Empowerment:strategic concepts

and guidelines

Reflections and learnings Series

1 Introduction

By working on the issue of “Practices of Empowerment”, Asocam is respon-ding to the thematic demand of its members to create a space for reflec-tion based on practice. What we hope to accomplish by producing this document is to contribute clues and guidelines so that the implementation of development projects and efforts can help to create an environment that is conducive to expanding oppor-tunities and building capacity, so that people and their social organizations can become empowered to face the present and the future.

This publication addresses the topic from three thematic perspectives, seeking to describe and specify the different dimensions of the empower-ment approach and thus avoid falling into the trap of only discussing generalities. In order to achieve this objective, the content of the docu-ment has been structured around two guiding questions:

How have different actors managed 1. to empower themselves, and what have been the main factors leading to their success?

How have “promotion or service 2. institutions” (projects, NGOs, tech-nical assistance, financial, and tra-ining entities, etc.) and local gover-nments generated conditions that are favorable to reducing inequality and promoting the empowerment of people and groups in a position of vulnerability?

The main challenges of empowerment are to struggle against poverty, and to transform the relations of domina-tion which have resulted in certain

social sectors having fewer opportunities than others to control their own lives. To face these challenges, it is not only important to understand the causes that explain why some people and groups in society are more powerful than others (Sirker, 2002), but

it is especially important to discuss, debate and put into practice alter-native strategies that can contribute to achieving equality of opportunity, strengthened capacities and a more equitable distribution of the use of and access to resources and social services, in all cases promoting the expression and points of view of the least favored groups in decision-ma-king processes.

Other specific challenges with respect to empowerment are the incorpora-tion of the notion of citizenship in the social practice of different stakehol-ders, contributing to their awareness of their ability to exercise, demand and guarantee respect for the poli-tical, social, economic and cultural rights that all people deserve.

“Empowerment is a process that helps people and their organizations to be, do, and decide for themselves”. (COSUDE, 2004)

“Empowerment is a political and material process that increases the power of the individual and the group, their resistance and their capacity to act on their own”. (Ferguson, 1998)

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5. Economic empowerment

• Whatiseconomicempowerment?

• HowCanEconomicEmpowermentCreateConditionsFavorablefortheDevelopmentofSocialandPoliticalEmpowerment?

• Whatarethecharacte-risticsofanempoweredgrassrootsorruralorgani-zation?

• Howcanempoweredeconomicorganizationsbebuilt?

6.Contributionstomonitoringempowerment

1

3

5

7

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Contenido

Introduction

1.Whatisempowerment

• Differentperspectivesofempowerment

2.Empowermentandtheinte-rrelationsbetweenitspolitical,socialandeconomicdimen-sions

• Empowermentanditsdimensions

3.Socialempowerment

• Howcansocialempower-mentgeneratefavorableconditionsforstakeholderstobecomepoliticallyandeconomicallyempowered?

• Whatisanempoweredsocialstakeholder?

• Strategiestomakesocialempowermentoperational

4.Politicalempowerment

• Howcanpoliticalempowermentgeneratefavorableconditionsforsocialandeconomicempowerment?

•Whatisapoliticallyempoweredstakeholder?

• Processes,strategiesandtoolstomakepoliticalempowermentoperational

© ASOCAM, Quito, 2007

Asocam Reflections and Learnings SeriesEmpowerment: strategic concepts and guidelinesASOCAM-Intercooperation Technical Secretariat

Sponsored by COSUDE

The ASOCAM Reflections and Learnings series brings together the main conclusions from the process of study and the annual seminar on the topic. It is therefore a guide for developing strategies and actions in processes aimed at empowerment. The publication is aimed primarily at technical project teams and managers and institutions who work to support development processes in rural areas.

Authors: Crespo Patricio, de Rham Philippe, Gonzáles Glenda, Iturralde Pablo, Jaramillo Byron, Mancero Lorena, Moncada Martha, Pérez Artemio, Soria Carlos.

Editorial Committee:Carlos Soria G.Philippe de Rham

Photo credits: Philippe de Rhamwww.poffet.net

Text Editing: Martha Moncada

Editorial design: Verónica Avila . Activa

First print run: 1000 copiesReproduction is authorized provided the source is cited.Quito, 2007

Special thanks to the participants in the VIII Asocam Seminar 2005 who contributed many of the concepts presented here by the authors (the list of participants is included in this publication). Also, a special ack-nowledgement of the contributions made by the Preval team (www.preval.org) for their contributions to the chapter on empower-ment indicators.

2 3Introduction 1. What is empowerment?

Different perspectives of empowermentThe concept of empowerment emerges out of the feminist strug-gle, as a term aimed at identifying mechanisms and conditions for women to exercise equal power to that of men. “Empowerment is related....to power, changing power relations in favor of those who pre-viously had little authority over their own lives” (Romano, 2002).

“Today I dare to express and defend my opinion...I feel more secure” (Gonzales, 2005.)

Romano (2002) analyses the emer-gence of the concept of empower-ment in the light of the amplification of the notion of power. From this perspective, the concept is not con-fined only to power over resources (material, human, financial), ideals, beliefs, values and attitudes. There are other ways to exercise power, for example the power to do something (power as the creator of possibilities and actions); power with, which encompasses the sense that the whole is greater than the sum of its parts, especially when a group is facing its problems together (for example, men and women wishing to begin an economic enterprise); and the power within, that is the spiritual force which resides in each of use, based on acceptance and respect for oneself and others, considered to be equal. The exercise of these powers does not necessarily reduce the power of others; but it does imply changes in relationships with others.

Along the same lines, Batliwala (1993) defines power as having two central aspects: control over resour-ces (material, human, intellectual, financial, and internal resources), and control over ideology (beliefs, values, and attitudes. “If power means control, empowerment, therefore, is the process of gaining control” (Sen, 2005) by the people.

According to Rappaport (1990), the underlying notion of empowerment is an environment of conflict, the per-ception of a society made up of sepa-rate groups, each of which possesses different degrees of power and control over resources. Empowerment is interested in people who are excluded from society. As Carlos Acuña (2002) says: “If we talk about producing power, contributing to the construc-tion of power for an actor who today has none, we are talking about the inclusion of that actor autonomously in a process of decision-making from which they are now excluded. This process is distinctly political.”

Mauricio Garcia (2005) affirms that there are two kinds of empowerment, the first based on the delegation of power and the second on political representation. He defines the latter as “ascendant” because it is inspired by people’s participation in and dis-cussion of public affairs. This notion of empowerment is closely related to the concept of citizenship.

For Iturralde (2005), empowerment is focused on transforming asymme-trical power relations. In this way, empowerment comes in two forms: intrinsically, inspired by psychology, and externally, linked to the social world. The model corresponding to this point of view always implies a conscious option in favor of the poor:

Empowerment is the process of recreating oneself as an individual and/or collective subject...with the purpose of guiding society in accordance to one’s own interests. Empowerment is related to the concept of power, which repre-sents an idea belonging to the field of human relations which...are always social and political. (...)

In order to make progress in this direction, the technical teams of ser-vice organizations needed to promote and encourage efforts involving tea-ching/learning, deepening knowledge of and valuing the cultures, know-how and practices of different groups, their symbolic systems and rhythms of life; reflecting on and defining the roles, functions and competencies of each stakeholder. The technical teams have the challenge of streng-thening the organizational, economic and management capacities of the populations they work with and increasing their self-esteem, and in this sense, moving beyond pedago-gical techniques or facilitation tools, face the need to modify institutio-nal habits, attitudes and practices in terms of forging ties with social sectors and organizations, in order to establish relations that are respectful to the community and that encourage the target groups to take leading roles.

In working with stakeholders who are responsible for formulating and implementing policies, laws and bud-gets, the technical teams have the duty to educate and to lobby policy-makers to acknowledge the impor-tance of creating, maintaining and formalizing access to information, participatory structures for dialogue, consensus-building and debate; and forums to encourage accountability and to evaluate on a regular basis the fulfillment of obligations made by those in power (Sirker, 2002).

In this context, international coo-peration agencies, as well as non-governmental organizations have to delve more deeply into their role as “trainers and facilitators”. It is the grassroots organizations which should adopt an empowerment-focu-sed approach and demand the crea-tion of spaces for citizen participation and the fulfillment of their rights.

Recognizing the voices, interests and opinions of the population on which a project is focused has proven to be an important methodological and operational tool to strengthen the sense of social ownership with respect to a development interven-tion. In this sense, before designing projects that are highly innovative or alternative, it is important to support the consolidation of initiatives already underway. Adopting this kind of attitude has at least two implications: First, it implies recognizing and valuing the knowledge and practices of a particular community that they can use in their development efforts. Second, it presumes that projects will be designed and implemented in such a way that they address the demands of the target group and local requirements starting with their own inherent capacities and resour-ces.

Based on this conception, it is not possible to reduce empowerment to the achievement of economic, legal and personal changes that benefit excluded or poor segments of the population. On the contrary, empowerment should be unders-tood as a process through which the poor or vulnerable can gradually take control of their lives, taking part with other stakeholders in carrying out activities and creating structures that allow people to participate in the issues that directly affect them (Davis, Yuval cited by Ferguson, 2003). Empowerment should give rise to a new notion of power that takes on the shape of democracy, control of and access to the means of production, information, and partici-pation based on the construction of new paradigms of shared responsibi-lity, decision-making and duties, so that people begin to take responsi-bility for their own development. In this way, empowerment becomes a means and an end to achieve subs-tantial changes in the quality of life.

The text is divided into five parts. The first two chapters are more conceptual in nature. After a brief discussion on the origin and con-cept of empowerment in chapter 1, chapter 2 describes the three dimensions included in this process: political, social and economic. The three following chapters (3, 4 and 5) address each of these dimensions in a more detailed way. In addition to describing them, emphasis is placed on the relationships that are established with other dimensions of empowerment, the characteristics of the empowered stakeholders in social, political and economic terms, respectively, and some strategies are presented aimed at putting into practice each of the dimensions of empowerment addressed in the text.

This work is complemented with a set of annexes containing general methodological and operational gui-delines with respect to the indicators (Annex 1) and which describe the results and indicators that can be used in social, political and econo-mic empowerment efforts (Annexes 2, 3 and 4). The final Annex (5) is a list and description of the steps to take to build empowered grassroots economic organizations, intended above all to become a tool to support those organizations and technical teams that work on creating econo-mically sustainable alternatives using the resources, interests and vision of small and medium-sized producers.

We hope that this text can help to complement and enrich the debate on empowerment, while providing practical guidelines for carrying out development efforts that are focused on the stakeholders and populations involved.

ASOCAM Technical Secretariat

4 5What is empowerment?

Empowerment and its dimensions

2. Empowerment and the interrelations bet-ween its political, social and eco-nomic dimensions

There are three dimensions present in empowerment: political, social and economic (ASOCAM, 2005). This segmentation, rather than correspon-ding to objectively verifiable realities (without social empowerment there is no political empowerment, just as economic empowerment cannot work without social and political empowerment), is intended to be a pedagogical and analytical tool to use to understand the interrelation and levels of interdependence among each of the dimensions involved in empowerment.

Graph No. 1 illustrates these three dimensions in order to show the levels of complementarity and inte-rrelation that exists among them, and to provide some clues as to how to find the areas of intersection in which the relationship between the various dimensions becomes much more substantial:

Power is expressed through the control of certain fundamen-tal resources: economic, state entities, violence, ethical autho-rity, information and communi-cation, knowledge, organization and mobilization. Power is also expressed through the strength (capacities) and solidity (unity around a project, strategy and organization) of a collective sub-ject.”

Larrea (2005) links empowerment to the subjective sphere of power, in other words he does not focus on relations of economic and political domination, but rather on a social and personal dimension focused on change. Navarro (2004) also reflects on the leading role of stakeholders in empowerment. “Self-efficacy” is intimately related to psychology, that is, to the will and power that each person has to change their life

This concept of empowerment has some similarities with the passage from a non-reflective conscience in which the person is an object and lacks the ability to choose to a sub-ject that faces reality and participates in making decisions and transforming reality (Freire, 1990).

Soria (2005) observes empowerment as a means or strategy to contribute to democratization and the exercise of citizenship, in such a way that people are the leading actors in their own development. In this process, says the author, the State plays a key part.

In a broad sense, empowerment is defined as the expansion of the freedom to choose and act (www.worldbank.org).

From a basically individual point of view, or from a more social or political perspective, there would seem to be some coincidence in that empowerment is aimed at streng-thening and developing all sectors of society that are excluded or are in conditions of vulnerability.

While the testimony that appears in the box embodies empowerment in gender relations; it also reveals that it is a process aimed at people gai-ning and building power, not only in terms of access to material goods or services, but also of recognizing and affirming rights, points of view and opinions of people and social groups.

Now, to the extent to which social groups are not uniform and that there are marked differences between them due to ethnic background, age or gender, achieving empowerment implies developing strategies not only aimed at external stakeholders responsible for defining policies or enforcing rights, but also toward the interior of social groups and organiza-tions in order to foster and encourage horizontal, democratic relations that are respectful of differences.

Another risk involved with empower-ment is trying, from outside, to organize and motivate social sectors who truly or apparently share similar interests and needs to come together. When this is the case, empower-ment becomes a tool basically aimed at responding to the demands of external agents rather than a process generated based on endogenous motives, which implies serious diffi-culties for maintaining, consolidating and improving the situation of the groups which were supposedly to be empowered. When empowerment efforts are forced or imposed, there is even a risk of re-organizing the rela-tions of dominance within the social groups themselves. In order for empowerment to bring about positive changes that benefit the groups and organization with whom one is wor-king, it is essential to begin with their perspective and values (Ferguson, 1998).

“Iwasterriblyafraidofmyhusband.Ifhesaidsitdown,Isatdownrightaway.Ifhesaidstandup,Istoodupinstrictobedience.Arivolihaschangedallthat.Idon’ttrembleorshakeanymoreinresponsetohisbrutalmanners.Istandupandquestionhisautho-rity.Forme,‘Arivoliisspringtimeforwomen’.”

The words of Rani, a woman from the district of Pudukottai, talking about the effect that her participation in Arivoli, a program

of the Total Literacy Campaign, has had on her self-esteem (Athreva and Chunkath, 1996: 242-243).

Social empowerment:Strong, legitimate and

representative organizations

Strengthenedsocial organizations

of producers

Economicempowerment:

generating opportunities and autonomy

Economic stimulation andredistribution policies

Politicalempowerment:

governance,democracy and

citizenship

Social pressureand lobbying

capacity

Empowered socialstakeholders with greater capacity to influence public life

ImprovedQuality of life

Figure 1 / The dimensions of empowerment and their interrelation

6 7Empowerment and the interrelations between its political, social and economic dimensions

Social empowerment is a path with multiple dimensions and forms which involves the recognition of oneself as a subject with certain rights, the strengthening of the institutional fabric and the building of organiza-tions’ capacity to impact the different spheres of life, namely economic, political, cultural and institutional.

Strengthening the institutional and organizational fabric is at the heart of any economic or political enter-prise. It is related to institutional capacity-building, but it is more than that. It has to do with representation, functionality, and therefore the legiti-macy of the organizations.

Social empowerment, from a per-sonal perspective, is related to the construction of identity, the family, the community and institutions, also involving gender, the life story of each person and multiculturalism.

In order to understand the implications of social empowerment, it is necessary to pose questions like the following in different forums, such as the family, work and school: What do we want? What do we have? What don’t we have?

An organization is legitimate when it adequately represents its mem-bers, when it is able to define clear objectives and is capable of making

1 Chapter 6 presents indicators for monitoring and evaluating social empowerment.

progress Howard achieving them, when it generates credibility and trust among the people that it represents and the institutions that operate in the same environment.

This presumes that there are leaders who are accountable for their actions, who consult with their constituency, respect their members without and discrimination because of gender, age or ethnicity, and follow democratic procedures.

It also presumes that the constituents are informed, that they actively par-ticipate, that they are mobilized and committed and they do not shirk their responsibilities, and they exercise their rights and obligations within their groups and in the context in which they work. Social empower-ment strengthens what is known as human2 and social3 capital.

This implies the capacity and ability to design strategies, create propo-sals, forge alliances, embark upon negotiations, establish consensus and exercise social oversight in different areas.

2 Human capital is comprised of individual ability and talent, the capacity to be, do, and decide for oneself, the degree of training, critical reflection and education; the levels of health, leadership and individual values.

3 Social capital represents the networks of reci-procity, solidarity and mutual trust that exist in a community, which generally shares a vision of the future, proposals, attitudes, values, symbols, norms and elements of identity.

• Socialpressureandthecapacitytowieldinfluence:the intersection of political and social empower-ment shows how strengthened social organizations can increase their ability to lobby the holders of power, and create conditions so that their priorities can become part of the public agenda of the territory in which they operate.

•Policiesforeconomicstimulusandredistribution:the intersection between political and economic empowerment highlights the need for a change in economic policies in a given territory. It therefore implies the possibility that public policies (national, regional or local) incorporate strategies, programs, projects and resources aimed at supporting economic and produc-tive reactivation initiatives which benefit small farmers, micro- and small businesses and other expres-sions of the grassroots economy.

• Strengthenedeconomicorganiza-tionsofproducers:the intersection between social and economic empowerment suggests that in order to have influence and change power relations, it is indispensi-ble to have a strong social and economic fabric: associations of producers, associations of mer-chants, economic consortiums that bring together all players in a given production chain, etc.

The synergy among the three dimen-sions and the consequent effects generated in the areas of intersection favor the empowerment of social stakeholders who can expand their opportunities and build their capacity to improve their quality of life and reduce the poverty that they live in.

To the extent that quality of life can-not be measured only by increased income or the fulfillment of material needs, but implies having influence on those who have political power, achieving better conditions in which to create a dignified life, fostering participation in decision-making, the social acceptance and recognition of the interests and opinions of different social stakeholders and increased self-esteem, it is vital to interrelate the three dimensions of empower-ment.

The resulting effects and impacts from this process can be seen in three areas:

a) socially, through building values and practices like solidarity, collaboration, self-confidence, the promotion of women and the valuation of endogenous resources;

b) economically, as expressed in the reduction of poverty, the valuing of traditional methods of produc-tion, the promotion of sustainable businesses, better management of individual and collective respon-sibilities and the sustainable management of natural resources; and

c) politically through a greater parti-cipation in decision-making, the growing incorporation of women in positions of responsibility, an awareness of the individual and collective conscience and encoura-ging a sense of responsibility and social control.

Bobadilla (2005) goes even further when he says that empowerment makes it possible to access infor-mation, inclusion and participation, improve accountability and builds local organizational capacities. In Latin America, the achievement of these results has been possible, in many cases, within the context of the implementation of projects and programs inspired by empowerment.

In any case, the effects of empower-ment are related to a multiplier effect in which the results achieved in one context open up the opportunity for new developments; as well as a re-encounter or development of the potential for knowledge and actions, since the completion of a determined process or achievement expands the guidelines for thinking and acting in other directions.

3.Socialempowerment1

Social empowerment is aimed at building a solid social and institutional fabric that includes people and social groups and their organizations. It promo-tes the approach that the stakeholders themselves play the leading role in taking ownership of the challenges of development.

8 9

Personal and cultural self-recognition

Self-recognition deals with the person in relation to their immediate surroundings (spouse, family, school and neighborhood), and with the broader surrounding environment, namely local institutions and cultural group membership. In this way, it implies providing a response to ques-tions such as the following: Who am I? What are my capacities and com-petencies? What are my personality traits? How do I relate to others? In what institutional and cultural context do I live?

Self-recognition is related to psycho-logical, pedagogical, anthropological and social factors, as well as equa-lity of opportunity for men, women, people of different ages or social conditions or ethnicity.

Strengthening organizations

Empowerment is an essential con-dition for democratic governance. From the point of view of social organizations, working to streng-then organizations implies assigning importance to the capacity to in part-nership, negotiate, build consensus and exploit synergies among various stakeholders, which because of their closeness to the population may be better able to listen to and process demands and work together to define a vision that will benefit the common good.

This makes it possible to build “bottom-up” citizenship, develop a sense of belon-ging, and exercise indi-vidual and collec-tive rights and responsibilities,

based on the equality of opportunities and the search for improved quality of life and quality of public services.

From the point of view of public sector institutions, organizational strengthening requires, as a coro-llary, promoting citizen participa-tion, fostering co-responsibility and encouraging transparent and efficient management, in order to stimulate the construction of citizenship and respect for human rights “from the bottom up”.

By helping organizations to develop their capacity to be proactive and make proposals, and to learn to dialogue and forge alliances with other stakeholders, there are political and sociological variables that come into play. Figure No. 2, prepared by PADEM, summarizes the empower-ment scheme for rural/indigenous communities, based on the expe-riences developed in the Bolivian municipal context.

Social empowerment

In addition, social empowerment influences the economic sphere by promoting the construction of a social, regulatory and institutional environment that is favorable for productive enterprises and helping to improve the capacities of small and medium-size producers to take on the challenges of the market. The way in which the social dimension of empowerment affects the economic dimension can be expressed through at least five variables:

Encouraging small and medium-• size producers to build sustainable and competitive associations.

Helping individuals to • become entrepreneurs who are responsible for them-selves and move forward with their own effort.

Liking together networks • and mechanisms to improve access to markets, knowledge, technology and infor-mation.

Strengthening • the

mechanisms used to achieve influence in specific policies that can support production, which translates into a commitment on the part of public autho-rities to those goals.

The develop-• ment of infras-tructure, training services, technical assistance and funding mechanisms.

Social empowerment is a multidimensional process that includes the person, the couple, the family, the group, the community, the social organization, public and pri-vate institutions, the system of networks and alliances that make up the backbone of the social fabric, and the institutional and cultural context that is related with the social role and values of

the institutions in their context.

From there, empowerment can be approached from

three different levels: (a) individual, (b) direct environment and (c) institutional context.

Given this complex social structure of levels and relation-ships, the proposal here is to examine

empowerment from the three perspectives illus-trated in the following figure:

How can social empowerment generate favorable conditions for stakeholders to become politically and economically empowered?

What is an empowered social stakeholder?

With the development and strengthening of organizations, which involve people and fami-lies – social empowerment – the ability to influence policies and the exercise of public power – politi-cal empowerment – is improved, in an inclusive, participatory and democratic sense. This is pos-sible because social empowerment helps to strengthen political ele-ments like the following:

• Consolidation of shared values and practices that help to solidify and deepen democratic systems and build citizenship.

• Strengthening of representation by increasing the levels of trust and credibility with respect to the role that organizations play. This implies having organizations that can coherently and efficiently advance toward achieving the objectives for which they were created, resulting in their increa-sed legitimacy.

An increase in the capacity to • apply pressure and negotiate, making it possible for demands to be heard and included in public agendas.

Multiplication of conditions to • encourage alliances and build consensus.

The creation and eventual insti-• tutionalization of social oversight mechanisms.

Figure 2 / Perspectives of social empowerment Source: PADEM - Bolivia

Figure 3 / An example of the empowerment sequence

of rural and indigenous communities

Source: PADEM - Bolivia

10 11Social empowermentSocial empowerment

Achieving social empowerment implies putting into practice four strategies:

Personal and cultural development• Organizational strengthening• Participatory social Management • Cultural respect •

Strategy for personal and cultural development: the cycle of education for valuing competencies4.

“Formation for the valuation of com-petencies” is a method created by the EFFE, which begins with the recog-nition of “oneself”. An initial concept on which this method is based is that the person is a totality or integrity in relation to others as well as in relation to themselves. The dynamics of individuation and socialization are indispensible for full self-realization: the constitution of oneself is done in relation to others.

The method used begins by analyzing the history, personality and compe-tencies of the individual and conti-nues in a second phase to examine the processes of socialization and

4 Material used in this section was extracted from the presentation of Glenda Gonzalez of EFFE during the 2005 ASOCAM Seminar.

individuation. For this purpose, the direct environment is looked at (the couple, the family, the neighborhood, friends, school, co-workers) as well as the institutional and cultural con-text in which each individual carries out their daily lives (relations with institutions, cultural codes that exist where they live, the political context, etc.). The synthesis of the “formation for valuing competencies” is presen-ted in figure 5

This working approach transla-tes in to a series of stages called “awareness-raising and empower-ment toward autonomy”, which are detailed in table No. 1.

Strategy to promote the strengthening of social organizations: toward a policy of partnership and synergy

This strategy encompasses everything from the diagnostic assessment of capacities to strategic planning, providing training, the consolidation of democratic operating procedures, improving representation, legitimacy and internal cohesion and promo-ting a policy of cooperation and partnership with other organizations and institutions. The methodology and instruments to be used for this strategy will depend on the various areas of work of these entities, their

Strategies to make social empowerment operational

Participatory social Management and leadership

Taking an approach to participatory social management that is immersed in empowerment makes it possible to maximize social capital and increase the efficiency of the actions, pro-grams and policies that emerge, by helping to improve management and leadership abilities and encourage the use of tools for making diagnostic assessments, planning, monitoring and evaluation, as well as knowledge management methodologies, infor-mation and social control.

By engaging in empowerment from the perspective of social management and leadership, the communities and organizations are able to enhance their levels of participation and deci-sion-making regarding the problems and solutions that affect their lives. Local governments and other public sector institutions build their capa-city to evaluate the demand, carry out actions in a planned way and establish priorities in budgetary allo-cations, and put into place auditing and oversight systems. In this sense, this vision emphasizes how the roles of public and private institutions and civil society organizations interact and complement each other.

Figure 3 below illustrates the stages involved in empowerment based on a participatory approach to social management and leadership:

Knowledge and information

Appropriation of management cycles

Strengthening capacities for development

Figure 4 / Participatory social management and leadership of empowerment Source: PADEM - Bolivia

Process of socialization

Process of individuation

Self Immediate surroundings

Institutional context, society

Self Immediate environment The institutional context

•One’s story •One’s personality•One’s abilities•The person as a whole

•Family•Neighborhood•Friends•Co-workers

•Role in relation to existing institutions•Characteristics of the times•Culture and political events

Figure 5 / Relations between the processes of individuation and socialization

Source: EFFE. Cycle of formation for the valuation of competencies. 2005.

characteristics and their own organi-zational culture.

Within the realm of inter-institutional relations, an organization can be located along a power axis, or can simply occupy an irrelevant isolated space: the space that an organiza-tion can occupy is represented in Figure 5, which illustrates three types of situations: an organization can be very isolated and lack any links with other similar entities (pink). On other occasions, organizations can develop lots of linkages and a great capacity

for synergy (light blue), or on the con-trary, maintain “closed” relationships with a set of similar organizations (red), which may translate into a the formation strong group but is not functional for establishing connec-tions and linkages in a broader institutional context.

Participatory social management strategy

From the point of view of its capa-cities, any social organization runs the risk of stagnating, experiencing a

Table 1 / Stages of awareness and empowerment toward autonomy

Effectsidentifiedat three levels

Personal Institutional Atthelevelofthesocietyandcontextinwhich the person operates

Balance between the personal process and the functioningofthegroup

Me, my identity, my cul-ture. Me, my history, in my context, appropriating the sense of one’s life.

Revaluing (endogenous) knowledge, capacities, potential competencies.

Valuing the collective competencies of association, developing projects, mobilizing additional support.

Training for trans-ferring the method

Being aware of oneself, the context, the sense of one’s actions. Acknowledging one’s interests.

Breaking down internal and exter-nal obstacles in order to pursue collective interests.

Stimulating the social fabric (effects at the social, economic and political level) through confidence and taking ownership of one’s actions.

Adapting the method to each audienceandcontext

Acting, deciding on actions, building or develo-ping a process.

Taking into account institutional interests.

A multiplier effect through the transfer and replica adapted to different contexts.

Autonomyinpractice

With stakeholders, without acting for them or over them.

Transmitting to one’s environment a conscious way of functioning through common actions.

Facilitating a re-encounter with or develop-ment of potential knowledge and actions.

Source: EFFE. Cycle of formation for the valuation of competencies. 2005.

Figue 6 / Different spaces that an organization can occupySource: EFFE. Cycle of formation for the valuation of competencies. 2005

12 13 Social empowermentSocial empowerment

mena like the gradually loss of social homogeneity, temporary migrations, school education and others. They must also confront new challenges like the decentralization of the State and other political reforms.

Many organizational practices should change and evolve to better respond to those challenges. Nonetheless, an elemental methodological princi-ple suggests that the communities themselves should be the ones who decide on the pertinence, the oppor-tunity, the mode and rhythms of that evolution. This implies that a project interested promoting empowerment must work with and out of the exis-ting organizational structure instead of artificially creating their own sepa-rate spaces.

Strategy of cultural respect

Encouraging participation and organizational robustness involves respect as a fundamental value. Respect must be extended to all cultural manifestations, particularly the organizational practices, language and the diversity of local customs and uses. Doing the contrary would be to continue with discriminatory practices frequently masked as modernization projects.

In conducting feasibility studies for and designing of programs and projects, it is usual to pay special attention to economic and financial aspects, at the expense of other varia-bles like socio-political conditions, the characteristics of the popula-tion, and the predominant uses and customs. Only a study that pays attention to the particular background and experience of social stakeholders, the context in which they operate and their organizational responses can avoid the appearance of eventual conflicts among the prevailing orga-nizational and cultural philosophies and the proposals put forward.

Cultural respect brings with it the rejection of prejudice toward other cultures and of the fundamentalism of certain indigenous discourses which only exalt the attributes of native cultures. To the contrary, cultural respect assumes that cultures are historical constructs that evolve and change incessantly to respond to variable situations. Cultural respect is recognition of the fertile potential of multiculturalism.

Exclusion and marginalization are frequently expressed in the absence of information and the deprivation of the voice and visibility of large social groups and sectors. Therefore, a process of empowerment cannot be separated form the democratization of communication and information processes, which is equivalent to pro-posing the democratization of society itself and the redistribution of power.

Following are some guidelines for how to institute cultural respect:

✓ Create interpersonal spaces where experiences are exchanged and shared, and participants reflect on the objectives and strategies of a determined action or project.

✓ Establish horizontal and two-way information flows: from and toward communities, and from and toward other stakeholders. .

✓ Include the demands and propo-sals of social organizations in the public agendas at different levels.

✓ Use and combine different means of dissemination to complement each other, inclu-ding traditional means and those which make use of new informa-tion and communication techno-logy (ICT).

Some culturally respectful attitudes and efforts demonstrated by institu-tions can include the following:

“During events, speak the native language of participants, espe-cially when they are not fluent in Spanish. Make the effort neces-sary to understand the logic of the other and do not assume one’s own logic as the only option. Respect the cultural know-how and knowledge of the group and the importance of the symbo-lic and the affective, in order to facilitate the construction of new knowledge. Ensure that social and cultural changes are the decision of the Group or community, not the institution that is coming from outside.” (Bischof, 2005).

crisis and even disappearing if it does not maintain its “representation and minimum levels of consultation in decision-making; if it does not fulfill the function for which it was created and if does not have enough power to defend the interests and expec-tations of its members” (Llona and Soria, 2004). From there emerges the need to carry out actions that are intended to strengthen the social management of organizations. For example, methodologies are nee-ded to encourage accountability and collective oversight, procedures aimed at improving information flows among the various stakeholders, as well as methods and instruments for improving the processes of plan-ning, implementation, follow-up and evaluation.

In order to make progress in this direction, the following paragraphs contain a set of recommendations aimed at strengthening participatory social management:

Self-sustainability • is a key ele-ment. This means that the growth in capacities should be aimed at ensuring that the organizations can develop alternatives to sustain themselves and sustain their initiatives and proposals with the means that are within their reach, or within the framework of public policies which are designed and implemented in response to advo-cacy efforts carried out by the orga-nizations themselves. The support that they receive from cooperation projects and agencies must be only of a secondary and transitory nature. Not following this path means a return to the practices of dependence on outside aid which, instead of resulting in empowered and autonomous social organiza-tions, generate more entrenched dependency and artificial results that break down the moment that the external assistance is reduced or withdrawn.

Considering the importance of self-sustainability, it should be propo-sed as one of the main objectives

of any enterprise, and included as one of the primary indicators to be closely monitored and evaluated.

• Inter-institutional coordination is another essential aspect. No local forum, no matter how small, is an empty space. In all of them there are multiple and varied stake-holders: from those which are organized temporarily to address certain demands to those which involve a prolonged and sustained experience of organization; from local government entities with different attributes, responsibilities and resource to non-governmental organizations, churches, compa-nies and the sectoral offices of central or provincial governments. These stakeholders can collaborate and interact to the extent that they recognize and value each other’s existence, are open to dialogue and to building a common vision, and take into account the different and complementary roles that each can play. Key tools for this purpose are the information made available in a transparent way and the role of convener and coordinator that the local authority should play.

• A third recommendation is related to the need to encourage active and balanced participation that is efficient and effective. Frequently, the criteria of efficiency and efficacy are associated with the

Despite the many cultural differences, rural and indigenous communities in the Andean region of South America have very similar traditional organizational practices.

“1. The base of community organization is the family, not the individual, and grounded in land tenancy. The man is normally responsible for representing the family.

2. Decisions are made in assemblies or councils, generally by consensus and not voting.

3. All community members at some point will occupy a leadership position under the principle of rotation (generally annual) in the appointment of community authorities.”

(PADEM, 2005).

business world, while they are lar-gely ignored in public institutions. It is also common for participation and efficiency to be treated as contrary and mutually exclusive elements, as it is assumed that only hierarchical structures are capable of achieving results in determined time periods and at the lowest possible costs. The great challenge for social management is to make those aspects compatible with each other through the clear definition of objectives and targets, promoting participation, and appropriate and transparent oversight and accoun-tability mechanisms, among other strategies.

• The tools of monitoring and evaluation have special importance in social leadership. They should measure the degree to which results and impacts were achieved, using quantitative measures while not ignoring qualitative aspects, using participatory methodologies that make it possible to analyze and process any proposed adjustments or changes needed with all relevant stakeholders.

When putting a participatory social management strategy into place, it is very important to take into account the existing organizational culture. These organizational forms, no matter how deeply rooted they are, do not remain unchanging in the face of new pheno-

14 15How can political empowerment generate favorable conditions for social and economic empowerment?

What is a politically empowered stakeholder?

Political empowerment, by encoura-ging, legitimizing and institutionali-zing spaces of participation, accoun-tability and consensus-building sustained by information flows and transparent practices, promotes social empowerment. By encouraging horizontal dialogue among diverse stakeholders and promoting the formation of citizenship, creating awareness of rights, duties and the capacity to take initiative, facilitates the social empowerment of those stakeholders. Social empowerment is also strengthened to the extent that political empowerment is a powerful tool to encourage the emergence of new leadership and to take popular mandates and transform them into public policies by engaging in advo-cacy efforts.

From the side of economic empower-ment, there are also factors which, based on political empowerment, help to consolidate autonomy and generate jobs and economic oppor-tunities for the population. In this sense it is especially important to design and implement public policies that promote economic revitalization and include econo-mic incentives intended to improve the situation of excluded groups or crossed subsidies that favor equitable economic growth and development.

In terms of capacity-building and fostering consensus, political empowerment is a potential way to disseminate information and provide tech-nical assistance to economic organizations of producers as a way to generate territorial economic development as well as to encourage dia-logue among public and private stakeholders in an effort to build common economic and productive visions with respect to a given territory.

4.Politicalempowerment5

Power is present in all human rela-tions -- between people, families and communities – and can be acqui-red by developing one’s capacities (Acevedo, n.d.). Nevertheless, the power asymmetries that exist in most Latin American societies have excluded significant social groups from access to decision-making, participation in the definition and implementation of public policies and from defining priorities that affect their lives.

5 Chapter 6 contains a proponed set of results and indicators related to political empowerment.

From this perspective, political empowerment emerges as a process aimed at enabling social sectors that have endured exclusion, discrimi-nation and poverty to effectively contribute to changing these circums-tances, seeking to balance power between public authorities and the citizenry by establishing forums for participation and legitimate rules of the game that can guarantee inclusive and representative gover-nance for the effective solution of conflicts related to the strengthening of the democratic system. Political empowerment is the antithesis of paternalism (CEPAL 2002).

From a political point of view, empowerment is especially relevant, since the inclusion of vulnerable groups does not only involve streng-thening their organization (social empowerment) and more effectively incorporating them into the circuits of production, markets and con-sumption (economic empowerment), but also their active and deliberate participation in the spaces of power and public decision-making. “It is a systemic concept, which holds that when the power to make decisions and exercise control increases for those who never had it before, the system is transformed (...) inevita-bly.” (Perez 2005).

One requirement for people and their organizations to occupy a place in the spaces of power is to reinforce their exercise of citizenship. Promotion efforts, then, must be aimed at making excluded people aware of their rights and responsibilities, and of the fact that they belong to a political community with the capacity for taking initiatives to resolve the problems facing the community.

In addition, as Perez (2005) points out, political empowerment makes it possible to relate the local with the global, as it places people in a broader context than that of their family or community.

The processes of political empower-ment which manage to balance power at the local level, facilitate trust-based relationships among individuals and their organizations and between the state and society, which in turn generates social capital that promotes local socio-economic and political development, resulting in improved capacities for negotiation with regional and national political entities for access to resources and respect for their rights.

Political empowerment is aimed at transforming exclusive power relations so that social groups can make decisions related to impro-ving the quality of their lives in a democratic and equita-ble way.

The political level, building capacity to analyze and mobilize the social milieu in order to produce changes.

The social and economic level, related to the participation in community organizations and networks and the importance of having an income that allows for an autonomous and indepen-dent life.

The psychological level, related to the development of self-esteem and self-confidence, necessary for good decisions-making.

The cognitive level, which involves the awareness of reality, Rights and responsibilities, and power relations.

Figure 7 / Levels of political empowerment6

While socio-political processes are not a like an escalator that ascends step by step, it can happen that there are times when power is accumu-lated and can increase the levels of empowerment. The speed of this ascent is influenced by the exercise of citizenship and the leadership that is forged within social organizations.

Figure 7 shows how political empowerment is more a result of prior processes rather than a prerequisite. In order to achieve politically empowered agents or organizations, there must be people who are aware of their rights and responsibilities, who have informa-tion on the existing power relations and confidence in themselves.

So, a stakeholder who is empowered in political terms is one which has accumulated a set of abilities, values, attitudes and aptitudes which will allow them to successfully participate in forums of discussion, debate and decision-making; and who has the capacity to analyze reality, formu-late proposals, mobilize others and produce significant changes in power relations.

6 Graph presented during ASOCAM seminar by Artemio Perez (2005)

16 17Introducción Political empowerment

The exercise of citizenship

Co-management

Planning

Political will

Common agenda

Account-ability

Information and Communication

Linkages with other entities

Organizational strengthening

Legal framework

Political framework

Awareness-raising and information

Political empowerment

Organizational and institutional • strengthening: the basic elements of political advocacy (information + awareness-raising + will) con-tribute to institutional and orga-nizational robustness, in such a way that the different stakeholders are in a position to push for the desired changes.

Build a common vision and • agenda: it is necessary to establish the entities or spaces necessary for consensus-building or dialogue in order to build a share vision and agenda, the only way to deepen democratic governance.

Participatory planning:• by having a platform for consensus-building, stakeholders are prepared to engage in processes of planning and preparing participatory bud-gets.

Joint action:• implementation should be done through participa-tory mechanisms. In this way, one can ensure that the empowered stakeholders are co-responsible for the entire cycle of public mana-

gement; however, for the sake of efficiency, this does not replace or free the public servant or democra-tically elected authorities from their responsibilities.

Accountability, public oversight, • monitoring and evaluation: political leaders must be accoun-table for what they have done, people must organize to oversee those actions, and in general all empowered stakeholders should create institutionalized democratic and participatory mechanisms for monitoring and evaluating public administration.

The critique of neoliberal models which favor market values over the common good is based on the fact that the former undermine the rules

of the democratic game by suppo-sing, mistakenly, that democracy can be reduced exclusively to the delega-tion and representation of power.

In order to achieve democratic gover-nance, the only appropriate solution is to harmonize representative and participatory mechanisms.

“Everything indicates that citizen participation that is linked to but does not replace representation becomes the source that feeds democracy....participatory proces-ses cannot be thought of inde-pendently from the processes of representation; rather, linking the two together demands joint reflec-tion and proposals for action.” (Gomariz, 2005).

Processes, strategies and tools to make political empowerment operational

A social or economic organization is empowered in political terms when it manages to democratize its interior leadership, when the power structu-res incorporate the interests that the organization defends in the public agenda, when consensus-building processes include people who histo-rically have been underprivileged on an equal footing. An organization is also politically empowered when it is engaged in policy advocacy, agreements and alliances with other sectors, lobbying mechanisms and strategic management tools that help to democratize power.

Political empowerment (ASOCAM, 2005) can strengthen democra-tic values and help to create the conditions necessary for human development. It was not in vain that the former Secretary General of the United Nations, Kofi Annan, decla-red that “Democratic governance is perhaps the most important factor in eradicating poverty and promoting development” (Chediek, 2006).

This situation is possible because the articulation of political empowerment strategies generates four interrelated processes, the dynamics of which are presented in figure 7:

• Innovation in institutional and legal frameworks

• Changes in public policies

• Develop information and commu-nication flows

• Create linkages, alliances and networks with other entities.

The strategies for political empower-ment include the following:

Strengthen the exercise of citi-• zenship: Excluded people have to overcome their fear, weaknesses and ignorance of their Rights and responsibilities, as well as reinforce the sense of belonging to a political community in which they can participate.

Awareness-raising and informa-• tion: people and groups must be properly informed and aware of the content and progress of a determi-ned policy advocacy initiative.

Consolidate political will:• strate-gies are needed to promote and strengthen the political will of the authorities. But this does not emerge spontaneously. The autho-rities have initiative when they can sense the returns of a certain action and when they feel enough public pressure on a certain issue.

Figure 8 / The inter-connection of political empowerment

There are instruments and Tools which have proven to be successful for many groups and communities: participatory budgeting, development planning, capacity-building, risk maps and accountability mechanisms. The creation of public spaces for debate, participation, citizen oversight and con-trol are linked to the practice of democracy. An example of the use of these instruments is the case of Alvorada.

“The participatory budget is organized through participation and direct representation of the population, through popular assemblies and the councils of delegates and councilors. Alvorada was divided into 11 regions, based on the cultural, socio-economic and historical characte-ristics of each neighborhood. The participatory budget is self-regulating through those who participate in the process, discussing the internal rules and defining a series of principles and procedures at the beginning of each year.

There are three fundamental reasons why the participatory budget is a success in Alvorada: the government’s commitment, the capacity and willingness to invest, and the organization of the social fabric”. (Farias, 2001).

18 19Political empowerment 5. Economic empowerment9

Because of existing inequalities, asymmetrical access to the means of production, uneven patterns of consumption and the profound differ-ences in the distribution of income, in Latin American countries, it is unfor-tunately not always those who work more who can enjoy relative economic security that allows them to make decisions and build a dignified life. It is common for those sectors of society living in poverty to pay more for basic services, sell their services or what they produce at prices below their true value, or become immersed in a practically endless spiral of debt.

This situation, and the resulting increase in inequality and poverty that many countries in this region are fac-ing, has forced governments to begin to think about including economic pol-icy variables that can help to empower those groups. In this sense, in recent years there has been a growing con-cern for promoting a more favorable environment through public policies aimed at improving the economic situation of the most underprivileged groups. Unfortunately, many of these policies continue to be subsumed to a welfare-like, temporary and even cli-entelist approach, like the distribution of direct contributions to people in the lowest quintiles of poverty or subsidies for certain goods and services. The search for situations aimed at improv-ing the economic situation of the poor has been developed on the basis of processes in which the beneficiaries have been considered the victims of poverty, in need of state help and not as the possessors of rights.

9 The results and indicators proposed for economic empowerment are presented in Annex 4.

In light of the lack of timely and sustai-nable state responses, the small-scale business and agricultural sectors have begun to develop strategies aimed in part at effecting an equitable distribu-tion of wealth, achieving better working conditions and more recognition for their work or developing and implemen-ting economic reactivation strategies, elements which together are related to the possibility of influencing public poli-cies. At the same time, these sectors have begun to embark upon alternative economic enterprises as part of their household survival strategies, to coope-rate with the fight against poverty and build a new kind of social development with equity.

Table 2 / Tools that can be used to further political empowerment strategies7

Components Tools

Strengthening the exercise of citizenship

Workshops.

Socio-dramas.

Campaigns.

Awareness-raising and information Radio programs.

Newsletters, brochures, videos.

Community meetings.

Political will Lobbying.

Communication.

Organizational and institutional strengthening

Leadership development.

Leadership courses.

Organizational assessments.

Institutional changes (new paradigm).

Building a common vision and agenda

Consensus-building roundtables.

Management committees.

Expanded assemblies and town hall meetings.

Parliamentary procedures.

Participatory planning Strategic plans.

Participatory budgets.

Joint management Plan for providing accompaniment.

Plan for providing technical assistance for implementation.

Accountability, social oversight, monitoring and evaluation

Methodologies to ensure accountability and social oversight: the creation of entities, oversight committees, observatories, etc.

Establishing systems of monitoring and evaluation.

Participatory innovation nuclei8.

Common agenda Strategic objectives.

Priority work areas.

Coordination with local and national stakeholders.

7 Adapted from the table developed by the political empowerment group at the ASOCAM Seminar (2005: 19).

8 These nuclei, invented by German philosophers Peter Dienel and Hans Haras, have been applied successfully in various European countries in order to adjust or correct certain public policies.

20 21Economic empowermentWhat is economic empowerment?

Economic empowerment is a pro-cess aimed at building capacity and increasing opportunities for small rural or urban producers to improve their quality of life and have access to the factors of production and services in order to develop their competitiveness and participation in the marketplace, as a way to increase income and generate productive employment10.

Putting this process into motion requires creating a series of conditions that will allow community-based or rural companies and organizations to improve their economic status and position themselves in the market.

One of these conditions is associa-tion as a mechanism of cooperation between small and/or medium-size producers that can take on the form of a micro-enterprise. Creating an asso-ciation implies that each participant, based on their shared missions and visions, commonly maintaining their legal independence and managerial autonomy, participates voluntarily in a joint effort to achieve a common goal that will lead to greater levels of profi-tability, efficiency and organization.

Some of the benefits of creating associations range from improving conditions for access to credit and carrying out shared purchasing and marketing efforts, to researching a given problem and addressing the different stages of the business cycle: design, planning, production, processing, marketing and selling.

10 While all dimensions of empowerment must include the search for equality of opportunities for men and women, in economic empowerment, the existing differences are perhaps more visible than those in other dimensions. It is almost universal that in the labor market, women have higher rates of unemployment than men, or their wages are lower; in addition, the fundamental role that they play in domestic activities, caring for and protecting their children (household reproduction in general) is not socially recognized nor valued.

The importance of economic empowerment is based on the right that every per-son has to live with dignity, which requires, among other things, money. If one reali-zes that the lack of money intensifies dependencies of all types, it is easy to con-clude that a person who enjoys relative economic security is more able to con-trol their own destiny and exercise greater autonomy. To this extend, economic empowerment should help to expand opportunities for all people to support themselves and their families through their own efforts.

Empowerment is intended to facilitate development processes that are capable of generating sustainable alternatives which do away with economic, political and social systems that lead to exclusion and poverty.

capacities of the partners as well as the availability of technicians and researchers.

Financing• : This is the money that associated or cooperative busi-ness ventures receive to make the investments required to operate the business and acquire the means of production.

Business • administration or management: This is the capacity to organize, process information, make decisions and oversee the steps needed to respond to the changing conditions of the surroundings and the dynamics of the business, in order to effectively coordinate the interaction of all economic factors.

Proper insertion in the market is also fundamental for gaining economic power, and becomes a determining factor for the sustainability of a busi-ness (ASOCAM, 2005: 29). If the business is properly anchored and is responsive to specific demands, with attractive prices and competitive advantages for small producers, its chances of success increase.

This implies forging wider and wider economic and social relationships in order to provide lasting employment and income, with the recognition that economic relations are not limited to closed geographical spaces, but rather involve constant mobility and complementarity between urban and rural, formal and informal. “In a number of cases, for instance, it has been shown that the “closed door” style of project management has led to prioritizing a certain offering of products without taking into account current and future demand trends, at times resulting in an excess supply of products which impedes the recovery of one’s investment, and at other times the frustration of producers who are unable to sell their products on the market” (COSUDE, 2004).

Being integrated into the market represents a certain amount of security for the members of an association, as they make it possible

to obtain various kinds of benefits: income, services, security, etc., as a reward for their efforts and inves-tments. There are at least four factors that impact commercial integration:

• Stable insertion into differentiated markets (with different market segments)

• A supply of products with competi-tive advantages.

• Innovation, value creation and ongoing quality development (ASOCAM et al, 2006)

• Improved access to information on market trends, pricing and inputs, so that small producers can adapt and better respond to changing market scenarios.

In addition to properly inserting oneself into the market, economic empowerment demands developing the competitiveness of grassroots or rural economic organizations. Competitiveness should be understood as the ability to maintain competitive advantages vis-à-vis other companies, in order to reach, sustain and improve ones position in the market and in the socio-economic environment. Competitiveness has two levels, one internal and one external. Internal competiveness refers to the capa-city of the organization to achieve maximum return from the available resource (personnel, capital, materials and ideas) and the processes of trans-formation. External competiveness, on the other hand, has to do with achieving success in the market or in a specific economic sector.

Competitiveness is created and achie-ved through a long process of lear-ning and negotiation among groups that make up the organization or are related to it: members, the leadership team, workers, customers, public ins-titutions and society in general. There are certain actions or approaches that can reinforce competitiveness, like continuous improvement, constant innovation, monitoring and adapting to changing demand, the availability of business development support ser-vices and productivity enhancement policies.

One of the approaches that helps to boost competitiveness is that of value chains, which refers to the need to build connections and alliances with the different links that are involved in a determined economic activity: suppliers, producers, merchants, pro-cessors and consumers, to overcome the fragmentation that has normally characterized the different areas of the production – sale – distribution – consumption cycle. By connecting these links together, the businesses involved can optimize costs and enhance their production innovation capacities in order to maintain a competitive position in the market.

Nonetheless, value chains cannot be looked at statically, but must be regarded in their dynamic complexity. To the extent that the competitive advantages are blurred and mar-kets and preferences are changing, grassroots and rural economic organizations need to put into place change management strategies that are expressed through continuous technological, commercial and insti-tutional innovation.

In addition, it must be recognized that belonging to a value chain does not necessary imply participation under equal conditions nor an equi-table distribution of benefits. These chains are affected by different and even contradictory interests, as well as asymmetrical power relationships. Thus, the control normally exercised by the “leaders” or those in power must be broken in order to generate a cooperative attitude among all links of the chain, based on a vision of complementary efforts, convergent objectives, work done in association and increasing levels of trust.

Beyond all of the conditions des-cribed here, access to economic empowerment requires, in a funda-mental way, the inclusion of small productive initiatives in social and economic public policies linked to the generation of new regulatory legal-regulatory frameworks for investment, subsidies and incentives.

The main characteristics of an associative business arrangement are the following:

1. It is an economic business orga-nization that seeks profits and benefits for its partners, men and women, and which functions by way of efficient and functional technical, administrative and lea-dership practices that are appro-priate for its context.

2. It is a representative social organi-zation, since the relationships that are established between its mem-bers are characterized by solidarity, cooperation and reciprocity, regar-dless of any competition or conflict that may arise. AT the same time, it is an organization that represents the demands and interests of its members in interactions with other external stakeholders.

3. It is a working unit in which each member contributes to the common objective for which it was created.

Working in association, in addition, helps to energize and optimize the use of the econo-mic factors that can develop a business11. Among these factors are the following:

Labor• : This is the mental and phy-sical force exerted by people in the different operations of the business to modify raw materials or generate a service to meet a demand.

Material • means of production: These are the physical elements – raw materials, land, water, faci-lities, machinery – which are part of the process of commercialization and processing.

Technology• : this refers fundamen-tally to knowledge and know-how that is used in production and commercialization procedures, which generates innovation and is constantly being formed and re-formed. It implies the installed

11 Classic economics only considered three factors of production: land, labor and capital. Currently, knowledge and technology are also often included, whether as independent factors or as element linked to labor and capital, respectively.

22 23Economic empowermentWhat are the characteristics of an empowered grassroots or rural organization?

How Can Economic Empowerment Create Conditions Favorable for the Development of Social and Political Empowerment?

Table 3 / Characteristics of empowered associative businesses12

From the perspective of strengthening the economic initiatives of small-scale producers, the social and political dimensions of empowerment are very important. It can even be said that economic empowerment is not possible without social and political empowerment, and vice versa.

Economic empowerment can contri-bute to social empowerment on the basis of five strategies:

• Successful associative economic initiatives provide organizations and communities a solid economic base on which to sustain growth.

• Expanding and strengthening trust, motivation and a sense of belonging among members of an organization are the cement that improves relations among them as they seek collective benefits that complement their individual aspirations and interests.

• Encouraging participation and its inclusion in organizational princi-ples strengthens negotiating capa-city vis-à-vis the market and gives more weight to the community and the social organization.

• Building and strengthening specialized capacity in the tech-nical, administrative and financial aspects of negotiation and marke-ting helps increase the capacity to adapt to changes demanded by the market and the environment

• Taking advantage of local potential helps to revalue the know-how that communities already have, along with their social identity.

The relationship between economic and political empowerment translates into the design and implementation of public policy advocacy processes intended to create and/or modify the environment so that it benefits the economic activities of small-scale producers. In this regard, at least three strategies can be identified:

• The development of small-scale

producers’ businesses motivates the establishment of a regulatory framework based on the demands and participation of organized pro-ducers. Governments can support the economic initiatives of citizens by promoting, not hindering, their efforts on their own behalf. This type of assistance is based on the understanding that work is a right that should be respected and that society has the obligation to create an environment that enables such work.

• The creation of new public institutions that promote rural and community-based economic organizations within the framework of value chains, especially in local environments (local economic development)

• The search for participation to influence in the preparation of budgets and public investments as well as the implementation of plans, programs and projects to assist rural and community-based economic organizations

During a workshop attended by small farmers who belonged to associative businesses and tech-nicians who were supporting those businesses, participants defined empowered economic organizations in the following way (Iturralde, 2005):

“A rural economic organization is empowered when it generates economic and social benefits,

thanks to having integrated itself into the market, and develops a business-oriented organization, which makes it possible to pro-perly manage its business, using strategic business administration, operational and monitoring tools, guided by a shared vision of the future, created in a participatory way, capable of communicating and interacting with its surroun-dings and governed by a set of

values that encourage a harmo-nious relationship between people and their surroundings”.

A number of elements emerge from the above definition: socio-economic benefits, market integration, busi-ness organization, business adminis-tration, tools, a vision for the future, information and communication, values.12

12 Taken from Iturralde, 2005.

Socio-economicbenefit

Part of the revenue earned by associative businesses is distributed among all Partners with equity and fairness. The leftover percentage should be used to finance priority social investments that can help to improve the business.

The existence of economic benefits presupposes having committed and responsible people operating and leading the company.

Insertion in the marketThis not only implies the sale of products, but a marketing process Ahmed at identifying competitive advantages using strategies like marketing studies, product differentiation, market segmentation and the development of specific customer niches.

Tools

The firms have methodologies and instruments that are adequate for guiding strategic and operational management, monitoring, evaluation and oversight, which have been designed in a participatory way by all partners.

BusinessadministrationThis requires the availability of people with the capacity to achieve self-management, profitability and sustainability. The people involved must develop, in this sense, the capacity for leadership, set-ting directions and executing plans, and have the abi- lity to hire support ser- vices to improve busi-ness manage- ment and develop- ment practices.

Business organization

Within the organization there is a clear division of roles and functions at the executive, managerial and operational levels, and there are clear and enforceable policies and regulations, which are abided by universally by all company units and associated people.

Visionofthefuture

Members of the business know clearly what they want and have managed to build a shared vision of their future. They have a strategic plan designed by all members, which does not stay filed away but serves to guide everything the company does on a day-to-day basis.

ValuesThe members share a series of qualities:

A desire to serve•

Teamwork, overcoming • individualism

Honor, honesty, truth•

A willingness to learn and • contribute for the benefit of all

The ability to strive for a • common interest

Ama shwa, ama killa, ama • llulla (no stealing, no lying, no laziness)

Entrepreneurs and inno-• vators

Development of ownership, • identity, loyalty

Self-esteem and confidence • to move their company forward

The ability to resolve • conflicts

Information and communicationThere is an adequate flow of information that provides feedback among the different levels (leadership, managerial and operational). There are also systems in place for communicating with people and institutions from the surrounding area in order to share experiences (successes and failures), thus providing critical contributions for how to improve business practices.

24 256.Contributionstomonitoringempowerment

How can empowered economic organizations be built?

The systematization of multiple experiences of the economic organi-zations of small farmers and rural or urban associative businesses makes it possible to establish a few strategic guidelines for promoting economic empowerment.

The stops listed below13 are not intended to be followed in a linear or mechanical way, but rather they are dynamic, inter-related and there may be overlaps among them, depending on the level of development of the economic enterprises of small far-mers, their internal dynamics and the characteristics of the market and the local/regional context.

13 These steps are discussed in detail in Annex 1 of this document.

Identify the potential of small 1. producers in a given territory

Develop an idea for a business or 2. economic enterprise

Market opportunities survey3.

Feasibility analysis: social, tech-4. nical, financial, environmental

Enhance and strengthen business 5. organization

Conduct production chain analy-6. sis

Develop strategic plan and busi-7. ness plan

Capacity-building: business admi-8. nistration, productivity, marketing and sales, processing, socio-orga-nizational capacities.

Launch economic enterprise9.

Support services: innovations 10. in technology, inputs, finances, information

Oversight, monitoring, measure-11. ment and evaluation

By way of illustration, these steps are represented in Figure 9.

Figure 9 / The process of empowerment for grassroots economic organization

Often for an institution or project, documenting and providing evidence of empowerment processes with precise data is a true challenge. As it is a multi-dimensional process, there are no definitions or standards that make it possible to easily identify what aspects or variables must be included.

This section is meant to provide examples of indicators that can serve as references in an organization’s efforts to prioritize and measure signs of changes that result from an empowerment strategy. As the final chapter of this document, the only intention here is to provide some clues for how to include the issue of empowerment in a monitoring and evaluation system. It should be emphasized that this has to be done in accordance with the specific nature of each case.

A monitoring and evaluation system must culminate in identifying indi-cations of changes that have taken place. When dealing with empower-ment, these changes are not easily identifiable or measureable, and therefore one must identify “pertinent indicators” – an indicator reflects a change, and makes it evident. It makes it possible to measure what has happened, directly or indirectly.

In order to monitor the results of an empowerment process, it is advisable to use both quantitative and qualita-tive indicators.

• Quantitative indicators express an objective quantity based on a number; the data are gathered by counting, inventory, surveys, or structured interviews.

• Qualitative indicators express a quality or describe a phenomenon based on perception, the opinion of those involved and the observa-tion of practices and events. These kinds of indicators are very relevant to the topic of empowerment.

Monitoring and evaluation are par-ticularly important in social mana-gement, which is why a monitoring and evaluation system with a focus on empowerment must follow certain principles:

• The identification and selection of indicators must incorporate the points of view of the stakeholders.

• Information useful for the stake-holders has to be generated and managed at their level.

• The system should feed and enrich a culture of reflection and social learning which feeds back into the empowerment process itself.

Therefore, building indicators is a participatory process involving the representatives of social groups who are in the process of empowerment. By participating, these stakeholders can take over the monitoring process with their visions of the hoped-for change, proposing the elements to take into account and selecting indi-cators which best reflect the changes that they want from their point of view.

For each of the three areas of the empowerment process (social, political and economic), this section will provide some examples that can serve as a reference point for “fields of observation” that will help to identify possible key questions and examples of indicators.

It should be said that we have cho-sen, in the interest of simplicity, to use the term “indicator”, but from a strictly methodological point of view, what are being presented are “crite-ria”, as they are not specified in terms of time, place, or quantity and require a more precise translation in order to be able to gather data.

Support services

Launch/ implement the enterprise

Market opportu-nities survey

Feasibility study

Prepare Business idea

Startingpoint

Build business and technical capacities

Individual motivation and leadership

Monitoring, follow-up, evaluation

Favorableenvironment:- Market - Financing- Innovation and technology

Políticaspúblicas para crear un entorno favorable e institucionalizar los emprendimientos económicos

Identify potential of small producers, Business oppor-tunities

Strategic plan and Business plan

Production chain analysis

Organize and strengthen the economic organization

26 27 Contributions to monitoring empowermentContributions to monitoring empowerment

Table 4 / Social Empowerment Indicators

Field of observation Dimensions to be considered Examplesofindicators(forillustrativepurposesonly)

Self-recognition • Level of pessimism / optimism• Self-esteem• Construction of identity• Capacity to put into practice one’s own ideas

and projects (doing and deciding for oneself)• Valorization of endogenous competencies and

talents • Relating with surroundings

• % of people with a positive, promising vision of their current and future situation in relation to the past

• % of people who have taken the initiative to become informed and/or study and/or embark upon new activi-ties

• Number of people who have managed to reduce, by their own accord, the frequency and/or duration of temporary emigration

• % of people who are able to self-diagnose their rela-tionship with their immediate surroundings (couple, family, neighborhood) and the institutional environ-ment (work, school, authorities, public service)

Equityandinclusionofvulnerablegroups

• Equitable participation of women and youth in assemblies and in community, town and neighborhood tasks

• Women, youth, members of marginalized social groups with their own resources

• Women, youth, members of excluded groups exercising their rights as citizens

• % who own land• % with their own source of income• % with access to credit• % participating in decision-making forums; i.e. the

participatory budget• % of people interviewed who recognize the capacity of

these people to act as leaders

Strengtheningthesocial fabric

• Consolidating the solidarity and reciprocity among members of the same single organiza-tion or community

• Institutional representation and legitimacy• Exercise of rights and responsibilities within the

groups, with equitable participation between men and women

• Cultural respect• Capacity to make proposals and to aggregate

demands with a forward-looking, productive vision

• Self-sustainability• Openness to inter-institutional dialogue and to

building common visions• Institutional capacity to forge alliances for nego-

tiations and consensus-building

• % of organizations whose members participate actively (>50%) in their initiatives and calls for action

• % of members informed about the plan and budget of their institution

• Number of members per organization who feel that their leaders respect their opinion without regard to gender, age or ethnicity

• Number of organizations which manage to sustain their initiatives and proposals with the means at hand (with external support as secondary and temporary)

• % of events in which the native language of the parti-cipants is used

• Relationship by social organization between proac-tive initiatives and mobilizations vs. taking of merely reactive positions

• Number of practices of cooperation and formal agree-ment between peer institutions and organizations

• Existence of local inter-institutional spaces for the exchange and sharing of experiences and collective reflection around a determined action

Buildinginstitutio-nal management and monitoring capacity

• Clearly defined objectives and the capacity to progress towards achieving them

• Leaders with the capacity to defend the expec-tations and interests of their members

• A focus on being proactive• Democratic internal operating procedures and

trust in management• The ability to forge alliances with others to

reach a common goal• Improvement of accountability mechanisms

• Existence of strategic plans prepared in participatory manner

• Level of qualifications of organization staff for manage-ment, administration and technical services

• Use of tolls for monitoring and evaluating plans and progress

• Number of times that leaders consult with members• Number of times that leaders report to membership to

give account of their acts and performance• Frequency/seriousness of internal conflicts in compari-

son with previous periods• Nmber of proposals made to public authorities on

issues related to the organization’s objectives.

Table 5 / Political Empowerment Indicators

Field of observation Dimensions to be considered Examplesofindicators(forillustrativepurposesonly)

Governance • Institutionalized instances of participation and consensus-building

• Channels for conflict resolution• Accountability

• Number and % of representatives of exclu-ded sectors participating in public forums for debate and decision-making

• Number of women and youth in positions of public responsibility

• Number of operational mechanisms to hold local authorities accountable

• % of municipal financial resources collec-ted through taxes and fees

Inclusiveanddemocraticpublicpolicies

• Democratization of power• Information on the political/legal framework

that promotes democracy• Changes in the organic-functional structure

of the public sector • Inclusive policies expressed in the annual

budget

• % of the local public budget that is alloca-ted based on criteria of equity and inclusion (level of poverty, % of female-headed households, access to public services)

• Number of laws and decrees issued by governmental entities which contribute to a greater democratization of power

• % of people who feel that the local and regional government practices are less discriminatory and more inclusive

• Degree of fulfillment in the implementation of participatory budgets

Participationinpublicadmi-nistration

• Influence of citizens on public management• Exercise of oversight functions

• Existence of mechanisms of citizen consul-tation and degree of implementation

• % of municipal and regional budgets allocated through a participatory process of priority-setting

• % of municipal and regional budgets managed in a participatory way

• Existence of mechanisms of public over-sight and degree of implementation

28 Contributions to monitoring empowerment

Table 6 / Economic Empowerment Indicators

Field of observation Dimensions to be considered Examplesofindicators(forillustrativepurposesonly)

Improved quality of life Increase in economic income aimed at building the capacity of local human resources and improving quality of life

Productive employemnt

% increase in net household income

% of household income allocated to education by each family member

% of economic income allocated to productive investment and household assets

% of economic income spent of health care for family members

Changes in type of employment by family mem-bers who have received training

Business self-management Member families taking control of the administra-tion of their organizations and businesses

Community businesses have agreed upon, parti-cipatory mechanisms for internal functioning

Companies have planning and monitoring instru-ments

Number of business management instruments that are effectively used

Number of markets accessed and sales made through the business’ own efforts

% of profit spent on strengthening internal capa-city and social reinvestment

More favorable environment for popular economic organi-zations

Second-degree organizations or businesses have the ability to influence public and private institu-tions at the local level

Number of spaces for consensus-building in which these businesses participate at the local and provincial level

Number of proposals submitted, negotiated and implemented at the local, regional and national level

Reflections and Learnings Series

Public policies forpromoting territorial

economic developmentReflections from experience

Second version. 26 February 2008

ASOCAM, the Latin American Platform for Knowledge Management for Rural Development. Its members are 50 entities located in 7 countries. ASOCAM uses working methodologies that promote the collective construction and recovery of learnings from practice. The results of these processes are disseminated through different communication products that present approaches and guidelines on priority rural development issues to strengthen and enrich institutional practices.