenges to change the lives of our Filipino
people.
A. Background
P
overty incidence in the Philippines remains to be a problem. The National Statistical Co- No.1, series of 2007 and on the Social Protection Operational Framework approved by the Social
ordination Board (NSCB) reports that the poverty incidence among the population as of Development Committee at the cabinet level on May 18, 2012 (SDC Resolution No.3, series
the first semester of 2012 was 27.9 percent. Poverty remained unchanged compared 2012). The SP VAM will contribute to efficient policy response, research, planning, program
to 2006 and 2009 figures estimated at 28.8% and 28.6% as the difference is not statistically development, and budgeting. Furthermore, it complements the SP Handbook by providing the
significant (NSCB, 2013). The exposure to risks of the population may be seen as one of the more detailed procedures in making risk and vulnerability analysis.
many dimensions of poverty. Individuals, households, and communities are exposed to multiple
risks from different sources. The poor households are typically more exposed to risk and least At present, there is a Social Protection and Development Report (SPDR) which is a tool in iden-
protected from it. They have less access to risk management instruments that can allow them to tifying the risks and vulnerabilities of the vulnerable sectors at the local level. The SP VAM will
deal with risks. These exposures to risks and lack of means to address them have two significant generate data on risk, vulnerabilities, and adaptation at the community and municipal levels that
consequences: first, the poor are severely affected when shocks do occur, accentuating their can be used to enhance the SPDR. While the Executive Order No. 867 provides for the adoption
poverty, and second, they become more risk-averse and unwilling to engage in other risky but of the National Household Targeting System for Poverty Reduction (NHTS-PR) as the mechanism
with higher return activities. for identifying the poor households who shall be recipients of the social protection programs, the
SP VAM will be able to identify the risks faced by the families.
Recently, the Government has shown increased attention to reforming and reinforcing its social
protection system. It has taken some positive steps in addressing the major lapses in its social
protection policies. The Department of Social Welfare and Development (DSWD) is undertaking
a Social Welfare and Development Reform Project (SWDRP), the instrument to support the social
protection program of DSWD. The project aims to assist the Department to further enhance its
capacity in policy and strategy formulation to be a leader in social protection. Together with the
social welfare and development agenda in the country, there is the need for developing tools for
analysis and planning that can help respond to the situation.
The Social Protection Vulnerability and Adaptation Manual (SP VAM) serves as an instrument for
broader social protection with regard to risk-related vulnerability. The SP VAM is anchored on
the concept of Social Protection as defined by Social Development Committee (SDC) Resolution
4 5
Social Protection Vulnerability and Adaptation Manual Introduction
The Social Protection Vulnerability and Adaptation Manual (SP- VAM) is a tool for assessing vul- The SP VAM is a guide for local development workers from the LGUs, government agencies, civil
nerabilities to various risks at the local level. It is hoped that the SP VAM will be able to contribute society organizations and communities in assessing vulnerabilities and identifying adaptive strat-
in the strengthening of the capacity of various stakeholders such as the local government units egies for social protection in the communities. Since the Manual is meant to serve as a general
(LGUs), civil society organizations (CSOs), communities, and other humanitarian organizations in GUIDE, the specific context of the communities and the organizations during the assessment
social protection assessment, analysis, and planning. must be taken into consideration. While the SP VAM contains a framework which may be used
as a reference in making the assessment and in identifying the adaptive strategies, the analysis
The SP VAM is also a tool for identifying adaptive strategies and capacities for social protection must always be based on the overall situation of the community.
implemented at the local level.
The second part of the SP VAM is the Framework for the VAM. It provides the basic elements
The SP VAM can provide a mechanism for the convergence of social protection assessment and of social protection. There is a Vulnerability Assessment Framework that provides a means for
planning activities in the LGU. By bringing together stakeholders from the various agencies and identifying hazards and vulnerabilities of the individuals, families and communities. The Adapta-
the community in assessing the community situation, as well as risks and vulnerabilities, a com- tion Strategy Framework provides users with a guide in identifying, classifying and determining
mon understanding can be drawn towards actions for social protection. the gaps in the social protection programs, projects and services that address vulnerabilities and
risks.
The SP VAM can help provide tools for generating local data that can be forwarded to higher level
decision-makers. This will enable the generation of macro-level assessment of vulnerabilities The third part presents the four types of risks, namely, the individual life cycle risks, economic
that operationalizes the concept of bottom-up development approach to social protection. risks, environmental and disaster risks, and social and governance risks. It provides information
necessary to understand the various risks faced by individuals, families and communities. It
presents examples of adaptation strategies to respond to these risks and protect the individuals,
families and communities.
The fourth part of the SP VAM contains the integrated process in making an assessment of the
four kinds of vulnerabilities such as those pertaining to the four types of risks. It presents the pro-
cedures, the tools, and the guidelines in data gathering and analysis. The procedures in making
the inventory and analysis of the adaptive strategies are also presented. The gaps in the social
protection adaptive strategies can be determined using the guidelines.
6 7
Social Protection Vulnerability and Adaptation Manual Introduction
D. Principles of SP VAM
The SP VAM adheres to basic development principles: Culturally appropriate : Considering the multiple features and complexity of the contexts
and situations of Filipino communities, the processes to be done in doing social protection
People-oriented : the welfare and well-being of the people is the primary concern; the and adaptation to the risks shall take into consideration these cultural differentiations;
development of their capacity to make them less vulnerable and resilient to risks is a in order to be culturally appropriate, strategies should facilitate the preservation and
central goal in social protection. enhancement of cultural and historical heritage, respect and protect customs and tradi-
tions, beliefs, norms, institutions and practices without violating human rights principles
Promoting justice and equity : social protection strategies are utilized to address the and standards.
social structures that perpetuate poverty and inequality; they emphasize empowerment of
people to prevent deprivation, enhance their capability to transcend barriers to their own Sustainable : Strategies shall adopt a long term perspective ensuring that the local people
development and thereby realize their human rights. are capable of sustaining what have been initiated; strategies shall also observe the tenets
of environmental protection and adaptation to meet the challenges of climate change.
Participatory : Effective protection of the people and communities means engaging the
various stakeholders, particularly those who are affected by adverse situations, in the vari- Since the vulnerability and adaptation assessment is a complex process and the SP VAM is an
ous stages of intervention, ranging from assessment, planning, and implementation, to initial guide produced for this purpose, it should be considered as a work in progress that needs
evaluation and learning from actions. It includes community-driven initiatives and bottom- to be documented. The identification of the weaknesses, barriers and challenges met, as well as
up budgeting. the strengths and good practices, will help in enhancing or modifying the SP VAM, if necessary.
In the case of indigenous cultural communities (ICCs) and indigenous peoples (IPs), the
Free Prior and Informed Consent (FPIC) shall be adopted in accordance with their respec-
tive customary laws and practices free from any external manipulation, interference and
coercion. The FPIC shall be obtained after fully disclosing the intent and scope of any
activity, in a language and process understandable to the community (NCIP, 2013).
Inclusive : Corollary to the principle of participation is the need to bring in people and
sectors from the margins into the arena of discourses and actions, so that no one is
excluded and all possible actors can be engaged through representation and broadening
of services to all sectors.
Gender-sensitive : Social protection and adaptive strategies are sensitive to the varying
needs and interests of women and men, as well as of people of different sexual orienta-
tions and gender identities: heterosexuals, lesbians, gays, bisexuals, transsexuals, etc.;
there is a conscious effort to look at the implications of the decisions and actions on these
various groups.
8 9
Chapter II
SP VAM
Framework
SP VAM Framework
S
ocial Protection constitutes policies and programs that seek to reduce poverty and Social protection is a response to protect and manage the households’ vulnerability to becoming
vulnerability to risks and enhance the social status and rights of the marginalized by poor because of various risks and hazards.
promoting and protecting livelihood and employment, protecting against hazards and
sudden loss of income, and improving people’s capacity to manage risks (SDC Resolution The Social Protection Vulnerability and Adaptation Manual for Social Protection (SP-VAM) is an-
No. 1 Series of 2007). chored on the Social Protection Operational Framework adopted by the Philippine Government.
This framework emphasizes three major elements. First is “identifying and responding to major
The primary goal of social protection is to contribute to a better and improved quality of life. risks and vulnerabilities” which can be done by households, government, the private sector and
This is achieved through substantial reduction in poverty and vulnerability and the inclusion of civil society. Second is “identifying and responding to priority targets and sectors” through the
the marginalized in the development process. NHTS-PR. Third is universal coverage for basic rights and services such as basic education,
health and nutrition, shelter, water and sanitation.
Social protection needs to be contextualized in a developing country perspective.
Implementation strategies of the SP Operational Framework includes convergence in the delivery
In developing countries, while aiming for universal provision in terms of basic services and of social protection, scaling up community driven development, building adaptive capacity, and
social protection programs, governments utilize targeted programs for the poor due mainly institutionalized monitoring and evaluation system.
to budget constraints and prioritization. This is true in the Philippine context as a develop-
ing country. The government’s efforts in striving to provide universal access to education and
health services and in targeted programs like the Pantawid Pamilya are prime examples of this
social protection thrust.
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Social Protection Vulnerability and Adaptation Manual SP VAM Framework
The SP VAM is also guided by the Vulnerability Framework (Figure 2) and Adaptation Framework Risk is the probability of harmful consequences, or expected losses (deaths, injuries, property,
(Figure 3). The Vulnerability Framework is explained by defining the concepts therein. livelihoods, economic activity disrupted or environment damaged) resulting from interactions
between natural or human-induced hazards and vulnerable conditions (UNISDR, 2007).
Hazard is a potentially damaging physical event, phenomenon or human activity that may cause
the loss of life or injury, property damage, social and economic disruption or environmental deg- Following the Social Protection Framework, there are four types of risks which are generated by
radation (UNISDR, 2007). exposure to hazards and the vulnerable conditions of the individuals, households and communi-
ties. These risks are discussed in the third section of this manual.
There are two general kinds of hazards:
Individual life cycle risks
Human-induced: Human induced hazards include those affecting the individual’s health Economic risks
and biophysical capacities, economic hazards that destroy one’s capacity to become eco- Environmental and disaster risks
nomically productive and social and governance hazards that result in marginalization and Social and governance risks
exclusion of people. There are also human induced hazards which result in disasters such
as floods, landslide and fire. Poor refers to individuals and families whose incomes fall below the poverty threshold as defined by
the government and/or those who cannot afford in a sustained manner to provide their basic needs of
Environment and natural hazards: These include the geologic and meteorological haz- food, health, education, housing and other amenities of life (RA 8425 or the Social Reform and Poverty
ards. Geologic hazards include, among others, those related to earthquake and volcanic Alleviation Act, 11 December 1997). Poverty threshold varies per province and as years pass.
eruption. With the climate change phenomenon, meteorological related hazards such as
typhoon, drought, sea rise, salt water intrusion, and extreme temperatures have been Poor communities are geographically defined areas which have no adequate access and services for
considered as anthropogenic or affected by human activities. shelter, health and sanitation, infrastructure, and livelihood. Poor communities are predominantly oc-
cupied by poor individuals and families in both formal and informal settlements.
Vulnerability is the condition determined by physical, social, economic and environmental fac-
tors or processes which increases the susceptibility of a community to the impact of hazards Disaster is a serious disruption of the functioning of a community or a society causing widespread hu-
(UNISDR, 2007). When hazardous events occur, the most vulnerable are the ones that are ad- man, material, economic or environmental losses which exceed the ability of the affected community
versely affected. The vulnerable are mostly the poor who will remain in poverty if they are ex- or society to cope using its own resources (UNISDR, 2007).
posed to environmental and social shocks or hazards. Individuals and families are vulnerable to
physical, biological, socio-economic risks such as accidents and illnesses resulting in disabilities, In addition, disaster in the context of social protection includes the disruptions and losses affecting the
loss of employment or inflation resulting in poverty, or environmental disasters that endanger functioning of individuals and families. Being marginalized due to illness or age is a disaster. Similarly,
their lives and welfare as well as those of others in the whole community. losing one’s capital in a micro-enterprise is an economic disaster.
The vulnerable refers too to households and communities that are currently non-poor but will fall Risk is the probability that a disaster will take place, high- or low-impact, daily or annually. Disasters
below the poverty line or will become poor if the same hazards occur (DSWD, 2012). are the losses, the outcomes of mismanaged risks. For examples, farmers in typhoon belt areas of
the province will have very high risk or probability that their crops will be destroyed. The destruction
of the crops and their corresponding value are the losses or disaster impact.
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Social Protection Vulnerability and Adaptation Manual SP VAM Framework
Individuals, families and communities become vulnerable as a result of complex structures and
relationships involving several factors: biophysical, social, economic, cultural, environmental, po- Underlying risk Disaster impacts
Global drivers Intensive risk
litical and spiritual. There are various reasons for vulnerability, ranging from individuals’ lack drivers
Major concentration of
of access to societal resources, to unequal distribution of local and global resources (UNISDR Uneven vulnerable population and Major mortality
2009). Figure 1 shows the relationship between poverty and disasters and the societal and Poor urban and economic assets exposed to and economic loss
economic and
local extreme hazard
global drivers that make the people and communities vulnerable and exposed to greater risks. urban
governance Damage to
There is a link or nexus between disasters and poverty. The exposure of people to greater risks development
housing, local
results in greater poverty, powerlessness, exclusion, illiteracy, discrimination, limited opportuni- Vulnerable Extensive risk infrastructure,
Climate
ties to access and mobilize assets. For examples, climate change impacts, like more frequent rural livelihoods Geographically dispersed livestock and
change
and devastating typhoons or poor urban planning, have caused losses to families and com- exposure of vulnerable people crops
Ecosystem and economic assets to low or
munities. Poverty makes households more vulnerable to everyday risks such as food insecurity, Weak
decline moderate intensity hazard
disease, crimes, pollution, lack of sanitation and clean water. governance
and limited
Lack of access
endogenous
to risk transfer
capacities
and social Everyday risk Poverty outcomes
protection Households and communities
exposed to food insecurity, Short and long
disease, crime, accidents, term impacts on
pollution, lack of sanitation and income,
clean water consumption,
welfare and
equality
Poverty
Economic poverty and other
poverty factors such as
powerlessness, exclusion,
illiteracy and discrimination.
Limited opportunities to access
and mobilize assets
UNISDR, 2009
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Social Protection Vulnerability and Adaptation Manual SP VAM Framework
Adaptation Strategies are programs, projects, services and activities aimed at responding to
risks of vulnerable groups, including those identified in R.A. 8425 or Social Reform and Poverty
Alleviation Act:
Children
Youth
Women
Farmers and Landless Rural Workers
Persons with Disabilities
Workers in the Formal Sector
Migrant Workers
Senior Citizens
Indigenous Cultural Communities/Indigenous Peoples
Artisanal Fisher folk
Workers in the Informal Sector
Urban Poor
Internally Displaced Persons
Survivors of Calamities/Disasters/Emergencies
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Social Protection Vulnerability and Adaptation Manual SP VAM Framework
The purpose of the adaptation strategies is to reduce the risks of the vulnerable groups. When
Disaster Risk Reduction and Management Phases.
biological, physical, economic, social, political and environmental disasters occur, these strate-
This refers to the five phases in disaster risk reduction and management:
gies aim to help the vulnerable groups adapt to the emergency situation and reduce further risks
towards recovery.
Prevention: Activities to provide outright avoidance of the adverse impact of hazards
and means to minimize related environment, technological and biological disasters.
Capacity is the combination of all the strengths and resources available within the community,
In the context of public awareness and education related to disaster risk reduction,
society or organization that can reduce the level of risk, or the effects of disaster. Capacity may
changing attitude and behavior contributes to a culture of prevention (UNISDR, 2007).
include physical, institutional, social, or economic means, as well as skilled personal or collective
attributes such as leadership and management. Capacity may also be described as capability
Prevention includes measures done to protect an individual from illnesses, accident,
(UNISDR, 2007).
crimes and other risks affecting one’s life cycle.
Vulnerable individuals, families and communities, no matter how poor they are, have capacities
Mitigation: The phase and measures done to prevent risks and minimize the possible
that enable them to respond, cope and overcome all types of risks they face. It is important to
impact of such risks. For example, meeting an accident is a life-cycle risk since this can
have an inventory of and to understand these capacities.
lead to death, injury or disability. Following rules for safety will prevent the occurrence
of the accident. Having a life and health insurance is a measure to mitigate the impact
of an accident. Similarly, being displaced from the place of residence and livelihood is
a risk faced by urban informal settlers. Risk mitigation phase is the period where the
families and agencies can come out with measures to minimize possible losses due to
eviction or demolition.
Recovery: Measures done after a disaster or social shock aimed at restoring or im-
proving the former physical, socio-economic conditions of the individuals, families or
communities (UNISDR 2007 modified).
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Social Protection Vulnerability and Adaptation Manual SP VAM Framework
The Adaptation Framework (Figure 3) shows the classification of the strategies that addresses Figure 4 shows the matrix that serves as guide in analysing the adaptation strategies and deter-
the individual life cycle, economic, environmental disasters, and social and governance risks. mining the gaps for social protection. There are two main types of adaptive strategies. The first
consists of risk reduction strategies meant to prevent the occurrence of risks, or mitigate their
The adaptation strategies are meant to build the resilience of individuals, ensuring that they will effects. For examples, pre-natal health care can prevent risky pregnancy. Having an effective
be less vulnerable throughout their life cycles. They are meant to make individuals, families and flood control system can prevent flooding. The second type consists of the appropriate responses
communities more economically productive and responsive to the multi-dimensional needs of to life shocks or disaster events to reduce further losses. For example, when one’s pregnancy
men and women, girls and boys. The community shall become safer as the risks and vulner- is already at risk, then corresponding health care must be done to protect the mother and the
abilities are reduced. Governance becomes more participatory and therefore more effective in baby. When there is flood, one response to reduce losses is a community warning system and
meeting the social needs of people. evacuation of families.
22 23
Chapter III
Risk, Vulnerability
and Adaptation
Strategies
Risk, Vulnerability and Adaptation Strategies
U
nderstanding the risks and vulnerabilities of individuals, families and communities are All of us experience various life events on our way from “womb to tomb.” There are two kinds
imperative in planning social protection and adaptive strategies. Although the risks are of life events:
categorized into four major types such as individual life cycle, economic, environment and
disasters, and social and governance, the risks are not mutually exclusive but are in fact related Certainties that are sure to happen to anyone, poor or non-poor;
to each other. Individuals, families and communities have different types of risks, have varied Contingencies that are likely to happen depending on individual or family circumstances.
consequences and impacts, as well as responses. This is due to the varying levels of vulner-
abilities, exposures and capacities. We all know the certainties each of us has experienced or will experience as individuals, moving
through the various stages of life, ranging from the perinatal, infancy, childhood, adolescence
This section presents some concepts and backgrounds about the four types of risk and vulner- and youth, to adulthood, old age and death. Families also go through the certainties of various
abilities. There are matrices too that show the possible risks that may be faced by individuals, stages and specific events, usually beginning with marriage or partnership, maternity or birth
families and communities. of the first child, birth of the last child, child rearing, death of the first parent, and death of the
second parent (Bonilla Garcia and Gruat, 2003).
Certainties that are part of the natural flow of expected events in a normal life cycle are not
necessarily risks. During these events, there are conditions that bring either positive or negative
outcomes to the individual or the family.
The conditions of the individual or family in every life event determine their vulnerabilities. The
unexpected or unforeseen events or contingencies are the hazards that individuals and families
face. When vulnerable individuals and families face these “hazardous” contingencies, risks are
created resulting in possible adverse impacts affecting their well-being and welfare. Here we are
likely to find gender differences between women and men, girls and boys.
Table 3.1 shows the family events taking place in a life cycle. The contingent events serve as
‘hazards’ that can result in disaster impacts if the individuals or families are in a vulnerable situ-
ation.
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Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
Improper garbage
disposal
28 29
Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
Death of Economic
Role Perfor- Rebellion of children Family conflict Unprepared family
Non-participa- second parent dislocation
mance of Dysfunctional families Boredom Family Develop-
tion in decision
Household OFW situation Vices and crime ment Sessions
making
Members Sexual Abuse Taking care of
grandchildren
Adulthood Family
Unattended children
breakdown Meaninglessness; Senior Citizen
Abandoned,
Working years chronic, prlonged Association in each
frail, sick
illness barangay;
Extra-marital
Divorce or relationships Poor, unhealthy Death of spouse – Accidental Economic Support from
Marriage Unprepared family
separation Domestic violence lifestyle Widowhood death dislocation federation
Childless families
Maternity birth Maternal Source of Life Cycle and Family Events: Bonilla Garcia and Gruat, 2003
Poor health of mother
of first child morbidity
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Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
32 33
Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
The Philippines is considered as one of the countries most prone to risks and disasters. The Environmental
World Risks Report 2011 identified the Philippines as the third most at risk to climate change. Vulnerable Elements Disaster Impacts
Hazards
Those at the top of the list are developing countries. It is reported that countries with low human
Liquefaction: subsid- Localities prone to liquefaction are water- Toppling and weakening of
development encounter more losses than those with higher level of development. The poor and ence, lateral spreading saturated (shallow water table), low-lying buildings
most vulnerable always bear the burden of the losses and the costs. Disasters destroy the few and areas with loose (unconsolidated), sandy Destruction of roads, bridges,
remaining assets of the poor, damage food production, undermine the already weak national or silty deposits: river banks, abandoned irrigation, and other infrastructures
and local infrastructure, and leave millions without access to basic urban and rural services rivers, flood plains, coastlines, swamps
(Tanchuling, 2010). Tsunami Whole communities near coastal areas Death and injuries
Destruction of whole communities
These disasters cannot be attributed to meteorological or geological phenomena only. There are Landslide Along slopes Death and injuries
social structures and processes within a society that influence these such as level of education, Structures along the slope Destruction of areas along the
extent of poverty, food situation or functioning of government institutions (UNISDR 2010). slopes
Fire A consequence of toppling of buildings, Death, injuries
1. Identifying Risks and Vulnerabilities destruction of electric lines Destruction of shelter, sources of
livelihood, community facilities
The environment is a resource but it can be hazardous when mismanaged. Environmental B. Geologic: Volcanic Eruption
resource and natural hazards are two faces of the same coin. The development process can Lava flow Communities along the path of lava flows Death and injuries
be represented by the coin: the head can be the environmental resource and the tail can be within five kilometer radius Destruction of communities
the hazards that can lead to disasters. Development gains nurtured for years can be easily Pyroclastic flow, pyro- Communities along the path of flows; Death and injuries
lost in just a few seconds. Understanding the hazards and vulnerabilities of individuals, fami- clastic surge, lateral within five kilometer radius Destruction of communities
lies and communities is a basic requirement in reducing and managing risks. An inventory of blast
environmental hazards and vulnerabilities is shown in Table 3.3. Tephra fall – ash fall, All communities reachable by the wind Destruction of communities
volcanic bomb
Table 3.3. Environmental Hazards and Impacts Volcanic gas All communities reachable by the wind Death and injuries
Lahar, flooding Communities along the river; low lying Death and injuries
Environmental areas Destruction of communities
Vulnerable Elements Disaster Impacts
Hazards Earthquake related haz- See earthquake See earthquake
A. Geologic Areas near faults ards such as tsunami,
Earthquake landslide,
Ground shaking Buildings, infrastructure Toppling and weakening of C. Meteorological Hazards
buildings
Typhoon Communities along the path of typhoons Deaths and injuries
Destruction of roads, bridges,
Livelihood of fishermen, informal sectors Destruction of houses and structures
irrigation, and other infrastructures
Crops and vegetation Cancellation of classes and offices
Ground rupture Rice lands, building and infrastructure Same as above Structures and houses made of light resulting in non-income of other sec-
Displacement of farm terrain and materials tors such as drivers, vendors, etc.
irrigation systems
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Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
The paradigm adopted globally and nationally in dealing with disasters is disaster risk reduc-
Environmental
Vulnerable Elements Disaster Impacts tion (DRR). Risk reduction strategies are employed in all phases of disaster risk management,
Hazards
from prevention and mitigation, to response and recovery.
Flood and flashflood Same as above Same as above
After making an assessment of the risks and vulnerabilities of the communities, the next
Landslide Settlement is steep slope Death and injuries
Settlements where landslide debris might Loss of assets and properties step is the identification of appropriate adaptive strategies in the form of programs, projects,
fall services and activities.
Sea surge Shoreline communities Death and injuries for those caught The table below shows a list of possible adaptive strategies for risk mitigation and disaster
Fisher folks in the seas
response and recovery. It is important to consider the specific context of the community to
Drought Crops and vegetation Loss of farm crops ensure that the adaptive strategies to be used are appropriate.
Farming communities
Temperature rise Agriculture, health, biological eco-system, Climate change impact on the Table 3.4. Adaptive Strategies for Risk Mitigation and Disaster Response
water, energy, infrastructure various sectors
D. Other Environmental Hazards
Disasters Due to
Salt water intrusion Farms dependent on ground water Low agricultural productivity Disaster Response and
Environmental Risk Mitigation Strategies
Farms dependent on river affected by salt Salinity of domestic water supply Recovery
Hazards
water intrusion
A. Geologic
Subsidence Coastal areas Destruction of structures
Earthquake1
Deforestation Forest areas Flooding
1. Ground shaking, Land use planning Search and rescue
Watershed areas Loss of biodiversity
ground rupture and Earthquake resilient design for building and Debris clearing
Open solid waste dump Settlement near open dump areas Health problems liquefaction infrastructure Evacuation management
Informal settlers in dump areas Air pollution Retrofitting Relief operations
Air pollution Urban areas Health problems IEC and drills Resettlement of HH with destroyed
Areas near pollutant industries Search and rescue preparation shelter
Livelihood assistance for affected
Water pollution Rivers and lake near polluting industries Health problems
families and enterprises
Loss of biodiversity
Psycho-social intervention
Fish kill Marine and freshwater Loss of income among fisher folks
2. Tsunami Land use planning Same as above
Pests infestation Crops and vegetation Loss of agricultural production Evacuation route planning
Fire Congested areas Death and injuries IEC and drill
Areas near fire hazard activities and facili- Loss of shelter, assets and Resilient building and structure designs
ties such as gasoline stations, firecrackers properties 3. Landslide Land use planning Same as above
industry, and liquid gas factory. Displacement of livelihood Relocation of structures at high risks
IEC and drill
Resilient building and structure designs
36 Types of geologic hazards in Table 3.2 and 3.3 are based on PHIVOLCS’ PPP materials.
1
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Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
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Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
The social protection framework includes social and governance risks that need to be identified
Exposure assessment and hazard assessment may include determination and manage-
so that they can be addressed by social protection measures. The following is a discussion of
ment of risk perception based on the following elements:
these risks and suggests a system by which these may be assessed. Just like the economic and
environmental risks, social and governance risks affect the way families and communities cope
Inequity and injustice associated with the distribution of risks and benefits over time,
and adapt to hazards earlier discussed in the life cycle
space and social status;
Psychological stress and discomfort associated with the risk or the risk source (as
1. Identifying Risks and Vulnerabilities
measured by psychometric scales);
Potential for social conflict and mobilisation (degree of political or public pressure on
Governance is “the process of decision-making and the process by which decisions are
risk regulatory agencies);
implemented (or not implemented)”(UNESCAP, 2009 in UNDP, ISDR Recovery). Governance is
Spill-over effects that are likely to be expected when highly symbolic losses have
not only important in post-disaster decision-making but more so, it can also be a determinant
repercussions on other fields such as financial markets or loss of credibility in man-
of vulnerability to risk for families and communities. This means that in identifying gover-
agement institutions.
nance risks, there must be two sets of indicators. First, social and governance risks may be
(German Council for Global Environmental Change, 2000 in Renn, 2006:28).
looked at as potential harm caused by decisions, policies and processes made by both state
and non-state actors. These risks may affect the poor and non-poor and may result in condi-
tions such as exclusion, displacement, loss of property or migration. Worse, effects of these
As discussed in the life cycle risks, there are also levels to which potential outcomes of risks
risks could be poverty and even death. Here, governance is seen as “contributory to vulner-
such as that of governance may be categorized into acceptable situations, tolerable situations
ability due to past decision and decision-making process” which includes “issues of present
and intolerable situations (Renn, 2006). Vulnerability and adaptation may also be assessed
governance systems such as corruption, insurgency, (and) domestic violence.” These may
by looking at these possible outcomes.
be called “governance risks.”
The following are the risks and indicators of vulnerability based on various sources:
The other set of indicators includes practices, decisions and policies made after hazards and
risks have been identified. This means that the decision-making process already takes into
Table 3.5. Social and Government Risks and Vulnerabilities
consideration exposure to hazards and possible risks. This is called “risk governance” where
governance is seen as “mitigating, reducing and preventing risk.” These indicators still need
to be monitored and evaluated to determine whether families and communities become less Socio-Governance
Indicators of Vulnerability Adaptation Strategies
vulnerable to risks caused by exposure to social and political hazards. Risk governance also Risks
involves risk assessment which includes: Unstable peace, law and Crime rate Peace and development
order Loss of lives and properties strategies
Habito and Briones (2005 Low morale Implementation of ordinances
an identification and, if possible, estimation of hazard;
in ADB, 2009 and special laws
an assessment of exposure and/or vulnerability;
an estimation of risk, combining the likelihood and the severity of the targeted conse-
quences based (Renn,2006: 27).
40 41
Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
Socio-Governance Socio-Governance
Indicators of Vulnerability Adaptation Strategies Indicators of Vulnerability Adaptation Strategies
Risks Risks
Political instability and Displacement Peace and development/ Fraud and corruption Financial disclosure
armed conflict (ADB, Disease strategies Seal of Good Housekeeping
2001; Aldaba, 2008; Non- productivity Community-based peace (citizens charter)
World Bank 2001) Loss of lives processes Weak enforcement of High crime rate
Damages to properties Zones of peace contracts and laws
Political dynasties result- Rebellion and armed conflict Migration (Habito and Briones 2005)
ing in loss of checks and Inequitable and inefficient allocation Participation of citizens and in ADB, 2009)
balance in government of resources civil society groups Political transitions Change in policies
Balisacan (2001), Aldaba, Peace negotiations (Bonilla Garcia & Gruat, Change in staff
2008 Advocacy for democracy and 2003)
democratic transitions
Displacement Long Running Conflicts
Land inequality Land tenancy Land reform programs
Informal settlers Participation Sector Participation; Civil
Society Participation; Local
Crime and domestic vio- Incidence of crime Women’s groups and crime Development Councils
lence (ADB, 2001; Aldaba, Abuses and domestic violence watch groups; Providing security
2008) and equal access to justice; Weak Monitoring and Evaluation of Multi-stakeholder Coordination
Low income Peace and order promotion (e.g. Major Poverty Programs and Collective Action
anti-drug campaigns); Func- Ownership
Vices and substance abuse tional LCPC, local school board Participation
Dysfunctional families and barangay-based institutions Communication
High dropout rate (BCPC) Capacity
Accountability
Political insurgencies/ Dislocation Zones of peace
(IRDC, 2003)
Extra judicial killings/ and Broken homes
Enforced disappearance
(SPDR) Social Exclusion Exclusion from goods and services; Community networks; Inclusive
(ADB, 2001; Aldaba, labor market exclusion; exclusion growth, good governance,
Corruption Level of poverty Community pressure; Public
2008) from land; exclusion from security; transparency and accountabili-
(Habito and Briones (2005 information, transparency and
exclusion from human rights (Badelt, ty; Good corporate governance,
in ADB, 2009); (ADB, High exclusion accountability campaign; bot-
1999 in Holzman & Jorgensen, corporate social responsibility
2001; Aldaba, 2008) toms up budgeting; Strengthen-
2000) and accountability
ing participation of NGOs and
CBOs; Participatory planning,
budgeting, expenditure tracking
and monitoring (NBC 536/539)
Budget Partnership Agreement
42 43
Social Protection Vulnerability and Adaptation Manual Risk, Vulnerability and Adaptation Strategies
2. Social and Governance Adaptation The assessment of vulnerability from social and governance risks is a necessity, given the pres-
ence of hazards and actual exposure to these hazards. The assessment must look into the pres-
In looking at governance, some of the decision making may be assessed by measuring the institutional ence of social issues and issues based on decisions made through governance experienced by
capacity, the demand-side indicators and the level of participation. the family and community. The assessment must also cover perceived risks as effects of actual
government process or issues of governance (e.g. corruption). This information will be obtained
Institutional Capacity may be measured using three parameters: Assets, Skills and Capacity. Assets through a household survey instrument. Some of these include:
include rules, norm, regulations; resources; competencies and knowledge; and organizational integra-
tion. Skills cover flexibility, vision, directivity, while capacity includes relations, networks and regimes. 1. Social Exclusion
(Renn, 2006:60) 2. Political Instability and Armed Conflict
3. Crime and Domestic Violence
According to Rubio (2010:26-27), measuring governance and service delivery includes looking at De- 4. Human Rights Violations
mand side Quality Indicators such as transparency, participation, grievance redress mechanisms, and 5. Error, Fraud & Corruption
independent assessments. Transparency refers to access to key policy information such as budget, 6. Internal Migration and Displacement
rules of operation, and others. Participation means the involvement of the client in decision making, 7. Problems in Political Transitions
program implementation and monitoring. Grievance redress mechanisms are procedures in handling
complaints and their resolution. Rubio refers to access to information from independent assessments Together with these, some criteria for good governance may also be assessed. As mentioned
such as audits, service delivery surveys, and monitoring and evaluation. above, indicators of good governance are as follows:
Another area of concern in governance is participation. The level of participation may have implica-
tions on ownership and compliance of the community to programs and thus affect vulnerability and 1. Institutional Capacity (Assets, Skills and Capacity)
successful adaptation. A handbook on participation in crisis affected populations shows the following 2. Leadership
types of participation (UNDP 2003): 3. Transparency
4. Participation
Passive participation – affected population is informed 5. Grievance Redress Mechanisms
Participation through the supply of information – affected population supplies informa- 6. Conflict Management
tion but has no influence over the process 7. Decision-making
Participation by consultation – affected population’s perspective is consulted but is not 8. Communication
involved in decision making 9. Accountability
Participation through material incentives – affected population provides materials in 10. Gender-responsiveness
exchange for aid 11. Empowering processes
Participation through the supply of materials – includes cost-recovery mechanisms; 12. Non-discrimination
affected population supplies some of the materials 13. Rule of law
Interactive participation – affected population is involved in analysis and program con-
ception
Local initiatives – affected population takes initiatives and acts independently of exter-
nal organizations
44 45
Chapter IV
Procedures for Risk,
Vulnerability and
Adaptation Strategies
Procedures for Risk, Vulnerability and Adaptation Strategies
48 49
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
The City /Municipal Development Council (C/MDC) for the Social Protection Risk, Vulnerability The C/MDC shall be responsible for organizing the conduct of the workshop to determine and
and Adaptation Assessment (SP-RVAA) shall be responsible for: assess the risks and vulnerabilities. The activities to be done are the following:
Convening all the members of the expanded C/MDC for SP-RVAA Review of the municipal/city data on risks and vulnerabilities from the secondary materials
Conduct of the city/ municipal workshop on social protection available in the LGU by cluster. These include the:
Conduct of the barangay workshop on social protection
Consolidation of the social protection assessments and plans Social Protection and Development Report
Reporting of the SP to the proper agencies and authorities Socio-Economic Profile
Comprehensive Land Use Plan
The C/MDC Clusters shall: Comprehensive Development Plan
Community-Based Monitoring System
Convene all the members of the cluster Sectoral Plans such as the Local Development Plan for Children, Ancestral Domains
Participate in the city/ municipal workshop on social protection Sustainable Development and Protection Plan, Indigenous People Community Devel-
Assist in the conduct of the barangay workshop on social protection opment Plan for IP community and Gender and Development (GAD) Plan
Consolidate the social protection assessments and plans within the purview of the
cluster Review of the municipal hazards based on secondary materials and maps.
Prepare and submit reports to the proper agencies and authorities
Identification of the risks per category as provided by the SPDR, if available, and enhanced
At the barangay level, the VA Team shall be composed of the Chair of the Barangay Council by other data provided by other agencies and CSO members per cluster.
Committees on health, education, and related committees, the Barangay Health Workers,
Barangay Nutrition Scholar, the Day Care Worker, the Municipal/City Social Worker and any of Identification of the adaptive strategies for disaster risk reduction. The adaptive strategy
the members of the Barangay DRRM Council. for risk reduction by service institutions contributes to the building of resilience among the
affected vulnerable groups. These shall be taken by reviewing the programs and services
being done by the LGU, government agencies, CSOs and other service providers. This can
Defining the scope of the assessment: unit of analysis and areas covered
be done through:
The risk and vulnerability assessment shall be done in the municipality/city. Ideally, there must Review of program documents
be vulnerability and adaptation assessment in all communities. However, when this is not pos- Sharing within the cluster on program and service provided
sible, the LGU can cover as many barangays that it can in a year, ensuring that all the barangays Focus group discussion with the program key players
will be covered in a three year period. For example, if the number of barangays in the municipality
is 24, then an average of eight barangays shall be covered for vulnerability and risks assessment
per year. To facilitate the completion of the coverage of all the barangays, each cluster can take
charge of a group of barangays, enabling the LGU to conduct the risk and vulnerability simultane-
ously in various barangays.
50 51
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
An Analysis of the Hazards, Vulnerability and Risks Per Category At the end of the workshop, the participants will be able to:
An inventory of adaptation strategies per risk category
Explain the basic concepts in social protection, vulnerability and risk assessment and
adaptation;
The preparation of these outputs can be facilitated by having each agency provide the social Identify and assess the individual life cycle risks, economic risks, environmental and
protection data, particularly the Risk, Vulnerability and Adaptation Strategies to the cluster head, disaster risks, and social and governance risks in the municipality/city;
after which all the reports are consolidated by the secretariat of the C/MDC for social protection. Determine the social protection and adaptation strategies available and the gaps to
address social protection;
Come out with action plan for the conduct of the barangay level vulnerability and risk
assessment.
Second Day
AM: Presentation and Processing of Workshop Results
Cluster 3 and Cluster 4
Workshop Results Consolidation and Synthesis
1:00-3:00 PM : Orientation on the Barangay RVA
3:00-5:00 PM : Action Planning for the Barangay RVA
52 53
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
54 55
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
Box 2. Barangay Risk, Vulnerability and Adaptation Assessment Workshop D. Conduct of the Family Risk and
Vulnerability Assessment (FRVA)
Objectives of the Workshop
The plan and the training in conducting for the family assessment of risks and vulnerabili-
At the end of the workshop, the participants will be able to:
ties shall be determined during first day of the Barangay SP Workshop. In each barangay,
Explain the basic concepts in social protection, vulnerability and risk assessment and a minimum of 10% of the families shall be taken as respondents to the FRVA.
adaptation;
Identify and assess the individual life cycle risks, economic risks, environmental and
The families who will be respondents to the risk assessment shall be identified through
disaster risks, and social and governance risks in the community;
systematic sampling. The barangays shall be divided first into sections, depending on the
Determine the social protection and adaptation strategies available and the gaps to
number of participants who attended the Barangay SP Workshop. Thus, if there are 30
address social protection;
Analyze the data on barangay level vulnerability and risk assessment. participants, then there will be 30 sections.
Program: Schedule and Contents Assign a participant in each section. He/She will make preliminary spot mapping of the
houses. He/she can start with the interview of the respondents from the first house. After
First Day
this, the respondent shall be taken from every tenth house.
AM: Introduction and Workshop Orientation
Social Protection Framework
Risks and Vulnerabilities Data gathering will be done through direct interviews of family representatives. The initial
Procedures in Risk and Vulnerability Assessment (RVA) target of the interview is the head of the family or the spouse but the whole family mem-
bers may be involved. The questionnaire is administered by the interviewer.
1:00-3:00 PM: Workshop on Risk and Vulnerability Assessment
Group 1: Individual Life Cycle Risks The Family Risk and Vulnerability Assessment is a checklist of current vulnerabilities that
Group 2: Economic Risks
a family experienced for the past years. This will identify the experiences of the family that
Group 3: Environment and Disaster Risks
posed hazards and threats. From these assessments, the impacts, the immediate coping
Group 4: Social and Governance Risks
mechanism, the long term adaptation strategies, and the external intervention received by
3:00-5:00 PM: Presentation and Processing of Workshop Results the families will be determined in the barangay workshop on the third day.
Orientation on the Family Risk and Vulnerability Assessment (FRVA)
Second Day
Data gathering for the FRVA
Third Day
Presentation and Processing of the FRVA
AM : Data Processing and Consolidation of the FRVA
Consolidation of Data From the Workshop and FRVA
PM : Prioritization of the barangay risks
Discussion on the adaptation strategies in the barangay
Synthesis and closing programme
56 57
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
The assessment provides information on the prevalence of vulnerabilities, the vulnerable group Each participant who conducted the interview reads the results of the survey as another
affected, impacts of the risks on their lives and the adaptation strategies employed. participant enters the response in the computer. The latter must be knowledgeable in
EXCEL. If nobody among the participants is familiar with the computer technology, then a
The processing of the survey can be done by using EXCEL in the computer. At the first member of the C/MDC can do it, while a literate community leader watches. After that, the
column, enter the respondent number from 1 to the last number of the respondent. In the one being trained can do the encoding under supervision of the member of the C/MDC.
succeeding columns, enter the risk as it appears in the survey form. The EXCEL table for
data encoding will look like this: After the encoding, the total frequency per risk can be obtained. Then the risks can be
ranked from the one with the highest frequency to the lowest. The one with the highest
1 2 3 3 4 5-72 73 74 frequency of risk would indicate the level of risk.
Respon- Risk Risk Risk Risk Risks Other Total
dent 1. Preg- 2. No 3. Abor- Miscar- Risks Risk with Come out with a dummy table where the data can be inputted. Use simple descriptive
nancy Pre-natal tion riage Checks statistics such as frequency distribution, using the mode and average. The data at the
1
barangay level shall be consolidated at the municipal/city level and shall be incorporated
in the Social Protection Profile.
2
3 The data have to be documented and included in the Barangay Socio-Economic Profile.
4
5 The results of the risk and vulnerability assessment can be used in the formulation of the
6 community development plans.
7
8
9
10
11
12
13
14
....
120
Total
Checks
58 59
Social Protection Vulnerability and Adaptation Manual Procedures for Risk, Vulnerability and Adaptation Strategies
After the completion of the Barangay SP Workshops and the Family Assessment, the C/MDC for The final document that will be produced in conducting the vulnerability and risk assessment,
social protection shall consolidate the data from the barangay. The data coming from each of following the SP VAM is a document called LGU Risk and Vulnerability Assessment for Social
participating barangay are shown in the following below: Protection. This shall be prepared by the LDC, with the participation of the cluster members who
were involved in the process.
Box 4: Data for SP VAM Reports
The LGU Risk and Vulnerability Assessment for Social Protection shall have the following con-
tents and possible sources and writers, as shown in the table.
Social Protection Sources How to use in the
Data From the city/municipality
Box 5. SP VAM Reports
Barangay
Content of the Report Sources and suggested writers
Provides raw and field-based data
Workshop of
List of hazards that can enhance the city/municipal I. Introduction
Day 1
hazards analysis. A. The Need for Risk and Vulnerability As- SP VAM
sessment Local SWDO
Spot maps of
Workshop of Provides more detailed mapping that Documentation of the workshops and the
community haz-
Day 1 can enhance existing hazard maps. Family Risk Survey
ards B. Methodology
SP VAM Procedure
Together with the other participat- Local PDO
ing barangay, can be consolidated, II. Risk and Vulnerabilities in the LGU
Family Risk and
List of prioritized giving statistical data on the type A. Individual Life Cycle Risks Cluster Head: DOH
Vulnerability
risks and level of risk in the municipality.
Assessment B. Economic Risks Cluster Head: DTI
Outputs can be incorporated in the
next preparation of the SPDR. C. Environment and Disaster Risks Cluster Head: Local DRRMO
D. Social and Governance Risks Cluster Head: DILG
Workshop Provides basis for allocation of III. SP Adaptation Strategies: Inventory and
List of Adaptation
Discussion on resources and planning other pro- Gaps
strategies
Day 3 grams and services.
A. Individual Life Cycle Risks Cluster Co-Head: CSO
B. Economic Risks Cluster Co-Head: CSO
C. Environment and Disaster Risks Cluster Co-Head: CSO
The Risk Reduction Adaptation form to be used serves as the database that will inventory the
adaptation strategies in the LGU. The inventory will also provide the gaps in adaptive social pro- D. Social and Governance Risks Cluster Co-Head: CSO
tection. The inventory can, in the future, serve as the basis for a fruitful exchange of good and IV. Recommendations
working practices that can be adapted by other LGUs and other stakeholders. Annexes Local SWDO and Local PDO
60 61
References
Aldaba, F. (2008) Major Social Risks in The Philippines: A Preliminary Survey, Social Welfare
and Development Journal, April-June
Aldaba & Ang. (2012 ). Enhancing the Social Protection Operational Framework and
Strategy of the Philippines.
Asian Development Bank (ADB) (2001). Social Protection. A Reprint of the Social Protec-
tion Strategy of the ADB approved in September 2001. http://www.adb.org/sites/
default/files/pub/2001/social-protection.pdf
Asian Development Bank (ADB). (2009). Poverty in the Philippines: causes, constraints and
opportunities.
Balisacan, A.M. (1999). Reconstructing Poverty Files in the Philippines. Discussion Paper
No. 9915. University of the Philippines School of Economics. http://www.econ.upd.
edu.ph/dp/index.php/dp/article/view/146/207
Balisacan, A.M. and H. Hill (eds.), (2003) The Philippine Economy: Development, Policies,
and Challenges. New York: Oxford University Press. http://www.adb.org/sites/default/
files/pub/2013/social-protection-index-social-assistance-programs.pdf
Basset, L., Giannozzi, S., Pop, L., & Ringold, D. (2012) “Rules, Roles and Controls: Gover-
nance in Social Protection with an Application to Social Assistance.” Social Protection
and Labor Discussion Paper No.1206. Background Paper for the World Bank 2012-2022
Social Protection and Labor Strategy. World Bank.
Bonilla Garcia, A. and Gruat, J., 2003, ‘Social Protection: A Life Cycle Continuum Invest-
ment for Social Justice, Poverty Reduction and Sustainable Development’, Interna-
tional Labour Organisation, Geneva http://www.ilo.org/public/english/protection/
download/lifecycl/lifecycle.pdf
Davies, M., Oswald, K., & Mitchell, T. (2009), Climate Change, Adaptation, Disaster Risk
Reduction and Social Protection in Promoting Pro - Poor Growth: Social Protection.
OECD, Paris.
Department of Social Welfare and Development (DSWD). (2012 ). Enhancing the Social
Protection Operational Framework and Strategy of the Philippines.
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Department of Social Welfare and Development (DSWD). Social Protection Development United Nations Development Programme (UNDP). (2003). “ Participation by Crisis-
Report Tool. Affected Populations in Humanitarian Action - A Handbook for Practitioners”,
UNDP Guide Note on Recovery Governance. Retrieved from www.alnap.org/
Habito, C., and R. Briones. (2005). Philippine Agriculture Over the Years: Performance, pool/files/gs_handbook.pdf
Policies and Pitfalls (manuscript). In Asian Development Bank (2009). Poverty in the
Philippines: Causes, Constraints and Opportunities. Manila: Asian Development Bank. UNESCAP. (2009). What is good governance? Retrieved December 15, 2009, from
http://www.adb.org/publications/poverty-philippines-causes-constraints-and-op- United Nations Economic Commission for Asia and the Pacific: http://www.
portunities unescap.org/pdd/prs/ProjectActivities/Ongoing/gg/governance.asp
Holzman, R. & Jorgensen, S. (2000). Social Risk Management: A new concept framework United Nations International Strategy for Disaster Reduction (UNISDR). (2007). Hyo-
for social protection, and beyond. Social Protection Discussion Paper No. 006. World go Framework for Action. Geneva: UNISDR
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United Nations International Strategy for Disaster Reduction (UNISDR). (2009). Risk
Lassa, J.A. (2010). Institutional Vulnerability and Governance of Disaster Risk Reduction: and Poverty in a Changing Climate: Invest Today for a Safer Tomorrow, Global
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given by a staff of NCIP. bank.org/sites/default/files/documents/Vietnam-EACC-Social.pdf
Renn, O. (2006). Risk Governance: Towards an Integrative Approach. White Paper No.
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64
Annexes
Tools for Vulnerability
and Risk Assessment
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 1. Workshop Guideline for LGU Tool 1. Workshop Guideline for LGU
1.1 Individual Life Cycle Risks 1.2 Economic Risks
1. What are the risks and events that usually happen in your community that resulted in the loss,
damages or shocks to family members? 1. What economic risks and events happened in the family during the last 12 months that re-
2. Who were the family members affected by the risk? sulted in loss, damages or shocks to family members?
3. What were the reasons or conditions that contributed to the risks? For example, does gender 2. What are the family conditions that contributed to the economic risks?
and/or age matter? 3. What were the impacts of the events/risks on the family as a whole or on individual family
4. What were the impacts of the events/risks on the family as a whole or on individual family members-- women and men, girls and boys, young and old?
members-- women and men, girls and boys, young and old? 4. Who were the groups of people affected by the risks?
5. How do families as a whole and/or individual family members differentiated by gender, age or 5. How did the affected groups respond or adapt to the risks/events?
other factors respond or adapt to the risk-event? 6. What external interventions were the affected groups involved in because of the risks/events?
6. What are the existing programs of the municipality/city received by the families because of
the risk/event? Vulner-
Impacts
Vulner- able Group Family
on the External
Risks ability Affected** Adaptation
Vulner- Condi- Programs family Intervention
Impacts on Family Indicators (State Number Strategies
able tions and services members
Risks the family Adaptation below)
Group leading accessed by
members Strategies
Affected to risks families
Related to pregnancy and
birth
Related to schooling of
children
Related to perinatal (immedi-
ately before and after birth)
Related to health of family
members
*Not the actual form. To be adjusted to make it more user friendly.
Related to death of family
members
**1- Children 6- Workers in the Formal Sector 11-Workers in the Informal Sector
Related to having disability
among family members 2- Youth 7- Migrant Workers 12- Urban poor
3- Women 8- Senior Citizens 13-Internally Displaced Persons
Related to upbringing and
social problems among the 4 -Farmers and 9- Indigenous Cultural Communities/ 14- Survivors of Calamities/
youth Landless Rural Workers Indigenous Peoples Disasters/Emergencies
Related to marriage and 5-PWDs 10-Artisanal Fisherfolk
relationships
Related to the elderly
68 69
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 1. Workshop Guideline for LGU Tool 1. Workshop Guideline for LGU
1.3.1 Community Hazard Analysis 1.3.2. Community Vulnerability Assessment Forms
1. What are the environmental and natural hazards encountered by the community?
Number of Elements Vulnerable
2. How often do these occur in the barangay? Number of
3. When was the last time this happened? Vulnerable Families Commercial
Number
4. How many families were affected? Hazards Areas in Living Total Size Infrastruc- and Institu- Adapta-
of Houses
the Baran- in the of Agri- tures that tional Estab- tion
5. How many died? Of this number, how many were female? Male? Children? Older persons? that can
gay Vulnerable cultural may be lishments Strate-
6. How many were injured? Of this number, how many were female? Male? Children? Older be De-
Areas* Lands Destroyed that might be gies
persons? stroyed
Affected
7. What were the other damages?
8. Draw a map showing the areas that are vulnerable to the various hazards. Earthquake
Typhoon
1.Hazards 2. Fre- 3.Last time 4. Num- 5.Number 6.Number 7.Other
quency of of occur- ber of of Deaths of Injuries Damages Flood
Occurrence rence Families
in the (Year) Affected Landslide
Barangay
Volcanic
Earthquake Eruption
Typhoon Fire
Flood Drought
Landslide Others,
specify
Volcanic Eruption
Fire
*Make a list of families that can be affected
Drought
Others, specify
70 71
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 1. Workshop Guideline for LGU Tool 2. Workshop Guideline for Barangay
1.4. Social and Governance Risks 2.1 Individual Life Cycle Risks
Name of Respondent: ____________________ Barangay: _______________ 1. What are the risks and events that usually happen in your community that resulted in the loss,
damages or shocks to family members?
1. What social and political events occurred in the community that adversely affected the people? 2. Who were the family members affected by the risk?
2. What factors contributed to the occurrence of the risks? For example, do poverty, gender, age,
3. What were the reasons or conditions that contributed to the risks? For example, does gender and/
ethnicity, or religious differences matter?
or age matter?
3. What are the impacts or losses faced by the community because of these events? Are some
4. What were the impacts of the events/risks on the family as a whole or on individual family mem-
groups affected more than others, for example, women, children, Indigenous cultural communi-
ties/indigenous peoples, etc.? bers-- women and men, girls and boys, young and old?
4. How did you and other community leaders respond? 5. How do families as a whole and/or individual family members differentiated by gender, age or other
5. What responses were provided by external organizations such as the government, civil society factors respond or adapt to the risk-event?
organizations, and other groups? 6. What are the existing programs of the municipality/city received by the families because of the
6. How did external organizations such as government agencies, civil society organizations, and risk/event?
other groups respond?
Vulner- Condi- Programs
Impacts on Family
Please fill in the matrix below. able tions and services
Risks the family Adaptation
Group leading accessed by
members Strategies
Social and political events that Factors that Impacts Responses of Responses of Affected to risks families
bring risks contribute to of the the community government and Related to pregnancy and
the risks risks leaders agencies outside birth
of the community
Related to schooling of
Lack of access to social services children
Crimes Related to perinatal (im-
Human Trafficking mediately before and after
Demonstrations and rallies
birth)
Tool 2. Workshop Guideline for Barangay Tool 2. Workshop Guideline for Barangay
2.2 Economic Risks 2.3.1 Community Hazard Analysis
1. What economic risks and events happened in the family during the last 12 months that re- 1. What are the environmental and natural hazards encountered by the community?
sulted in loss, damages or shocks to family members? 2. How often do these occur in the barangay?
2. What are the family conditions that contributed to the economic risks? 3. When was the last time this happened?
3. What were the impacts of the events/risks on the family as a whole or on individual family 4. How many families were affected?
members-- women and men, girls and boys, young and old? 5. How many died? Of this number, how many were female? Male? Children? Older persons?
4. Who were the groups of people affected by the risks? 6. How many were injured? Of this number, how many were female? Male? Children? Older
5. How did the affected groups respond or adapt to the risks/events? persons?
6. What external interventions were the affected groups involved in because of the risks/events? 7. What were the other damages?
8. Draw a map showing the areas that are vulnerable to the various hazards.
Vulner-
Impacts
Vulner- able Group Family
on the External 1.Hazards 2. Fre- 3.Last 4. Num- 5.Number 6.Number 7.Other
Risks ability Affected** Adaptation
family Intervention quency of time of ber of of Deaths of Injuries Damages
Indicators (State Number Strategies
members Occurrence occur- Families
below)
in the rence Affected
Barangay (Year)
Earthquake
Typhoon
Flood
Landslide
*Not the actual form. To be adjusted to make it more user friendly.
Volcanic Eruption
**1- Children 6- Workers in the Formal Sector 11-Workers in the Informal Sector
2- Youth 7- Migrant Workers 12- Urban poor Fire
3- Women 8- Senior Citizens 13-Internally Displaced Persons
4 -Farmers and 9- Indigenous Cultural Communities/ 14- Survivors of Calamities/ Drought
Landless Rural Workers Indigenous Peoples Disasters/Emergencies
5-Persons with Disabilities 10-Artisanal Fisherfolk Others, specify
74 75
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 2. Workshop Guideline for Barangay Tool 2. Workshop Guideline for Barangay
2.3.2. Community Vulnerability Assessment Forms 2.4. Social and Governance Risks
Number of 1. What social and political events occurred in the community that adversely affected the people?
Vulnerable Commercial
Families Number Total 2. What factors contributed to the occurrence of the risks? For example, do poverty, gender, age,
Hazards Areas in Infrastruc- and institu- Adapta-
Living in of Houses Size of ethnicity, or religious differences matter?
the tures that tional estab- tion
the Vulner- that can Agri- 3. What are the impacts or losses faced by the community because of these events? Are some
Barangay may be lishments Strate-
able Areas* be cultural groups affected more than others, for example, women, children, Indigenous cultural communi-
destroyed that might be gies
destroyed lands ties/indigenous peoples, etc.?
affected
4. How did you and other community leaders respond?
5. What responses were provided by external organizations such as the government, civil society
Earthquake
organizations, and other groups?
6. How did external organizations such as government agencies, civil society organizations, and
Typhoon
other groups respond?
Landslide Social and Political Events that Factors that Impacts Responses of Responses of
Bring Risks Contribute of the the Community Government and
Volcanic to the Risks Risks Leaders Agencies outside
of the Community
Eruption
Lack of access to social services
Fire Crimes
Human Trafficking
Drought
Demonstrations and rallies
Others, Imprisonment of head of family
specify Armed conflict
Territorial or clan conflict
Land grabbing
*Make a list of families that can be affected
Faith related conflicts
Beliefs and practices that can
bring dangers to the community
Corruption
Election
In justice and slow justice system
76 Other social and political events 77
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 3. Family Assessment on Risks and Vulnerabilities Tool 3. Family Assessment on Risks and Vulnerabilities
Respondent is the mother, the father or guardian of the family. The family refers to the present CHECK if this happened
immediate family. within the year or 2-5
years ago.
Risks and Vulnerabilities NONE
Within the 2-5 years
Name of Barangay Date of Survey: year ago
6 Was not able to have post-natal check-up
Name of Respon-
Time Started 7 Having a child with disability from birth
dent
8 Was not able to have children immunized
Position in the
Time Ended 9 A family member having disability due to illness or accident
Family
Name of Inter- 10 Death due to accident
Number of Children
viewer 11 Prolonged or chronic illness of a family member
Was not able to get medical service from a health center
Telephone Cell Phone # 12
or hospital
78 79
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 3. Family Assessment on Risks and Vulnerabilities Tool 3. Family Assessment on Risks and Vulnerabilities
80 81
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 4. Guidelines in Conducting the Family Risk and Vulnerability Assessment Tool 4. Guidelines in Conducting the Family Risk and Vulnerability
Assessment
82 83
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 4. Guidelines in Conducting the Family Risk and Vulnerability Assessment Tool 4. Guidelines in Conducting the Family Risk and Vulnerability
Assessment
6 Was not able to have post- Medical check-up after birth 19 Stopped studying or dropped Children who were able to enrol in elementary or high
natal check-up out in elementary or high school but stopped during the school year
school
7 Having a child with disability The physical or mental impairment was present since birth
from birth 20 Substance abuse (drugs, Any member of the family using prohibited drugs or drinks
alcohol, etc) alcoholic beverages uncontrollably
8 Was not able to have children Children do not have complete immunization
immunized 21 Teenage pregnancy (below 18 Any female member who got pregnant when she was
years old) below 18 years old
9 A family member having Any member of the family has impairment acquired only
disability due to illness or from illness or accident. Do not include impairment since 22 Stow away children; not going Any incident when children did not go home without
accident birth home without consent of knowledge of parents or attempted to run away from
parents home
10 Death due to accident The cause of the death is accident
23 Having a household member Any member of the family who is working in another
11 Prolonged or chronic illness of A member of the family has been ill for at least one year,
working as OFW country
a family member or repeatedly gets sick within a year
24 Having household members Any member of the family who is working in another town
12 Was not able to get medical Includes events when respondent or family member was
working in other areas or of city in the Philippines
service from a health center not able to go to the health center or was able to go to the
cities
or hospital health center but did not get the needed service
25 Separation from the spouse/ Spouses or live-in partners are no longer together
13 Was not able to buy the Includes event where respondent cannot go to the drug
partner
needed medicine store, or cannot afford to buy the medicine
26 Death of the spouse Spouse died because of any causes
14 Death of family member due Death was caused by the illness
to illness 27 Insufficiency of food; Experi- Times when there was no food to eat at mealtime
enced times when there was
no food to eat
28 Lack of source of potable No access to potable source of water within ten meters
drinking water from the house
84 85
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 4. Guidelines in Conducting the Family Risk and Vulnerability Assessment Tool 4. Guidelines in Conducting the Family Risk and Vulnerability
Assessment
86 87
ANNEXES Tools for Vulnerability and Risk Assessment
Tool 4. Guidelines in Conducting the Family Risk and Vulnerability Assessment Tool 4. Guidelines in Conducting the Family Risk and Vulnerability
Assessment
88 89
TRAINERS’ TRAINING
MODULE ON SOCIAL
PROTECTION
VULNERABILITY AND
ADAPTATION
MANUAL
ANNEXES Trainers’ Training Module On Social Protection
Vulnerability and Adaptation Manual
92 93
ANNEXES Trainers’ Training Module On Social Protection
Vulnerability and Adaptation Manual
Day and
Activity Contents Method
D. Session Descriptions
Time
1:30- 5:00 Session 7: SP VAM Family Actual Conduct Survey Demonstration Session 1: Social Protection Framework, Concepts and Policy History
Survey Processing of the Family Day 1: 9:00-10:00 AM
Risk Survey
Day 3: Introduction Invocation Session objective: After the session, the participants must be able to explain the concepts,
8:00-8:30 Exercises policy history and rationale for social protection policies and programs in the Philippines.
8:30-10:00 Session 8: SP VAM Proce- City/Municipal and Demonstration
dures: The Municipal Level barangay Ranking Contents: The concepts and definition of social protection
Analysis and Reporting workshop results analysis History of the development of social protection policies and programs
10:00-11:00 Session 9: Training SP Perspectives Preparation through a The Social Protection Framework
Demonstration Risks and Vulnerabilities workshop Concepts and Definitions
The Municipal SP
Workshop Methodology: Lecture Discussion with PowerPoint Presentation
The SP VAM Family Survey
11:00-12:00 Training Demonstration SP Perspectives Demonstration
Risks and Vulnerabilities
Session 2: SP VAM Overview
12:00-1:30 Lunch Break Day 1: 10:15-11:00 AM
1:30-2:30 Training Demonstration The Municipal SP Demonstration
Workshop Session Objectives: After the session, the participants will be able to make an orientation
The SP VAM Family Survey
on the SP VAM.
2:30-3:30 Session 10: Re-entry Plan for Plan for the conduct of Demonstration
the Conduct of Training for SP training Lecture discussion
Contents: Background of the SP VAM
VAM Implementation
Contents of the SP VAM
Plan for SP VAM advocacy
Principles of SP VAM
3:30- 3:45 Break
3:45-4:15 Training Evaluation
Methodology: Hands-on inspection of the SP VAM
4:15- 5:00 Closing program Lecture Discussion with PPP
5:00 Homeward bound
94 95
ANNEXES Trainers’ Training Module On Social Protection
Vulnerability and Adaptation Manual
Methodology: Lecture Discussion with PPP Session Objective: After the session, the participants will be able to conduct the barangay
level workshop for risk and vulnerability assessment protection
Session 4: SP VAM Procedures: The LGU Workshop
Day 1: 1:30-5:00 PM Contents:
Objectives and contents
Procedures for the conduct the Barangay Risk and Vulnerability Assessment
Session Objective: After the session, the participants will be able to conduct the city/municipal (RVA) workshop
workshop for social protection Guidelines before, during and after the conduct of the RVA Workshop
Contents: Procedures for the SP VAM Methodology: Lecture Discussion on the Procedures
Organization structure
Conduct of the City/Municipal Workshop
The risk, vulnerability and adaptation strategies Session 7: The Family Risk and Vulnerability Survey
Day 2: 1:30-3:00 AM
Methodology: Lecture Discussion on the Procedures
Workshop on risk, vulnerability and adaptation strategies Session Objective: After the session, the participants will be able to conduct the Family Risk
and Vulnerability Survey by administering interviews
Session 5: SP VAM Procedures: The Barangay Risk and Vulnerability Assessment Workshop
Day 2: 8:30-10:00 AM Contents: The Family Risk and Vulnerability Survey Form
Actual conduct of interview
Session Objective: After the session, the participants will be able to conduct the barangay level
workshop for risk and vulnerability assessment protection Methodology: Experiential learning through actual conduct of interview
96 97
ANNEXES Trainers’ Training Module On Social Protection
Vulnerability and Adaptation Manual
Session 8: SP VAM Procedures: The Municipal Level Analysis and Reporting Session 10: Re-Entry Plan for the Conduct of Training for SP VAM Implementation
Day 3: 8:30-10:00 AM Day 3: 10:30-11:00 AM
Session Objective: After the session, the participants will be able to conduct the analysis of the Session Objective: After the session, the participants will be able to come out with action points
risks and vulnerability for social protection at the city/municipal level; they will be able to prepare and recommendations for the conduct of training and advocacy for SP VAM Implementation.
a City/Municipal Social Protection Report
Contents: Concerns and action points for the conduct of SP VAM Training
Contents: Outcomes of the City/Municipal SP Workshop Recommendations
SP Workshop Report
Methodology: Plenary workshop using meta cards
Methodology: Review of the outcomes of the workshop in the city/municipality and barangay
SP Workshop. The last session serves as a synthesis of the Trainers’ Training by focusing on the concerns and
Lecture Discussion on the Procedures actions points in conducting training for SP VAM implementation. The session will proceed as
follows:
98 99