Development “In Perspective” December 2006 01 The Individual as an Agent of Change: The Empowerment Process FRIDE has started the project Promoting empowerment in Development “In Perspective” post-conflict scenarios with the establishment of an analytical FRIDE’s publication Development “In framework that constitutes the base of the consecutive stages Perspective” will provide in-depth infor- of the project.To this end, a series of short documents has been mation on current issues related to published in order to clarify concepts, define instruments and development. It aims at encouraging analyse measures, with the objective of understanding post- debate and providing analysis of the implications for development cooperation policies. conflict situations, through a particular approach, the empowerment processes. Subsequently, FRIDE will analyse the extent to which empowerment can be an efficient tool for conflict prevention and peace-building. Even though each separate document provides an independent analysis, the whole About FRIDE series presents a broader picture. The ultimate goal of this FRIDE is an independent think-tank project is to spark the recurrent debate over the need to based in Madrid, focused on issues conceive the concept of development from a standpoint other related to democracy and human rights; than the traditional one. peace and security; and humanitarian action and development. FRIDE attempts to influence policy-making and inform public opinion, through its research in these areas. Paula San Pedro 2 Despite the rise of empowerment during the last decade as one of the main paradigms for development, poverty reduction, conflict prevention, and peacebuilding, the term is still an ambiguous concept due, primarily, to a lack of a common and universal definition. The concept of empowerment is understood in many ways depending on the socio-cultural and political context. A search for local words associated to the concept yields a varied and complex range of definitions and nuances.1 International organisations control in order to make decisions and meet his or her own objectives4. According to this interpretation, empowerment may be the means to an end (such as reducing poverty or preventing conflicts) or it can be considered an end in and of itself (an individual or group that empowers itself). The focus of this interpretation considers that the process begins with the individual and only through the latter’s own understanding of reality does he or she succeed in changing the structures of power. and donor agencies interpret the concept differently depending on their intervention policies and areas of A detailed analysis of the above definition is required action. To resolve this, FRIDE proposes the following in order to understand empowerment since the conceptual analysis of empowerment focusing on definition includes many elemental concepts: marginalised and vulnerable collectives.2 1) Transformation Process. Empowerment implies a continuous, upward evolution in which the individual moves from one stage to another, becoming aware Individual Empowerment and taking control over his or her decisions and, in so doing, transforming his or her own role within society. This process can be conceived as a cycle of reflection and action which feeds empowerment and Empowerment is valuable in and of itself, although it vice versa. also holds value as an instrument. It is relevant both at the individual and social levels and it can occur across various dimensions - economic, political, socio-cultural, personal, psychological, and organisational.3 Additionally, the term can be used to describe Empowerment’s Transformation Process relationships between individuals, between collectives, and between the latter and institutions. Due to the lack of a single and standardized definition, we have opted for our own, defining it as broadly and inclusively as possible using many of the concepts REFLECTION + ACTION EMPOWERMENT already used in previous and varied definitions. In addition, this definition is flexible enough to adapt to the different contexts in which it can be applied. As such, empowerment is understood as a transformation process by which the individual gains power and 1 Among these are: control, power, trust, choice, dignity, ability, independence, and liberty, amongst others. 2 For more information on vulnerable groups see ‘Post-conflict as seen by the victims’, FRIDE Development “In Perspective”, 2006. 3 Another interesting classification on empowerment is the one done by Jo Rowlands in ‘Questioning Empowerment’, Oxfam Publication, 1997. Development “In Perspective” 01 4 To consult other relevant definitions see John Friedman, The Politics of Alternative Development, Blackwell, 1992; Naila Kabeer, ‘Reflections on the Measurement of Women’s Empowerment’, in Discussing Women’s Empowerment-Theory and Practice, Sida Studies No. 3, SIDA, 2001. 3 2) Power.5 Understanding what empowerment means, progressive learning process in which the individual inevitably means understanding what power is. A ascends from one state to another, increasing the range study of this concept within the development context reveals four types of power.6 Each one of of possibilities available. Inevitably, this personal these is related to empowerment differently but all structures and the elimination of negative social are fundamental to the process. With respect to constructs. development implies a break with the existing power ‘power over’, empowerment implies incorporating the people removed from the decision-making Nonetheless, the decision-making capacity is only system. This places special emphasis on the possible if certain elements which make up individuals’ ability to participate in all spheres of empowerment are available: their lives. In terms of ‘power to’ and ‘power with’, empowerment refers to the moment in which the 1) Resources. These are the individual’s human and individual becomes aware of his or her own social material conditions. Economic resources interests, how these relate to others’, and how the range from the most conventional assets (such as union of all of these interests can achieve greater land, financing, technology, among others) to other influence over decision-making. ‘Internal power’ less tangible, yet equally important, capital goes as (economic security, politics). Human resources are participation since it also adds self-esteem to the moulded individually and include values such as equation. With self-esteem, the individual gains the knowledge, trust in oneself, self-esteem, and confidence to make decisions. creativity. Social resources (such as organisational beyond empowerment interpreted ability, expectations, and demands) allow for the With this interpretation, empowerment contributes to improvement of the individual’s situation and his the conformity of self-sufficient individuals who know or her opportunities beyond what can be achieved how to manage their own development, how to through individual effort alone. These resources participate in the decision-making process in are distributed along the different existing coordination with different levels of government (local, institutions8 in a given society. As such, access to regional, and national levels), and with the capacity to them is determined by the regulations and demand inclusive policies.To summarise, empowerment procedures currently in place within those is the individual’s capacity7 to choose an option from institutions, including both informal structures among various alternatives, whilst being aware of the (such as family) and formal structures (the existing options. As such, it is conceived as a government).This distribution of resources implies that the heads of family, tribal leaders, company 5 For more information see Ruth Alsop (ed), ‘Power, rights and poverty; concepts and connections’, World Bank and DFID, 2004. 6 ‘Power over’ represents a ‘no win’ game in which one’s increase in power implies another’s loss of power. This focus implies a dynamic of oppression which characterises the decision-making process and the way influence is exerted. ‘Power to’ is the power some have to stimulate the activity of others and raise their spirits. It is a generating power which opens possibilities and actions without domination, that is, without using ‘power over’.This type of power is related to ‘power with’ insofar as it allows for power to be shared. It becomes manifest when a group generates a collective situation for a common problem, allowing everyone to express themselves in the construction of the group agenda that is also assumed individually. Another type of positive and cumulative power is ‘power from within’ or ‘internal power’. It is based on the creation of trust in oneself and is related to self-esteem. It becomes manifest in the ability to resist others’ power when rejecting undesirable demands. 7 Capacity refers to the knowledge, abilities, and attitudes that each individual possesses and is able to use for his or her own personal benefit as well as for collective benefit. leaders or an elite class within a community are endowed with greater decision-making power and, as a result, have more resources available. Access to these resources can be obtained in various ways, such as clientelism, exploitation, or effort. In terms of empowerment, it is as important to analyse if an individual or group has resources or not as well as under what conditions they have access to them, 8 Institutions are the rules, regulations, and behavioral models and they may or may not be expressed as an organisation. This implies that there are formal institutions (such as state laws and norms governing the private sector) and informal institutions (such as networks, neighborhood associations, and informal restrictions for excluded groups). The Individual as an Agent of Change: The Empowerment Process December 2006 4 that is, the form of power used to access those norms) that do not approve of these measures. This resources. contextual structure needs to be taken into account to measure and assess the individual’s capacity for 2) Agency. This concept is understood as an individual empowerment. or group’s ability to define its objectives and act based on these. The notion of agency is not limited 4) Results.The union between resources and agency in exclusively to the act of making a decision; but a specific contextual structure is the individual’s rather, it includes a previous phase implying potential to live the life he or she wishes. Its motivation and the objective for carrying out that consecution will be the result. This result is not activity. As indicated above, this implies that there is always positive for the individual, that is, he or she a phase dedicated to reflection and analysis prior to will not always achieve what is desired. taking the action itself. In terms of empowerment, it Nevertheless, the process of empowerment will be is absolutely necessary to analyse the entire effective. On the other hand, the individual may process, from reflection to decision making. In achieve his or her objectives without undergoing a terms of the concept of ‘power’, agency has a process of empowerment.These types of actions are positive and a negative dimension. In positive terms, very common when an individual achieves his or her agency can be seen as the power to choose the goals by means of bribery, humiliation, or alternative that best meets the individual or group’s clientelism. objectives even if this implies opposition to others. In negative terms, agency can be an individual or Empowerment strategies are very diverse and their group’s capacity to use its power to exceed the success depends on the concrete circumstances of agency of other individuals by means of coercive where the action takes place and on individual measures or threats. A third alternative that must conditions. Despite this specificity, experience has be taken into account is that power is exercised shown that there are a series of recurring factors that without any explicit agency. This can be seen, for promote empowerment regardless of the situation: example, in actions which respond to social norms or customs which have never been questioned and 1) Access to Information. Information is power. An do not imply any prior reflection before making the open and transparent society with freedom of decision.9 expression and a free and independent media allows society to know more about the public sphere 3) Contextual Structure. The capacity to make (politics, society) and the private sphere decisions depends on the presence and functioning (companies, NGOs). It is, then, a basic tool for of the formal and informal institutions. These individuals to demand their rights, to be able to include laws, regulatory frameworks, and social negotiate, to take advantage of opportunities, and, norms which govern an individual’s behaviour, especially, to demand accountability. determine access to resources, and how these are used to achieve the desired results. For example, an 2) Social Inclusion10 and Participation. Active social formal organisation is a key tool to pressure, facilitate institutions (such as laws and decrees) that promote change, and make decisions. Facilitating inclusion the empowerment of citizens may conflict directly and participation requires creating spaces for with traditional informal institutions (such as social debate in which to deliberate before taking a given 9 A significant example are the norms regulating marriage in numerous parts of the world, such as in southern Asia, which grant parents the power to choose their child’s partner without this authority being questioned. 10 Social inclusion is the elimination of institutional obstacles and the creation of incentives that increase the population’s access to opportunities to develop their capacities and assets (economic, political, and cultural). active government that establishes Development “In Perspective” 01 5 action. Managing participation to achieve a certain consensus is not always easy, which is why conflict resolution mechanisms are often needed. 3) Local Organisational Ability. The formal and informal mechanisms developed by a community Individual and Collective Empowerment11 allow the individuals to work together and mobilise resources to resolve their problems. Thanks to this The process of individual empowerment advances as organisation, the individual also feels represented the individual becomes aware of his or her possibilities, and socially supported, thereby reinforcing his or increases his or her decision-making capacity, and her self-esteem and abilities. gains self-confidence. This empowerment has a reciprocal relationship with social activity. In this 4) Open and Transparent Institutions. Formal and sense, a self-confident individual with high self-esteem informal institutions with these characteristics and developed capacities can contribute more actively allow, among other things, for the correct to collective action. By the same token, collective functioning of accountability systems and the flow action allows individuals to have greater access to of information; they promote the equitable services and promotes a greater diffusion of distribution of resources; and they establish knowledge, adequate mechanisms to strengthen civil society’s empowerment. organisational capacity. organisations, individuals can express their preferences thereby By increasing actively individual participating in more easily, and demand accountability from the government and private sector. Empowerment, then, develops individual capacities but also challenges the preceding silence within the community and succeeds in amplifying the collective voice. Empowerment Framework FACTORS THAT PROMOTE EMPOWERMENT ELEMENTS THAT MAKE UP EMPOWERMENT ACCESS TO INFORMATION LOCAL ORGANISATIONAL CAPACITY RESOURCES AGENCY RESULTS INCLUSION AND PARTICIPATION TRANSPARENT INSTITUTIONS 11 See Peter Evans, ‘Collective Capabilities, Culture and Amartya Sen’s Development as Freedom’, Studies in Comparative International Development 37 (2): 54-60. 2002. The Individual as an Agent of Change: The Empowerment Process December 2006 6 Though it is true that concerns and psychological barriers, and granting society greater access to values (self-esteem and self-confidence) arise at the development resources and opportunities. Institutional personal level, on many occasions individual inclusion, which implies institutional reform, depends empowerment is not enough if it does not succeed in on two processes. On the one hand, it depends on mobilising collective action, especially in terms of measures originating within the state and aimed at modifying formal and informal norms and laws, which society (downward accountability). Among these imply challenging the power structures. In these cases, measures is the reform of laws, procedures, the individual must organise socially and create regulations, values, ethics, and incentives that guide interest within the community, thereby promoting public and private sector actors. Institutional inclusion social inclusion. allows for the results and policy impact to be distributed equitably within society. Seen in this light, reform supports the processes of empowerment with Empowerment and Institutional Reform12 the resulting change in relationships between institutions and individuals. On the other hand, institutional reform also depends on individuals being well-informed and organised and on having the ability The capacity to make choices among those who are not to actively participate in society and interact with empowered is very limited due to a lack of resources as institutions, thereby strengthening the demand side of well as a lack of power to negotiate with institutions. these. This reform implies adjusting institutional rules Given that not having the power to negotiate is part of so that individuals can interact and monitor the very nature of institutional relationships, it is governability. Empowerment is indispensable on this necessary to understand empowerment from this point since the individuals have to feel they have the perspective. In this sense, empowerment is understood right and obligation to demand accountability from the as the expansion of resources and individual capacities institutions for their actions (upward accountability). to participate, negotiate, influence, control, and The three fundamental mechanisms for accountability demand accountability from the institutions affecting (political, administrative, and public mechanisms) their lives. The transformation of the traditional power reinforce each other and, through these, individuals can structures, intrinsic to the notion of empowerment, succeed in having control and power transferred to must include, then, institutional relationships. them. The state has the obligation to establish the necessary In the same way that there is no single model of mechanisms to improve public and private institutional empowerment, institutional reform is not subject to a functioning. The state can change the culture of specific outline. What is possible and appropriate will exclusion and inequality, ensure that marginalised vary depending on each context. In spite of this, the groups have access, promote elections, and strengthen main conditions that influence this reform can be accountability. The state’s policies and institutional identified as: culture are responsible for shaping the actions of the remaining actors. When a culture of corruption and 1) Nature of Public Action. Depending on the type of clientelism dominates a state, the other actors feel public intervention, governmental institutions must excluded. This culture can only be changed by what is include various or all of the factors promoting called institutional inclusion.The concept is understood empowerment13 in order to strengthen policy as the elimination of public and private institutional efficiency ensure it has a positive impact. 12 For more information see ‘Empowerment and poverty reduction; a sourcebook’, World Bank, 2002; Adrian Zenz , ‘Evaluating empowerment’, World Vision. Development “In Perspective” 01 13 These elements are: information, participation and inclusion, organisational capacity, and open and transparent institutions. 7 2) Models of Social Exclusion.There are marginalised groups in every society, excluded from the majority of decision-making processes. Efficient institutional reform must take these models of exclusion into account in order to guarantee that its intervention does not worsen those inequalities. An active policy aimed at eliminating exclusion must include legal changes. The first phase is focused on making the exclusion visible, gathering data on poverty broken down by social groups. Additionally and in order to facilitate the participation of these groups in public life, it is necessary to invest in their capacities. The Decision-Making Chain Individual empowerment is the motor that promotes change in the decision-making chain and is responsible for breaking the existing power structures. As has already been described, for specific matters, the individual will join a group when he or she recognises that it is the most effective way to increase his or her voice and weight, and demand that the formal and informal institutions support social demands. Due to 3) Degree of Decentralisation. Decentralisation implies transferring decision-making to a level closer to the people. This presupposes that public decisions will better reflect local priorities. Despite this, decentralisation does not lead to better governability or greater equity if it does not truly reach the communities, if it does not allow individuals to react to policies, or if it does not provide incentives for local governments to empower the communities. these demands, whether individual or aggregated, institutions can be changed, thereby achieving a more equitable distribution of power. This ascending chain turns into a cycle when institutional inclusion has positive repercussions on the individual, and as a result, on social empowerment. That is, achieving objects instils confidence within the individual, strengthening his or her self-esteem and reinforcing his or her ability to make decisions. By the same token, the institutions that respond to society’s demands are first required to establish mechanisms for the spread of information 4) Strengthen Local Institutions and Civil Society. Intervention at the micro level requires and accountability, thereby becoming permeable and flexible. understanding local groups, their institutions, activities, and leadership models. This knowledge may not be easy to attain because not all local organisations are formally registered nor are they easily identifiable. In addition, institutional reform must include changes in the laws and regulations so that these groups can access resources, freely associate, finance themselves, be independent, and have the freedom to act as they see fit. 5) Extend Political Freedom. Depending on the context, these freedoms (freedom of expression, freedom of the press, freedom of association, equal access to justice) will vary and condition viable institutional reform. The Individual as an Agent of Change: The Empowerment Process December 2006 8 Decision-making chain INDIVIDUAL EMPOWERMENT SOCIAL EMPOWERMENT INSTITUCIONAL CHANGES The sum of these processes leads to the development transparent, inclusive and democratic institutions the of a cycle which powers itself and allows society to individual and social empowerment processes will be develop. In this sense, society’s development begins very limited. For this reason, it is essential to promote with the individual and acts as an agent of change institutional development in parallel to the using empowerment as a key tool. Seen in this light, empowerment process, and thereby manage that the individuals identify the problems that must be solved institutions adapt to demands and social needs. In and act accordingly. Despite the individual’s central conclusion, the empowerment process will be only role in development, responsibility is shared with the effective when all the stakeholders (individuals, institutions, which society have to submit to this transformation process. If there are not open, and institutions) are involved and coordinated. © Fundación para las Relaciones Internacionales y el Diálogo Exterior (FRIDE) 2006. All FRIDE publications are available at the FRIDE website: www.fride.org This document is the property of FRIDE. If you would like to copy, reprint or in any way reproduce all or any part, you must request permission. The views expressed by the author do not necessarily reflect the opinion of FRIDE. If you have any comments on this document or any other suggestions, please email us at comments@fride.org www.fride.org Felipe IV, 9 1º Dcha. 28014 Madrid – SPAIN. Tel.: +34 915 22 25 12 – Fax: +34 915 22 73 01. Email: fride@fride.org