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Capability Approach

Area: Community participation

The Capability Approach (CA), initially introduced by economist and philosopher Amartya Sen (1999) and subsequently developed by Martha Nussbaum (2011), provides a framework for evaluating individual or collective well-being and societal progress beyond traditional economic measures. As Coates and Anand (2015) pointed out, Sen’s approach aims to rectify certain deficiencies in conventional welfare economics. It contrasts what individuals and collectives are free to do (capabilities) and what they actually accomplish (functionings). This accomplishment depends on their means, such as resources and public goods, and their ability to convert means into outcomes, which is contingent upon certain conditions such as personal, sociopolitical, and environmental factors (conversion factors) (Robeyns & Byskov, 2023).

When applied within the realm of housing, CA assumes that merely providing shelter is not enough and that spaces for living must be created. It emphasises the importance of examining the broader capabilities and freedoms that housing enables individuals or communities to achieve, thereby framing housing as a basic need and a means to human development. This approach can serve as a method of appraising both housing outcomes and means. The rationale behind adopting such an approach in housing, as articulated by some scholars, is to move beyond evaluating it solely through quantitative metrics, such as housing supply or homeownership rates. Instead, the emphasis is on considering qualitative aspects that better capture individuals' lived experiences (Clapham et al., 2019).

In line with the CA approach, providing affordable and sustainable housing should encompass the development of people's capabilities, enabling them to create their living environments and promoting overall well-being. Recognising that a home is more than just its material components, housing plays a crucial role in enhancing people's abilities to lead fulfilling lives and actively participate in society. This perspective incorporates various dimensions that housing should address that go beyond mere shelter, such as security, community integration, neighbourhood relationships, and self-esteem. This comprehension of housing aligns with the literature on social sustainability, which sheds light on aspects that transcend the material and technical attributes of housing.  

Beyond focusing solely on housing outcomes, the capabilities approach extends its scope to the means employed to achieve them (Frediani, 2019). One important aspect is the emphasis on the agency in shaping one’s housing conditions. It recognizes the diverse needs, preferences, and capabilities of individuals, advocating for their active participation and the implementation of supportive policies that empower them to choose where and how they live. This approach moves beyond the one-size-fits-all model, acknowledging the importance of providing diverse housing options that cater to the varied needs of individuals and groups. These needs encompass considerations such as location, size, typology, accessibility, cultural preferences, and the balance between private and communal spaces or shared facilities. Scholars have consistently underscored the relevance of this approach, particularly when coupled with the active participation and involvement of individuals and communities in decision-making about their housing. Prioritising their perspectives and needs fosters the valued aspects of housing, leading to personal, collective and structural empowerment (Clark et al., 2019).

Moreover, CA highlights the need to address social inequalities in housing. It recognizes that disparities in access to housing resources, including affordability, quality, and location, can limit individuals' capabilities and opportunities. Marginalized groups, such as low-income households, ethnic minorities, or people with disabilities, often face systemic barriers that impede their access to adequate housing, hindering their overall well-being and social participation. Furthermore, within housing participation processes, recognising differences at various levels - from access to resources to the conditions and circumstances of the people participating- is crucial to creating more meaningful, equitable and democratic processes. Considering these aspects, the CA advocates for participatory processes and policies promoting fair and equitable housing opportunities for various social groups.

Implementing the CA in the field of housing can take place across various disciplines, including policymaking, architectural practice, and community involvement.  It is an approach that establishes a multidimensional evaluation space, placing inhabitants at the centre. This represents a multi-faceted strategy engaging various stakeholders to improve the capabilities of individuals or communities. Governments, policymakers, urban planners, and community organizations play vital roles in creating environments that support individuals' capabilities through housing. This could entail designing inclusive housing policies, investing in affordable housing initiatives, ensuring that urban planning considers diverse needs, and fostering community engagement to create supportive and cohesive neighbourhoods.

References

Clapham, D., Foye, C., & Blyth, R. (2019). How should we evaluate housing outcomes?. https://housingevidence.ac.uk/wp-content/uploads/2019/03/190329_Evaluating_housing_outcomes_final.pdf

Clark, D. A., Biggeri, M., & Frediani, A. A. (2019). The Capability Approach, Empowerment and Participation. Concepts, Methods and Applications. http://www.palgrave.com/gp/series/14501

Coates, D., Anand, P., & Norris, M. (2015). A Capabilities Approach to Housing and Quality of Life: The Evidence from Germany  Open Discussion Papers in Economics, No. 78, The Open University, Economics Department, Milton Keynes. https://www.econstor.eu/bitstream/10419/147529/1/827012063.pdf

Frediani, A. A. (2019). Participatory Research Methods and the Capability Approach: Researching the Housing Dimensions of Squatter Upgrading Initiatives in Salvador da Bahia, Brazil. In D.A. Clark, M. Biggeri, & A.A. Frediani, A.A. (Eds), The Capability Approach, Empowerment and Participation (pp. 261–288). Palgrave Macmillan, London. https://doi.org/10.1057/978-1-137-35230-9_10

Nussbaum, M. (2011). Creating Capabilities The Human Development Approach. Harvard University Press.

Robeyns, I., & Byskov, M. F. (2023). The Capability Approach. In E. N. Zalta & U. Nodelman (Eds.), The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab, Stanford University. https://plato.stanford.edu/archives/sum2023/entries/capability-approach/

Sen, A. (1999). Development as Freedom. Oxford University Press.

Created on 18-01-2024 | Update on 25-01-2024

Related definitions

Community Empowerment

Author: Z.Tzika (ESR10)

Area: Community participation

Community empowerment appears in the literature of participatory action research (Minkler, 2004), participatory planning (Jo & Nabatchi, 2018), and community development (Luttrell et al., 2009) as a key element of participatory practices, understanding it as a process that enables communities to take control of their lives and their environments (Rappaport, 2008; Zimmerman, 2000). Many argue that community participation becomes meaningless if it does not lead to, or pass through community empowerment. As the term is being used in diverse and ubiquitous ways, it runs the risk of ending up as an empty definition and a catch-all phrase (McLaughlin, 2015). It is therefore important to specify the perspective through which we will view the term and clarify the nuances.  Since its origins, empowerment has been used in two different ways. Firstly, top-down as the power that had been ‘granted’ by a higher authority, such as the state or a religious institution, and secondly, bottom-up, as a process by which groups or individuals come to develop the capacity to act and acquire power. Examples of the latter can be found in social groups such as feminists working in nongovernmental organizations throughout the global south in the 1970s, who found a way to address social issues and inequalities that enabled social transformation based on women’s self-organization (Biewener & Bacqué, 2015). The term was gradually appropriated by welfare, neoliberal, and social-neoliberal agendas whose priority was individual agency and choice. In neoliberal rationality, empowerment is related to efficiency, economic growth, business productivity, and individual rational choice to maximize profit in a competitive market economy. In social liberalism agendas, empowerment is understood as ‘effective agency’, where ‘agency’ is not an inherent attribute, but something that needs to be constructed through ‘consciousness-raising’ (McLaughlin, 2016). A broader definition sees empowerment as a social action process through which individuals, communities, and organizations take control of their lives in the context of changing the social and political environment to improve equity and quality of life (Rappaport, 2008; Zimmerman, 2000). Rowlands (1997), refers to four types of empowerment: power over, as the ability to influence and coerce; power to, to organize and change existing hierarchies; power with, as the power from the collective action and power within, as the power from the individual consciousness. Using this classification, Biewener & Bacqué (2015), adopting a feminist approach, understand empowerment as a multilevel construct with three interrelated dimensions: 1) an internal, psychological one, where ‘power within’ and ‘power to’ are developed, 2) an organizational, where ‘power with’ and ‘power over’ are strengthened and 3) a social or political level, where institutional and structural change is made possible through collective action. Thus, community empowerment links the individual level, which involves self-determination, growth of individual awareness, and self-esteem, to the collective level, relating critical consciousness and capacity building with the structural level, where collective engagement and transformative social action take place. This view of empowerment, which considers its goals and processes, has a social dimension that is lacking in other approaches that prioritize individual empowerment. Aside from the feminist movements, the philosophy and practices of community empowerment have been greatly influenced by the work of Paulo Freire, a Brazilian educator and an advocate on critical pedagogy. Freire proposed a dialogic problem-solving process based on equality and mutual respect between students and teachers; that engaged them in a process of iterative listening-discussing-acting. Through structured dialogue, group participants shared their experiences, discussed common problems, and looked for root causes and the connections among “problems behind the problems as symptoms” (Freire, 1970). The term conscientization, that Freire proposed, refers to the consciousness that arises through the involvement of people in the social analysis of conditions and their role in changing them. This awareness enables groups to be reflexive and open spaces, to enact change or to understand those limited situations that may deter change (Barndt, 1989). Empowerment can be understood as both a process and an outcome (Jo & Nabatchi, 2018). As a process, it refers to “the development and implementation of mechanisms to enable individuals or groups to gain control, develop skills and test knowledge”(Harrison & Waite, 2015) and it entails the creation of new subjects who have developed a critical consciousness and the formation of groups with a ‘collective agency’ ‚ or ‘social collective identity’ (Biewener & Bacqué, 2015). Empowerment as an outcome refers to “an affective state in which the individual or group feels that they have increased control, greater understanding and are involved and active” (Harrison & Waite, 2015). This can lead to a transformation of the social conditions by challenging the structures and institutionalized forms that reproduce inequalities. The values and the significance of community empowerment can be further applied in the participatory and community-based approaches of the housing sector. Examples of such approaches in the housing provision are the housing cooperatives, and self-developed and self-managed housing groups. Housing cooperatives aim at promoting co-creation to engage future residents, professionals, and non-profit organizations in all the stages of a housing project: problem-framing, designing, developing, cohabiting, managing, and maintaining. Such organisational models stress the importance and pave the way for community empowerment by uniting individuals with similar interests and ideals, enabling them to have housing that responds to their needs, preferences, and values. The participation of the residents aims to strengthen their sense of ownership of the process, the democratic decision-making and management, and the social collective identity, making community empowerment an integral characteristic of cooperative housing initiatives. With this social perspective, residents can gain individual and collective benefits while contributing to fairer and more sustainable urban development on a larger scale (Viskovic Rojs et al., 2020).

Created on 03-06-2022 | Update on 03-06-2022

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