Omnibus Guidelines on the Registration and Licensing of Social Welfare and Development Agencies, as amended

2005

DSWD ADMINISTRATIVE ORDER NO. 6-05

 

RATIONALE:

The Department of Social Welfare and Development (DSWD) encourages the participation of social welfare and development (SWD) agencies in uplifting the quality of life of the poor and disadvantaged. It aims to strengthen their capacity to fulfill their goals and help them provide accountable and quality service for their target clients and partners through registration, licensing and accreditation of organizations engaged in SWD.

AO 140 Series of 2002 was issued to consolidate and update existing policies and guidelines on registration, licensing and accreditation of organizations engaged in social welfare activities. Its implementation for the past two years raised some concerns on relevant concepts and procedures which require changes in some areas of the Guidelines in keeping with DSWD's performance of its regulatory functions. Hence, the amendment of these Guidelines.

IMPLEMENTING GUIDELINES:

SECTION 1. Legal Bases. — These guidelines are hereby promulgated by the DSWD concerning the registration and licensing of social welfare and development agencies and accreditation of social welfare and development programs and services based on the following legal mandates:

1) Republic Act No. 4373 amended by R.A. 5175 — Regulating the Practice of Social Work and the Operation of Social Work Agencies in the Philippines, Article IV, Section 23. — "No social work agency . . . shall operate and be accredited as such unless it shall first have registered with the Social Welfare Administration (now the Department of Social Welfare and Development) which shall issue the corresponding registration certificate".

2) Republic Act No. 5416 — Providing for Comprehensive Social Services for Individuals and Groups in Need of Assistance, Creating the Department of Social Welfare, Section 3, the DSW, its powers and duties. "The Department shall . . . (2) . . . set standards and policies to insure effective implementation of public and private social welfare programs; (5). accredit institutions and organizations, public and private, engaged in social welfare activity including the licensing of child caring and child placement institutions and provide consultative services thereto." DEHaAS

3) Executive Order 292 otherwise known as the Administrative Code of 1987, Title XVI, Chapter I, Section 3. Functions of the Department. ". . . to set standards, accredit and monitor performance of all social welfare activities in both public and private sectors.

4) Presidential Decree 603 otherwise known as the Child and Youth Welfare Code as amended. Article 118. "No private person, natural or juridical shall establish temporarily or permanently any child welfare agency without first securing a license from the Department of Social Welfare and Development.

5) Article 120 of P.D. 603. provides that the Department of Social Welfare may, after notice and hearing, suspend and revoke the license of a child welfare agency on grounds stipulated.

6) Executive Order 15, Series of 1998 Redirecting the Functions and Operations of the Department of Social Welfare and Development. Section 3, Powers and Functions, (f) "Set standards, accredit and provide consultative services to institutions, organizations, and persons engaged in social welfare activities and monitor performance of institutions, organizations and persons engaged in social welfare activities, both public and private."

SECTION 2. Objectives. — These Guidelines seek to enforce standards in the registration, licensing, and accreditation of agencies engaged in social welfare and development activities for purposes of authorizing, regulating, and monitoring the operation of such agencies in the Philippines.

SECTION 3. Definition of Terms. — The following are defined in the context of the mandate of the DSWD based on Section 1 of these Guidelines:

1) Accreditation — is the recognition of a SWD program or service that such is implemented by a social work agency which meet nationally recognized standards as evidenced by a Certificate of Accreditation issued by the DSWD. It is a process of enabling social work agencies to achieve and demonstrate high quality service delivery.

2) Cancellation — is a process of annulling the validity of the certificate issued by the DSWD to the agency.

3) Child and youth welfare agency — is any social work agency providing encouragement, care, and protection to children and youth, whether mentally gifted, dependent, abandoned, neglected, abused, with disability, disturbed, or youthful offenders.

4) Complaint — a written and signed statement submitted to or filed by a person or persons with the DSWD on alleged violation by any licensed or accredited social work agency, its governing body, a member of its governing body or by its personnel, of any existing law, rules and regulations, and other issuances related to the operation of social work agencies.

5) Fact-finding investigation — a process of gathering data for the purpose of establishing the veracity of allegations in the complaint or information against a social work agency.

6) Information — is a fact or facts about the agency's alleged violation(s) which may render the suspension or revocation of its license if proven to be true.

7) Intermediary — a person, group, network of SWD agencies, or local government units (LGUs) authorized by the DSWD to perform specific functions within the process of registration, licensing and accreditation.

8) License — is the authority given by DSWD to an agency that is qualified to operate as a social work agency, evidenced by a certificate of license to operate. AECIaD

9) Licensing — is the process conducted by DSWD in assessing qualification and authorizing a registered SWD agency to operate as a social work agency.

10) Operation — refers to the implementation of SWD programs and services by a social welfare and development agency within a specified geographical coverage or place over a period of time using its own or tapped resources and conduits. Operation constitutes presence of established branch, office or organization of the agency with particular person/s that directly implement/s the agency's SWD program or service in indicated region/s, or of organized group, or community with which the agency has a written agreement of partnership or cooperation to implement or take part in the implementation of the agency's SWD programs or services in indicated region/s.

11) People's Organization — is a bona fide association of citizens with demonstrated capacity to promote the public interest and with identifiable leadership, membership and structure.

12) Registration — is the system of recording agencies in the Registry of Social Welfare and Development (SWD) Agencies in recognition of their contribution or intent to contribute to social welfare and development, evidenced by a certificate of registration issued by DSWD.

13) Registry — is the roster of registered, licensed and accredited social welfare and development agencies.

14) Resource Agency — refers to a group, organization, corporation, or entity that provides support or assistance whether financial or technical, to SWD agencies.

15) Revocation — refers to the permanent cancellation of the license of a social work agency, under any of the grounds stipulated in Section 41 of these Guidelines, as ordered by the DSWD.

16) Service Delivery Mode — The primary manner by which a particular social welfare program is delivered. This would include residential, center-based, community-based, and street-based modes. The basis for this classification is the location of interaction (or service provision) between the beneficiary/client and the agency. The four modes of service delivery are as follows:

(a) Street-based — a service delivery mode in which the beneficiary/client, whether alone or as part of a group of similar nature, is served on the streets where he or she is found.

(b) Center-based — a service delivery mode provided in a physical structure or facility for a specified number of hours a day or a brief period which may extend to a maximum of 3 weeks. It provides variety of services to an individual, group, family or community in the "center" addressing a current immediate crisis or need; client returns to a family or community after every service.

(c) Community-based — a service delivery mode where services are provided to the beneficiary/client in his or her home or in the community in which he or she lives. An additional feature of this mode is community interaction or participation in the activities and management of the client system. AHSaTI

(d) Residential (Residence) based — a service delivery mode in which group care/living is provided as an alternative family care under the guidance or trained staff and within a structured therapeutic environment with the end view of reintegrating him/her with the family or community. This is resorted to when adoption, foster care, kinship care or legal guardianship is not possible nor applicable.

17) Social Welfare and Development (SWD) Agency — is a non-profit or profit entity, either individual or group, public or private, that primarily engages in the provision of social welfare programs and services, to one or more disadvantaged or vulnerable groups. These may be children, youth, women, persons with disabilities, older persons, victims of disasters, disadvantaged families, and communities and individuals, families and communities in crisis.

18) Social Work Agency — is a person, corporation, or organization, private or governmental, that engages mainly and generally, or represents itself to engage in social welfare work, whether casework, group work, community work, and obtains its finances either totally or in part, from any agency or instrumentality of the government and/or from the community by direct or indirect solicitations and/or fund drives, and/or private endowment. (RA 4373).

19) Social Welfare and Development Network (SWD Network) — a grouping of social work agencies formed to achieve a common goal or respond to specific issues related to social welfare and development. This may also be referred to as coalition, alliance, or federation.

20) Standards Compliance Monitoring — is a set of organized activities conducted by authorized personnel of the DSWD Field Office (FO) or by the Standards Bureau (SB) on a regular basis or on an agreed time frame to keep track of the operation of registered and licensed social work agencies and agencies with accredited service/s in accordance with established social welfare and development standards.

21) Suspension — is a penalty imposed to a DSWD licensed social work agency for violation of the provisions of these guidelines and renders the agency to temporarily cease operation either wholly or partially. When the agency is under suspension it shall not accept or admit any additional clients.

TITLE I

General Policies

SECTION 4. The following shall be the general policies to be observed relative to registration; and licensing SWD agencies, and accreditation of social welfare programs and services, handling of complaints, suspension and revocation of license, and standards compliance monitoring.

1) All registered agencies prior to the issuance of these amended Guidelines, except those which were licensed and accredited, shall be notified to submit their respective report on the implementation of their programs and services for the past two (2) years. Those who fail to comply shall be dropped from the registry and their certificate of registration shall be canceled after due notice.

2) Registration of SWD agencies and licensing of social work agencies operating in one region shall be the responsibility of the Field Offices while those operating in more than one region shall be the responsibility of the Standards Bureau.

3) The Standards Bureau shall be responsible for the accreditation of all licensed social work agencies regardless of license coverage.

4) Certificates of registration and license of agencies handled by FO shall be signed by the Field Director. Certificates of registration, license of agencies covered by the Standards Bureau and certificate of accreditation shall be signed by the Department Secretary or his/her duly authorized representative.

5) The Field Office shall be responsible for monitoring SWD and social work agencies operating in their respective territorial jurisdictions regardless of registration and license coverage.

6) An intermediary (e.g., network of agencies, LGU) may be authorized by the DSWD to perform functions such as processing of registration of SWD agencies and licensing and accreditation of social work agencies according to appropriate guidelines. IcHDCS

7) Any change in the agency's current name, geographical coverage or place of operation and/or service/s shall be reported by such agency in writing to the DSWD office that issued the current certificate of registration, license or accreditation. In case of expansion of area of operation beyond the jurisdiction of the issuing DSWD office, thereby covering more than one region, the latter shall inform the Standards Bureau in writing for the corresponding amendment of certificate of registration, license or accreditation. In cases where the agency transfers its operation to another region, the FO that issued the current certificate of registration and license shall inform the Field Office where the new area(s) of operation is situated. The receiving Field Office shall effect the changes in the certificate of registration and license. In cases where the license is suspended or revoked as provided for in Section 41 of these Guidelines, the appropriate DSWD Office shall make an annotation on the registry of social work agencies showing the fact of suspension or revocation of such license.

8) The certificates of registration, license, or accreditation are automatically nullified upon the issuance of the amended certificate. The nullified certificate shall be surrendered by the agency to the DSWD office that issued the amended certificate.

9) Certificates of registration, license, and accreditation are non-transferable.

10) Certificates of registration, license, and accreditation of the social work agency shall be displayed at all times in any conspicuous place within the agency's office, branch or facility.

11) All DSWD Field Offices shall conduct an orientation to the new applicants prior to their registration. Without such an orientation, no registration shall be granted. The method of orientation may be planned and implemented with the assistance of the Training Unit of the FO and with the participation of the Area Based Standards Network (ABSNET) representative(s) in the performance of their expanded role in the registration and licensing. Content of orientation shall include these Guidelines, all relevant Administrative and Department Orders, Memorandum Circulars, and other issuances pertinent to the regulatory function of DSWD, registration, licensing, accreditation, quality measures and standards, and other significant information as needed by the participants.

12) Technical assistance shall be provided by the Standards Bureau or by the Field Office to SWD agencies, as applicable and necessary on areas concerning social welfare and development standards, to enable the agency to register, be licensed and accredited.

13) The Field Office shall conduct regular survey among stakeholders for the purpose of identifying SWD agencies, private or public, including LGUs, hospitals, courts, churches, schools, and secondary settings of social work practice within its jurisdiction. The Field Office may also identify agencies through other strategies as they deem fit.

14) In the case of an agency that is registered by the Securities and Exchange Commission (SEC) and endorsed to the FO that has no jurisdiction over it, such agency shall be referred by the receiving FO to the concerned FO, copy furnished the SB. Upon determining that such agency covers two or more regions, the SB shall facilitate its registration and inform concerned FOs on action taken on the case.

15) A registered or licensed SWD agency planning to cease operation is required to make a written report to the appropriate DSWD Office at least 30 days before the termination of its operation.

16) Written reports on assessment for registration, licensing and accreditation, and on standards compliance monitoring shall form part of the agency's records with the DSWD. These may serve as reference or basis for policy formulation, standards, program, systems, or social technology development, and research.

17) The agency shall be required to surrender its revoked certificates of registration, license and accreditation to the DSWD Office that issued the revocation order. Appropriate agencies shall be informed of the revocation as cited in Section 46 (2) of these Guidelines.

18) In case of implementation of a program or service in two or more facilities, accreditation shall be conducted for each facility.

19) The DSWD, after thorough assessment, may require the submission of documents from agencies applying or due for registration, licensing and accreditation, apart from those cited in specific sections, which are deemed necessary to establish compliance to appropriate policies and standards.

TITLE II

Registration of Social Welfare and Development Agency

SECTION 5. Coverage and Applicability. — Any person, group or organization that intends to engage or currently engaged generally and mainly in social welfare activities may apply for registration as social welfare and development agency as prescribed in these Guidelines.

SECTION 6. Exempt Agencies. — The following are exempted from registration:

1) SWD office/department/unit of local government units (LGUs), HCDaAS

2) Those exempted by virtue of bilateral or international agreements as provided under COA Circular No. 2001-001 dated July 31, 2001, and

3) DSWD residential centers and institutions

SECTION 7. Registration Process. — The registration of social welfare and development agency shall be undertaken by the DSWD, either by the Field Office or Standards Bureau, as the case may be, according to the following process:

(a) Identification of SWD Agencies. SWD agencies may be identified by DSWD through survey, inventory and/or referrals or information from the following:

1. The agency itself

2. Securities and Exchange Commission (SEC)

3. National Government Agencies (NGAs) and Government-Owned and Controlled Corporations (GOCCs)

4. Local Government Unit (Province, City, Municipality)

5. Non-government Organizations (NGOs)

6. People's Organizations (PO)

7. SWD networks

8. Licensed SWD Agencies

9. An Intermediary

10. Communities/Barangays

11. Church and Religious Groups

12. Private Business Entities/Groups

13. Independent Accreditation Bodies

14. Professional associations and groups

15. Academic institutions (e.g. schools, colleges, universities)

(b) Notification to SWD Agencies. An agency reported by sources as engaged in SWD shall be notified in writing by SB or by FO, as applicable, indicating that it is informed of the agency's operation or intention to operate within its jurisdiction.

 The notification specifies and considers the following, among others:

1. That DSWD has been informed of the operation or intent to operate as a SWD agency.

2. The purpose of registration shall be introduced to the agency.

3. That the agency is invited to an orientation on standards and relevant policies, the date and venue of which shall be specified.

4. The concerned DSWD Office shall enclose Information Sheet (Form DSWD-RLA-01, Annex A) for Registration of SWD Agencies and a self-addressed envelope for the agency's use in returning and submitting documents. The agency shall be requested to accomplish Form DSWD-RLA-01 and send this to the concerned DSWD Office within 15 working days, together with a copy of its SEC registration or copy of bilateral agreement, if exempted from SEC registration.

 Exempted from registration by SEC are international organizations and specialized agencies that are doing business in the Philippines as a result of bilateral agreements (Commission on Audit Circular No. 2001-001 dated July 31, 2001).

(c) Assessment. Based on accomplished Information Sheet and SEC registration (if applicable), the agency shall be assessed by DSWD if its operation or intention to operate is within the field of SWD. Assessment shall have to be completed within 15 working days from date of receipt of complete requirements. The agency shall be informed of the result of the assessment within 15 working days from date of completion of assessment.

(d) Registration of SWD Agency and Issuance of Certificate of Registration. All agencies that have been assessed as a SWD agency shall be placed in the Registry of SWD Agencies and shall be issued a Certificate of Registration (Form DSWD-RLA-02, Annex B), which shall be sent to the agency within 15 working days from date of completion of assessment.

and shall be issued a Certificate of Registration which shall be sent to the agency within 15 working days from date of completion of assessment. In the case of exempted agencies, an updated masterlist of SWD offices/department/unit including their SWD programs and services shall have to be maintained by the FOs for purposes of information and reference relative to monitoring and accreditation. HDAaIc

SECTION 8. Validity of Registration. — The Certificate of Registration shall be valid throughout the entire operation of the SWD agency unless canceled by the DSWD for cause, including failure to submit an annual report of its implementation of social welfare activities for two (2) consecutive years.

SECTION 9. Registry of Social Welfare and Development Agencies. — The concerned DSWD office shall maintain a registry of SWD agencies including a masterlist of those exempt. The registry shall provide basic information including office address, programs and services being implemented. These shall be updated on a quarterly basis.

The DSWD Central Office (CO) through the Standards Bureau shall establish and maintain the national registry of SWD agencies while the FO shall be responsible for the regional registry including the masterlist of exempt agencies.

SECTION 10. Report on Social Welfare and Development Agencies. — SWD agencies operating in the region shall be part of the quarterly report of the Field Office to the Standards Bureau, which shall be submitted within the first week of the first month of every quarter. A copy of the accomplished prescribed form for the quarter shall be attached by the FO to the said report. The Standards Bureau shall inform the concerned Field Offices within the first month of every quarter of all SWD agencies within their jurisdiction that are registered by the Bureau.

SECTION 11. Assessment for Licensing Readiness. — Registered SWD agencies shall be assessed within two (2) years after being registered to determine their capacity to operate as social work agency.

TITLE III

Licensing of Social Work Agencies

SECTION 12. Coverage and Applicability. — All registered SWD agencies employing social work methods shall be licensed as a social work agency within two (2) years after issuance of their registration certificate. These include, but are not limited, to the following:

1) All child and youth welfare agencies as provided for in Art. 117 of Presidential Decree No. 603 or The Child and Youth Welfare Code of the Philippines classified as follows:

(a) Child-caring institution — a facility providing twenty-four hour resident group care service for the physical, mental, social, and spiritual well-being of nine or more mentally gifted, dependent, abandoned, neglected, handicapped or disturbed children, or youth offenders, including abused and exploited children (RA 7610); includes institutions whose primary purpose is education but clients of which, do not return annually to the homes of their parents or guardians in the ordinary course of events for at least two months of summary vacation.

(b) Child-placing agency — an institution or person assuming the care, custody, protection and maintenance of children for placement in any child-caring institution or home or under the care and custody of any person or persons for purpose of adoption, guardianship, or foster care. The relatives of such child or children within the sixth degree of consanguinity or affinity are excluded from this definition.

(e) Detention home — a twenty-four hour child-caring institution providing short term resident care for youth offenders who are awaiting court disposition of their cases or transfer to other agencies or jurisdiction.

(d) Shelter-care institution — a facility that provides temporary protection and care to children requiring emergency reception as a result of fortuitous events, abandonment by parents, dangerous conditions of neglect or cruelty in the home, being without adult care because of crisis in the family, or a court order holding them as material witnesses.

(e) Receiving homes — family-type homes that provide temporary shelter from ten to twenty days for children who shall, during this period, be under observation and study for eventual placement by the DSWD. The number of children in the receiving home shall not at any time exceed nine, provided that not more than two of them shall be under three years of age.

(t) Nursery — a child-caring institution that provides care for six or more children below six years of age for a part of, or a day, except those duly licensed to offer primarily medical or educational services.

(g) Maternity home — an institution or place of residence whose primary function is to give shelter and care to pregnant women and their infants before, during, and after delivery.

(h) Rehabilitation center — an institution that receives and rehabilitates youth offenders or other disturbed children.

(i) Reception and study center — an institution that receives children with behavioral problems for study, diagnosis, and temporary treatment for the purpose of determining the appropriate care for them or recommending their permanent treatment or rehabilitation in other child welfare agencies. STDEcA

2) SWD agencies providing residential care, operating a facility providing care and shelter during part of a day, other than those cited in item (a) of this section.

3) SWD agencies implementing community-based and street-based services using social work methods, i.e. casework, group work and community organizations.

A SWD agency that is required to be licensed but continues to operate without such shall be dealt with in accordance with existing laws, rules and regulations.

SECTION 13. Exemption from Licensing. — SWD agencies mandated to render social work programs and services are exempted from the license requirement of DSWD, which shall include, but not limited, to the following:

1) Social Welfare and Development/Social Service Office of Local Government Units (LGUs).

2) Residential centers and institutions, and other social service facilities run by DSWD and LGUs.

3) Social service units or departments of courts, hospitals, and medical centers.

SECTION 14. Application for License. — A registered SWD agency that is required to be licensed shall apply for License to Operate as a social work agency by accomplishing the required form. This shall be submitted to the Standards Bureau or to the DSWD Field Office (FO), as the case may be, together with the requirements as provided for in Section 15 of these Guidelines.

SECTION 15. General Requirements for Licensing. — The documents required from all agencies applying for license are the following:

1) Accomplished application form for license and checklist of requirements

2) Certification of agency's judicial personality

(a) For a sole proprietorship — Taxpayer Identification Number (TIN) (BIR Form 1925) and Certified true copy of DTI Certificate of Business Name Registration.

(b) For a corporation or partnership — Certified true copy of Certificate of Registration from SEC, Articles of Incorporation or Partnership and Constitution and By-Laws.

(c) For a cooperative — certificate of registration with the Cooperative Development Authority (CDA).

3) Certification of employment of an appropriate number of Registered Social Worker/s (RSW) according to the following:

(a) If implementing residential care service, or operating a facility providing care and shelter during part of a day, at least on full-time RSW for each facility.

(b) If implementing a community-based or street-based program/service, at least one full-time RSW for a specified and agreed geographical (whether by region, province, city, municipality, district, or barangay) or program coverage. However, in case of community organization or community development program, a worker with bachelors degree in community development may be considered. In case of a nursery, e.g., day care center, at least a part-time RSW to supervise service delivery.

4) Documents indicating the agency's source of fund to support its operation for at least two years including at least the following:

(a) Written pledge/s of financial support from donors/benefactors

(b) Work and financial plan for two consecutive years of operation

5) Written report on the agency's operation for at least the latest year prior to application for license.

SECTION 16. Specific Requirements for Licensing. — The following documents shall be required from agencies under specific circumstances:

1) For an agency providing residential care, or operating a facility providing care and shelter during part of a day

(a) Certificate of Fire Safety for the current year.

(b) Certificate of Building Structural Safety or Certificate of Occupancy for the current year.

(c) Water and Sanitation Certificate for the current year.

2) For an agency implementing child placement service/s

(a) Certification from DSWD or its recognized training agency, institute, or group that the agency's RSW is trained on the specific child placement service being implemented by the agency. HIACEa

 

(b) The certificate of training of the agency's RSW should be presented for review of DSWD and specifically bear the name of the trainee, specific title of training, subjects covered and the number of hours of trainings received.

3) For SWD agency operating in more than one region.

(a) Certification from the DSWD FO or from the local government (province or city or municipality, as appropriate) social welfare and development office covering the agency's area/s of operation attesting to the fact of its operation therein.

SECTION 17. Application Fee for Licensing. — An agency applying for a license shall be charged an application fee as may be determined by the DSWD and as stipulated in a specific guideline.

SECTION 18. Assessment. — Application shall be evaluated by DSWD FO or by the SB, as the case may be, through an agency visit by an authorized personnel or intermediary of DSWD within 30 working days after DSWD's receipt of agency's application. Approval or disapproval of application shall be based on this assessment.

The DSWD shall inform the agency in writing of the result of the assessment within 15 working days after the visit, specifying recommendations, if any.

An agency that is not able to comply with the requirements shall be assisted towards licensing by the FO in the formulation of a plan of action based on the recommendations of FO or SB, as applicable. This plan shall be subject for monitoring by the FO.

Upon determination that the agency has complied with the requirements based on the plan of action, the FO shall re-assess the SWD agency for licensing or recommend its re-assessment to SB if it is covered by the latter. Six (6) months is the required maximum interval for each re-assessment. Failure by the SWD agency to comply with the standards set or any requirements by the F.O. or S.B. on the last re-assessment shall make the agency or facility eligible for closure and termination of operation to be coordinated with the local government unit by the Field Office where the facility and/or head office of the agency is located.

SECTION 19. Issuance of License to Operate. — The license to operate shall be issued to qualified agency by the concerned DSWD Office together with the written result of the assessment.

SECTION 20. Issuance of License to a Social Work Agency Operating in more than One Region. — Only one license to operate shall be issued to a social work agency regardless of the coverage of its operation or the number of facilities it operates, provided that location/s of its operation and facilities is/are explicitly indicated in the license under the area/s of operation. Provided further that all facilities comply with the requirements.

SECTION 21. Validity of License. — A license shall be valid for the entire duration of the agency's operation, at the area or areas specified in the license, unless suspended or revoked for cause.

TITLE IV

Accreditation of Social Welfare and Development Programs and Services

SECTION 22. Coverage and Applicability. — Social welfare and development programs and services implemented by the following are required to be accredited by DSWD:

1) DSWD

2) LGUs and national government agencies (NGAs)

3) Licensed social work agencies

4) Social service units or departments of hospitals, courts and medical centers.

Accreditation of SWD programs and services shall be the function of the Standards Bureau except for Day Care Service (DCS) and other SWD programs and services accreditation of which is decentralized to the FO. Decentralized accreditation of SWD programs and services and accreditation of service providers shall be dealt with according to specific guidelines.

SECTION 23. Notification on Accreditation. — The SB shall notify in writing the SWD agency on the need for the accreditation of its SWD programs and services simultaneously with the issuance of its certificate of license.

The notification shall include the following:

1) That the agency is required to apply for accreditation of its SWD programs and services within one year from date of issuance of license; or in case of agencies exempted from licensing, within three (3) months from date of such notification.

2) The purpose of accreditation;

3) The benefits of being accredited and the effects of non-accreditation;

4) Rendering of technical assistance (TA) by DSWD as necessary or as requested

5) Application form for accreditation and checklist of required documents to be accomplished and sent to the appropriate DSWD Office within prescribed period; SITCcE

The SB shall notify DSWD-run agencies or facilities for accreditation. However, the FO managing these agencies/facilities may request for accreditation prior to notification considering their readiness.

SECTION 24. Application for Accreditation. — The accomplished form and checklist of requirements shall be submitted by the agency to the SB within one year from date of issuance of registration and/or license, together with the agency's Annual Report. In the case of agencies exempt from licensing, application for accreditation and submission of checklist shall be made within 3 months from date of notification by the SB.

The application shall be acknowledged in writing by SB within 5 working days. Proposed schedule of visit and assessment by DSWD personnel shall be specified in the acknowledgment letter, requiring the agency to have the documents cited in Sections 15 to 16 of these Guidelines, as applicable and the following requirements ready during the visit:

1) Government

(a) Manual of Operation

(b) For agency implementing residential care service, list and profile of clients currently served and required safety certification from appropriate government agencies.

(c) List and profile of agency personnel/employees

(d) Work and financial plan

(e) Last year's accomplishment report.

2) Non-government

(a) Manual of Operation

(b) Audited Financial Report for the last full year of implementation

(c) For agency implementing residential care service, list and profile of clients currently served and required safety certificate from appropriate government agencies.

(d) List and profile of members of the governing board or its equivalent body for corporations

(e) List and profile of agency personnel/proprietor/partners

(f) Work and financial plan

(g) Last year's accomplishment report.

SB shall seek the agency's confirmation of proposed schedule of visit.

SECTION 25. Assessment. — Assessment for accreditation shall be conducted by the SB, or qualified intermediary as authorized by DSWD, within the specified dates as confirmed by the agency. The authorized SB personnel or intermediary shall use prescribed methodology, standards, and instruments for the assessment of specific SWD program or service per applicable guidelines issued by DSWD. The agency shall be informed of the result of the assessment within 15 working days from the last day of visit, specifying recommendations, if any.

An agency that is not able to comply with the standards for accreditation shall be assisted by the SB in the formulation of a plan of action based on the recommendations towards accreditation. This plan shall be monitored by the FO.

Upon determination that the agency has complied with the requirements based on the plan of action, the FO shall recommend for the re-assessment of the SWD agency for accreditation.

SECTION 26. Issuance of Certificate of Accreditation. — The Certificate of Accreditation shall be issued to a social work agency through the FO that meets the standards prescribed for the implementation or management of a SWD program or service for which it was assessed. The certificate shall be sent to the agency together with the result of assessment.

SECTION 27. Validity Period of Accreditation. — An accreditation certificate is valid from three to five years from date of issuance based on the rating that the agency garnered in the accreditation process, unless the agency's license is revoked or the implementation of its accredited program or service has ceased before its expiration.

SECTION 28. Renewal of Accreditation. — The agency is required to apply for renewal of accreditation at least 30 days before date of expiration indicated in the certificate. Application for renewal shall be submitted to SB. The procedure for the renewal of accreditation shall be according to the provisions under Sections 23, 24, and 25 of these Guidelines.

SECTION 29. Notification for Renewal of Accreditation. — A social work agency shall be duly notified by the SB or FO if and when it fails to apply for renewal of its accreditation within 30 days after the certificate's expiration. A visit may be conducted by the SB or FO to verify agency's failure to apply for renewal of accreditation.

SECTION 30. Benefits and Incentives. — SWD agencies with DSWD-accredited programs and services are entitled to benefits and incentives including, but not limited to participation in training programs, accessing to fund sources or donors, and others as may be determined by the DSWD in accordance with appropriate policies and guidelines. HcSDIE

TITLE V

Handling of Complaints and Information on Social Welfare and Development Agencies

SECTION 31. Coverage and Applicability. — These Guidelines shall apply to registered, licensed and accredited SWD agencies, including those exempt from licensing.

SECTION 32. Information Against Social Work Agency. — Information on a social work agency may come in any of the following forms:

1) Report of an authorized personnel or office of DSWD as a result of assessment for registration, licensing, or accreditation, or of monitoring of standards compliance or program/project implementation;

2) Verbal information by a person or persons, group, or organization;

3) Unsigned letters, documents, or reports;

4) Printed materials or written articles in newspaper, magazine, editorial and the like;

5) Information sent or received through broadcast (e.g, TV; radio) and electronic media.

In case of verbal and unsigned information, the concerned DSWD FO shall conduct a validation of alleged violations or actions of the agency being reported. If and when this is not possible, these shall have to be documented by the receiving personnel or office of the DSWD. Documented information and printed materials shall be dealt with according to the process provided in Section 36 of these Guidelines.

 

SECTION 33. Who May File a Complaint. — A complaint may be filed by the following:

1) Offended party;

2) Parent or legal guardian of a client;

3) Ascendant or collateral relative of the client (e.g. child) within the third degree of affinity or consanguinity;

4) Duly authorized officer or social worker of the DSWD;

5) Officer, social worker or representative of a registered SWD agency;

6) Barangay Chairman; or ECaTDc

7) Person/s who has/have personal knowledge of the acts complained or reported for action.

SECTION 34. Review Committees. — The Field Office Review Committee and the Central Office Review Committee are hereby created to handle cases against registered, licensed and accredited agencies. The Field Office Review Committee shall handle cases at initiatory stage while the Central Office Review Committee shall exercise jurisdiction over cases forwarded to it by the Office of the Secretary.

1) Central Office Review Committee

(a) Chairperson — Director, Standards Bureau

(b) Co-Chairperson — Director, Legal Service

(c) Members — Personnel authorized by the Secretary coming from DSWD, Policy and Programs Group, General Administration and Support Services Group, Operations and Capability Building Group, and NGO Sectoral Representative/s. A special order shall be issued to this effect defining the terms of reference of the committee based on the nature of the offense committed.

2) Field Office Review Committee

(a) Chairperson — Regional Director

(b) Members — Division Chiefs of Technical Assistance Division (TAD), Operations Division (OD) and Management Division (MD).

(c) NGO sector representative/ABSNET representative

(d) Retainer lawyer

SECTION 35. Functions of the Review Committees. —

1) The Field Office Review Committee shall have the following functions:

(a) Conduct hearing upon receipt of findings and recommendations of the investigator/s assigned/appointed by the Field Director;

(b) Submit findings and recommendations including the resolution to the Regional Director for signature;

(c) Oversee the implementation of the adverse resolution.

2) The Central Office Review Committee shall have the following functions:

(a) Conduct hearing on cases brought on appeal that are forwarded by the Department Secretary to the Review Committee;

(b) Submit recommendations to the Department Secretary including the draft resolution of the case for signature;

(c) Recommend to the Secretary the filing of appropriate charges in court or any government agency exercising judicial or quasi-judicial functions.

SECTION 36. Procedures in Handling of Complaints/Information. —

1) Conduct of fact-finding investigation by the Field Office

 The Field Office which has jurisdiction over the SWA complained of shall conduct the fact-finding investigation.

2) Procedures in hearing complaints/information at the Field Office Level

 The following procedures shall be undertaken in handling of complaints or information:

(a) The complaint or information shall be filed with or forwarded to the concerned DSWD Field Office where the agency's principal place of business is located or where the reported act has been committed for the purpose of fact-finding investigation.

(b) The Regional Director of the FO which has jurisdiction over the case shall appoint two (2) or more investigators within a period of three (3) days upon receipt of a complaint or information for the purpose of fact-finding investigation.

(c) The appointed investigators shall assist in securing evidences, execute sworn statements, conduct interview with concerned agency officials/personnel/clients, and conduct other relevant activities that may expedite the investigation which shall be completed within 10 working days reckoned from the date of appointment.

(d) The investigator/s shall submit their report together with supporting data to the Assistant Regional Director within five (5) working days from completion of the investigation specifying their recommendation to proceed with the hearing or not. If the recommendation is to dismiss the case for lack of merit, a resolution shall be prepared within five (5) working days to be signed by the Assistant Regional Director copy furnished the complainant, complained agency and other relevant parties. In case where the fact-finding report recommends the filing of charges, the Assistant Regional Director shall sign the report and forward the same to the Regional Director for the conduct of hearing. SHTaID

(e) The Regional Director, shall immediately convene the Field Office Review Committee within three (3) days from receipt of the report.

(f) The interested parties shall be notified in writing within five (5) days after convening the Field Office Review Committee informing them that the case is subject to hearing proceedings.

(g) The Committee shall deliberate on the issues involved within a period of five (5) working days.

(h) The Field Office Review Committee shall issue a decision and furnish the interested parties of the same within ten (10) working days from the last day of the committee deliberation.

(i) If the decision is favorable, the Regional Director shall immediately dismiss the case. In case the decision is adverse to the agency, the Regional Director shall appoint the Standards Unit to closely monitor the implementation of the order. If an appeal is filed within a period of fifteen (15) days from receipt by the agency of the adverse decision, the implementation of the order shall be held in abeyance.

(j) The agency may file an appeal directly with the Office of the Secretary within 15 days upon receipt of the decision from the Field Office Director.

3) Procedures in the Conduct of Hearing at the Central Office Review Committee (CRC)

(a) Only cases brought on appeal and forwarded to the committee by the Office of the Secretary shall be the subject of review by the Central Office Review Committee.

(b) The chairperson shall immediately set the date of the meeting of the members to discuss and deliberate the merits of the case which will not exceed ten (10) working days from the date of receipt.

(c) After deliberation of the issues involved in the case, the Committee shall immediately submit a comprehensive report to the Secretary including specific recommendations within a period of ten (10) days from the last day of the committee deliberation including the draft decision for the signature of the Secretary.

(d) Once the resolution is signed by the Department Secretary, the Committee shall furnish a copy to the social work agency within a period of five (5) days from receipt of the signed decision and oversee the implementation of the adverse decision in close coordination with the Field Office which has jurisdiction over the social work agency.

SECTION 37. Procedures in Handling Child Abuse Cases. —

1) Within 24 hours after the Department or any of its officers receive any report or discovers child abuse committed by the agency's personnel or perpetrated within the premises of the social work agency, the Field Office Director of the place where the alleged crime has been committed, shall be informed of the case and immediately take protective custody of the alleged victim/s.

2) The Regional Director shall assign a particular social worker to counsel the child in coordination with a lawyer relative to the immediate filing of the case.

3) If the child abuse case qualifies as a ground to suspend or revoke the license of the agency, the procedure in handling complaints as heretofore mentioned in Sec. 36 shall also apply.

4) The procedure on closure of establishment and forfeiture of property shall be based on existing procedures provided for under specific laws, rules and regulations as may be determined.

SECTION 38. Procedures in Handling Erring Government/Agency Personnel. —

Employees shall be dealt with in accordance with existing rules and regulations of the Civil Service Commission and Professional Regulation Commission and criminal procedures whenever applicable.

SECTION 39. Disclosure of Information to the Public. —

All records pertaining to the case against a social work agency shall be handled with strict confidentiality. No information relating thereto shall be disclosed unless the matter has been resolved with finality by the DSWD Secretary or Field Director, in which case status/results may then be made available to the public.

TITLE VI

Suspension and Revocation of License

SECTION 40. Coverage and Applicability. — These Guidelines shall apply to all licensed social work agencies. aETASc

SECTION 41. Grounds for Suspension or Revocation of License. — The license of a social work agency may be suspended or revoked based on the following grounds:

1) Grounds under P.D. 603

(a) That the agency is being used for immoral purposes;

(b) That said agency is insolvent or is not in a financial position to support and maintain the children therein or perform the functions for which it was granted license;

(c) That the children therein are being neglected or are under-nourished;

(d) That the place is so unsanitary so as to make it unfit for children;

(e) That said agency is located in a place or community where children should not be, or is physically dangerous to children or would unduly expose children to crime, vice, immorality, corruption or severe cruelty.

2) Other similar grounds

(a) Mismanagement of funds;

(b) Poor sanitation of facilities and surroundings rendering these unfit for clientele;

(c) Violation of the agency's Constitution and By-laws

(d) Inability of the agency to take appropriate action on a personnel of the agency who committed a crime involving moral turpitude in connection with his/her functions.

(e) When upon determination by DSWD Review Committee, pending investigation, suspension is warranted to prevent further harm to its clients and to the public.

(f) Insolvency or agency is not in a financial position to support and maintain its clientele or to perform the functions for which it was granted license;

(g) Ceased to operate as a social work agency;

(h) Using the agency for immoral purposes, such as using it as a front for child trafficking or child prostitution and other similar acts;

(i) Commission of any act showing its unworthiness and incompetence to continue acting as a social work agency;

(j) Falsification of the requirements for registration of social work agencies as enumerated under Sec. 23 of R.A. No. 4373;

(k) Exploitation, abuse, or neglect of its clients/s;

(l) Inability of the agency to take appropriate action on a personnel of the agency who committed a crime constituting moral turpitude;

(m) Revocation of SEC registration;

SECTION 42. Schedule of Penalties. —

 

SECTION 43. Reprimand. — Reprimand is a penalty imposed on a social work agency that has committed a violation for the first time. It has an effect of forewarning the respondent agency that a second violation shall merit the penalty of suspension. A commission of a third offense regardless of its nature shall merit the penalty of revocation of license to operate. The order of reprimand shall be in letter form signed by the members of the review committee which will include a plan of action. DIcTEC

SECTION 44. Issuance of Suspension or Revocation Order. — The suspension or revocation order shall be issued by the Department Secretary, or his/her duly authorized representative in all appealed cases while those cases decided at the initiatory stage shall be the responsibility of the Field Office Director. If the license is revoked, closure of the establishment and forfeiture of properties shall be dealt with in accordance with pertinent laws, rules and regulations

SECTION 45. Supervision of Agency with Suspended License. — During the suspension period, the social work agency shall be under the supervision of the FO where the suspension order is to be implemented based on a plan of action, including a memorandum of agreement on areas of administration. The plan of action shall be formulated by the DSWD Office that issued the suspension order and the concerned agency considering the needs of clients and giving remedy or action on cause of suspension of license. Activities as provided for in Section 46 (5) are necessary.

In the case of an agency operating in two or more regions, the SB shall consult concerned FOs in the formulation of the plan primarily considering the situation of clients, DSWD and agency resources, and prevailing local or regional situation. Each program or geographical coverage of the agency's operation shall be referred to the appropriate FO for supervision. The supervising FO shall provide written monthly feedback to the SB regarding the accomplishment of the plan of action during the suspension period.

SECTION 46. Activities After the Issuance of Order for Suspension or Revocation of License. —

The following activities after the issuance of suspension or revocation order shall be undertaken by the SB or the FO, as the case may be.

1) Ensure the provision of technical assistance or resource augmentation to the agency should the need for such be assessed as the measure to resolve/settle the alleged violation/complaint or remedy the cause of suspension of license.

2) Inform SEC, funding agencies, the provincial, city, or municipal government/s covering the agency's area/s of operation particularly its social welfare and development/social service departments/units and as necessary, other agencies, on the decision of DSWD.

3) Conduct an evaluation during the last month of the suspension period on the agency's plan of action in relation to the cause of suspension. Result of evaluation shall be the basis for recommending appropriate action to take.

4) File appropriate action in court or proper agency of the government, if the need for such arises (as referred to in Section 36 of these Guidelines).

5) Monitor the implementation of decision reached and the completion of activities within 30 working days upon receipt of the revocation or suspension order, which may include:

 Actions relative to agency:

(a) Termination/suspension of operation;

(b) Termination/suspension of employees in accordance with the existing labor laws;

(c) Disposition of properties/assets in accordance with agency's by-laws;

 Actions relative to clients:

(a) Identification of SWD agency/ies with similar services for possible transfer of clients. This shall be undertaken in coordination with the concerned FO;

(b) Actual transfer of clients;

(c) Actual transfer of clients' records and case management to the identified social work agency.

 If there is no possible agency of the same programs and services in the area, the FO concerned shall take into its custody the clients, properties needed by clients, records and assume case management until such time that an appropriate agency shall have been identified or until the suspension order is lifted.

6) Submit terminal report to the Secretary on the agency's closure or on plan of action and its implementation, in the case of agency with suspended license.

7) Decisions on suspension and revocation of registration and license and cancellation of accreditation shall be reported to the Secretary including all pertinent information regarding the activities undertaken. Registration and license revoked or suspended at the regional level shall be reported by the FOs to the SB. The SB shall be responsible for consolidating the reports from the FOs including those operating nationwide.

SECTION 47. Application for a New License. — The revocation of the license of a social work agency to operate does not preclude it from applying for a license to operate. This could only be done by the agency if after thorough assessment either by the SB or FO, the agency has proven to have removed or remedied the conditions that have given rise to the revocation of its license to operate. ETISAc

The general principles provided under Section 4 and the procedures prescribed from Sections 12 to 18 of these Guidelines shall be observed when re-applying for a license to operate.

In case of an approved application for a new license, the Secretary or duly authorized representative shall issue a written notice to the offices cited in Section 46 (2) for their information.

SECTION 48. Effect of Revocation of License. — An order revoking the license of a social work agency shall automatically cause the cancellation of the agency's certificate of registration and accreditation of its program/s and service/s.

TITLE VII

Cancellation of Accreditation Certificate of Social Work Agencies

SECTION 49. Coverage Applicability. —

Cancellation of the accreditation certificate for each implemented program shall be made against any social work agency that failed to comply with the standards for such programs and services.

SECTION 50. Cancellation Procedure. — The procedures in cancellation of accreditation certificate are as follows:

1) A report shall be made after the conduct of the standards compliance monitoring and/or assessment which will contain the findings and recommendation on the level of compliance by the agency to SWD standards.

2) If the findings indicate the failure of the agency to meet certain social work standards, a plan of action shall be formulated and agreed upon by the agency and the SB indicating a specific period within which compliance is expected. After the indicated period, a re-assessment of the agency shall be conducted to determine the level of compliance.

3) After the re-assessment is made and the agency still fails to comply with the standards set for accreditation based on the plan of action, a grace period of three (3) months is given to the agency to finally comply with the requirements. Failure to do so shall cause the cancellation of its accreditation certificate.

 If it has been established, following due process and procedures, that a social work agency has committed any of the violations specified in Title VI, Section 41 of these Guidelines, its accreditation certificate shall be canceled.

4) The order of cancellation of accreditation certificate shall be issued by the Undersecretary of the Policy and Programs Group based on the recommendations made on the assessment and re-assessment of the agency's compliance to the appropriate standards.

5) The cancellation of accreditation certificate shall come in a letter-type notice signed by the Undersecretary of the Policy and Programs Group the contents thereof shall indicate that the accreditation of a particular program(s) or service(s) of the subject social welfare and development agency had already been withdrawn or canceled for failure to comply with the standards.

6) Failure to comply with the action plans after two (2) successive assessments shall be dealt with in accordance with procedures stipulated in Title V of these Guidelines.

TITLE VIII

Standards Compliance Monitoring

SECTION 51. Coverage and Applicability. — These Guidelines shall cover all registered, licensed, and/or SWD agencies with accredited programs and services including those exempt from licensing.

The following shall be subject for standards compliance monitoring (SCM):

1) On-going operation of SWD agency to assess its performance based on standards.

2) Recommendations of the FO or SB to a registered agency towards actual operation and corresponding plan of action of the agency.

3) Recommendations of FO or SB based on assessment towards licensing or accreditation of an agency and corresponding plan of action of the agency.

4) Recommendations of DSWD for an agency to remedy or remove conditions that gave rise to the penalty of reprimand and the corresponding plan of action of the agency.

5) Recommendations of DSWD for an agency to remedy or remove conditions that gave rise to the suspension of such agency's license and corresponding plan of action of the agency.

6) Plan of action made by DSWD and concerned agency/ies as a result of suspension or revocation of an agency's license.

SECTION 52. Function and Responsibilities. — SCM at the national level shall be the function of the SB and the regional monitoring shall be covered by FO. DAaIHT

The SB shall be informed by the FO on the result of its monitoring of regional operation of agencies on a quarterly basis for SB's overall assessment of the state of standards compliance, in aid of policy, standards and strategy development, and recommending for appropriate action.

For agencies under the jurisdiction of SB, the Bureau shall refer to FOs the agencies' activities and specific concerns in the agency's Annual Report or plan of action that are under the FO's jurisdiction for the latter's reference and guidance in providing technical assistance, as applicable and necessary.

SECTION 53. Method. — Prescribed tools based on appropriate guidelines shall be used by the authorized personnel through any or a combination of the following:

1) Review and assessment of records, documents, and reports;

2) Ocular survey of agency facilities and/or location/s of projects, clients or program/service implementation;

3) Interview of agency personnel, significant stakeholders and/or clients;

 Other methods may be used as deemed appropriate by the authorized personnel in agreement with the concerned SWD agency as long as the objective/s of the monitoring is/are achieved.

SECTION 54. Regular Monitoring. — The FO shall undertake regular monitoring of SWD agencies through the following:

1) Assessment of the Annual Report of the registered SWD agency and licensed and/or accredited social work agencies, including those exempt from licensing.

2) Assessment of documents as set in Section 16, (1) for licensed social work agencies that operate a facility providing care and shelter

3) Assessment of operation of accredited SWD agency after two years from date of issuance of accreditation.

SECTION 55. Progress Monitoring. — The FO shall undertake progress monitoring of SWD agencies through the following:

1) Assessment of the extent of implementation of the plan of action made by a registered agency towards actual operation

2) Assessment of extent of implementation of the plan of action based on recommendations made by FO or the SB towards licensing or accreditation of the agency

3) Assessment of extent of implementation of the plan of action based on recommendations made by FO or the SB to remedy or remove conditions that gave rise to the reprimand or suspension of such agency's license

4) Assessment of extent of implementation of the plan of action based on recommendations made by FO or the SB as a result of suspension or revocation of an agency's license.

5) Assessment of extent of implementation of plan of action based on agreements between agency and DSWD as a result of failure of agency to comply with SWD accreditation standards.

SECTION 56. Written Report. — Result of all SCM undertaken by FO shall be reported in writing to the SB Director. This shall be submitted every first week of the first month of every quarter using prescribed reporting form.

REPEALING CLAUSE:

These Guidelines shall revoke all other DSWD guidelines or issuances inconsistent herewith. aASDTE

EFFECTIVITY:

These Guidelines shall take effect immediately after the date of its issuance and publication in a newspaper of general circulation.

(SGD.) CORAZON JULIANO-SOLIMANDSWD Secretary

Published in The Manila Times on April 30, 2005.