Revised Guidelines Governing the Registration, Licensing of Social Welfare and Development (SWD) Agencies and Accreditation of SWD Programs and Services

August 29, 2018

DSWD MEMORANDUM CIRCULAR NO. 017-18

 

I. RATIONALE

The Department of Social Welfare and Development (DSWD) is mandated to set standards and provide consultative services to organizations engaged in social welfare and development activities. In line with this mandate, the DSWD through the Standards Bureau conducts registration and licensing of agencies and organizations engaged or planning to engage in social welfare and development (SWD) as well as accreditation of SWD programs and services of licensed social work agencies (SWAs) and of service providers engaged in marriage counseling, court cases, and early childhood care and development (ECCD), among others.

To guide the Standards Bureau in performing its regulatory functions, DSWD has been issuing guidelines on the regulation of social welfare and development agencies (SWDAs) through administrative orders, the latest of which is the Administrative Order (AO) No. 16 series of 2012 entitled Revised AO No. 17 series of 2008 (Rules and Regulations on the Registration and Licensing of Social Welfare and Development Agencies and Accreditation of Social Welfare and Development Programs and Services). In the last six (6) years of using this guideline, the Bureau has subjected it to several reviews and assessment resulting to suggestions and recommendations. Hence, the issuance of this revised guideline. HTcADC

II. LEGAL BASES

The DSWD draws its mandates to register, license, and accredit SWDAs from the following legal bases:

1. Section 4 of Republic Act (RA) No. 10847 of 2016 (An Act Lowering the Age Requirement for Applicants taking the Board Examination for Social Workers, Providing for Continuing Social Work Education, and Upgrading the Sundry Provisions relative to the Practice of Social Work)

2. Section 26 of Rule V of Professional Regulatory Board for Social Workers Resolution No. 03 series of 2017 (Implementing Rules and Regulations of RA No. 4373, otherwise known as an Act to Regulate the Practice of Social Work and the Operation of Social Work Agencies in the Philippines and for other Purposes, as amended by RA Nos. 5175 and 10847)

3. Article IV of Sections 24 and 25 of RA 4373 of 1965 (An Act to Regulate the Practice of Social Work and the Operation of Social Work Agencies in the Philippines and for other Purposes)

4. Section 3 of RA No. 5416 of 1968 (Social Welfare Act of 1968)

5. Articles 118 and 120 of Presidential Decree 603 (The Child and Youth Welfare Code as amended)

6. Section 3 of Chapter 1 and Sections 24, 25 and 26 of Chapter 10 Title XVI of Executive Order 292 (Administrative Code of 1987)

7. Sections 2 and 3 of Executive Order 221 Series of 2003 (Amending Executive Order No. 15 series of 1998, entitled Redirecting the Functions and Operations of the Department of Social Welfare and Development) aScITE

III. DEFINITION OF TERMS

For purposes of this guideline, the following terms are defined:

1. Social Welfare and Development Agency (SWDA) — refers to a non-stock, non-profit corporation, organization or association, implementing or intending to implement either directly or indirectly social welfare and development programs and services in the Philippines, and assessed as having the capacity to operate administratively, technically and financially. Its clients may include but not limited to the poor, disadvantaged, and vulnerable individuals, groups, families and communities.

2. Registration — refers to the process of assessing the applicant organization to determine whether its intended purpose is within the purview of SWD, where the determination of the same shall result to the inclusion of the agency in the Department's registry of SWDAs. A Certificate of Registration shall be issued after having complied with all the prescribed requirements. DETACa

3. Licensing — refers to the process of assessing the qualifications and authorizing a registered SWDA to operate as a SWA or as an Auxiliary SWDA. A License to Operate shall be issued after having complied with the set criteria and all prescribed requirements.

4. Accreditation — refers to the process of assessing a licensed SWA if their SWD programs and services are compliant to the Department's set standards. After compliance of the same, a Certificate of Accreditation shall be issued as proof of official recognition of the quality delivery of SWD programs and services.

IV. COVERAGE

This guideline covers all public and private agencies and organizations engaged or planning to engage in providing direct or indirect SWD programs and services.

V. OBJECTIVES

1. This guideline seeks to:

1.1. Guide the applicant organizations on registration, licensing and accreditation processes; and

1.2. Serve as guide of DSWD official and staff on registration, licensing and accreditation of SWDAs.

2. This guideline likewise emphasizes the objectives of Registration, Licensing and Accreditation, namely:

2.1. To regulate and enforce SWD standards to public and private organizations in the country that are engaged or planning to engage in SWD programs and services endeavors through registration, licensing, and accreditation; aDSIHc

2.2. To improve the registration, licensing and accreditation processes and the conduct of monitoring and technical assistance to SWDAs for the delivery of quality SWD programs and services;

2.3. To protect the clients against abuses, exploitations and inefficiency from organizations engaging in SWD activities;

2.4. To recognize the vital contributions of private and public SWDAs in the promotion of the welfare of the poor, disadvantaged, and vulnerable individuals, families and communities; and

2.5. To promote transparency and accountability of SWDAs to their respective donors, clients and general public.

VI. CLASSIFICATION OF SWDAS

1. Public SWDAs — those managed by the national government agencies (NGAs) or local government units (LGUs) which are exempted from registration and licensing but its SWD programs and services are required to be accredited by the DSWD. These include: ATICcS

1.1. Residential facility managed by DSWD and LGUs such as but not limited to Reception and Study Center for Children (RSCC), Regional Rehabilitation Center for Youth (RRCY), Haven for Women, Elsie Gaches Village (EGV), Sanctuary Center, and Home for the Elderly etc.

1.2. Non-residential facility managed by DSWD, NGAs and LGUs such as but not limited to Senior Citizens Center (SCC), Vocational Rehabilitation Center, and ECCD Center etc.

2. Private SWDAs — those non-stock, non-profit organizations duly established and/or recognized under the Philippine laws performing SWD activities. A private SWDA may either be:

2.1. Social Work Agency (SWA) — a private SWDA that directly engages in SWD programs and services whether Center based and/or Community based using social work interventions, whether case work, group work, or community organizing. It employs the services of a full time or part time social worker.

a. Center-based — refers to the SWD programs and services rendered in a physical structure or facility. It is classified into:

a.1. Residential — refers to provision of twenty-four (24) hour group care services under the guidance of trained staff within a structured therapeutic environment geared towards rehabilitation. ETHIDa

a.2. Non-Residential — refers to provision of programs and services of trained staff in a physical structure for group of clients for a number of hours in a day or several days but not beyond two (2) weeks.

b. Community-based — refers to the programs and services rendered in the community while they remain in their homes and/or with their families.

2.2. Auxiliary SWDA — a private SWDA which provides SWD programs and services to clients indirectly through provision of funds and/or in kind and/or capacitating staff of other SWAs through training, research, and advocacy.

VII. GENERAL POLICIES AND PROCEDURES ON REGISTRATION, LICENSING AND ACCREDITATION

1. REGISTRATION OF SWDA

1.1. Coverage and Applicability

    Any private SWDA that intends to engage in SWD activities shall apply for registration with the concerned DSWD Office within six (6) months from registration with the Security and Exchange Commission (SEC) that gives juridical personality to an agency to operate in the Philippines. TIADCc

    While those already engaged in the implementation of SWD programs and services must simultaneously apply for registration and license to operate.

1.2. Requirements

   To be registered, an applicant must show that it is legally qualified to become a SWDA. An applicant for registration as a SWDA shall submit the documentary requirements specified in Annex A of this guideline.

1.3. Process

a. All applicant organizations for registration intending to operate within one (1) region shall file their application at the concerned Field Office (FO) while those applicant organizations operating in more than one (1) region shall apply at the Standards Bureau.

b. Only application for registration with complete prescribed requirements shall officially be received by the DSWD.

c. The concerned DSWD office shall review and assess the documentary requirements submitted.

d. Upon finding that an applicant is compliant to the prescribed requirements, the DSWD shall issue a Certificate of Registration. cSEDTC

e. The qualified SWDA shall then be included in the DSWD List of Registered SWDAs.

1.4. Issuance of Certificate of Registration

    After having complied with all the prescribed requirements for registration and established that the applicant is within the purview of SWD, a Certificate of Registration shall be issued. However, the Certificate does not provide yet a legal authority to operate as SWDA. For those which would like to operate as soon as possible, they have to work and comply with the licensing prior its operation to prevent being delisted from the registry of SWDAs and/or be imposed with sanctions. Otherwise, they have one (1) year to work on their license.

1.5. Timeline for Processing

    The processing time of each application assessed with complete documents is seven (7) working days.

1.6. Fees and Charges

    All applicant organization shall pay the corresponding processing fee set by the DSWD as per DSWD Memorandum Circular No. 12 series of 2015 (Guidelines on Fees and Charges).

2. LICENSING OF SWDA

2.1. Coverage and Applicability

    All registered private SWDAs, which are not yet in operation upon registration, shall apply for a license to operate within one (1) year after issuance of Registration Certificate.

    While those already engaged in the implementation of SWD programs and services must simultaneously apply for registration and license to operate.

2.2. Requirements

    The checklist of requirements for licensing of private Auxiliary SWDA and SWA are specified in Annex B of this guideline.

2.3. Criteria

    In assessing the applicant SWDA for licensing, the following criteria shall be determined:

a. Applicant must be engaged mainly or generally in SWD activities.

b. In case of a new applicant organization applying to operate a residential facility, the applicant must establish the need for a residential facility serving a particular sector and the absence of related facility to cater them e.g., situationer. 1 SDAaTC

c. Applicant has employed a sufficient number of duly qualified staff and/or registered social worker/s to supervise and take charge of its SWD activities and/or social work interventions in accordance with the set standards.

d. Applicant must show in a duly certified financial statement that at least seventy percent (70%) of its funds are allocated or disbursed for direct social work services while thirty percent (30%) of the funds are allocated or disbursed for administrative services.

e. The SWDA must have a financial capacity to operate for at least two (2) years.

f. Applicant keeps a record of all SWD activities it implements.

2.4. Process

a. All registered SWDAs that will operate within one (1) region shall file their application at the concerned FO while those that will operate in more than one (1) region shall file their application at the Standards Bureau. AaCTcI

b. Only application for licensing with complete prescribed requirements shall officially be received by the DSWD.

c. The concerned DSWD office shall review and assess the documentary requirements submitted by a registered SWDA.

c.1. At least one (1) day validation visit shall be conducted to further assess the compliance of the SWDA to the licensing requirements and criteria. The validation visit shall be based on the agreed schedule between the DSWD and applicant SWDA.

c.2. Upon finding that the applicant has administrative, technical and financial capacity to operate and implement SWD programs and services, the DSWD shall issue the Certificate of License to Operate.

d. The qualified licensed SWDA shall then be included in the DSWD List of Registered and Licensed SWDAs.

2.5. Issuance of Certificate of License

    After having complied with all the prescribed requirements for licensing, a License to Operate shall be issued. Based on assessment, the license shall indicate whether it is a SWA or Auxiliary SWDA.

    SWD programs and services being implemented by SWAs shall be required to be accredited within the three (3) years validity period of the issued license to operate.

2.6. Validity of Certificate of License

    The Certificate of License is valid for three (3) years, unless earlier suspended or revoked.

    Grounds for suspension and revocation are in a separate Memorandum Circular issued by the Department.

2.7. Timeline for Processing

    The processing time of each application assessed with complete documents is twenty (20) working days.

2.8. Reportorial Requirements

    All licensed SWDAs shall submit an annual accomplishment report within 1st quarter of the succeeding year using the DSWD template.

    Failure to submit said report for two (2) consecutive years shall result to imposing sanctions found in a separate issued DSWD Memorandum Circular. EcTCAD

2.9. Fees and Charges

   All applicant private SWDAs shall pay the corresponding processing fee set by the DSWD as per DSWD Memorandum Circular No. 12 series of 2015 (Guidelines on Fees and Charges).

2.10. Amendment and Replacement of the Issued Certificate

    DSWD Certificate of License may subject for amendment and or replacement due to any of the following circumstances:

a. Change of Name and/or Office Address

b. Expansion of Program Implementation and/or Area/s of Coverage

c. Transfer of Areas of Operation/s

d. Loss of Certificates

2.11. Renewal of License to Operate

   The SWDA shall file its application for renewal of its license with complete requirements at least ninety (90) working days before it expires.

3. ACCREDITATION OF SWD PROGRAMS AND SERVICES

3.1. Coverage and Applicability

    SWD programs and services of Public and Private SWAs are required to be accredited. For private SWAs, accreditation shall be filed within the three (3) years validity period of the issued license.

    For public SWAs with newly established facilities, accreditation shall be filed within three (3) years upon operations of such facility. Likewise, public SWAs with existing and operational facilities shall be filed within one (1) year upon effectivity of this guideline.

   The SWD programs and services to be assessed for accreditation shall include but are not limited to (i) Center based and (ii) Community based programs and services. HSAcaE

3.2. Requirements

    The accreditation requirements as required in the checklist of documents are specified in Annex C of this guideline. Guidelines for accreditation of center based and community based SWD programs and services will be issued in a separate Memorandum Circular.

3.3. Levels of Accreditation

 There are three (3) levels of accreditation that describe the quality of delivery of SWD programs or services to wit:

a. Level 1 — Compliant to mandatory indicators which should be complied to meet the accreditation standards. This corresponds to compliance to level one (1) with accreditation certificate valid for three (3) years.

b. Level 2 — Compliant to mandatory and higher set of indicators required for its work areas this corresponds to compliance to level two (2) with accreditation certificate valid for five (5) years.

c. Level 3 — Compliant to highest set of indicators while meeting/sustaining Level 1 and 2 indicators. This corresponds to compliance to level three (3) with an accreditation certificate valid for seven (7) years.

3.4. Process

a. Pre-assessment for Accreditation

   For first-time application of accreditation, pre-assessment shall be administered by the concerned FO prior the actual accreditation assessment of the SWD programs and services of the applicant SWDA by Standards Bureau. HESIcT

   While for the renewal of accreditation, the FO's pre-assessment shall no longer be required. Instead, the applicant SWA must conduct self-assessment using the pre-assessment tool, which shall form part of the requirements for renewal.

   The existing accreditation tools shall be used as the pre-assessment tools in determining the readiness of the SWDA to meet the set standards on SWD programs and services being delivered to its clients.

b. All public and private SWAs shall file their application for accreditation of its SWD programs and services at the Standards Bureau.

c. Only application for accreditation with complete prescribed requirements shall be officially received by the DSWD.

d. The concerned Standards Bureau shall review and assess the documentary requirements submitted by applicant SWA.

d.1. Accreditation assessment visit shall be conducted to applicants found with submitted complete requirements. The assessment visit shall base on agreed schedule between the DSWD and applicant SWDA.

d.2. Upon finding that the applicant meets the set standards, the DSWD shall issue the Certificate of Accreditation.

e. The qualified SWA shall be included in the list of SWDAs with accredited SWD programs and services.

3.5. Issuance of Certificate of Accreditation

    After having complied with the prescribed requirements and standards for accreditation of SWD programs and services, a Certificate of Accreditation shall be issued.

3.6. Validity of Certificate of Accreditation

    The Certificate of Accreditation is valid for three (3) to seven (7) years depending on the compliance to the level of accreditation, unless earlier suspended or revoked. caITAC

3.7. Timeline for Processing

    The processing time of each application assessed with complete documents is twenty (20) working days.

3.8. Fees and Charges

    All applicant private SWDAs shall pay the corresponding processing fees set by the DSWD as per DSWD Memorandum Circular No. 12 series of 2015 Guidelines on Fees and Charges.

3.9. Renewal of Accreditation

    The SWA shall file its application for renewal of its accreditation with complete requirements at least ninety (90) working days before it expires.

VIII. BENEFITS AND INCENTIVES OF LICENSED AND/OR ACCREDITED SWDAs

1. Licensed SWDA — a licensed SWDA shall be entitled with the following benefits and incentives:

1.1. Eligible to become member of Area Based Standards Network (ABSNET).

1.2. Participation in DSWD's capability building and skills enhancement.

1.3. Endorsement for duty free entry of foreign donations subject to compliance with requirements for the availment of foreign donations.

1.4. Other benefits, incentives and recognitions may be provided as deemed appropriate by the Department.

2. Public SWDA and Private SWA with Accredited SWD Programs and Services — In addition to the benefits and incentives of a licensed SWDA, an accredited public SWDA and private SWA shall be entitled to the following:

2.1. Financial subsidy or resource augmentation for program implementation subject to availability of funds and compliance with the other DSWD guidelines and requirement. ICHDca

2.2. Recommendation for at least 50% discount on service utilities subject to compliance with the DSWD and utility service providers (for residential and non-residential private SWAs catering to senior citizens).

2.3. Letter/Plaque of recognition.

2.4. Additional benefits for accredited Level 2 or 3.

a. Nomination for travel local and abroad to participate in relevant training/conferences as part of the Philippine delegation, if any.

b. Grant of cash incentive depending on availability of funds. The cash incentives shall be used to augment the SWDA's program expenses and funds shall be charged against the DSWD SB's budget.

b.1. The amount of cash incentives shall not be lower than thirty thousand pesos (Php30,000.00) for Level 2.

b.2. Minimum of fifty thousand pesos (Php50,000.00) for Level 3.

c. Recommended for trainings and research e.g., Lakbay Aral (for Level 3).

IX. HANDLING OF COMPLAINTS

Complaints filed by any person/persons on alleged violation/s by any registered and licensed SWDA shall be submitted to concerned DSWD FO for due process based on existing guidelines.

X. PENALTIES FOR SWDA THAT OPERATES WITHOUT DSWD LICENSE

Based on reports received by DSWD on SWDAs that operate without license, necessary technical assistance shall be provided.

Organizations without license for the last twelve (12) months are required to apply for registration and license. If after three (3) months of sending notification and/or provision of technical assistance by the concerned DSWD Office, yet the unlicensed organizations continue to operate and failed or refused to apply for registration and license, such cases shall be referred to the DSWD Legal Service for appropriate action. TCAScE

SWDAs with expired Certificate of License for the last (6) months shall be notified by the concerned DSWD Office to apply for renewal of license. Three (3) months grace period shall be given to SWDA to comply with the prescribed requirements and criteria for licensing. If the SWDA still fails or refuses to apply and/or comply with the licensing requirements despite the said grace period, the concerned DSWD Office shall refer this matter to Legal Service for appropriate action.

XI. OTHER ACTIVITIES ON REGULATORY SERVICES

1. Monitoring

The conduct of announced and spot monitoring activities to SWDAs with valid Certificate of Registration, License to Operate and Certificate of Accreditation, to ensure compliance of set standards and requirements along the implementation of SWD programs and services. An existing related guidelines along monitoring shall serve as reference for implementation.

2. Provision of Technical Assistance

SB or FO shall provide appropriate technical assistance to SWDAs and other organizations planning to or are currently engaged in SWD activities, as applicable, to enable them to comply and/or sustain their registration, license and/or accreditation pursuant to set standards.

3. Operation Manual on Registration, Licensing and Accreditation

This guideline shall be accompanied with an Operation Manual to be used by the concerned DSWD officials and staff. The Operation Manual describes in detail the processes and systems as well as appropriate forms on registration, licensing and accreditation of SWDAs.

As delegated by the Secretary, the Cluster Head of the Policy and Plans Group (PPG) shall have the authority to instruct SB to revise the Operation Manual including its forms, if found necessary, as well as issuance of clarificatory memorandum to address emerging issues in the implementation of specific provision/s of this guideline. cTDaEH

XII. PROTECTION OF THE DSWD OFFICER AND STAFF

In the regular performance of this function, the DSWD official and staff shall be free from any administrative, civil or criminal liability.

The DSWD shall provide legal assistance and protection to all duly authorized official and staff who will encounter a legal charge in implementing and enforcing this guideline who have acted in accordance with their duties and functions.

XIII. TRANSITORY POLICY

Valid certificate of registration and license to operate issued to SWDAs per DSWD AO 16 s. 2012 shall be valid until the expiration date as indicated in the DSWD issued certificate and shall continue to be recorded in the registry of SWDAs. However, SWDAs shall apply for renewal of its certificate at least ninety (90) working days before it expires.

For unregistered/unlicensed organizations that intends to operate and/or engaged in SWD activities shall apply for DSWD registration within one (1) year upon effectivity of this guideline. Provided further, that the organization has a valid juridical personality.

The Department shall observe a six-month advocacy period prior the full implementation of this guideline and its corresponding Operation Manual.

XIV. COMPLIANCE TO RA No. 11032

In the revision of this guideline, pertinent provisions of RA 11032 (Ease of Doing Business and Efficient Government Service Delivery Act of 2018) were considered resulting to less documentary requirements and reduced processing period in the registration, licensing and accreditation of SWDAs.

XV. REPEALING CLAUSE

This Guideline shall revoke the DSWD Administrative Order No. 16 series of 2012 and all other DSWD guidelines or issuances inconsistent herewith.

XVI. EFFECTIVITY

This Guideline shall take effect fifteen (15) days after its publication in the official DSWD website.

Issued this 29th day of August, 2018.

(SGD.) VIRGINIA N. OROGOActing Secretary

Annexes

1. Annex A. Documentary Requirements for Registration of SWDAs

2. Annex B. Documentary Requirements for Licensing of Auxiliary SWDA and Social Work Agency

3. Annex C. Documentary Requirements for Accreditation of SWD Programs and Services of both Public and Private SWDAs

4. Annex D. List of Application Forms and Supporting Document Templates for the Applicant Organizations

ANNEX A

Documentary Requirements for Registration of SWDAs

1. Duly Accomplished Application Form

2. Updated Copy of Certificate of Registration and latest Articles of Incorporation and by-laws indicating that the organization's primary purpose is within the purview of social welfare and development issued by SEC that gives a juridical personality to a non-stock non-profit organization to operate in the Philippines

3. Copy of any of the following:

3.1. Handbook or Manual Operations of its programs policies and procedures to attain its purposes

3.2. Brochure

3.3. Duly signed Work and Financial Plan for at least two (2) Years by the Head of Agency

ANNEX B

Documentary Requirements for Licensing of Auxiliary SWDA and Social Work Agency

I. FOR APPLICANTS INTENDING TO OPERATE

 

II. FOR APPLICANT ALREADY IMPLEMENTING PRIOR ITS APPLICATION

 

ANNEX C

Documentary Requirements for Accreditation of SWD Programs and Services of Both Public and Private SWAs

 

ANNEX D

List of Application Forms and Supporting Document Templates for the Applicant Organizations

The following are the list of templates to be used by the SWDAs relative to its registration, licensing and accreditation (RLA) to DSWD, which shall be part of the RLA Manual: cSaATC

1. Application Form for Registration of Private SWDAs

2. Application Form for Licensing of Private Auxiliary SWDA and SWA

3. Application Form for Accreditation of SWD Programs and Services

4. Profile of Board of Trustees and Employees

5. Work and Financial Plan

6. Manual of Operation

7. Accomplishment Report

8. List of Main & Satellite Office

 

Footnotes

1. DSWD Memorandum Circular No. 22 series of 2004 (Policy Paper on De-Institutionalization of Children).