Thesis (PhD)--Stellenbosch University, 2015. / ENGLISH ABSTRACT: This study focused on the social protection of vulnerable children in Zambia. The aim was to find out how social protection had evolved and how it was conceptualised – its functions and types, policies and programmes, the benefits and services, and the risks and vulnerabilities that it addresses. A descriptive study design was used with qualitative methods of collecting and analysing data. The sample of 24 participants from government and nongovernmental organisations involved in social protection delivery as well as carers of children was drawn from the Central, Lusaka and Southern provinces of Zambia respectively. A semi-structured interview schedule was used, and all the recorded interviews were transcribed by the researcher and sent back to the participants for proofreading or corrections, where necessary, before analysis. The basic needs, the empowerment, the risk management, the rights-based, and the capability approaches have been used to further the conceptualization, design features and implementation modalities of social protection. Additionally, given that a theoretical basis for social protection is still lacking, the study drew on representational, explanatory, normative, human capital, social construction, social contractual, and structural social work theories in order to complement, extend and verify the findings. Ethical clearance (number Desc_Moonga2012) was obtained from Stellenbosch University’s Research Ethics Committee. The ethical clearance certificate was used to apply for and obtain permission from the Zambian Ministry of Community Development Mother and Child Health and nongovernmental organisations involved in the study. Empirically, the study found that social protection was an old activity under a new name and was being scaled up rapidly but biased towards cash transfers. By and large, social protection in Zambia is provided as unconditional transfers, mainly as social assistance. No existing legislative or policy framework specifically focused on social protection was found, although the latter had been drafted at the time of the study. The Zambian government and a number of partners such as CARE, Child Fund, World Vision and the World Food Programme, to mention only a few, were found to be involved, but their efforts were fragmented and interventions for children were limited, fragmented and less responsive to the current risks and vulnerabilities of children. The study also established that if 2–3% of the country’s gross domestic product as recommended by the International Labour Organization were used, Zambia could afford to provide extensive social protection coverage (beyond its current offering) by using local resources. However, this would require putting in place appropriate and sustainable resource mobilisation measures and decentralization of the processes and interventions. Based on these and other concluding findings, it is recommended that in order for social protection for vulnerable children in Zambia to be effective, among other requirements, political will is needed in the provision of social protection for vulnerable groups, especially children, through legislative and policy frameworks. Additionally, there is a need for sustainable resource mobilisation, especially through progressive taxation such as taxation of undeserved income and taxation of big businesses, especially mining companies. However, due to limitations in qualitative methods and descriptive designs and the small sample of the data used, the conclusions and recommendations of the study are but conjectural. / AFRIKAANSE OPSOMMING: Hierdie studie het op die maatskaplike beskerming van kwesbare kinders in Zambië gekonsentreer. Die doel was om te bepaal hoe maatskaplike beskerming ontwikkel het en gekonseptualiseer is – die soorte en funksies van maatskaplike beskerming, die beleide en programme daaroor, die voordele en dienste wat daarmee verband hou, en die gepaardgaande risiko’s en kwesbaarhede. ʼn Beskrywende navorsingsontwerp met kwalitatiewe metodes vir data-insameling en -ontleding is gebruik. Die steekproef van 24 deelnemers uit die staatsektor en nieregeringsorganisasies wat met die lewering van maatskaplike beskerming gemoeid is, sowel as kinderversorgers, het uit die Lusaka-, sentrale en suidelike provinsies van Zambië gekom. ’n Semigestruktureerde onderhoudskedule is gebruik. Die navorser het alle opnames van onderhoude getranskribeer en dit voor ontleding aan die deelnemers gestuur om te proeflees en enige nodige regstellings te maak. Die basiese behoefte-, bemagtiging-, risikobestuur-, regsgebaseerde en vermoëns benaderings is gebruik om die konseptualisering, ontwerp kenmerke en implementering van modaliteite van maatskaplike beskerming te bevorder. Benewens die gebrek aan ’n teoretiese grondslag vir maatskaplike beskerming, het die studie op die verteenwoordigende- verklarende-, normatiewe-, menslikekapitaal-, maatskaplikekonstruksie-, maatskaplikekontrak- en strukturele maatskaplikewerk-teorieë staatgemaak om die bevindinge aan te vul, uit te brei en na te gaan. Etiekgoedkeuring (nommer Desc_Moonga2012) is van die Universiteit Stellenbosch se Navorsingsetiekkomitee verkry. Die etiekgoedkeuringsertifikaat is op sy beurt gebruik om toestemming te vra en te verkry van die Zambiese Ministerie van Gemeenskapsontwikkeling en Moeder- en Kindergesondheid en nieregerings-organisasies wat by die studie betrokke was. Die empiriese bevinding van die studie is dat maatskaplike beskerming ’n ou aktiwiteit met ’n nuwe naam is, en dat dit vinnig uitgebrei word, dog na kontant-oorplasings oorhel. Maatskaplike beskerming in Zambië geskied merendeels as onvoorwaardelike oorplasings, hoofsaaklik in die vorm van maatskaplike bystand. Geen bestaande regs- of beleidsraamwerk wat bepaald oor maatskaplike beskerming handel, kon opgespoor word nie, hoewel werk aan ’n beleidsraamwerk ten tyde van die studie aan die gang was. Die Zambiese regering en ’n aantal vennote, waaronder CARE, Child Fund, World Vision en die Wêreldvoedselprogram, om net enkeles te noem, is betrokke by maatskaplike beskerming dienslewering, maar hul pogings is gefragmenteer. Veral intervensies vir kinders is beperk, gefragmenteer en nie juis ingestel op die kinders se huidige risiko’s en kwesbaarhede nie. Daarbenewens het die studie vasgestel dat indien 2–3% van die land se bruto binnelandse produk gebruik word, soos wat die Internasionale Arbeidsorganisasie aanbeveel, Zambië kan bekostig om met behulp van plaaslike hulpbronne omvattende maatskaplike beskerming (wat verder strek as sy huidige aanbod) te bied. Dít sou egter vereis dat toepaslike en volhoubare maatreëls en desentralisering van prosesse en intervensies ingestel word om hulpbronne te mobiliseer. Op grond van hierdie en ander bevindinge is die gevolgtrekking dat maatskaplike beskerming vir kwesbare groepe in Zambië slegs doeltreffend sal wees indien die nodige politieke wil bestaan om deur regs- en beleidsraamwerke maatskaplike beskerming aan hierdie groepe, veral kinders, te voorsien. Daar bestaan ook ’n behoefte aan volhoubare hulpbronmobilisering, veral deur progressiewe belasting soos belasting op onverdiende inkomste en belasting op groot ondernemings, bepaald mynmaatskappye. Weens die beperkinge van kwalitatiewe metodes en deskriptiewe ontwerpe, sowel as die klein datasteekproef wat gebruik is, is die gevolgtrekkings en aanbevelings van die studie egter bloot verondersteld.

Social Safety Nets (SSNs) were in the early 1990s a major feature of poverty alleviation and social impact mitigating mechanism from austere economic reforms implemented by the Zambian Government. Evidently, SSNs became prominent when Zambia accelerated the implementation of the Structural Adjustment Programme (SAP) in the early 1990s. At that time, the levels of poverty skyrocketed affecting 73% of the 10.5 million people of which 58 % were said to be extremely poor with the acute levels of poverty being more concentrated in rural areas which harbour about 65 % of the country’s population (CSO 1998: 20). SSNs are non-contributory transfer programmes for the poor or those vulnerable to shocks and these include income support through participation in public works programmes, cash transfers to the poor or vulnerable households, fee waivers for usage of essential health and education services, in kind transfers such as school feeding or even price subsidies for specific goods deemed essential to the poor (World Bank 2005: 1). Pritchett (2005:17) observed that SSNs can be applied across the various levels of society whether or not the shocks push households below the absolute threshold of poverty. Despite being a major feature of social mitigation it is not clear to what extent they (SSNs) can be said to an effective mechanism for poverty mitigation in Zambia. With SAP be decried by interests groups as having reduced people’s living conditions for fuelling in, higher prices for basic commodities, lower real incomes, reduced access to social services, medical care and retrenchments and lack of job opportunities for those seeking employment. The absence of fully fledged unemployment benefit system, made the victims of the adjustment process worse off. The social security schemes equally got adversely affected by high unemployment levels and growth of the informal sector because the proportion of the insured population plummeted and that inexorably leads to a fall in contributions. Other consequences of SAP besides retrenchments of blotted workforce include child labour and overburdening women as their participation in economic activities increased as part of the copping mechanisms besides their reproductive roles. Given the aforementioned complications that arise during structural reforms, this thesis seeks to examine how effective SSNs are in poverty alleviation programmes in countries like Zambia where they have been tried. / Development Studies / M.A. (Development Studies)

Social Safety Nets (SSNs) were in the early 1990s a major feature of poverty alleviation and social impact mitigating mechanism from austere economic reforms implemented by the Zambian Government. Evidently, SSNs became prominent when Zambia accelerated the implementation of the Structural Adjustment Programme (SAP) in the early 1990s. At that time, the levels of poverty skyrocketed affecting 73% of the 10.5 million people of which 58 % were said to be extremely poor with the acute levels of poverty being more concentrated in rural areas which harbour about 65 % of the country’s population (CSO 1998: 20). SSNs are non-contributory transfer programmes for the poor or those vulnerable to shocks and these include income support through participation in public works programmes, cash transfers to the poor or vulnerable households, fee waivers for usage of essential health and education services, in kind transfers such as school feeding or even price subsidies for specific goods deemed essential to the poor (World Bank 2005: 1). Pritchett (2005:17) observed that SSNs can be applied across the various levels of society whether or not the shocks push households below the absolute threshold of poverty. Despite being a major feature of social mitigation it is not clear to what extent they (SSNs) can be said to an effective mechanism for poverty mitigation in Zambia. With SAP be decried by interests groups as having reduced people’s living conditions for fuelling in, higher prices for basic commodities, lower real incomes, reduced access to social services, medical care and retrenchments and lack of job opportunities for those seeking employment. The absence of fully fledged unemployment benefit system, made the victims of the adjustment process worse off. The social security schemes equally got adversely affected by high unemployment levels and growth of the informal sector because the proportion of the insured population plummeted and that inexorably leads to a fall in contributions. Other consequences of SAP besides retrenchments of blotted workforce include child labour and overburdening women as their participation in economic activities increased as part of the copping mechanisms besides their reproductive roles. Given the aforementioned complications that arise during structural reforms, this thesis seeks to examine how effective SSNs are in poverty alleviation programmes in countries like Zambia where they have been tried. / Development Studies / M.A. (Development Studies)