The Capability The Capability Approach and Human Approach and Human

DevelopmentDevelopment

Sabina AlkireSabina Alkiressabina_alkire@harvard.edu

Somerville College and Queen Elizabeth Somerville College and Queen Elizabeth HouseHouse13 September 200413 September 2004

outlineoutline Objective of DevelopmentObjective of Development FunctioningFunctioning Capability and FreedomCapability and Freedom Information and AnalysisInformation and Analysis Basic CapabilitiesBasic Capabilities Value Judgements and Public Value Judgements and Public

DebateDebate

Objective of DevelopmentObjective of Development““Development can be seen…as a process of expanding the Development can be seen…as a process of expanding the

real freedoms that people enjoy.” real freedoms that people enjoy.” Opening Sentence, Opening Sentence, Development Development as Freedomas Freedom

The goal of development is the “promotion and expansion of The goal of development is the “promotion and expansion of valuable capabilities.”valuable capabilities.” Sen, “Development as Capability Sen, “Development as Capability Expansion”Expansion”

People are the real wealth of nations. Indeed, the basic purpose of development is to enlarge human freedoms. The process of development can expand human capabilities by expanding the choices that people have to live full and creative lives. And people are both the beneficiaries of such development and the agents of the progress and change that bring it about. This process must benefit all individuals equitably and build on the participation of each of them. This approach to development—human development—has been advocated by every Human Development Report since the first in 1990.

HDR 2004 p 127HDR 2004 p 127

Sen’s Capabilities Sen’s Capabilities ApproachApproach

Capability is Capability is the Freedom to Achieve the Freedom to Achieve Valuable Beings and DoingsValuable Beings and Doings

TWO MAIN IDEAS:TWO MAIN IDEAS: Freedom Freedom Valuable Beings and Doings Valuable Beings and Doings (Sen calls these (Sen calls these functioningsfunctionings))

Valuable Beings and DoingsValuable Beings and Doings(functionings)(functionings)

These are all the ‘ends’ of human lifeThese are all the ‘ends’ of human life (They can also be means)

They can be elementary escaping morbidity and mortality; nourishment; mobility

They can be complex self-respect, participation in community life, ability to appear in public without shame.

They can be general – capability to be nourished Or they can be specific - capability to drink 7up.

FunctioningsFunctionings ‘‘the various things a person may the various things a person may

value doing or being’value doing or being’ ‘‘functionings are functionings are constitutiveconstitutive of a of a

person’s being.’person’s being.’

Achieved Functionings : Achieved Functionings : measurable, observable, comparable. measurable, observable, comparable. Example, literacy; life Example, literacy; life expectancy.expectancy.

FreedomFreedomfor Sen, Freedom has two aspects ~ for Sen, Freedom has two aspects ~

Process AspectProcess Aspect::

ability to be agentsability to be agents – to affect the – to affect the processes at work in processes at work in their own lives or as their own lives or as general rules in the general rules in the working of society working of society

Opportunity AspectOpportunity Aspect: :

ability to achieveability to achieve valued functionings - valued functionings -

Freedom and CapabilityFreedom and Capability Capability :Capability : ‘represents the various ‘represents the various

combinations of functionings (beings and doings) combinations of functionings (beings and doings) that the person can achieve. Capability is, thus, that the person can achieve. Capability is, thus, a set of vectors of functionings, reflecting the a set of vectors of functionings, reflecting the person’s freedom to lead one type of life or person’s freedom to lead one type of life or another...to choose from possible livings.’ another...to choose from possible livings.’ IR IR p p 4040

Intrinsic and Instrumental Value: Intrinsic and Instrumental Value: “The ‘good “The ‘good life’ is partly a life of genuine choice, and not one life’ is partly a life of genuine choice, and not one in which the person is forced into a particular life in which the person is forced into a particular life – however rich it might be in other respects.”– however rich it might be in other respects.”

Dimensions of Dimensions of Human DevelopmentHuman Development

llifeife (health, reproduction, security); (health, reproduction, security); knowledgeknowledge work and playwork and play relationshipsrelationships spirituality spirituality participationparticipation inner peaceinner peace appreciation of beautyappreciation of beauty harmony with the non-human worldharmony with the non-human world

Finnis 1987:Basic Human Values

Bodily life – health vigour and safety

Knowledge Skillful performance in

work and playFriendshipPractical

reasonablenessSelf-integrationHarmony with ultimate

source of reality

Nussbaum 1998:

Central Human

Capabilities

LifeBodily health Bodily integritySenses, thought imagination, EmotionsPractical reasonAffiliation Other speciesPlayControl over one’s environment

Sen 1999:

political freedom economic

facilitiessocial

opportunities transparency

guaranteesprotective

security

Rawls 1993 Political Liberalism

The basic libertiesfreedom of movement, freedom of associationfreedom of

occupational choice against a background of diverse opportunities

powers and prerogatives of office

positions of responsibility in political and economic institutions

income and wealththe social bases of self

respect

Doyal & Gough 1992:

Intermediate Needs

Nutritional food/waterProtective housingWorkPhysical environment Health careSecurity in childhood Significant primary relationshipsPhysical securityEconomic securitySafe birth control/ childbearingBasic education

Sample lists of functionings – there are many!

Participation and Trade Participation and Trade OffsOffs

““Participation also has intrinsic value for Participation also has intrinsic value for the quality of life. Indeed being able to do the quality of life. Indeed being able to do something not only for oneself but also for something not only for oneself but also for other members of the society is one of the other members of the society is one of the elementary freedoms which people have elementary freedoms which people have reason to value. The popular appeal of reason to value. The popular appeal of many social movements in India confirms many social movements in India confirms that this basic capability is highly valued that this basic capability is highly valued even among people who lead very even among people who lead very deprived lives in material terms.” deprived lives in material terms.” Dreze Dreze and Sen 1995:106 and Sen 1995:106

Freedom and IndividualismFreedom and IndividualismFreedom can seem individualistic, even selfish. It does Freedom can seem individualistic, even selfish. It does not capture the altruism of a mother, or the social not capture the altruism of a mother, or the social goals and self-sacrifice of an activist, much less any goals and self-sacrifice of an activist, much less any moral duties that should constrain our ‘freedoms’ so moral duties that should constrain our ‘freedoms’ so that we do not freely oppress, or trample others’ that we do not freely oppress, or trample others’ rights. rights.

Pyschologist Richard Ryan (University of Rochester) Pyschologist Richard Ryan (University of Rochester) distinguishes helpfully between distinguishes helpfully between autonomyautonomy and: and: individualism/collectivismindividualism/collectivism, , dependence/independencedependence/independence, , and and verticalism/horizontalismverticalism/horizontalism. These distinctions hold . These distinctions hold empirically. If by agency Sen means autonomy, this empirically. If by agency Sen means autonomy, this breaks the link between agency and individualism. breaks the link between agency and individualism.

Additional InformationAdditional Information Principles / processes: affirmative action, Principles / processes: affirmative action,

fairness, targetting, sustainability, fairness, targetting, sustainability, efficiency…efficiency…

Human RightsHuman Rights Situated Evaluation Situated Evaluation Unintended ConsequencesUnintended Consequences Motivations Motivations Imperfect ObligationsImperfect Obligations Perfect ObligationsPerfect Obligations Menus of ChoiceMenus of Choice Utility / Happiness / Psychic StateUtility / Happiness / Psychic State

In sum: alternative In sum: alternative paradigmparadigm

Objective = capability expansion. Vs Objective = capability expansion. Vs maximizing GNI/capitamaximizing GNI/capita

Multidimensional – and trade-offs Multidimensional – and trade-offs are value judgments, not are value judgments, not optimization ex. optimization ex.

Shifts boundary of politics and Shifts boundary of politics and economics – many ‘economic’ economics – many ‘economic’ judgements need to be subject to judgements need to be subject to explicit public scrutiny and debate. explicit public scrutiny and debate.

The Problem: The Problem: Capabilities Contract as Capabilities Contract as

well as Expandwell as Expand