The capability approach
Ethics and socio-economic development
Oscar Garza-Vázquez and Séverine Deneulin
[pre-approved version (April 2018) for J. Drydyk & L. Keleher (eds.), Routledge Handbook of
Development Ethics. Routledge https://www.routledge.com/Routledge-Handbook-of-DevelopmentEthics/Drydyk-Keleher/p/book/9781138647909 ]
Development ethics begins from the position that development processes always involve ethical
judgments and normative valuations (Crocker 1991, 2008; Goulet 1980; 1997). It is concerned with
‘the project of rethinking and redefining “development”’ (Qizilbash 1996) in order to distinguish
between ‘worthwhile development and undesirable maldevelopment’ (Drydyk 2016). Because ethical
judgements are concerned about what should be done and which corresponding actions to take, laying
bare and discussing what counts as development and how it can be assessed is key to designing,
evaluating, and legitimising public policies. In this chapter, we offer an overview of the capability
approach, one of the most important conceptual frameworks that has contributed to this ethical debate.
We discuss why a capability view of development provides the most compelling ethical framework to
date for dealing with the practical and normative questions that development processes raise. We
present the approach as an interdisciplinary evaluative framework which views concerns for wellbeing,
equity, rights, agency and participation, freedom and justice as central to the theory and practice of
development.
We start by setting the empirical ground for our theoretical discussion. We present a concrete policy
case, namely recent labour reforms in Mexico, to illustrate why ethical judgements matter for people’s
lives. In the second section, we introduce the capability approach and the key authors who have shaped
this normative conceptual framework. We then identify the main differences and advantages of the
capability approach over other evaluative perspectives used in development policy such as subjective
approaches or resource-based approaches. In the third section, we discuss some implications of the
capability approach for development ethics and other dimensions of ‘worthwhile development’. We
conclude by highlighting some controversies within the capability approach and important new
directions.
1. Development policy and why we need development ethics
Throughout history, development, broadly conceived as ‘good’ social change, has always been a
contested concept both in theory and in practice. How it has been interpreted has shaped our shared
social reality and continues to do so in the present. The example of labour policy in Mexico illustrates
how interpretation matters, and how any policy, whether social, economic, political, cultural, and
environmental, reflects certain values which embody a specific understanding of what a society is
aiming for and of the ways used to move towards that aim.
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The current Mexican President, Enrique Peña Nieto, enacted after his election a series of legal and
economic reforms known as “Moving Mexico” (Mover a México, in Spanish), in order to promote
development in the country. Among these reforms were amendments to labour laws that aimed at
promoting ‘competitiveness, flexibility of labour markets and making job hiring easier’ (elected
President of Mexico, EPN). Following these reforms, several economic and financial organisations
such as the OECD, Standard & Poor’s (S&P), and the Mexican Business Coordinating Council
expressed their support due to the expected positive impact of these ‘modern’ labour practices on
economic growth, investment, and productivity (e.g. see Cruz 2012; Hernández 2012). This position
was also shared by the Mexican Association for Human Resources Management (AMEDIRH) which
expressed its support in the following words: “The way to create jobs in modern society is [through]
companies. So we must be clear that the law that best protects workers, is one that protects the
companies where they work” (Borda 2012; authors’ translation).
Yet, these reforms were met with strong resistance in the country due to their associated social costs.
In general, the labour reforms were perceived to be in opposition to the historical labour rights that
have been won since the Mexican Revolution of 1910. For instance, the labour reform threatened
worker’s rights to seniority, social security and pension benefits (Art. 39 – F), labour stability, and
redundancy payments. As a result of the reforms, corporations are now able to dismiss employees
‘without [involving] any responsibility for the employer’, that is, without any compensation to the
employee (Art. 35, 39-A). Meanwhile, the reforms formalized outsourcing employment (Art. 13)
(Bensusán 2013).
These two contrasting positions reflect the fact that there are different visions about what is of ultimate
value for different people and the appropriateness of the means to achieve these visions. While for
some the main concern was that of increasing productivity and competitiveness of the country in order
to promote economic growth, others emphasised the necessity of protecting the conditions of workers
and their employment stability. Similar conflicts between different understandings of what is of value
to people and questions about how these can be settled are ubiquitous in development practice. How
can we, as a society, assess whether a social, political, or economic reform such as the Mexican labour
reform is actually conducive to successful and desirable development?
For too long these ethical decisions have been based on a narrow understanding of development in
which social progress and human wellbeing are associated to the amount of material prosperity a nation
produces. From this perspective, the objective of development policies is to enhance economic growth.
Meanwhile the relevance of any other social or environmental concerns is seen only as instrumentally
important for the end of expanding the economy. As a result, the study and practice of development
risks being reduced to a ‘technical examination of how to mobilize resources and people most
efficiently and fashion the institutional arrangements best suited to growth’ (Goulet 1997, 1160). The
approval of the labour reforms in Mexico in 2012 shows that this framework continues to be dominant
in policy-making in countries such as Mexico.
In recent decades, however, the understanding of development as economic growth and its ability to
respond to the challenges that societies face today has been questioned, for material expansion does
not necessarily translate in increased wellbeing of its members. In fact, this narrow view of
development can make things worse by justifying unnecessary and undesirable social inequalities, as
well as human and environmental harm. Ultimately, the current runaway climate and global
inequalities ask us to reflect about what development ought to be so that it could be considered
‘worthwhile’ as opposed to ‘undesirable’ (see Penz et al 2011).
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It is precisely in this context of ethical reflection about the ends and means of development that “the
capability approach” provides the most compelling evaluative framework to promote ‘worthwhile
development’ to date.
2. The capability approach
Nobel Prize economist Amartya Sen introduced what is now known as ‘the capability approach’ in the
late 1970s (e.g. see Sen 1980, 1985, 1988). It has been expanded by him (e.g. see Sen 1990, 1992,
1993, 1999a, 1999c, 2009), by philosopher Martha Nussbaum (e.g. see Nussbaum and Sen 1993,
Nussbaum 2000, 2006, 2011a), and by a variety of scholars (for overviews of the capability approach
see, for example, Alkire 2005; Deneulin 2009, 2014a, 2014b; Crocker 1992, 2006, 2008; Qizilbash
1996; Robeyns 2005a, 2006, 2011, 2016). As it will be clear below, the capability approach has been
developed in different ways and for different purposes. In this chapter, we take Sen’s writings as basis
and highlight some different interpretations among its key authors.
The capability approach makes two fundamental normative assertions. First, the human being and his
or her quality of life ought to be at the centre of any assessment of society or social life. A second
assertion is that people’s quality of life is better appraised by focusing on their capabilities, and not on
the incomes or resources they possess. In other words, the capability approach can be seen as a broad
normative proposition that development, wellbeing, and justice concerns, such as poverty and
inequality, must be assessed in relation to people’s capabilities (Sen 1980, 1992, 1999a, 1999c, 2009).
Indeed, the initial motivation behind the capability approach was that of providing a better space for
appraising wellbeing in comparison to alternative spaces such as the commodities/resources or
utility/happiness spaces (Sen 2017), as we will examine further below.
The statement that the focus of assessment of society and social life ought to be on people’s capabilities
means that what really matters is paying attention to the kind of life that people are able to live, what
they are able or not able to do and be given their incomes, resources and the social arrangements in
which their life unfolds. From this perspective, the ultimate objective of moral concern is the real
freedom a person enjoys to achieve valuable doings and beings such as being well fed, being educated,
or enjoying social relationships of quality, participating in social life, living in a secure and nonpolluted environment, and so on. The notion of capability then is composed of two distinct but
complementary aspects: the actual beings and doings that a person may value, and the freedom to
choose between these. While the actual achievement of the various doings and beings a person may
value are called ‘functionings’ (e.g. being well fed), the actual freedom to achieve them would be the
corresponding capability (e.g. being able to be well fed) (see Sen 1999a, 75). In short, capability is the
‘actual freedom of choice a person has over alternative lives [i.e. functionings] that he or she can lead’
(Sen 1990, 114).
Even though both the actual achievement of doing and beings (i.e. functionings) as well as the actual
freedom to achieve them (i.e. capabilities) are constituents of living well (Sen 1985), the capability
approach maintains that it is fundamentally the notion of capability which provides a more appropriate
space for judging people’s quality of life than income, commodities or the utility space, although both
capabilities and functionings belong to the same evaluative space, and different contexts will give more
priority on the latter than the former (Sen 1980, 1985, 1992, 2017).
The critique of the capability approach to evaluations in the utility space, is that they evaluate social
life on the basis of people’s mental states such as happiness or life satisfaction as assessments of quality
of life, which may not be sensitive enough to other non-mental deprivations and can be easily distorted.
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For instance, people who live in situations of extreme deprivation may adapt to their circumstances
and be content with the little they have (Nussbaum 2000, Sen 1992, 1993, 1999a). This phenomenon
of adaptation is known in the literature as ‘adaptive preferences’ (see, among others, Clark 2012,
Khader 2011). Meanwhile other people might be well-off but feel dissatisfied if they do not get
expensive luxuries they would love to own, yet this does not necessarily mean they are worse off than
those who have adapted to their circumstances but are not able to be well nourished and live in minimal
proper conditions. Hence, equality in subjective evaluations can subsist with disparities in other
important spaces such as needs (Sen 1992).
The capability approach is also a critique of the evaluation of social life based on information related
to income or resources. The problem with income or resource measures of wellbeing is that they focus
on the means to, and not the freedom to achieve wellbeing itself. Focusing the evaluation of social life
in the space of income or resources does not pay attention to people’s different abilities to convert such
means into valuable ends. The ability to convert income or resources into actual doings and beings
such as spending time with friends at night will vary across people if, for example, a society imposes
more restriction to women than to men. Similarly, even if two individuals possess the same amount of
resources their freedom to move from one place to another may vary due to a personal disability.
The capability approach then, would insist that both information about subjective evaluations and
resources fail to acknowledge and account for people’s diversity (i.e. that people is different in diverse
ways). On the one hand, subjective evaluations fail to recognise that people value various things and
for distinct reasons besides happiness, on the other, a focus on resources fails to recognise that ‘equality
in holdings of primary goods or resources can go hand in hand with serious inequalities in actual
freedoms enjoyed by different persons’ (Sen 1990, 115).
For this reason, the capability approach affirms that focusing on what people are actually able to do
and be offers a better metric to development and justice. This does not mean that a capability-based
assessment regards income, resources and other goods as unimportant. Rather, it emphasises that
income and resources are only instrumentally important to achieve valuable states of being. As
Robeyns (2005, 100) writes: ‘all the means of well-being, like the availability of commodities, social
institutions, and so forth, are important, but the capability approach presses the point that they are not
the ultimate ends of well-being’. Similarly, the capability approach would not deny the importance of
subjective states, but it would argue that being happy is only one of the many things someone may
have reason to value being and doing and therefore an exclusive focus on happiness or life satisfaction
is inadequate. As Sen notes, the functionings that people can value are plural and may ‘vary from such
elementary things as being adequately nourished, being in good health … to more complex
achievements such as being happy, having self-respect, taking part in the life of the community, and
so on.’ (Sen 1992, 39, see also Sen 1993, 31, 36-37). In this way, the capability approach makes a clear
normative distinction between the ends and the means of social, political, and economic policies. It
claims that if development is about enhancing people’ wellbeing then development must be concerned
with the expansion of people’s capabilities, i.e. the expansion of ‘the real freedoms that people enjoy’
(Sen 1999a, 3).
To return to our example, the concepts of capability and functionings provide us with an alternative
conceptual framework to assess the labour reforms in Mexico. From a capability-centred
understanding of development, one would judge this labour policy on the basis of the extent to which
it serves the end of enabling people to achieve doings and beings that they might have reason to value.
Besides considering their income-enhancing features, one could also ask whether the reforms provide
greater opportunities to be in a fulfilling and stable job, whether they enhance workers’ skills, their
self-respect, whether they allow workers to spend more time with their family and friends, or to live
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in better housing conditions, etc. From a capability perspective, those things matter because they are
intrinsically valuable for living well, regardless of whether they contribute to productivity and
economic growth. In fact, even if the Mexican labour reforms were to be actually conducive to higher
levels of national income (including workers’ income), there could still be good reasons to contest
them because they may further exploitative, unsafe, unstable, and discriminating conditions, which do
not facilitate people’s freedom to live well.
So far, we have established that the capability metric provides a more adequate space for evaluating
society and social life if we are concerned with people’s quality of life, and that this assessment
involves a plurality of things that people may value doing and being. Sen, however, does not indicate
which capabilities should enter the evaluation as constitutive of living well. Rather, he presents the
approach as intentionally open-ended and indeterminate (Sen 1993, 48-49, 1999a, 253-254). He opts
for limiting the notion of capability as a space for comparative assessment and advocates for an agencyoriented approach to identify capabilities people ‘have reason to value’ (Sen 1992, 81) through public
discussion. The relevant capabilities would vary not only according to the context but also for different
‘practical purpose[s]’ (Sen 2004a, 79). This idea is made more explicit in his Idea of Justice (Sen 2009)
where he uses the capability metric for comparative assessments of justice but insists in an agencyview of individuals who engage in public deliberation to select, weight, and make comparative
evaluations. In contrast, Nussbaum has developed the approach as a ‘partial theory of justice’ in which
she defends a list of ten central capabilities (see Nussbaum 2000, 2003, 2006, 2011a)1.
Despite its incompleteness and it being subject to different interpretations, the rather simple, and yet
radical, ideas of the capability approach have provided the theoretical tools underlying new alternative
measures for assessing progress. We can note here the pioneering role of the Human Development
Index to assess development or progress differently, taking people as the real wealth of nations (see
the annual Human Development Reports, and the many regional and national human development
reports which have developed alternative measures of progress at a regional and national level, see
hdr.undp.org). For, when assessing social life what counts as progress or ‘success’ would depend on
how it is measured, whether we measure it in terms of economic growth performance or in capability
expansion. For example, Drèze and Sen (2013) have illustrated in their study on India that despite high
economic growth rates over the last decade, the ability of children to be well nourished has not
expanded. The capability approach has also played an important role in developing measures of
poverty by emphasising the multidimensionality of capability deprivations that people experience
(Alkire et al. 2015). Several national governments are using alternative measures of poverty and have
shifted from relying solely on income-related information to information about how well people are
doing in several dimensions of quality of life2. India again, as other countries, appears as showing a
contrasting performance if poverty is measured in the income space or capability space (see
www.ophi.org.uk).
While these examples are already salient contributions of the capability approach to development
concerns, one should not restrict its relevance solely to the space of capability-evaluation. The
capability approach and its key concepts of capabilities, functionings and agency, has made significant
contributions to ongoing debates within development ethics regarding equality, participation, agency,
sustainability, and human rights, among others.
1
There are other areas in which Nussbaum’s and Sen’s versions of the approach differ. See Crocker (2008, particularly
chapters 4, 5, 6) and Robeyns (2011, 2006, 2005) for an overview of the capability approach including similarities and
differences in Sen’s and Nussbaum’s writings; See also Nussbaum (2011a), Robeyns (2016), Sen (2004, 2009).
2
See the Multidimensionality Poverty Peer Network, www.mppn.org.
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3. The capability approach and topical issues in development ethics
One of the fundamental positions of development ethics is that positive social change must avoid those
forms of development that deepen social inequalities. Here, the capability approach emphasises that
those inequalities that matter are those in the space of capability, e.g. inequality in the ability to be
healthy, to participate in society or to have one’s voice heard by those who make decisions. Still one
could ask which distributive criteria should inform our concern for inequality.
Although his ‘Equality of What?’ (Sen 1980) question seems to suggest equality of capabilities as
policy goal, his account of comparative justice refutes settling the question dogmatically and favours
leaving the answer to the question open-ended (Sen 2009, 2017). He would insist instead on public
deliberation to settle this question by weighting equality concerns in relation to other important
considerations such as human rights or efficiency (Sen 2009). Nussbaum, in contrast, whose approach
remains closer to the demands of a theory of justice, proposes a distributive rule, i.e. that a just social
arrangement is one in which everyone is above a certain threshold of her list of central human
capabilities (Nussbaum 2000, 2006, 2011a).
Another contribution of the capability approach to a central topic of development ethics is with regard
to agency and participation (what Sen would call the ‘process aspect’ of freedom, in contrast to the
‘opportunity aspect’ contained in the concept of capabilities). As Crocker (2008) writes:
If countries are to progress towards the goal of authentic development, it will be largely because of critical
discussion among and collective participation by citizens themselves, especially those worst off (p. 90)…when
done well, international development ethics requires global dialogue and democratic deliberation in a variety of
venues – from small villages, through development-planning ministries, to the World Bank (p. 95).
Importantly, worthwhile development involves more than simply asking for people’s opinions, or
engaging people superficially in a project just for ticking the externally imposed participation box.
Rather, it requires seeing people as agents of change themselves. Sen defines agency as ‘someone who
acts and brings about change, and whose achievements can be judged in terms of her own values and
objectives’ (1999a, 19); or as the person’s freedom ‘to do and achieve…whatever goals or values he
or she regards as important’ (Sen 1985, 203). Agency freedom is thus the counterpart of the notion of
capability (i.e. wellbeing freedom) and both are constituents of development (Sen 1985). In
Development as Freedom, Sen (1999a) stresses that freedom is the ultimate end of development as
well as the primary means to achieve it.
Therefore, instead of participation loosely defined, it is agency which promotes worthwhile
development. In this context, some have defined the concept of empowerment as ‘expansion of agency’
(Alkire 2006; Ibrahim and Alkire 2007; Penz et al 2011). However, some have contested reducing the
concept of empowerment to agency alone (see chapter 17, Empowerment, of this Handbook). Others
have extended Sen’s notion of agency to propose an ‘agency-oriented’ deliberative version of
democracy to ‘freedom-enhancing development’ (Crocker 2008, 2; Crocker and Robeyns 2009;
Keleher 2014).
It is not only the wellbeing freedoms and agency freedoms of current generations, but also that of
future generations that are of concern for development ethics. Worthwhile development must be also
sustainable development. Here too, the conceptual framework of the capability approach can make
some contributions to this ongoing debate of intergenerational justice.
While there is no single definition of sustainability that is accepted by all, the definition proposed by
the Brundtland Commission Report Our Common Future has been the most widely used. This report
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defined sustainable development as ‘development that meets the needs of the present without
compromising the ability of future generations to meet their own needs’ (WCED 1987, 8). The
capability approach would agree with the general terms of this definition and its implications but it
insists that it is capabilities that should be sustained for the present and future generations (Anand and
Sen 2000; Sen 2013). According to Sen, this provides a broader understanding of humanity and
accounts for the process aspect of freedom by respecting people’s agency (see also Holland 2014 for
an analysis of environmental policy from a capability perspective). Sen (2009, 250) writes:
Certainly, people do have needs, but they also have values and, in particular, cherish their ability to reason,
appraise, choose, participate and act. Seeing people only in terms of their needs may give us a rather meagre view
of humanity… Our reason for valuing particular opportunities need not always lie in their contribution to our
living standards, or more generally to our own interests.
From this freedom-based perspective, ‘sustainable development is essentially about sustainable human
development in terms of enhancing [human freedoms] of present and future generations’ (Anand 2014,
126). Also, from a more philosophical position, some scholars have examined the possibility of
extending Sen’s capability approach into an intergenerational theory of justice (e.g. Crabtree 2013;
Gutwald et al 2014). Similarly, Nussbaum has proposed different ways in which her capabilities
approach can incorporate intergenerational justice not only for humans but also for non-human animals
(Nussbaum 2000, 2003, 2006).
Despite these merits of a capability perspective to sustainable development, however, some advocate
for going beyond what it is primarily an anthropocentric understanding of sustainable development
(see chapter 22, Rights of nature and the buen vivir movement, of this Handbook). We shall return to
this issue in the section 4.4 below.
Another important area of concern for development ethics is that of human rights (see chapter 23,
Human Rights, of this Handbook). Many of the previously mentioned values that make development
a desirable enterprise such as wellbeing, equality, sustainability could be pursued by coercion and
violation of human rights such as rights to freedom of culture or religion. This is why worthwhile
development sees both development and the promotion of human rights as belonging to the same
project (Burchardt and Vizard 2011; Drydyk 2011; Nussbaum 1997, 2011b; Sen 2004, 2005; Vizard
et al 2011). This has been ratified by the UN Declaration of the Right to Development (1986) which
states that each individual is ‘entitled to participate in, contribute to, and enjoy economic, social,
cultural and political development, in which all human rights and fundamental freedoms can be fully
realized’ (see chapter 24, Right to Development, of this Handbook).
Sen and Nussbaum, as well as other scholars working with the capability approach have been
influential voices in human rights debates. Sen (1997, 1999a, 231 – 248), for example, has debunked
the belief that “Asian values” (if it is possible to group their cultural diversity within one single group
of values) are traditionally less embracing of freedom and civil and political rights than so-called
‘Western’ values (see chapter 35, East Asia, of this Handbook). Sen also refutes the idea that
authoritarian regimes that suppress civil and political rights could offer a better route to achieve
wellbeing or equality. Human rights have intrinsic value and are irreducible to each other. From a
capability perspective, destroying for example the cultural heritage of a group of people to promote
employment opportunities is not ‘worthwhile development’, neither is ensuring education and health
for all while at the same time undermining freedom of expression or putting political opponents in
prison.
4. Critical issues and new directions
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We have illustrated in the previous section the highly influential character of the capability approach
to enrich current debates within development ethics, but differences of interpretations and contestation
within the approach remain. Among the unresolved questions are: Which capabilities are relevant for
the evaluation of states of affairs, and how is this decision made? How can we measure and
operationalise the notion of capabilities? To what extent is the capability approach a theory of justice?
What kind of individualism does the capability approach endorse, and is it sufficiently broad? Is the
capability approach solely an evaluative framework or is it also action-oriented?
4.1. The capabilities that people have ‘reason to value’
The issue of the ‘list vs. non-list’ has been widely discussed in the literature (e.g. see Crocker 2008;
Nussbaum 2000, 2003, Robeyns 2011, 2006, 2005; Sen 2004), therefore we shall concentrate on a
related but different issue. One could argue that Sen’s emphasis on agency, empowerment, and public
participation is a better fit to the values of development ethics. A ‘totally fixed’ list is problematic
since it ‘den[ies] the possibility of fruitful public participation on what should be included and why’.
Sen compellingly defends his position against a ‘predetermined canonical list of capabilities’ (Sen
2004, 77-78 both quotes) in favour of treating people as ends in themselves and as agents to choose
the capabilities that people have reason to value. In this way, agency freedom via public discussion
and wellbeing freedom (i.e. capabilities) go hand by hand in the development process.
While agreeing with the latter, there is still the issue of the indeterminacy about how ‘the capabilities
that people have reason to choose and value’ should be understood. Alkire (2015, 14), for example,
recognises that there is uncertainty about whether it implies ‘(a) things people value; (b) things people
have reason to value; or (c) things people both value and have reason to value’. Yet, this question
cannot be but crucial to development ethics, especially in real contexts of large social inequalities,
power imbalances, discrimination, and marginalisation. To illustrate, let us go back to our initial
example of the labour reforms in Mexico. Considering the high levels of social and income inequality
(CONEVAL 2013), corruption, discrimination and marginalisation (CONAPRED 2011a, 2011b),
along with the fact that only 8.8% of the Mexican labour force are associated to a labour union
(Martínez 2013), which is itself co-opted by leading political parties (Obregón 2013), one could
question the outcome of ‘public’ deliberation in such conditions. If it turns out that after due ‘public’
reasoning, the Mexican people value more the capability of flexible employment with one of the lowest
wages in Latin America as opposed to the capability for decent and stable employment, could one
separate such outcome from the unjust situation in which it takes place – a situation characterised by
a long history of colonialist mind-set of exploitation and marginalisation that has left poor people with
little choice other than being contented and thankful for even having the chance to be employed (see
also Sen 2017, 177)?
It is in this sense that some capability scholars worry that, with its emphasis on individual capabilities
and individual agency, the capability approach may overlook the far reaching impact of social
structures and social influences (e.g. marketing towards a consumerist life) on people’s own expression
of agency and on the objectives they value (e.g. Deneulin 2011, 2008; Deneulin et al 2006; Evans
2002; Gore 1997; Stewart and Deneulin 2002). It would indeed be problematic if the capabilities that
people end up valuing are the result of entrenched unjust social contexts, manipulation, or else.
Sen is certainly aware of the pervasiveness of social influences on individuals, as we will discuss in
section 4.2, yet he would still insist that it is through ‘more [and inclusive] public engagement’ (Sen
2009, 245) that people’s sequestered reason can be ‘partly or wholly overcome in ways that take us to
a less confined view’ (Sen 2009, 170). And indeed, Sen’s forceful and coherent support for democracy
and agency as means to overcome injustice and prejudices provides a strong argument (see Alkire
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2006; Crocker 2008; Drèze and Sen 2013; Sen 1999a, 1999c). It is people themselves who ought to
decide via open public discussion which capabilities are relevant in their own contextual realities. This
is why Alkire (2015) concludes that the capability approach is neither based on people´s preferences
only (option “a” above), nor in preference-independent approaches such as externally imposed lists
and weights between the plural capabilities (option “b”), but rather it endorses option “c” above. That
is, in line with Sen’s emphasis on the intrinsic, instrumental, and the constructive role in shaping the
values of society, ‘the capability approach aims at expanding the intersection of what people value and
have reason to value – not just one category or the other’ (Alkire 2015, p. 15; emphasis in original).
The problem is that Sen gives little guidance about what would make a public discussion acceptable,
how such public discussion can take place in specific social realities, or what kind of actions would
improve it. Some scholars have proposed different ways to fill this gap. For instance, Crocker (2006,
2008) has taken Sen’s writings on agency and public participation into a more complete model of
deliberative democracy. In addition, others have developed alternative criteria/methods for selecting
relevant capabilities (e.g. Alkire 2002, Anderson 1999, Robeyns 2003a, 2005b; see also Robeyns 2006,
2011 for other references). Notwithstanding these theoretical proposals, the challenge for development
ethicists to deal with these issues in practice remains. In doing so, it might be worth bearing in mind
Sen’s (1999b) sharp thought: ‘[a] country does not have to be deemed fit for democracy; rather, it has
to become fit through democracy’ (p. 3; emphasis in original).
4.2. Ethical individualism
A major area of dispute in the capability approach relates to the kind of individualism that the
capability approach espouses, ethical individualism. Ethical individualism claims that in the
assessment of social life, ‘individuals, and only individuals, are the ultimate units of moral concern’
(Robeyns 2008, 90; emphasis in original – see also Robeyns 2005, 107). From this perspective, all
economic, social, and political institutions, as well as formal and informal norms ought to be assessed
in relation to their contribution to people´s freedom to live well. It is important to remark, nonetheless,
that ‘a commitment to ethical individualism is not incompatible with an account of personhood that
recognises the connections between people, their social relations and their social embedment’
(Robeyns 2008, 91; 2005, 108).
According to Robeyns, Sen’s capability approach advances this ethical position. This is why Sen is
able to recognise the influence of social phenomena in people’s ‘thinking, choosing, and doing’ (Sen
2009, 245); that ‘individual freedom is quintessentially a social product’ (Sen 1999a, 31, xi-xii, 297);
and that the notion of capability ‘provides a perspective in which institutional assessment can [and
should] systematically occur’ (Sen 1999a, 142; see also Robeyns 2005), and yet insist that the role of
these social aspects ‘can be sensibly evaluated in the light of their contributions to [people’s] freedom’
(Sen 1999a, 142).
Some scholars find Sen’s ethical individualism troublesome. At risk of simplification, they advance
two main points: (1) that the nature and existence of social structures and collectivities lie beyond –
even if bounded by - individual’s actions and properties; and (2) that the sum of these social relations
embodied in cultural and political practices are necessary to fully understand and promote people’s
functionings and capabilities (e.g. see Alkire 2008; Deneulin 2014b, 2008, 2006; Deneulin and
McGregor 2010; Gore 1997; Hill 2003; Robeyns 2005, 2008; Sen 2002; Stewart 2013). For example,
a society in which corruption is institutionalised at all levels may force an honest person to be corrupt
even if she detests corruption and values an honest life herself. Yet, this is imposed on her by a corrupt
structure that she can neither change nor escape it (see Deneulin et al 2006, 6-7). Consequently, they
argue for including institutions and groups, or what is sometimes referred to as collective capabilities
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(Evans, 2002; Ibrahim 2006; Stewart 2005) or social competences (Stewart 2013), as an intrinsic
aspect of the evaluation of states of affairs along with individual freedoms.
There are at least two explanations for Sen’s reluctance to embrace these critiques of ethical
individualism. First, ethical individualism avoids overlooking inequalities between individuals within
a group, collectivity, or community (Alkire 2008). For instance, Robeyns (2008) argues that ethical
individualism serves better feminist concerns within the family in so far as it focuses on the wellbeing
of each member and not on the family as collective unit, which may hide the oppression to some of its
members – usually women. Second, to the extent that including collective units in the moral assessment
of state affairs may involve demarcating between good and bad structures, this position might be at
odds with agency freedom in the sense of seeing people ‘as being actively involved in shaping their
own destiny’ (Sen 1999a, 53). Implicit in Sen’s writings is the idea that there is no reason to discard
in advance the possibility of very different social arrangements providing the conditions that enable
people to live well in terms of the capabilities ‘people have reason to value’, which may as well vary
from context to context.
For this reason Alkire (2008, 40), along with Sen and Robeyns, concludes ‘that ultimately the
capability approach must focus on individual’ capabilities for evaluative purposes. However, this
position can only be presented as a partial resolution given the different interpretations of the approach.
Of particular relevance here is the valuation of nature, and whether non-human life has value only if it
furthers individual capabilities, a point which shall be discussed further below
4.3. Evaluative and action-oriented framework
To be of relevance for people’s actual lives, a capability-based understanding of development needs
to be translated into concrete policies or actions to expand people’s capabilities. In this respect, Alkire
(2008) suggests that another (perhaps more fruitful) way to understand the previous arguments against
Sen’s ethical individualism is in terms of the kind of guidance that the capability approach is likely to
provide for policy. She argues that the focus is therefore on the ‘prospective application of the
capability approach’ which, in contrast to the ‘evaluative’ role, is concerned with advancing
capabilities and the ‘policies, activities, and recommendations…most likely to’ promote this goal
(Alkire 2008, 30; emphasis in original).
Again, this position is contested. Critics of ethical individualism argue that one cannot separate the
evaluative from the prospective role, for the purpose of evaluation is ultimately to feed policy
recommendations. Hence, they argue that it is precisely due to the exclusive focus on individual
freedoms that the capability approach might fail to examine adequately, and thus bring into question,
the social structures which are partly responsible for the kind of lives that people are able to lead. Let
us illustrate with an example of the reality that many indigenous people experience in Latin America.
In Mexico, indigenous people have fewer opportunities for education, health, good quality jobs, and
for participation in public, and their physical appearance, the way they dress and talk is a constant
target for shame and humiliation (e.g. CONAPRED 2011a, 2011b; see PNUD 2010). While the
capability approach as an evaluative framework might be apt to account for all of these forms of
unfreedoms (Pereira 2013, Robeyns 2003b), the problem would be the way in which these situations
are conceptualised solely in terms of individual deprivations. This interpretation runs the risk of
disregarding the underlying social structures and social mechanisms that generate (ex-ante) such unjust
outcomes in the first place, thus leaving them outside of the political action needed to redress such
situation. This concern is echoed by others who analyse the capability approach from a critical
perspective and who emphasise the importance of a relational approach to international development
(e.g. Hickey 2014, Koggel 2013; see also Robeyns 2003b).
10
Robeyns (2005, 2008) argues that the capability approach does allow for the systematic analysis of
structural and social phenomena since these are factors that partly determine what someone can do and
be. Therefore, capability expansion will most likely involve structural, social, and institutional
amendments according to the issue at hand (Drèze and Sen 2002, 2013; Robeyns 2005).
It remains, nonetheless, an open challenge to deal with, and find ways to orient policy in such a way
that the translation of the capability approach into practice does not brush away structural features.
One solution may be the one proposed by Alkire (2008) which requires being explicit about the distinct
uses of the capability approach, and the need to complement it with other social or explanatory theories
for the sake of prospective analysis (Robeyns 2005). Alternatively, one of the authors of this chapter
wonders whether replacing the word ‘individualism’ - which may cause some confusion and objection
- for ‘personalism’ could be a strategic solution to this debate. Using ‘ethical personalism’ might better
capture the interplay between the uniqueness of human beings who are part of social relations and
groups that make up that unicity. This position, however, would have to show that it can accommodate
both collective and individual information as units of moral concerns without the risk of hiding the
heterogeneities of individuals within such relationships and/or the oppression of individual members.
4.4 Beyond an anthropocentric perspective?
The environmental situation of the world and the value that different models of development attach to
nature also pose a challenge to the ethical individualism of the capability approach. The depletion of
nature through extractive industries in Latin America, climate change, ocean acidification, floods, and
other environmental concerns, are already having disastrous impacts on people’s lives (especially the
poor), other species and whole ecosystems (see chapter 20, Environmental sustainability, of this
Handbook). It is not surprising therefore that there is an urgent call for an alternative development
model to the one that leads to these undesirable expressions of ‘development’ (see chapter 22, Rights
of nature and the buen vivir movement, of this Handbook). In this respect, as noted previously, the
capability approach can enrich our understanding of sustainable development by emphasising that it is
the ‘generalized capacity to create wellbeing’, which present generations are ‘obligated to leave
behind’ (Anand and Sen 2000, 2035).
While several scholars recognise the relevance of the contribution of the capability approach within
the sustainability debate (e.g. see Anand, 2014; Bockstael and Watene 2016; Ballet et al 2013; Holland
2008a; Scholtes 2010), others question whether it is indeed sufficient to deal with the broader
environmental concerns (e.g. see Bockstael and Watene 2016, Merino 2016; Watene 2016). The main
issue at stake is that the capability approach tends to value the natural world in so far as it contributes
to people’s freedom (e.g. Anand and Sen 2000, Holland 2014, 2008a, 2008b; Sen 2013), or if it
threatens human security (Gasper 2013). From this perspective, nature does not have any intrinsic
worth, rather its value its contingent to people’s wellbeing and agency (in Sen’s version of the
approach) or to the dignity of humans and non-humans animals (in Nussbaum’s version of the
approach) (see Watene 2016). The problem, critics argue, is that this position leaves nature vulnerable
since it is conceptualised in terms of resources that can be exploited, appropriated and substituted
(Anand and Sen 2000, 2035). This position and valuation of nature contrast with many indigenous
perspectives that see nature and people as interdependent, and thus conceptualise development as
living well together in harmony with one another and in harmony with the natural world (Merino 2016;
Watene 2016). As such, Watene (2016) concludes that the ethical individualism of the approach may
exclude certain worldviews such as the Māori.
11
Sen has been quite explicit about his anthropocentric view of nature. However, he has also been equally
emphatic in defending the relevance of agency and public reasoning for dealing with such problem
(see Scholtes 2010 and the references cited there).
It is not so much that humanity is trying to sustain the natural world, but rather that humanity is trying to sustain
itself. It is us that will have to ‘go’ unless we can put the world around us in reasonable order. The precariousness
of nature is our peril, our fragility. There is, however, also another side of this relationship. The quandary of
unsustainability may be our predicament, but the task of solving it is ours as well. The nature of the problem, its
fuller appreciation and the ways and means of solving it all belong to us - humanity as a whole (Sen 2013, 6-7;
emphasis in original).
Indeed, Sen’s notion of agency aims to capture the fact that we can value and pursue ends which are
not necessarily connected to our wellbeing. Hence, Sen’s position is less restrictive as it first appears.
His emphasis on agency leaves open the possibility for accommodating different perspectives on, and
different ways to deal with, nature. One could, for example, ‘judge that we ought to do what we can to
ensure the preservation of some threatened animal species, say, spotted owls’ even if our wellbeing
might be completely ‘unaffected by the presence or absence of spotted owls’ (Sen 2004b, 10-11). The
point is - Sen would say - that whether we need to attach intrinsic or instrumental value to nature is a
matter of public debate, for there are contrasting views about the place of nature between individuals
even within the buen vivir movement (Merino 2016) let alone across different societies. Moreover,
there are other scholars who find in the capability approach a better framework to deal with the
environment from the perspective of justice (e.g. Holland 2014, 2008a, 2008b), especially when one
goes beyond ‘the relationship between [Wo]Man and Nature’ to also include ‘the relationships between
human beings mediated by nature’ (Ballet et al, 2013, 31).
There is no doubt, however, that there is a lot of scope for future research and (as Watene suggests)
intercultural dialogue in order to develop better ways to deal with what is one of the most significant
challenges to date, not only to development ethics, but to the future of humankind. Hence, as Sen
would suggest, more public discussion should be directed to this fundamental subject, as no human
life is possible without a well-functioning environment for it to function.
5. Conclusion
This chapter has argued that the capability approach, by putting human lives and their quality of life
as the ultimate end of development processes, provides a promising conceptual framework to displace
the mind-set that reduces development to economic growth. It has used Mexican labour reforms law
to illustrate its arguments. However, there are some important questions left hanging and which will
have to find some resolution for the capability approach to make a difference for the way policy
decisions are taken and the kind of decisions that are made. Of particular concern is whether the
capability approach is helpful in resisting the reproduction of unjust structures when people can no
longer identify the injustice or when the injustice has been so normalised that is seen as ‘just’ or part
of what a ‘good’ society is about, and fit to stop the reproduction of a development model based on
the instrumental use of nature to human ends alone.
A central feature of the capability approach is the centrality of reasoning processes, and perhaps this
is its major contribution to development ethics, beyond offering an evaluative framework to judge
societies from the perspective of what people are able to do and be. Sen (2009, 451) sees the ‘ability
to reason’ as a fundamental human feature, and we would add that this ability is also linked to the
ability to give sense and meaning to the kind of person one is and to what one does. A conceptual
framework based on questioning and reasoning about the meanings and ultimate ends of one’s actions
12
cannot but be an antidote to the ever expanding instrumental reason and the alienation of human life
from its purpose of living an examined life and living it well.
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