The Individual as an Agent of Change: The Empowerment Process

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1 Development In Perspective December The Individual as an Agent of Change: The Empowerment Process Development In Perspective FRIDE s publication Development In Perspective will provide in-depth information on current issues related to development. It aims at encouraging debate and providing analysis of the implications for development cooperation policies. About FRIDE FRIDE is an independent think-tank based in Madrid, focused on issues related to democracy and human rights; peace and security; and humanitarian action and development. FRIDE attempts to influence policy-making and inform public opinion, through its research in these areas. FRIDE has started the project Promoting empowerment in post-conflict scenarios with the establishment of an analytical framework that constitutes the base of the consecutive stages of the project.to this end, a series of short documents has been published in order to clarify concepts, define instruments and analyse measures, with the objective of understanding postconflict 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 series presents a broader picture. The ultimate goal of this project is to spark the recurrent debate over the need to conceive the concept of development from a standpoint other than the traditional one. Paula San Pedro

2 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 and donor agencies interpret the concept differently depending on their intervention policies and areas of action. To resolve this, FRIDE proposes the following conceptual analysis of empowerment focusing on marginalised and vulnerable collectives. 2 Individual Empowerment Empowerment is valuable in and of itself, although it 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 relationships between individuals, between collectives, and between the latter and institutions. 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. A detailed analysis of the above definition is required in order to understand empowerment since the definition includes many elemental concepts: 1) Transformation Process. Empowerment implies a continuous, upward evolution in which the individual moves from one stage to another, becoming aware 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 vice versa. Empowerment s Transformation Process 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 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 REFLECTION + ACTION EMPOWERMENT 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, Another interesting classification on empowerment is the one done by Jo Rowlands in Questioning Empowerment, Oxfam Publication, 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, Development In Perspective 01

3 3 2) Power. 5 Understanding what empowerment means, inevitably means understanding what power is. A study of this concept within the development context reveals four types of power. 6 Each one of these is related to empowerment differently but all are fundamental to the process. With respect to power over, empowerment implies incorporating the people removed from the decision-making system. This places special emphasis on the individuals ability to participate in all spheres of their lives. In terms of power to and power with, empowerment refers to the moment in which the individual becomes aware of his or her own interests, how these relate to others, and how the union of all of these interests can achieve greater influence over decision-making. Internal power goes beyond empowerment interpreted as participation since it also adds self-esteem to the equation. With self-esteem, the individual gains the confidence to make decisions. With this interpretation, empowerment contributes to the conformity of self-sufficient individuals who know how to manage their own development, how to participate in the decision-making process in coordination with different levels of government (local, regional, and national levels), and with the capacity to demand inclusive policies.to summarise, empowerment is the individual s capacity 7 to choose an option from among various alternatives, whilst being aware of the existing options. As such, it is conceived as a 5 For more information see Ruth Alsop (ed), Power, rights and poverty; concepts and connections, World Bank and DFID, 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. progressive learning process in which the individual ascends from one state to another, increasing the range of possibilities available. Inevitably, this personal development implies a break with the existing power structures and the elimination of negative social constructs. Nonetheless, the decision-making capacity is only possible if certain elements which make up empowerment are available: 1) Resources. These are the individual s human and social material conditions. Economic resources range from the most conventional assets (such as land, financing, technology, among others) to other less tangible, yet equally important, capital (economic security, politics). Human resources are moulded individually and include values such as knowledge, trust in oneself, self-esteem, and creativity. Social resources (such as organisational ability, expectations, and demands) allow for the improvement of the individual s situation and his or her opportunities beyond what can be achieved through individual effort alone. These resources are distributed along the different existing institutions 8 in a given society. As such, access to them is determined by the regulations and procedures currently in place within those institutions, including both informal structures (such as family) and formal structures (the government). This distribution of resources implies that the heads of family, tribal leaders, company 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 4 that is, the form of power used to access those resources. 2) Agency. This concept is understood as an individual or group s ability to define its objectives and act based on these. The notion of agency is not limited exclusively to the act of making a decision; but rather, it includes a previous phase implying motivation and the objective for carrying out that activity. As indicated above, this implies that there is a phase dedicated to reflection and analysis prior to taking the action itself. In terms of empowerment, it is absolutely necessary to analyse the entire process, from reflection to decision making. In terms of the concept of power, agency has a positive and a negative dimension. In positive terms, agency can be seen as the power to choose the alternative that best meets the individual or group s objectives even if this implies opposition to others. In negative terms, agency can be an individual or group s capacity to use its power to exceed the agency of other individuals by means of coercive measures or threats. A third alternative that must be taken into account is that power is exercised without any explicit agency. This can be seen, for example, in actions which respond to social norms or customs which have never been questioned and do not imply any prior reflection before making the decision. 9 3) Contextual Structure. The capacity to make decisions depends on the presence and functioning of the formal and informal institutions. These include laws, regulatory frameworks, and social norms which govern an individual s behaviour, determine access to resources, and how these are used to achieve the desired results. For example, an active government that establishes formal institutions (such as laws and decrees) that promote the empowerment of citizens may conflict directly with traditional informal institutions (such as social norms) that do not approve of these measures. This contextual structure needs to be taken into account to measure and assess the individual s capacity for empowerment. 4) Results. The union between resources and agency in a specific contextual structure is the individual s potential to live the life he or she wishes. Its consecution will be the result. This result is not always positive for the individual, that is, he or she will not always achieve what is desired. Nevertheless, the process of empowerment will be effective. On the other hand, the individual may achieve his or her objectives without undergoing a process of empowerment.these types of actions are very common when an individual achieves his or her goals by means of bribery, humiliation, or clientelism. Empowerment strategies are very diverse and their success depends on the concrete circumstances of where the action takes place and on individual conditions. Despite this specificity, experience has shown that there are a series of recurring factors that promote empowerment regardless of the situation: 1) Access to Information. Information is power. An open and transparent society with freedom of expression and a free and independent media allows society to know more about the public sphere (politics, society) and the private sphere (companies, NGOs). It is, then, a basic tool for individuals to demand their rights, to be able to negotiate, to take advantage of opportunities, and, especially, to demand accountability. 2) Social Inclusion 10 and Participation. Active social organisation is a key tool to pressure, facilitate change, and make decisions. Facilitating inclusion and participation requires creating spaces for 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). Development In Perspective 01

5 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 allow the individuals to work together and mobilise resources to resolve their problems. Thanks to this organisation, the individual also feels represented and socially supported, thereby reinforcing his or her self-esteem and abilities. 4) Open and Transparent Institutions. Formal and informal institutions with these characteristics allow, among other things, for the correct functioning of accountability systems and the flow of information; they promote the equitable distribution of resources; and they establish adequate mechanisms to strengthen civil society s organisational capacity. Individual and Collective Empowerment 11 The process of individual empowerment advances as the individual becomes aware of his or her possibilities, increases his or her decision-making capacity, and gains self-confidence. This empowerment has a reciprocal relationship with social activity. In this sense, a self-confident individual with high self-esteem and developed capacities can contribute more actively to collective action. By the same token, collective action allows individuals to have greater access to services and promotes a greater diffusion of knowledge, thereby increasing individual empowerment. By actively participating in organisations, individuals can express their preferences 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 ACCESS TO INFORMATION ELEMENTS THAT MAKE UP EMPOWERMENT RESOURCES AGENCY RESULTS LOCAL ORGANISATIONAL CAPACITY 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): The Individual as an Agent of Change: The Empowerment Process December 2006

6 6 Though it is true that concerns and psychological values (self-esteem and self-confidence) arise at the personal level, on many occasions individual empowerment is not enough if it does not succeed in mobilising collective action, especially in terms of modifying formal and informal norms and laws, which imply challenging the power structures. In these cases, the individual must organise socially and create interest within the community, thereby promoting social inclusion. Empowerment and Institutional Reform 12 The capacity to make choices among those who are not empowered is very limited due to a lack of resources as well as a lack of power to negotiate with institutions. Given that not having the power to negotiate is part of the very nature of institutional relationships, it is necessary to understand empowerment from this perspective. In this sense, empowerment is understood as the expansion of resources and individual capacities to participate, negotiate, influence, control, and demand accountability from the institutions affecting their lives. The transformation of the traditional power structures, intrinsic to the notion of empowerment, must include, then, institutional relationships. barriers, and granting society greater access to development resources and opportunities. Institutional inclusion, which implies institutional reform, depends on two processes. On the one hand, it depends on measures originating within the state and aimed at society (downward accountability). Among these measures is the reform of laws, procedures, regulations, values, ethics, and incentives that guide public and private sector actors. Institutional 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 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 to actively participate in society and interact with institutions, thereby strengthening the demand side of these. This reform implies adjusting institutional rules so that individuals can interact and monitor governability. Empowerment is indispensable on this point since the individuals have to feel they have the right and obligation to demand accountability from the institutions for their actions (upward accountability). The three fundamental mechanisms for accountability (political, administrative, and public mechanisms) reinforce each other and, through these, individuals can succeed in having control and power transferred to them. The state has the obligation to establish the necessary mechanisms to improve public and private institutional functioning. The state can change the culture of exclusion and inequality, ensure that marginalised groups have access, promote elections, and strengthen accountability. The state s policies and institutional culture are responsible for shaping the actions of the remaining actors. When a culture of corruption and clientelism dominates a state, the other actors feel excluded. This culture can only be changed by what is called institutional inclusion.the concept is understood as the elimination of public and private institutional In the same way that there is no single model of empowerment, institutional reform is not subject to a specific outline. What is possible and appropriate will vary depending on each context. In spite of this, the main conditions that influence this reform can be identified as: 1) Nature of Public Action. Depending on the type of public intervention, governmental institutions must include various or all of the factors promoting empowerment 13 in order to strengthen policy 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. 13 These elements are: information, participation and inclusion, organisational capacity, and open and transparent institutions. Development In Perspective 01

7 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. 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. 4) Strengthen Local Institutions and Civil Society. Intervention at the micro level requires 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. 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 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 and accountability, thereby becoming permeable and flexible. 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 8 Decision-making chain INDIVIDUAL EMPOWERMENT SOCIAL EMPOWERMENT INSTITUCIONAL CHANGES The sum of these processes leads to the development of a cycle which powers itself and allows society to develop. In this sense, society s development begins with the individual and acts as an agent of change using empowerment as a key tool. Seen in this light, individuals identify the problems that must be solved and act accordingly. Despite the individual s central role in development, responsibility is shared with the institutions, which have to submit to this transformation process. If there are not open, transparent, inclusive and democratic institutions the individual and social empowerment processes will be very limited. For this reason, it is essential to promote institutional development in parallel to the empowerment process, and thereby manage that the institutions adapt to demands and social needs. In conclusion, the empowerment process will be only effective when all the stakeholders (individuals, society and institutions) are involved and coordinated. Fundación para las Relaciones Internacionales y el Diálogo Exterior (FRIDE) All FRIDE publications are available at the FRIDE website: 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 us at comments@fride.org Felipe IV, 9 1º Dcha Madrid SPAIN. Tel.: Fax: fride@fride.org