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Social Protection and Social Exclusion: an Analytical Framework to Assess the Links

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Social Protection and Social Exclusion: an Analytical Framework to Assess the Links October 2012 Social protection and social exclusion: an analytical framework to assess the links By Babken Babajanian and Jessica Social exclusion is a dynamic process that ‘precludes Hagen-Zanker full participation in the normatively prescribed activities of a given society and denies access to information, resources, sociability, recognition, and his Background Note1 offers a framework identity, eroding self-respect and reducing capabilities for applying the concept of social exclusion to achieve personal goals’ (Silver, 2007: 1). The social in the analysis of social protection policies exclusion framework can help situate social protection T and programmes in low- and middle-income within the specific economic, social and institutional countries (LICs and MICs). The framework establishes context that affects people’s well-being and identify the conceptual and operational linkages between how policies and programmes address different social protection and social exclusion, providing dimensions of deprivation and their underlying causes. examples of how social protection can contribute to A nuanced understanding of the strengths and social inclusion. There has, to date, been no clear, limitations of social protection interventions within consolidated framework to depict the relationship specific contextual settings matters: it is important between social protection and social exclusion. This for informing the design and implementation of paper pulls together different strands of literature policies and programmes. and presents an approach for structuring the analy- There has been a shift in the way social protection sis and evaluation of social protection, rather than has been conceptualised in development discourse prescribing ‘road map’ steps for implementation. in the past decade. There is increasing recognition of We suggest that the concept of social exclusion its potential to go beyond the safety net-centred appli- is a useful lens for researching and analysing the cation – focused on meeting people’s basic needs – effects of social protection interventions. Social and contribute to more ‘developmental’ objectives. protection refers to publicly-mandated policies This perspective suggests that social protection must and programmes to address risk and vulnerability not only help people meet their basic needs, but also among poor and near-poor households. Social build their ability to escape poverty and contribute exclusion is used in social policy and social devel- to their long-term well-being. The World Bank, for opment literature as a framework to conceptualise example, recognises that social protection can build human deprivation and establish the mechanisms human capital and increase poor people’s productive that produce and reproduce it. Few empirical studies capacity (World Bank, 2012). of social protection outside of the European context Another prominent view highlights the importance of have been framed using the social exclusion/inclu- the ‘transformative’ function of social protection. This sion perspective (see, for example, ILO, 2006). holds that social protection interventions must tackle The Overseas Development Institute is the UK’s leading independent think tank on international development and humanitarian issues. ODI Background Notes provide a summary or snapshot of an issue or of an area of ODI work in progress. This and other ODI Background Notes are available from www.odi.org.uk shaping policy for development Background Note not only economic insecurity, but aim for broader soci- eligible households are excluded from social protec- etal goals of equity, social justice and empowerment tion programmes by design (for example, for not con- (Sabates-Wheeler and Devereux, 2008). forming to predefined eligibility criteria), or because One key policy question is whether and how well of poor implementation, such as inadequate iden- social protection can serve as a ‘developmental’ and tification and outreach, and ineffective and unfair ‘transformative’ tool. While there is evidence on its processes of beneficiary selection. For example, de la short-term impacts, we know relatively little about Brière and Rawlings (2006) discuss opportunities to its contribution to long-term improvements in well- maximise the coverage of the poor and reach women being in LICs and MICs. Existing evaluations discuss in conditional cash transfer (CCT) programmes to programme effects on different dimensions of peo- achieve greater social inclusion. Others have explored ple’s well-being, but rarely allow inferences about the design and implementation practices of poverty- their ability to alter what drives their deprivation and targeted cash transfers that often exclude poor and vulnerability. We need to establish what goals social vulnerable people from income support (Ellis, 2008; protection can realistically achieve. In particular, we HelpAge International, 2011). need to understand whether and under what circum- Access to social protection can be seen within stances social protection can challenge the societal the social exclusion framework, as part of a broader structures and processes that generate poverty and analysis of the dimensions of exclusion faced by indi- vulnerability in the formal and informal domains. viduals. This paper, however, focuses on the effects This paper begins by defining social exclusion and of social protection on programme beneficiaries and reviews trends in current social protection discourse. their households, rather than on the inclusiveness of Second, it discusses the utility of applying social exclu- social protection programmes themselves. sion to the analysis of social protection. Third, it identi- The main analytical strength of the social exclusion fies key dimensions and drivers of social exclusion and framework is its emphasis of linkages between well- depicts an analytical framework to link social exclu- being and broader conditions and factors that affect sion with social protection. Fourth, it offers examples different dimensions of that well-being. In de Haan’s of how social protection interventions can tackle social categorisation (1999), social exclusion can be used exclusion and contribute to social inclusion. Finally, it to describe ‘outcomes of deprivation’ and ‘processes discusses the policy relevance of the social exclusion of deprivation’. By focusing on deprivation outcomes, framework in assessing social protection. the concept of social exclusion exposes the extent of deprivation that people may experience. It also Conceptualising social exclusion identifies multiple, income and non-income dimen- sions of human deprivation. It therefore denotes This paper uses a broad definition of social exclu- that people may be excluded from employment, sion as a conceptual framework, which originated in productive resources and economic opportunities, European social policy literature and has been applied but also have limited access to education and health in developing countries. As a framework, social exclu- care, public utilities and decent housing, social and sion offers an alternative lens for conceptualising cultural participation, security, political rights, voice poverty and inequality, denoting inadequate participa- and representation. In general, people are deprived tion of individuals in key aspects of their society. Here, in more than one, and possibly in many, dimensions exclusion refers to multiple forms of economic and (Ruggeri Laderchi et al., 2003: 21). social disadvantage caused by various factors, includ- The extent of exclusion often depends on indi- ing inadequate income, poor health, geographic loca- vidual and social characteristics, such as affluence, tion and cultural identification (Burchardt et al., 2002). race, gender, ethnicity, social status, caste or reli- Social exclusion as a conceptual framework must gion, as well as political views, occupation, language, be distinguished from its descriptive usage to denote and place of residence. The concept focuses on the marginalisation of individuals or groups because of ‘relative’ rather than ‘absolute’ nature of deprivation, specific social characteristics (e.g. gender or ethnic- placing the needs of individuals within the context of ity). For example, Sabates-Wheeler and Devereux their communities and societies. (2008: 81) see social exclusion as a manifestation of In addition to exposing multiple deprivations, the vulnerability, alongside discrimination and violation social exclusion framework identifies processes that of the rights of minorities, rather than using it as a cause them. In contrast to the ‘monetary’ poverty broader, conceptual perspective. approach, social exclusion ‘focuses intrinsically, The term social exclusion is often used in refer- rather than as an add-on, on the processes and ence to programme coverage. Here, social protection dynamics that allow deprivation to arise and persist’ literature tends to focus on the extent to which poor/ (Ruggeri Laderchi et al., 2003: 23). The social 2 Background Note exclusion framework is well-suited for understanding Figure 1. Dimensions and drivers of social broader, structural factors that cause deprivation. exclusion It ‘drives attention away from attributing poverty to hts Life c rig ours personal failings and directs attention towards societal and e v s ul rm ne structures’ (Gore and Figueiredo, 1997: 43). Therefore, o ra l n b a i g li it accentuates the interconnectedness of human well- e ti L e being and broader conditions, including policies,
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