The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
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doi:10.5477/cis/reis.178.3
The Role of Institutional Thickness in Persistent
Urban Vulnerability within the Barcelona
Metropolitan Area
La vulnerabilidad urbana en la metrópoli de Barcelona.
El rol de la densidad institucional en su persistencia
Fernando Antón-Alonso and Irene Cruz-Gómez
Key words Abstract
Qualitative Comparative This study addresses urban vulnerability in the Barcelona metropolitan
Analysis area. The first stage involved constructing an urban vulnerability index
• Barcelona of metropolitan neighbourhoods to establish a hierarchical structure and
Metropolitan Area carry out a longitudinal analysis for the period 2001-2011, identifying
• Institutional change and persistence within the index hierarchy. The second stage
Thickness entailed conducting an explanatory analysis of the permanence of, and
• Hierarchical transition to, extreme vulnerability, focusing on the role of institutional
Neighbourhood thickness. A methodology new to urban studies was used that was based
Structure on Qualitative Comparative Analysis (QCA). The results showed persistent
• Urban Vulnerability extreme vulnerability in the area and provided evidence that institutional
thickness plays a complex and limited role in this phenomenon.
Palabras clave Resumen
Análisis Cualitativo La presente investigación aborda el estudio de la vulnerabilidad urbana
Comparado en el área metropolitana de Barcelona. En una primera fase, se construye
• Área metropolitana un índice de vulnerabilidad urbana para los barrios metropolitanos
de Barcelona que permite establecer una estructura jerárquica y realizar un análisis
• Densidad longitudinal para el período 2001-2011 identificando el cambio y la
institucional persistencia dentro de la jerarquía. En una segunda fase, se procede a un
• Estructura jerárquica análisis explicativo de la permanencia y la transición a la vulnerabilidad
de barrios extrema focalizado en el rol de la densidad institucional. Para ello se
• Vulnerabilidad urbana utiliza una metodología novedosa en los estudios urbanos basada en el
análisis cualitativo comparado. Los análisis aportan evidencia sobre la
persistencia de la vulnerabilidad extrema en el territorio y el rol complejo y
limitado de la densidad institucional en el fenómeno.
Citation
Antón-Alonso, Fernando and Cruz-Gómez, Irene (2022). “The Role of Institutional Thickness in Per-
sistent Urban Vulnerability within the Barcelona Metropolitan Area”. Revista Española de Investiga-
ciones Sociológicas, 178: 3-22. (doi: 10.5477/cis/reis.178.3)
Fernando Antón-Alonso: Institut d’Estudis Regionals i Metropolitans de Barcelona | fernando.anton.alonso@uab.cat
Irene Cruz-Gómez: Institut d’Estudis Regionals i Metropolitans de Barcelona | irene.cruz@uab.cat
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-224 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
Introduction1 This article seeks to analyse the evolution
of urban vulnerability and its relationship to in-
Cities embody socio-economic inequalities stitutional factors based on institutional thick-
that divide the urban space into interrelated ness in the metropolitan area of Barcelona
fragments. Systems in which areas fully fa- (together with Madrid, Barcelon is the most
vored by economic, political and social dy- important metropolitan area in the Spanish ur-
namics coexist with areas that have a com- ban system). This objective is met by the use
bination of risk factors that place them and of Qualitative Comparative Analysis (QCA), a
their population in a position of vulnerability methodological innovation in the field of ur-
and exclusion. In the terms employed by Al- ban studies and one of the contributions of
guacil (2006), this phenomenon is charac- this article. This technique is well suited to the
terised by areas where multiple disadvan- analysis of two multidimensional phenomena
tage-related factors are concentrated. (namely, institutional thickness and urban vul-
This accumulation of risk factors in cer- nerability), and the complex relationships that
tain urban spaces and the way they feed can occur between them; or, as will be dis-
back on themselves ultimately generate cussed below, what is referred to in QCA as
complex circular processes that reproduce “complex causality”.
urban vulnerability (Alguacil, 2014). The per- The article seeks to answer the following
petuation of these processes is an essential questions:
part of this phenomenon.
1. What is the degree of persistence of ur-
Theoretical and empirical evidence has
ban vulnerability in the neighbourhoods
pointed to the importance of institutional
of the Barcelona metropolitan area?
factors in defining vulnerable and excluded
spaces in cities. Institutional factors, un- 2. What is the role of institutional thickness in
derstood from the perspective of Polanyi’s the persistence and downgrading of Bar-
modes of integration (1944), and applied celona metropolitan area neighbourhoods
to urban studies (Mingione and Morlicchio, at and up to the highest levels of vulnera-
1993; Kesteloot, 1998; Musterd, Murie and bility in the urban hierarchical structure?
Kesteloot, 2006) include the market, the
State, and mutual support networks. The The article begins with a theoretical dis-
conjunction of these three multidimensional cussion of the concept of urban vulnerability,
factors makes it possible to introduce a the dynamics of transformation of the hierar-
novel concept in urban studies, that of “in- chical structure of neighbourhoods, and the
stitutional thickness”, understood as the introduction of the concept of institutional
degree and quality of the presence of the thickness as an explanatory factor. It then
corporate, State, and social institutions in describes the methodology used in the con-
the area, and their respective contributions struction and analysis of the urban vulnera-
to the resources necessary for the full in- bility index. This is followed by the methodo-
tegration of the population and their neigh- logical description and characteristics of the
bourhoods. QCA, before presenting the analyses of the
role of the different components of institu-
tional thickness in urban vulnerability. The re-
1 This article is part of a research project entitled “Inno-
vation and Metropolis: Social and political innovation,
sults lead to the conclusion that neighbour-
institutional thickness and urban vulnerability in metro- hoods with highest levels of vulnerability has
politan Barcelona” (Innovación y Metrópoli: Innovación a high degree of persistence in this status.
social y política, densidad institucional y vulnerabilidad
urbana en la Barcelona metropolitana), funded by the Moreover, there are some neighbourhoods
Barcelona Metropolitan Area in 2017. in the Barcelona metropolitan area with the
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 5
highest vulnerability in which institutional and housing). These have been furthered by
thickness plays a role in defining their posi- other landmark studies in the field (Hernán-
tion in the hierarchical structure; however, dez, 1997; Hernández et al., 2018; OECD,
there are others in which the role of institu- 1998; Arias, 2000; Ministerio de Fomento
tions is not a factor to be taken into account and Instituto Juan de Herrera, 2010; Temes,
in isolation. There are also various combina- 2014; Uceda, 2016; Fernández-García et al.,
tions of factors that explain the persistence 2018; Uceda, Sorando���������������������
����������������������������
and Leal, 2018), al-
and downgrading of neighbourhoods in ex- though longitudinal explanatory analyses
treme vulnerability. of urban vulnerability are practically non-
existent, with some exceptions such as the
study by Uceda, Sorando, and Leal (2018).
Theoretical framework
Urban vulnerability as an expression The dynamics of change (and stability)
of urban inequality in the socio-economic status
of neighbourhoods
Urban vulnerability is a concept rooted in
Robert Castel’s research into the processes The longitudinal analysis of neighbourhoods
of integration, vulnerability, and exclusion has been carried out by seeing them as dy-
(1995, 1997). In the early 2000s, the con- namic social spaces susceptible to changes
cept of social exclusion began to gain mo- in their demographic, social, economic, hous-
mentum in European urban studies. One of ing, or urban aspects (van Ham et al., 2013).
the reference points in the field is Musterd, Some analyses have highlighted the static
Murie and Kesteloot’s (2006) analysis of the nature of neighbourhoods by studying their
relationship between neighbourhood oppor- transformation dynamics in relative terms,
tunity structures and social exclusion. studying changes in relation to neighbour-
In Spain, the concept of urban vulnerabil- hoods as a whole (Lupton, 2005; Tunstall,
ity was given meaning and developed by Ju- 2016). These approaches have concluded
lio Alguacil (2006, 2014). Based on Castel, that neighbourhoods tend to perpetuate their
according to Alguacil, Camacho and Hernán- socio-economic status, a tendency most pro-
dez (2014), vulnerability and social exclusion nounced among those at the extremes of the
are reflected in urban spaces by the emer- hierarchical structure. Based on this theoreti-
gence of vulnerable areas. Different proc- cal framework, it is hypothesised here that
esses converge in cities (urban, socio-demo- “there is a high rate of persistence of the sta-
graphic, socio-economic and socio-political), tus of maximum vulnerability in the hierarchi-
generating integration, vulnerability and ex- cal structure of urban vulnerability in metro-
clusion logics similar to those that occur in politan neighbourhoods (H1)”.
the social structure, thus delimiting vulnera-
ble areas (Alguacil, 2006). What defines areas
The role of institutions and institutional
of urban vulnerability is precisely the combi-
thickness in the dynamics of urban
nation of multidimensional risks that concur
vulnerability
in the territory and limit the opportunities of
social mobility (Alguacil, 2006). The concept of institutional thickness has
The first contributions to this avenue of been developed on the basis of economic ge-
research in the 1990s attempted to iden- ography, but has not been transferred to ur-
tify and study the disadvantaged areas in ban studies on urban exclusion. The contribu-
which multidimensional risk factors were tions by Karl Polanyi (1944) have enabled the
concentrated (related to work, education, construction of a conceptual and operational
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-226 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
framework in this field. Market exchange, re- clusion, except for those regeneration ac-
distribution represented by the welfare state, tions that introduced significant changes in
and reciprocity based on mutual support net- the socio-residential structure by increasing
works, are the three modes of integration that the housing stock for homeowners. Meen
make it possible for individuals to obtain the (2009) in an analysis of poverty traps in the
material resources to satisfy their life needs. UK noted the importance of having low lev-
Several avenues of research in urban els of poverty close to a threshold for urban
studies have addressed the role of institu- regeneration interventions to change the so-
tions in processes of urban inequality and cio-economic status of neighbourhoods.
vulnerability, from the spatial justice frame- In Spain, little has been done to explain
work (Harvey, 1977) to neighbourhood ef- the dynamics of urban vulnerability. The case
fects (Galster, 2012; Wilson, 1987). study by Martínez (1999) on the physical and
In Europe, welfare states have attempted social trajectory of “Parque Ansaldo” is par-
to compensate for positions of vulnerability ticularly interesting. It is marked by physical,
and exclusion in urban space through ter- economic, and social isolation, in which the
ritorial redistribution of institutions, neigh- lack of employment opportunities contributed
bourhood (urban and social) improvement to explaining the downgrading process expe-
policies, and increased public spending. rienced by the neighbourhood. More recent
Building on Polanyi, analyses by Kesteloot was Uceda, Sorando and Leal’s (2018) analy-
(1998) for Brussels and by Musterd, Mu- sis of the 29 housing estates built in Madrid
rie and Kesteloot (2006) for several Euro- between 1940 and 1990 according to their
pean cities have highlighted the importance level of urban vulnerability. The authors high-
of the welfare context, limited employment lighted the impact of the social mobilisation
opportunities, poor presence and quality of process on the different trajectories of the de-
public services, and weak local social net- velopments studied, but also the limited im-
works as risk factors that make it difficult to pact on their level of urban vulnerability.
overcome situations of exclusion. The hierarchical status of neighbourhoods
From the dynamic perspective of trans- and its variations are the result not only of
formations in the social status of neighbour- factors acting from within the neighbourhood
hoods, inputs have ranged from holistic itself, but also of external dynamics (Lupton
models, which hold that multiple elements and Power, 2004). In the US, along with the
are involved in neighbourhood trajectories, influence of metropolitan economic and pop-
including institutional ones (Grigsby, Baratz ulation dynamics on the evolution of socio-
and Maclennan, 1983; Temkin and Rohe, economic status or poverty levels in neigh-
1996; van Beckhoven, Bolt and van Kem- bourhoods (Galster and Mincy, 1993; Galster
pen, 2009), to empirical analyses in the Eu- et al., 2003; Jun, 2013), some empirical analy-
ropean context on the role of the state in ses have also shown the impact of the munic-
these trajectories, using welfare, housing, ipal context (Jun, 2013). In Europe, the analy-
and urban regeneration policies. For the UK, sis by Musterd, Murie and Kesteloot (2006),
Tunstall (2016) and Gibb, Meen and Nyg- stressed the importance of opportunity struc-
aard (2018) pointed to the absence of sig- tures at the local level, including finding job
nificant changes in the relative socio-eco- options suitable for low-skilled profiles and
nomic status of neighbourhoods with high the availability of connections to them, in or-
levels of deprivation that have been subject der to understand the differential dynam-
to comprehensive urban regeneration inter- ics of deprivation and vulnerability of neigh-
ventions or slum clearance. Zwiers, Van Ham bourhoods in different cities. The importance
and Kleinhans (2017) came to a similar con- of the municipal context in which vulnerable
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 7
neighbourhoods are located was highlighted The dynamics of urban
by Nel·lo and Donat (2017) in their analysis
vulnerability in the
of vulnerable neighbourhoods and municipal
neighbourhoods in the
spending constraints in the Barcelona metro-
politan region. The authors showed that it was barcelona metropolitan area
the municipalities with the highest concentra-
The urban vulnerability index:
tion of vulnerable neighbourhoods that had
a methodological approach
the least spending capacity, which affected
their inability to reduce this concentration. The urban vulnerability index is constructed
On the basis of the references consid- based on 4 dimensions and 8 indicators (Ta-
ered, it is proposed to operationalise insti- ble 1). The dimensions and indicators consid-
tutional thickness on the basis of five in- ered refer to socio-economics, employment,
dicators. Two are related to the market socio-demographics, and housing risks and
sphere, namely, labour market integration are in line with the referenced research on ur-
and business density; two are linked to the ban vulnerability. The main socio-economic
redistribution sphere, namely, municipal fi- risk is lack of income. Among the employ-
nancing capacity and level of urban inter- ment factors, three indicators are considered
vention; and the fifth indicator is represent- to capture the difficulties of labour market
ative of social networks of mutual support, integration: unemployment, low level of ed-
namely, association density. The starting ucation, and job insecurity. In terms of so-
hypothesis is that “the perpetuation of high cio-demographic risks, there are three major
levels of urban vulnerability or the existence processes experienced in recent decades in
of neighbourhood downgrading processes Spanish society: ageing, the arrival of popu-
are related to the combination of low levels lation from other countries with high levels of
of institutional thickness (H2)”, represented vulnerability associated with territorial inequal-
by each of the five indicators. Five comple- ities on a global scale, and the transformation
mentary hypotheses are proposed: of households. It seemed relevant to include a
H3a: “A low level of labour market integra- representative indicator of the latter process
tion is related to remaining at or down- (single parenting), but the unavailability of reli-
graded to the highest levels of urban able data meant that it could not be included.
vulnerability”. Finally, in the housing dimension, priority was
given to indicators representative of the qual-
H3b: “A low level of business density is rela- ity of the housing stock, including its condi-
ted to perpetuating or downgraded to tion and space availability, both of which are
the highest level of urban vulnerability”. fundamental elements in identifying different
H3c: “Low municipal financing capacity is vulnerable populations in the territory.
related to staying at or downgraded to The index has been calculated for 2001
the highest level of urban vulnerability”. and 2011, based on the Population and
H3d: “A low level of urban intervention is re- Housing Census (Censo de población y
lated to remaining at or downgraded viviendas) and estimates of income groups
to the maximum level of urban vulne- by census sections for small scales (Farré
rability”. et al., 2018). A factor analysis was con-
H3e: “A low level of association density is ducted in which the extraction of a sin-
related to continuing at or downgra- gle factor is forced to obtain a latent vari-
ded to the maximum level of urban able quantifying urban vulnerability. Higher
vulnerability”. scores corresponded to higher vulnerability
and lower scores to lower vulnerability. This
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-228 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
variable was then grouped into deciles to as a result of the rise in numbers during the
generate an ordinal measure. first decade of the century, while the hous-
The results of the KMO test indicated ing variables became less significant. There
that the variables used measured the la- are two possible explanations for the latter
tent concept satisfactorily for both years case. One is related to the improvements
(2001 = 0.78; 2011 = 0.73). Regarding the to the condition of residential buildings as a
temporal stability of the index, a key fac- result of refurbishment and regeneration ac-
tor to make a comparison between years tions carried out over the last few decades
(Fernández-García et al., 2018), the factor (Ruíz, 2018). And the other refers to some
structure was similar for both dates, with of the poorest quality housing being occu-
socio-economic and employment indica- pied by less vulnerable groups as a result
tors contributing most to the index although of population substitution processes, linked
with some qualifications (Table 1). The for- in some cases to gentrification processes
eign population is increasing in importance (Antón-Alonso, Porcel and Cruz, 2018).
Table 1. Dimensions, indicators, and factor saturations of indicators
Factor saturations
Dimensions Indicators 2001 2011
(var. explained = (var. explained =
50.0% 40.1%)
% Population with low income
Socio-economic vulnerability 0.89 0.77
(Fernando Antón-Alonso and Irene Cruz-Gómez 9
distribution of the information from the cen- be tested. It showed that two-thirds of the
sus sections (for which information is avail- neighbourhoods in the first decile in 2001
able) to other territorial delimitations. This remained in the first decile in 2011. The re-
was an estimation inspired by the Cadas- sults obtained are in line with other research
tral-based Expert Dasymetric System, one conducted in different contexts and with
of the areal interpolation methods that has different indicators (Tunstall, 2016).
already been used in other studies (Maan-
tay, Maroko and Herrmann, 2007; Mora-
García and Martí-Ciriquian, 2015). Table 2. P
ercentage of change experienced in the
different neighbourhoods, 2001-2011
% of neighbourhoods
Decile change
Urban vulnerability in the Barcelona 2001-2011
metropolitan area, 2001-2011 –6 0.8
–5 0.3
Table 2 shows how the neighbourhoods –4 1.5
fared in the period under study. The data in- –3 5.4
dicated a relatively low stability in the mem- –2 6.7
bership decile (39.2%). Transitions were –1 16.7
most likely to occur between the closest 0 39.2
deciles, with transitions of more than one 1 15.6
decile being less likely, demonstrating the 2 7.2
gradual nature of neighbourhood status 3 3.1
4 1.8
change processes. Table 3 shows a more
5 1.0
detailed analysis of the transitions between
6 0.5
deciles considering the decile of member- 7 0.3
ship at the beginning and end of the period
Source: Population and Housing Census (Censo de pobla-
and allowed hypothesis 1 on the persist-
ción y viviendas), 2001 and 2011.
ence of the highest vulnerability status to
Table 3. M
atrix of metropolitan neighbourhood transitions by deciles according to vulnerability level in the vul-
nerability index (grouped in deciles), 2001-2011
2011 Urban Vulnerability Index
10% most 10% least
Deciles 10-20% 20-30% 30-40% 40-50% 50-60% 60-70% 70-80% 80-90%
vulnerable vulnerable
10% most
65.8 15.8 7.9 2.6 5.3 0.0 0.0 2.6 0.0 0.0
vulnerable
2001 Urban Vulnerability Index
10-20% 25.6 35.9 10.3 12.8 5.1 7.7 2.6 0.0 0.0 0.0
20-30% 5.4 18.9 51.4 13.5 5.4 0.0 2.7 0.0 2.7 0.0
30-40% 5.1 12.8 10.3 28.2 20.5 7.7 5.1 2.6 5.1 2.6
40-50% 0.0 7.7 10.3 23.1 25.6 12.8 17.9 2.6 0.0 0.0
50-60% 0.0 5.3 7.9 10.5 13.2 23.7 18.4 15.8 5.3 0.0
60-70% 0.0 0.0 2.6 12.8 10.3 17.9 23.1 28.2 5.1 0.0
70-80% 0.0 2.6 2.6 2.6 7.9 7.9 21.1 26.3 23.7 5.3
80-90% 0.0 0.0 2.6 0.0 0.0 12.8 7.7 20.5 38.5 17.9
10% least
0.0 0.0 0.0 0.0 0.0 5.3 0.0 2.6 15.8 76.3
vulnerable
Source: Population and Housing Census (Censo de población y viviendas), 2001 and 2011.
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-2210 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
The Relationship between urban The phenomenon to be explained con-
vulnerability and institutional thickness sisted of cases that “remained at” or “were
in Metropolitan Barcelona downgraded to” the highest level of vulner-
ability. The set of neighbourhoods stud-
QCA: method and data
ied here were those that were in one of the
An explanatory analysis was carried using following three possible situations: a) they
QCA. Although this method is practically were in the most vulnerable decile (first
never used in urban studies, it is ideal for decile) in 2001 and in 2011 they remained in
the objectives pursued due to the char- the same position (stable neighbourhoods);
acteristics of the sample. This method b) they were in a decile other than the first
is halfway between case-based (quali- decile in 2001, but in 2011 they were down-
tative) and variable-based (quantitative) graded to the first decile (downgraded
approaches (Marx, Cambré and Rihoux, neighbourhoods); c) they were in the first
2013), as it allows for a systematic com- decile in 2001 and in 2011 they had moved
parison of a set of cases and an in-depth up to a higher decile (improving neighbour-
study of the specific instances, their com- hoods).
mon features and their differences, sup-
In QCA, the variable to be explained is
ported by background knowledge of the
called the “outcome” variable. Variables
observations.
related to the achievement of this out-
QCA relies on set theory and Boolean come are referred to as “conditions”. In
algebra rather than on statistical proba- this case, the outcome variable was com-
bility analysis, which is a feature of quan- posed of neighbourhoods that were in the
titative analysis. This technique is based first decile at some point between 2001
on the analysis of whether cases fall into and 2011 (stable, declining and improving
certain configurations of conditions that neighbourhoods). The “conditions” were
must be present for an outcome to occur. the variables that represented institutional
The starting point is “complex causality” thickness.
(Legewie, 2013), an epistemic assump-
tion that different combinations of condi- The conditions covered the three
tions can produce the same outcome, and spheres of institutional thickness. The lim-
the same conditions, in varying combina- ited availability of indicators at the neigh-
tions, can lead to different outcomes (Me- bourhood level constrained the selection. In
dina et al., 2017). This approach is optimal relation to the labour market, the employ-
for the study of a phenomenon such as ment rate in the neighbourhood at the be-
vulnerability in neighbourhoods in differ- ginning of the period (2001) was considered
ent municipalities, for which no single ho- to be an indicator of the presence of the la-
mogeneous pattern can be expected, due bour market in the area. In line with other
to their diversity of situations and configu- studies (Galster and Mincy, 1993; Galster
rations. et al., 2003; Jun, 2013), it was hypothesised
that the initial conditions of the neighbour-
Those neighbourhoods of the metropoli-
tan area affected by the highest level of ur- hood affected its evolution.
ban vulnerability (as measured by the index Business density is the second indica-
presented) at some point in time during the tor of the labour market sphere. This in-
period 2001-2011 were selected. Together forms on the existence of a structure of
they made up a sample of 52 cases, repre- opportunities favourable to social inte-
senting 13.5% of the 385 metropolitan in- gration thanks to the labour market and
habited neighbourhoods. income. In this case, the density at the
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 11
beginning of the period was also consid- nisms. An indicator relating to the formal in-
ered. For this indicator, the territorial unit stitutions in the associations present in the
of reference was the municipality. While neighbourhoods was used. It was assumed
it is true that employment dynamics op- that other types of informal institutions of
erate on a metropolitan scale, conceiving mutual support may contribute to proc-
the indicator from a municipal perspective esses of vulnerability, but it was not pos-
makes it possible to discriminate within sible to include them due to a lack of data.
the metropolitan sphere. The neighbour- An indicator was generated that measured
hood scale proved to be insufficient due the density of bodies standardised by the
to its spatial limitation. number of inhabitants in the neighbour-
The area of redistribution also had two hood. The presence of associations was
indicators of institutional thickness. The considered for the whole period taking into
account the date of registration. Calibra-
first is public expenditure per inhabitant,
tion, which involves assigning membership
operationalised using the average value
scores to different conditions, has been
of the budget settlements in euros of the
carried out using QCA’s crisp-set variant.
city councils of the Barcelona metropolitan
In defining the cut-off points in the calibra-
area between 2001 and 2011. In the case
tion, endogenous references to the sam-
of Barcelona, the information was used at
ple were used which were verified against
district level. The municipality and the dis-
external data. The criterion was based on
trict were deemed to be a good scale due
the value of the first quartile of the distribu-
to the marked differences between the two
tion of each variable for the total number of
units, although the lack of information at
metropolitan neighbourhoods. Considering
the neighbourhood level constrained the
the first quartile as a threshold might initially
choice. This indicator was suitable for an
seem very strict, but it made it possible to
approximation of the role played by local
bring together the objectives to clearly dif-
administrations in reversing situations of
ferentiate the neighbourhoods in the sam-
high urban vulnerability.
ple from the rest of the metropolitan neigh-
The second indicator in this dimension bourhoods, while simultaneously achieving
was the level of urban intervention in neigh- internal variability among the 52 cases un-
bourhoods based on the role of urban plan- der study. The calibration criteria are sum-
ning in the production of urban space. The marised in Table 4.
number of urban planning applications ac-
The outcome variable was dichotomised
cumulated in the neighbourhoods between
into two groups: 1) neighbourhoods that
1991 and 2006 was used. This extensive
were part of the first decile in 2011 (ei-
period was considered because urban plan- ther because they continued to be in that
ning was deemed to transform the urban decile since 2001, or because they had
structure over a long timescale, as these fallen into the first decile); and 2) neighbour-
are processes that have taken place over hoods which, having been in the first decile
a long period of time since the date of ap- in 2001, were no longer in the first decile in
proval. A wide range of actions were in- 2011 (neighbourhoods that had improved).
cluded, ranging from general planning to Of the total of 52 neighbourhoods in the
derived planning, but not including the ac- sub-sample, 25 remained stable in the first
tions of the Llei de Barris of the Govern- decile, 14 became more deprived (in to-
ment of Catalonia. tal, 39 were in the first decile in 2011) and
The last dimension of institutional thick- 13 neighbourhoods had improved from the
ness took into account reciprocity mecha- first decile (Table 5).
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-2212 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
Table 4. Calibration of the outcome and conditions
Rule for the Dichotomisation key External
Variable Source
condition and rules reference value
Urban vulnerabil- Population and Hous- Persistence of Key: 1 = persist-
ity index 2001- ing Census, 2001 and high urban vul- ence in first decile
2011 (ivumax) 2011 nerability or or deprivation up to
deprivation up first decile; 0 = exit
to the highest from first decile
—
level of vulner- Rule: 1 = persist-
ability ence in first decile or
deprivation up to first
decile; 0 = exit from
first decile
Employment rate Population and Hous- Low level of la- Key: 1 = low employ- Employment rate
2001 (tocup) ing Census, 2001 bour market in- ment rate; 0 = not Catalonia (2001):
tegration low employment rate 52.3
Rule: 1: X < 49.6; 0: X
> = 49.6
Number of busi- Department of Busi- Low presence Key: 1 = very low Businesses per
nesses in the mu- ness and Employ- of businesses business den- thousand inhabit-
nicipality per thou- ment, Government of in relation to sity; 0 = not very low ants in Catalonia
sand inhabitants Catalonia the population business density (2001): 80
2001 (emprehab) Rule: 1: X < 25.0; 0: X
>= 25.0
Municipal public Database of municipal Low municipal Key: 1 = low munici- Sample median:
expenditure (set- budgets and settle- financing ca- pal public expenditure; 993 € per person
tlements) per in- ments, Generalitat de pacity 0 = not low munici- per year
habitant (average Catalunya pal public expenditure
period 2001-2011) Rule: 1: X < 842; 0: X
(expenditure) > = 842
Number of urban Urban planning regis- Low level of ur- Key: 1 = low level of Sample median:
planning applica- ter of the Metropolitan ban planning urban planning inter- 51
tions (1991-2006) Area of Barcelona intervention vention; 0 = not low
(nexpurb) level of urban planning
intervention Rule: 1: X
< 22,8; 0: X >= 22,8
Number of as- Database of legal enti- Low associa- Key: 1 = low associ- Density of asso-
sociations in the ties of the Department tion density ation density; 0 = not ciations Catalonia
neighbourhood of Justice, Govern- low association density (2001): 8 per thou-
per thousand in- ment of Catalonia Rule: 1: X < 3,1; 0: X sand inhabitants
habitants (with > = 3,1
registration date
up to 2011) (de-
nas)
Source: Developed by the authors.
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 13
Table 5. Neighbourhoods that were part of the QCA according to their evolution in the period 2001-2011
Neighbourhoods that remained Downgraded neighbourhoods Improving neighbourhoods
stable (from D2, D3, and D4) (towards D2, D3, and D4 or higher)
Badalona: Artigas; el Remei; la Badalona: Congrés; Manresa; Badalona: la Pau.
Salut; Pomar; Sant Roc. Sistrells. Barcelona: el Gòtic; el Poble-sec;
Barcelona: el Raval; la Barce- Esplugues de Llobregat: Can Vi- Torre Baró; Vallbona; el Bon Pastor
loneta; Sant Pere, Santa Ca- dalet. Castelldefels: Vista Alegre.
terina i la Ribera; la Marina del Gavà: Centre-West Sector. Cornellà de Llobregat: Sant Ildefons.
Prat Vermell; el Turó de la Peira; L’Hospitalet de Llobregat: Can El Prat de Llobregat: la Granja; Sant
Can Peguera; les Roquetes; Ver- Serra. Cosme.
dun; la Trinitat Nova; la Trinitat Montcada i Reixac: la Ribera. Sant Adrià de Besòs: la Catalana; la
Vella; Baró de Viver; el Besòs i el Sant Joan Despí: Fontsanta; les Verneda.
Maresme. Planes. Sant Boi de Llobregat: Camps
L’Hospitalet de Llobregat: Coll- Sant Adrià de Besòs: el Besòs. Blancs.
blanc; la Florida; la Pubilla Cases; Santa Coloma de Gramenet:
la Torrassa; les Planes. Fondo; Santa Rosa.
Sant Adrià de Besòs: la Mina. Sant Vicenç dels Horts: la Guàr-
Santa Coloma de Gramenet: el dia; Font Llargarut.
Raval; Safaretjos.
25 14 13
Source: Developed by the authors from the Population and Housing Census (Censo de población y viviendas), 2001 and 2011.
Table 6 shows the averages of the con- metropolitan area. Business density, financ-
ditions of neighbourhoods that remained ing capacity, and association density were
stable or became more deprived, of im- significantly low for neighbourhoods that re-
proving neighbourhoods, of the total sam- mained stable and for those that became
ple of 52 neighbourhoods, and of the total more deprived. In contrast, the level of ur-
number of neighbourhoods in the Barcelona ban planning intervention was high.
Table 6. M
eans of the conditions in the neighbourhoods included in the analysis, according to how they fared
over time
Neighbourhoods that Total Barcelona
Improving Total
Conditions remained stable or became Metropolitan
neighbourhoods sample
more deprived Area
Labour market integration
46.20 45.41 46.00 54.05
(2001)
Business density (2001) 32.90 35.92 33.65 34.31
Municipal financing capacity
1,072.51 1,204.18 1,105.43 1,075.71
(2001-2011)
Level of urban planning in-
91.13 57.77 82.79 95.34
tervention (1991-2006)
Association density 6.63 10.88 7.69 9.57
Source: Population and Housing Census (Censo de población y viviendas), 2001 and 2011; Department of Business and
Employment of the Government of Catalonia, 2001; Database of municipal budgets and settlement of the Government of
Catalonia, 2001-2011; Register of urban planning of the Barcelona Metropolitan Area, 1991-2006; Database of legal entities
of the Department of Justice of the Government of Catalonia.
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-2214 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
The neighbourhoods that formed part of ern area of Barcelona, the area around the
the first decile were geographically located mouth of the Besós river, and to the area
around three areas: the Ciutat Vella district of south of the municipality of Barcelona, around
the city of Barcelona, the northern the north- the mouth of the Llobregat river (Map 1).
Map 1. G
eographic location of neighbourhoods that were part of the QCA, according to how they fared over
the period 2001-2011
Source: Developed by the authors from the Population and Housing Census (Censo de población y viviendas), 2001 and 2011.
Institutional density as an explanatory tional thickness model. The following QCA
factor for high urban vulnerability models were used for this purpose:
The next step in the process involved con- Outcome (ivumax) = f (tocup,
ducting an in-depth analysis of specific pat- emprehab, gasto, nexpurb, denas) [1]
terns which explained the permanence or
further deprivation on the hierarchical struc- The model expressed in formula 1 above
ture of vulnerability, based on the institu- can be read as: the outcome (that a neigh-
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 15
bourhood remains or becomes deprived gat were among those with the lowest finan-
and falls into the first decile) is the prod- cial capacity in the Barcelona metropolitan
uct of the lack of institutional thickness, un- area. None of the three exceeded 800 eu-
derstood as the absence of labour market ros per inhabitant (euros/inhab.), the metro-
(low levels of employment and low business politan average being 1,076 euros/inhabitant.
presence in the area), the absence of the Badalona (748.8 euros/inhab.) had the low-
State (low levels of public investment and est budget settlement of the 36 metropolitan
low levels of urban planning intervention), municipalities, Santa Coloma the third low-
and the absence of support networks (low est (771.3 euros/inhab.), and l’Hospitalet the
levels of association density). fifth lowest (793.4 euros/inhab.). Similarly,
Table 7 summarises the different combi- the business density of the three municipali-
nations of conditions linked to the outcome ties was among the lowest in the metropolis.
Santa Coloma was 16 points below the met-
using modern notation (Medina et al., 2017).
ropolitan average of 34.3‰, with Badalona
According to this criterion, all conditions are
and l’Hospitalet being 10 points below. The
shown in lower case and those that are ne-
budgetary constraints and poor economic en-
gated are preceded by the symbol “~”. The
vironments in these municipalities are limiting
combination of conditions is defined by the
factors that perpetuate and the downgrading
symbol “*” or Boolean multiplication, equiv-
to the highest level of vulnerability. This is par-
alent to the logical operator “AND”.
ticularly pronounced in a context of economic
This model yielded six patterns or combi- crisis in which the greatest impact was felt by
nations of conditions that explained the pres- the most vulnerable population in the Barce-
ence of the outcome in 61.5% of the neigh- lona Metropolitan Area (Sarasa, Porcel and
bourhoods (solution coverage). Of these six Navarro-Varas, 2013).
patterns, only the first one had a high ex-
As the pattern shows, these situations of
planatory power (raw coverage). Three con-
vulnerability do not seem to be improvable in
ditions converge in this pattern: low business
relative terms through urban planning inter-
density, low municipal spending capacity,
ventions. These have been abundant in these
and not low levels urban planning interven-
neighbourhoods, with an average of 100 in-
tion. There was a total of 19 neighbourhoods
terventions compared to 95 in the metropoli-
(46.0%) that were consistent with this pat-
tan neighbourhoods as a whole (see Table 6).
tern, of which 18 were among the stable
Some neighbourhoods have had higher levels
or downgraded ones, and one had incon-
of urban planning intervention than neighbour-
sistent behaviour. The la Pau neighbour-
hoods that were upgraded or were ranked
hood shared the characteristics described
higher. This is the case of Collbanc (231), la
by the pattern, despite being among the Torrassa (145) and la Pubilla Cases (137) in
cases that had improved between 2001 and l’Hospitalet de Llobregat, Fondo (178) and el
2011. However, inconsistency can be con- Raval (166) in Santa Coloma de Gramenet,
sidered to be one of degree rather than sub- and la Salut (118), Sant Roc (115) and Sis-
stance, as the neighbourhood moved from trells (100) in Badalona. Urban planning inter-
the first to the second decile between the ventions succeeded in reducing inequalities
two dates. Among the 19 neighbourhoods, between neighbourhoods in terms of facili-
9 belonged to Badalona (47.4% of the 19), 6 ties and improvements in amenities, public
to l’Hospitalet de Llobregat (31.6%), and 4 to spaces, and green areas (Ruíz, 2018), as well
Santa Coloma de Gramenet (21.0%). as improving the living conditions of their resi-
The municipalities of Badalona, Santa Co- dents, but they did not change the vulnerable
loma de Gramenet and l’Hospitalet de Llobre- status of these neighbourhoods.
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-2216 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
Table 7. Sufficient conditions analysis (positive outcome: stability in the first decile or downgrading to the first decile)
% cases % unique Consistency
Combination of
No. explained (raw cases (unique of the Cases (neighbourhoods)
conditions
coverage) coverage) outcome
Badalona: Artigas, Congrés, el
Remei, la Pau, la Salut, Manresa,
Pomar, Sant Roc, Sistrells.
L’Hospitalet de Llobregat: Can
gasto * ~nexpurb * Serra, Collblanc, la Florida, la
1 0.462 0.231 0.947
emprhab Pubilla Cases, la Torrassa, les
Planes.
Santa Coloma de Gramenet: el
Raval, Fondo, Safaretjos, Santa
Rosa.
Badalona: Artigas, Congrés, el
Remei, la Salut, Manresa.
Esplugues de Llobregat: Can Vi-
gasto * ~nexpurb dalet.
2 0.231 0.026 1.000
*tocup~denas * L’Hospitalet de Llobregat: Coll-
blanc, la Torrassa, les Planes.
Santa Coloma de Gramenet: Sa-
faretjos.
Sant Vicenç dels Horts: la Guàrdia.
gasto * ~nexpurb *
3 0.051 0.000 1.000 Santa Coloma de Gramenet:
~tocup* denas
Santa Rosa.
Montcada i Reixac: la Ribera.
nexpurb * ~tocup*
4 0.051 0.026 1.000 Sant Vicenç dels Horts: Font Llar-
~emprhab * denas
garut.
~gasto * ~nexpurb
Barcelona: les Roquetes.
5 * tocup * denas * 0.051 0.051 1.000
Gavà: Centre-West Sector.
~emprhab
gasto * ~tocup * Sant Vicenç dels Horts: la Guàr-
6 0.051 0.000 1.000
~emprhab * denas dia, Font Llargarut.
Frequency cut-off: 1; consistency cut-off: 0,8; solution coverage: 0,615; solution consistency: 0,960.
Source: Developed by the authors from the Population and Housing Census (Censo de población y viviendas), 2001 and 2011.
The analysis shows that there were other faretjos) regarding the first pattern. In the
persistence and degradation pathways, al- cases where different patterns converged
beit with a lower explanatory capacity. In in neighbourhoods, there were complemen-
the second pattern, two new conditions, tary outcomes that reinforced the impact of
non-low association density and low em- configurations on neighbourhoods’ persist-
ployment rate, interacted with the condi- ence at the highest level of vulnerability or
tions of having a low financing capacity downgrading to the point of vulnerability.
and non-low levels of urban planning inter- The remaining four patterns explain only
vention. This provided the same explana- 2 cases each (5%, respectively) where insti-
tory capacity for 9 neighbourhoods (Arti- tutional thickness took different forms from
gas, Congrés, el Remei, la Salut, Manresa, those seen in the first two configurations.
Collblanc, la Torrassa, les Planes and Sa- These explanatory patterns broadened the
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 17
scope of impact beyond the municipalities Conclusions
that had the most vulnerable neighbour-
hoods, which were located in the areas of This paper has discussed the dynamics of
metropolitan growth par excellence of the urban vulnerability and its relationship with
1950s-1975s. institutional thickness by analysing the Bar-
Overall, the model had a partial explan- celona metropolitan area. The first section
atory power: the progress made by a con- examined how urban vulnerability in met-
siderable number of neighbourhoods can- ropolitan neighbourhoods had fared from
not be explained by any of the patterns, and 2001 to 2011 by constructing a multidimen-
the patterns were imperfectly consistent (Ta- sional index. This is one of the main original
ble 8). The municipality of Barcelona was the contributions of the article, it has provided a
one with the highest number of cases that longitudinal analysis based on standardised
did not fit any of the patterns. The model’s spatial units. In line with previous research
limited explanatory capacity for Barcelona’s (Tunstall, 2016), the results have led to the
neighbourhoods lies in the fact that both conclusion that metropolitan neighbour-
business density and the level of municipal hoods have a certain level of dynamism in
public spending are very high in Barcelona the vulnerability continuum, and their mobil-
and its respective districts when compared ity that tends to be gradual in the hierarchi-
to the rest of the metropolitan area. The cal structure and reduced at the ends of the
most disadvantaged neighbourhoods in Bar- hierarchical structure, in the most and the
celona have higher budgets than the most least vulnerable neighbourhoods. The re-
vulnerable neighbourhoods in Badalona, sults corroborate the hypothesis that there
l’Hospitalet de Llobregat, Sant Adrià de Be- is high persistence of extreme vulnerability
sòs and Santa Coloma de Gramenet. This in the area around the Ciutat Vella district
makes it difficult for their neighbourhoods to of Barcelona and the Besòs and Llobregat
follow a common pattern with other neigh- axes. Extreme and persistent urban vulner-
bourhoods in these four municipalities. ability informs about neighbourhoods that
operate as metropolitan spaces where vul-
nerable population concentrate and there is
Table 8. N
eighbourhoods not conforming to the multidimensional deprivation. This speciali-
patterns identified
sation is partly caused by the growth of the
Neighbourhoods that Downgrading Barcelona Metropolitan Area between 1950
remained stable neighbourhoods and 1975, when the neighbouring munici-
palities on the southern and northern areas
Barcelona: el Raval; la Bar- Sant Joan Despí:
celoneta; Sant Pere, Santa Fontsanta; les Planes. of the city took in populations with scarce
Caterina i la Ribera; la Ma- Sant Adrià de Be- economic resources in massive urban de-
rina del Prat Vermell; el Turó sòs: el Besòs. velopments, many of them unplanned and
de la Peira; Can Peguera; with low-quality housing and environments.
Verdun; la Trinitat Nova; la
Moreover, the renewal and diversification
Trinitat Vella; Baró de Viver;
el Besòs i el Maresme. of the metropolitan housing stock resulting
Sant Adrià de Besòs: la from the real estate boom (1997-2007) has
Mina. led to a relative devaluation of the housing
Santa Coloma de Gramenet: areas of poorer quality and location, a de-
el Raval; Safaretjos.
valuation process shared with that experi-
12 (48.0%) 3 (21.4%) enced by other European vulnerable envi-
Source: Population and Housing Census (Censo de pobla-
������ ronments (Hess, Tammaru and van Ham,
ción y viviendas), 2001 and 2011. 2018).
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, April - June 2022, pp. 3-2218 The Role of Institutional Thickness in Persistent Urban Vulnerability within the Barcelona Metropolitan Area
The explanatory analysis of the persist- status of neighbourhoods, as several anal-
ent vulnerability focused on the most vul- yses have shown with area-based policies
nerable neighbourhoods presented in the (Gibb, Meen and Nygaard, 2018; Tunstall,
second part of the study is another impor- 2016; Zwiers, van Ham and Kleinhans,
tant contribution of the article, given the 2017). The inadequacy of interventions can
scarcity of explanatory analyses of the phe- be explained by a number of reasons. One
nomenon in Spain. The research was based is the type of interventions carried out and
on a method that is new to urban studies, their potential to transform situations of
QCA, which provided evidence of the rela- very high vulnerability. The analysis pre-
tionship between urban vulnerability and in- sented here has focused on neighbour-
stitutional thickness. A number of conclu- hoods with extreme vulnerability, where
sions can be drawn from the results. First, more structural interventions are necessary
QCA confirmed the hypothesis concerning to change the socio-economic profile (Zwi-
the diversity of patterns of persistence and ers, van Ham and Kleinhans, 2017). Fol-
downgrading to extreme vulnerability: the lowing Meen (2009), it is also worth con-
outcome of remaining or becoming down- sidering the distance that separates these
graded to the bottom decile was obtained highly vulnerable neighbourhoods from
through different causal configurations of the rest and how far they are from a hypo-
institutional factors. thetical threshold from which actions could
Only the financial ability of the munici- generate a significant change in their rela-
pality and the density of its business fab- tive status.
ric behaved in the manner put forward by The analyses presented have some
the hypotheses. These results show the room for improvement. For example, as
importance of the municipal context in the far as the sources of information allow, it
persistence of, and downgrading to, ex- would be desirable to refine certain ex-
treme vulnerability. In the case of munici- planatory indicators, such as municipal fi-
pal spending capacity, as Nel·lo and Do- nancing or association density. This could
nat (2017) pointed out, the concurrence be done by selecting the budget items ear-
of a high concentration of highly vulner- marked for improving living conditions in
able neighbourhoods and financial weak- the former, and the associations whose ac-
ness make it difficult to reverse. The den- tivity is based on this objective in the lat-
sity of the business fabric also represented ter. Finally, there are many neighbourhoods
a potential handicap in meeting the low- where institutional factors do not have a
skilled employment needs of a significant clear impact. For the Barcelona neighbour-
proportion of the population in the most hoods that remain in a situation of extreme
vulnerable neighbourhoods. Coupled with vulnerability, it has not been possible to
connectivity problems, as Musterd, Mu- describe a single explanatory pattern. It
rie and Kesteloot (2006) pointed out, there would be necessary to take the analysis
is a high likelihood of perpetuating ex- further through the use of other indicators
clusion processes. Urban development of institutional thickness, such as the pres-
planning, contrarily, behaved in the op- ence and quality of facilities, and introduc-
posite way to the hypotheses proposed, ing other conditions related to other dimen-
as more interventions were found to have sions. The inclusion of these elements may
been concentrated in the most vulnerable broaden the explanatory scope and further
neighbourhoods. Urban interventions are a diversify the explanatory patterns by which
necessary condition, but they are not suf- neighbourhoods are downgraded or remain
ficient to substantively change the relative at high levels of vulnerability.
Reis. Rev.Esp.Investig.Sociol. ISSN-L: 0210-5233. N.º 178, Abril - June 2022, pp. 3-22Fernando Antón-Alonso and Irene Cruz-Gómez 19
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