Development “In Perspective” December 2006 03 Empowerment in Practice: Post-conflict Scenarios 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 information on current issues related to of the project.To this end, a series of short documents has been development. It aims at encouraging published in order to clarify concepts, define instruments and debate and providing analysis of the analyse measures, with the objective of understanding post- implications for development coopera- conflict situations, through a particular approach, the tion policies. 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 About FRIDE separate document provides an independent analysis, the whole FRIDE is an independent think-tank series presents a broader picture. The ultimate goal of this based in Madrid, focused on issues related to democracy and human rights; project is to spark the recurrent debate over the need to peace and security; and humanitarian conceive the concept of development from a standpoint other action than the traditional one. and development. FRIDE attempts to influence policy-making and inform public opinion, through its research in these areas. Paula San Pedro 2 Empowerment can be regarded from a rhetorical and different countries). Thanks to the development of a theoretical perspective as an efficient tool for conflict monitoring and evaluation mechanisms (M&E), prevention and peace building in the broad sense. The concepts such as empowerment can now be measured. problem lies in how to put this concept into practice given the difficulty in monitoring and evaluating There are also other obstacles that should be taken into changes and progresses resulting from empowerment account when thoroughly monitoring and evaluating processes. Despite this, it is necessary to overcome all empowerment processes. First, empowerment is multi- obstacles and turn empowerment into an empirically dimensional.3 Individuals will be truly empowered if all useful and effective tool so that significant conclusions spheres of their lives are covered. For instance, a regarding its impact can be reached and donors can woman can advance professionally but still be make use of it in their interventions. humiliated, undervalued and with low self-esteem at home. Cooperation programmes should foresee that empowering a single sphere of life does not necessarily I. Measuring empowerment in post-conflict scenarios1 Difficulties in Measuring Progress entail empowering all. Second, empowerment has both objective and subjective elements. Even if there has been some methodological progress4 in this field, it must be said that evaluating the subjective dimensions of empowerment still poses a challenge to donors. An added problem of empowerment – and of how to measure it – is that it only has a meaning when analysed in a specific context. The behaviour and features that define empowerment in a specific context The very nature of empowerment hinders its measurement (and not only in post-conflict scenarios). The main obstacles are the variety of definitions of the term and the ambiguity surrounding it; its intangible nature; the need to measure it in a given context; the difficulties of process2 evaluation and the lack of data over an extended period of time. For all these reasons, a clear definition and a set of measurable and observable indicators are vital. Only under these conditions can the impact of strategies be analysed and results obtained and compared (overtime and with 1 See in general the book by Deepa Narayan (ed), Measuring Empowerment, World Bank, 2005; and more specifically the article by C. Moser, ‘Peace, Conflict and Empowerment: the Colombian case’. See also C. Gibson and Michael Woolcock, Empowerment and Local Level Conflict Mediation in Indonesia: A Comparative Analysis of Concepts, Measures, and Project Efficacy, Harvard University, 2005. 2 It must be borne in mind that empowerment has been defined as a process occurring over an extended period of time. Development “In Perspective” 03 could vary substantially when observed in a different context. For instance, a project aimed at empowering conflict victims in Sudan has nothing to do with empowering victims in Sri Lanka.The power relations, the economic, political and socio-cultural models or identity and history, among other elements, could vary substantially depending on the geographical framework. The changing nature of empowerment poses a challenge in terms of consistency and comparison. In order to compare an empowerment process in different contexts, the M&E system must be consistent and flexible. It should also be adapted to the 3 The different dimensions of empowerment have been classified as follows: economic, social, cultural, organisational, political and psychological. 4 Methods such as the gathering of memories or experiences (both oral and written) have been considered as effective tools to identify a process of empowerment over a specific timeframe. 3 specific context so that it can provide as much negative results for those being empowered and for information as possible on the changing process. The society in general.6 This is why M&E systems must studies that apply the same indicators to different have mechanisms to control the impact of processes contexts can be extremely useful to compare and international or interregional cases. Interventions must not only consider the results, but to minimise potential negative effects. also the effects that it could have over individuals and One of the main methodological challenges of society in the long-run. empowerment M&E is how to measure a process. Some authors believe that it can only be done by Despite the aforementioned obstacles, monitoring and looking into different approaches (health, education). evaluation are key elements of intervention. It is the Others claim that this type of indicators cannot capture only way to measure and find out whether and how the subjective dimensions of empowerment. In order to the goals set have been reached and to learn the accomplish this, a series of indicators have been lessons for future interventions. M&E systems are created to measure certain aspects such as decision- also useful to find out whether intervention is relevant making, choice, control, and power, amongst others. and meets the needs of recipients, gives account of Ideally, the best way to measure this concept is to resources used, analyses costs and benefits and evaluate the process over a time period. This could be verifies that the hypotheses formulated in the done by taking two time slots and analysing the goals identification stage are valid. reached over the interval. It should be borne in mind, however, that not all dimensions of empowerment require the same time periods to succeed and that some Measurement systems factors depend on the achievement of others. Some interventions, therefore, could be short (one to three years) while others could last for decades. Taking all 1) The concept in practice: power analysis and empowerment dimensions these factors into account, the main challenge donors need to face is how to adapt to the circumstances. When monitoring and evaluating empowerment, the Given that empowerment is a question of power first step is to analyse power structures, relations and distribution, an increase in the power of an individual unbalances within the context in which intervention or group implies a decrease in the power of others.5 An will take place. This is the key reference when efficient monitoring and evaluation system will need to measuring impact and effects. The analysis must take take into account the potential scenarios resulting the key dimensions of power – traditional, formal and from an empowerment process. The system also needs informal – into account, as well as how and by who to take into account that individual or collective power is exerted. It must also include the economic, transformations could lead to power imbalances, with political and socio-cultural differences between those who have power and those who do not. Finally, the 5 Thus, for example: in a refugee camp, victims are fully dependant of aid given by donors, who have the power to make decisions. If at some point refugees decide to protest because they believe that aid is not delivered appropriately and actually manage to change things, this would entail a change in power distribution and their empowerment could increase. 6 For instance a woman receiving a micro-credit in a conflict’s rehabilitation phase could become more economically independent but this could also have some negative effects at home (gender violence, heavy workload and more responsibility, among others). Empowerment in Practice: Post-conflict Scenarios December 2006 4 study must investigate the distribution of power (past empowerment can be broken down into different and present) of the various socio-economic groups. dimensions (see chart 1 below). This methodology could help put the concept into practice and give Due to the fact that the concept of empowerment is donors a general framework to be used in M&E. open to interpretation, evaluating its impact is quite a challenging task. Measuring intervention can be done As stated above, empowerment is multidimensional. in two different ways. Internally, intervention can be The dimensions of the term vary depending on the measured by looking into its objectives in relation with author7 and the aims of intervention. This chart empowerment and also by finding out whether goals includes the most significant ones, which have been have been reached and to what extent. Externally, divided into groups so that they are more functional. measuring empowerment could require an analysis of Given that each of these dimensions is extremely broad, local power structures. This analysis would highlight it is necessary to include a series of sub-dimensions the factors that shaped these social structures. In most which will be used as a guide for the analysis. cases, reporting the impact, even in the long-run, of Economic empowerment focuses on the economic intervention requires both approaches. capacities aimed at improving access to productive resources and to economic opportunities. Experience In order to facilitate evaluation and monitoring and shows that war victims are usually excluded from the conceive the concept as a dynamic process, market due to its regulations, discrimination and lack Chart 1. Dimensions of empowerment DIMENSIONS OF EMPOWERMENT SUB-DIMENSIONS OF EMPOWERMENT ECONOMIC INSTITUTIONAL SOCIOCULTURAL PERSONAL PSYCHOLOGICAL ORGANIZACIONAL Property of productive resources Legal empowerment Cultural practices Access to education Identity and selfimage, self-esteem Collective identity, struggle for common interests Control of their own properties Participation in legal institutions Social inclusion, social relations Access to health services Psychological wellbeing (trauma, fear, insecurity, etc.) Participation in the decision-making process power and right to vote Wage security Access to political Discrimination, insecurity Access to information Emotional features Organisational capacities of family/ community (lack of support, fear, etc.) Entrepeneurial skills Organisational leadership Struggle for rights Links between Access to basic emotional circumstances of services present and past Knowledge of political system Source: elaborated by Paula San Pedro, Researcher at FRIDE, based on Peter Oakley (2001) 7 Authors such as Rowlands also include individual, family and legal dimensions. See J. Rowlands, Questioning empowerment, Oxfam, 1997. Development “In Perspective” 03 5 of information. Institutional empowerment must be main actors - especially conflict victims - should understood as the right to vote, the right to have a voice actively contribute to the selection process since they and to make use of the intrinsic values of the are the best suited to indicate the changes that should democratic system. Socio-cultural empowerment take place as a result of intervention. Also, it is refers to social status, dignity and cultural expression. important to point out that indicators need to be able Personal empowerment (also known as human to measure processes and, therefore, need to be empowerment) includes elements related to access to adapted to changing scenarios. If goals are to be and quality of basic services. Due to its subjective and reached, indicators should be: intangible nature, psychological empowerment is difficult to be identified and measured. Finally, organisational empowerment refers to the • Specific. Linked exclusively to those aspects to be modified by intervention; their • Consistent. In order to measure change over a time organisational capacities and the capacity to have a period, indicators must also be conceived for an voice in the decision-making process. extensive period of time; participation in the collective sphere, • Easy to gather. Information gathering should be This framework can also be divided into aggregation done over a time period and must have reasonable levels – family, community and society –, thus costs; and facilitating the monitoring and helping identify the • Clear. They must be clearly defined so that obstacles that exist to obtain empowerment on each measurement and interpretation do no lead to level. Depending on the context and the development ambiguity. level, promoting empowerment of a single dimension could play a catalysing role to bring about change in M&E systems must go beyond information gathering other dimensions. Evidence shows, however, that on activities and products obtained, no matter what promoting empowerment of a specific dimension does their nature and contents are. They must identify the not necessary lead to empowerment of other process through which those who did not have a voice dimensions. If sustainable empowerment is to be are now empowered. It is, therefore, necessary to achieved, a holistic approach will be necessary. understand what happens throughout the whole process, from the short to the long-run.The first phase measures the efforts by looking into the results of the 2) Indicators implemented activities. The second phase measures project results by looking into the effects it has had Indicators describe and measure changes occurred over the disempowered people. The term ‘effect’ after intervention. They indicate that something has includes, therefore, the immediate, tangible and taken place, either tangible results or intangible observable changes occurred in relation to the initial effects. The existence of a certain number of context and the aims established.The last (third) phase indicators will either validate or invalidate the initial is the most difficult one since long-term changes – aims of intervention. As a first criterion, indicators many of them subjective and intangible – are will need to be chosen in a participative way. The measured. Empowerment in Practice: Post-conflict Scenarios December 2006 6 Chart 2. Types of indicators Type of indicator What is being measured Indicators Product Effort Implementation of activities such as number of hours and resources employed, etc.) Results Effectiveness Describes the results of intervention (for instance, quality of information, number of trained people, etc.) Impact Change Change with respect to initial situation (change in attitudes, behaviours, etc.) When monitoring and evaluating a process with a applied over the last few years. The World Bank9 has psychological subjective substantially developed this work, as well as other key intangible elements of empowerment into figures, authors,10 who have contributed to bridging the percentages, graphs or charts becomes a complicated methodological gap. The World Bank has not only task. It is, therefore, necessary to use qualitative created the analytical framework but also the Human indicators8 that capture the ideas and perceptions of Empowerment Index (HEI)11. This index measures individuals in an empowerment process. This type of empowerment levels within a specific context by indicators has been criticised because, unlike looking into the economic, political and social qualitative ones, they are not easily verifiable or dimensions of empowerment from a holistic approach. measurable. If they are properly developed and The HEI is an extremely useful tool to provide interpreted, however, they could play a key role in guidelines and facilitate decision-making, prioritise identifying those obstacles for intervention that would policies, assign resources and deal with issues related otherwise be ignored. The use of qualitative indicators to equity and exclusion. dimension, translating is beneficial for the participatory process of M&E systems. Monitoring and evaluation, therefore, must include both types of indicators in order to measure products, quality and impact. This type of analysis can be developed to a large extent thanks to the new methodologies in social development 8 Some examples of qualitative indicators are: story-telling, information gathering and thoughts. Their use will depend on what is to be measured, which means that they will need to adapt to the circumstances. Development “In Perspective” 03 9 See Ruth Alsop and Nina Heinsohn, Measuring Empowerment in Practice: Structuring analysis and framing indicators, World Bank. 2005; and Deepa Narayan (ed), op. cit. 10 See Jeremy Holland and Simon Brook, Measuring Empowerment: Country Indicators, University of Wales Swansea, 2004; and Peter Oakley, ‘Empowerment and its evaluation’, INTRAC, Management and Policy Series, No 13, 2001. 11 See the UNDP Human Development Report , Nepad 2004. 7 2) Creation of small and medium-sized enterprises II. Tools to promote empowerment according to its dimensions (SMEs) Experience has shown that the creation of SMEs represents an effective tool for job creation, poverty reduction and growth. If the activity includes programmes specifically aimed at marginalised sectors, it can facilitate access to micro-credits and Empowerment can be fostered through all of its promote policies that strengthen local organisational different dimensions: economic, institutional, socio- capacities, inclusion and participation. It can also cultural, personal, psychological and organisational. promote a process of empowerment. If these issues are These tools have an impact on all three levels: not taken into account, the inequality gap may widen individual, collective and institutional. The information and only the elites could benefit. below includes some of the most important tools to strengthen empowerment. It could also be a useful guide for donors, even though they will need to bear in Institutional mind that these measures will vary depending on the 1) Decentralisation strategies context and the specific needs of society. The idea behind decentralisation is that bringing decision-making closer to individuals will lead to public Economic decisions that better reflect local needs and priorities. This will translate into higher efficiency of public 1) Studies on the entrepreneurial sphere expenditure, higher equity levels and more effective The aim of this type of analysis is twofold. First, studies governance. A successful decentralisation would seek to identify the obstacles, limitations and shortages strengthen empowerment thanks to the control that hinder business development. Thanks to this, individuals would have over their decisions. Empirical government institutions are responsible for establishing evidence has shown, however, that decentralisation the necessary mechanisms needed to create successful processes in post-conflict countries are far from what enterprises. facilitate theory claims. Central governments are usually transparency and accountability, disclosing inside unwilling to carry out these processes given that they information. As a consequence, both consumers and reduce their power. Also, local governments have the government institutions have a higher decision-making power but lack resources to carry out their duties. Second, they seek to capacity.The chances for success will therefore also be higher. The usefulness of these studies as instruments for empowerment will depend on the degree of accessibility to information. 2) Participatory budgeting Process in which a group of individuals (civil servants, businessmen, experts, general public, marginalised Empowerment in Practice: Post-conflict Scenarios December 2006 8 groups) actively participate in the planning, infrastructures, which is the case of post-conflict management and monitoring of budgets. The fact that countries. So far, experience with this instrument has budget decisions are taken by a number of people with been limited to two sectors: education and health. Its different interests makes policies more distributive, effectiveness in more complex fields (financial, public slows down the interests of elites and favours those administration) is still unknown. who have never participated in decision-making processes by giving them a chance to exercise their rights. In terms of empowerment, participatory Socio-cultural budgeting is a useful tool that enables individuals to direct public policies towards the results they wish to 1) Social accountability obtain. Certain conditions must be met, however, if this instrument is to succeed: sufficient resources, Mechanism through which civil society demands information mechanisms, an active civil society and a accountability. In practical terms, this translates into political power willing to carry it out. If these different actions through which individuals analyse and conditions are not met, chances are that either a small demand responses from institutions. These actions elite will end up controlling the participatory budgeting range or that it will simply have no impact. participatory budgeting or studies on public from participation in policy-making, expenditure, to the creation of citizen councils or political pressure campaigns. 3) Studies for monitoring public expenditure This is an umbrella tool which comprises others and This instrument seeks to document the distribution of includes the benefits and challenges of all of them. As services from the supply side (schooling rate, number far as other actions are concerned (such as the citizens’ of health centres). This will turn expenditure of public council), the main obstacle they will face would be the funds into quality and quantity of services offered.This possibility of putting them into practice. Even if they is a very useful tool to identify areas in which could do so, this body would also need to be able to improvement is needed and offers information on the present its demands, which could also be a difficult relationship between the different levels of government task. All these actions will therefore need a legal involved in the distribution chain. If this information is platform promoted by donors and facilitated by central public and accessible, the empowerment process of governments. individuals – which are at the end of the chain as service recipients – becomes stronger since they can demand accountability from the respective authority 2) Participatory processes and hence improve the supply. Despite the potential of this instrument, there are several obstacles. The study It is defined as a process in which a particular issue is may not be published or may not be accessible. Also, it analysed through all of its dimensions. It includes a is quite difficult to gather this kind of information, wide range of actors during all phases of the process: especially in places with limited resources and planning, implementation and follow-up. It is a type of Development “In Perspective” 03 9 work that gives individuals the possibility to define the ensure sustainability of these initiatives would be to do kind of development they intend to obtain and the a follow-up in order to measure the impact and the means through which they wish to obtain it. In the results reached, which could be then compared to long-run, this approach ensures commitment and a costs. strong feeling of belonging. In this sense, participation itself is the backbone of empowerment. Participation 2) Educational sector itself, however, is not enough. Depending on how it is used, it could become manipulative and passive instead Education is a recurrent factor in empowerment of inclusive and active. Experience has shown that if processes. Education – either elementary or specialised participatory processes are to foster empowerment, – gives power to individuals as they can make decisions there is a series of elements to be included: access to with greater knowledge. An educated person is more information, inclusion in decision-making processes, capable of making an appropriate choice than a person and capacity of local organisation to present demands who is not. Also, knowledge allows them to demand to institutions and to see their accountability. accountability. Education therefore allows individuals to expand their knowledge. Personal Past experience has shown that not all current educational systems are adapted to users’ needs. This 1) Information and communication technologies creates major deficiencies in community development. This instrument enhances empowerment in multiple ways: access to services, improvement of governance Psychological and support to businesses. Above all, it allows victims to break free from isolation and integrate in the 1) Supporting groups community. If this is to become an effective instrument, it should be easily accessible to all and After a conflict, a widespread atmosphere of mistrust in and silence over each other’s vulnerabilities are the a changing, unstable environment such as a post- main characteristics of the most common survival conflict scenario.The process of creating, installing and strategies adopted by those who live in a violent and using these technologies should therefore include the uncertain environment. The result is social and participation of potential consumers. This would make emotional isolation, which reinforces fear. In order to the whole process more extensive and sustainable. stop this vicious circle, this tool can facilitate spaces in adapted to the needs of those who will be using it12 which individuals could express their feelings and fears. Financial sustainability is the main problem this While it is true that fear will not go away with this type instrument faces. A number of projects have been of groups, it is also true that it could become less initiated but no goals have been reached. One way to painful and more tolerable. It should be said, however, 12 For instance, it should be written in local languages, be visual, easy to understand and use, among others. that speaking overtly about traumatic experiences will not always be possible. It is then by using similar Empowerment in Practice: Post-conflict Scenarios December 2006 10 examples or cases in other communities that people due to the number of actors involved and their different feel free to talk about them and lose their own fear. interests and agendas. First, local organisations will Experience has shown that the most important need to be able to negotiate in order to serve as external support that a victim can have is to be heard. interlocutors between the state and the rest of civil society - this role could become questionable in conflict scenarios. Also, there seems to be some reluctance to 2) Mechanisms to cope with change in social roles include local governments in organisations when governments are corrupt and only represent the elite. These types of changes may become extremely However, this is necessary in order to avoid the creation disturbing for the people involved.They must learn new of parallel structures or dependency links between the abilities and endure new kinds of stress, which ends up community and the donors.There are formulae on how having an impact on their identity and self-esteem. to reduce obstacles: increase local capacities, These mechanisms could help, for instance, that a strengthen election systems, specify functions of local woman that has to be in charge of her family can do so governments, establish monitoring systems and without it causing any trauma, and that her new facilitate access to information. responsibilities can be translated into a higher level of empowerment. Social changes derived from losses – such as a father who can no longer be the main family support – are even more difficult to cope with. Empowerment will only work if the understanding of the loss entails some questioning of traditional roles, that is, if this change in roles is an issue to work on. III. Activities to promote empowerment according to groups of victims Organisational As previously indicated,13 acknowledging oneself as a 1) Local organisations conflict victim is a very personal and non-transferable task. It is not about someone trying to determine who This instrument transfers control of decision-making, is a victim or who is not. Victims themselves must do resources and services (water supply, creation of health so according to their personal judgement. This process services) to communities. Thanks to this, communities has two main goals: it is the first phase in the so- are development needed reconciliation process and the beginning of programmes. The current trend is to include local their own recovery. Acknowledgement is an essential governments in this process, since they play a key role internal phase and a basic element if they are to in ensuring the sustainability of this type of projects as become citizens with full rights and entitled to able to lead and manage well as in consolidating empowerment processes (both those of communities and of local governments). The challenges local organisations must face are multiple Development “In Perspective” 03 13 See ‘Post-conflict as Seen by Victims’, FRIDE Development “In Perspective”, December 2006. 11 participate in the public agenda.This is how they begin encouraging organisations; to providing legal help or to build their empowerment process. creating capacities to generate income. Victims can be categorised in order to facilitate the work, Ex-combatants without contradicting what has been previously said.The categorisation is not the same in all contexts and will vary Cooperation programmes targeted at this group of according to the characteristics of each context. It must victims can be targeted at promoting empowerment. also be borne in mind that apart from direct victims, There are many activities going in this direction such as: there are many sectors in society that suffer the facilitating access to information (on their rights and consequences of conflict even if they are not catalogued duties as ex-combatants, job opportunities and training); under any specific group. According to the categorisation creating discussion groups; facilitating mechanisms so already established,14 below is a series of activities that that all actors (veterans, wives, relatives) participate in promote empowerment specifically for each group. They the demobilisation process; providing psychological shall be used as a guide when planning intervention. assistance in order to overcome traumas; or integrating ex-combatants into reconstruction programmes. Women and girls Promoting empowerment of women could be done Relatives of missing or murdered persons through a series of specific activities such as developing strategies aimed at promoting the new role There are also specific programmes for this group of of women within the family (capacity-building, victims which increase their empowerment level and professional relevant take their vulnerabilities into account. Some of these information for the development of women, creating are: providing legal assistance to families; supporting mechanisms which allow women to join the labour organisations made up by relatives; encouraging the market or creating psychological support groups. creation of human right organisations; and providing training), disseminating psychological assistance. Refugees and displaced persons Tortured and political prisoners There are specific activities that promote empowerment of refugees and displaced persons, which There are also specific activities for this kind of victims vary depending on the phase of displacement These which increase their empowerment level.These include, activities range from analysing and supporting the among others: providing legal and political support so decision to leave; training them for the future; that the law is complied with; mobilising actors at facilitating mechanisms to overcome their past; and national and international levels; facilitating the support 14 Ibid. of victims during and after their imprisonment; or creating family support groups. Empowerment in Practice: Post-conflict Scenarios December 2006 12 © 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. 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