Ci a ion: Piasek, Gonzalo, I aide
Fe nández A agón, Julia She shne a,
and Pila Ga cia-Almi all. 2022.
Assessmen o U ban
Neighbou hoods’ Vulne abili y
h ough an In eg a ed Vulne abili y
Index (IVI): E idence om Ba celona,
Spain. Social Sciences 11: 476.
h ps://doi.o g/10.3390/
socsci11100476
Academic Edi o s: Hao ui Wu,
Je Ka abanow, Jean M. Hughes and
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Recei ed: 1 Augus 2022
Accep ed: 5 Oc obe 2022
Published: 14 Oc obe 2022
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social sciences
A icle
Assessmen o U ban Neighbou hoods’ Vulne abili y h ough
an In eg a ed Vulne abili y Index (IVI): E idence om
Ba celona, Spain
Gonzalo Piasek 1,* , I aide Fe nández A agón2, Julia She shne a 2and Pila Ga cia-Almi all 1
1A chi ec u al Technology Depa men , Poly echnic Uni e si y o Ca alonia, 08028 Ba celona, Spain
2Sociology and Social Wo k Depa men , Uni e si y o he Basque Coun y, 48940 Bilbao, Spain
*Co espondence: [email p o ec ed]
Abs ac :
U ban inequali y, speci ically in ulne able a eas, has been a s udy opic om he ea lies
days o sociology o he p esen . This s udy’s objec i e is o discuss he scope and limi a ion o he
concep o u ban ulne abili y, whils gene a ing an index ha de ec s u ban ulne abili y in all i s
dimensions. A ac o analysis o he main componen s was conduc ed esul ing in he o ma ion o
ou pa ial indices ela ed o he social class, gen i ica ion, social and employmen , and physical &
a chi ec u al dimensions o u ban ulne abili y, whils hei sums con o m an in eg a ed ulne abili y
index. This index is applied o he ci y o Ba celona, allowing i s neighbou hoods o be posi ioned
on a ulne abili y con inuum. Despi e being applied in his ci y, he in eg a ed ulne abili y index
eme ges wi h he pu pose o being eplica ed o o he u ban spaces. The mapping o hese esul s
using geog aphic in o ma ion sys ems sugges s a obus index ha allows ea ly iden i ica ion o
p oblema ics, while also p o iding clues o policy in e en ion.
Keywo ds: inequali y; ulne abili y; neighbou hood; ac o analysis
1. In oduc ion
Since he ad en o ci ies, hei o ganisa ion, pa icula ly hei inequal and he e oge-
neous s uc u ing, has been a cen al s udy opic in social sciences, gi ing ise o a as
body o li e a u e, wi h some s udies ocusing on ‘ he u ban’ exp ession o such inequali ies.
The key concep s o social s udies, such as class s uggle, pola isa ion, o inequali y, a e
c ys allised in he u ban space, pa icula ly on he neighbou hood scale (Zhang e al. 2018),
as i s mos sel -de ining and sociological uni .
The s udy o u ban inequali y has a long and di e se adi ion in sociology. I began
wi h he Chicago School in he 1930s based on he idea ha physical dis ances so equen ly
a e—o seem o be—an indica o o social dis ances (Pa k 1926). Some o he mos impo an
opics o s udy since hen ha e been he compa ison o di e en u ban s uc u es, as well
as he iden i ica ion o causes and e ec s o u ban inequali ies and hei spa ialisa ion. The
analysis o hese inequali ies was add essed by he neo-Ma xis app oaches o he new
u ban sociology, showing how he abandonmen o he ci y o ee ma ke has gene a ed
specula ion and su pluses in u ban capi al gains. Thus, land in ci ies has become a speci ic
ype o capi al, and i s alue o ges u ban seg ega ion and di e en ia es (and anks) he
di e en neighbou hoods (U u ia Abaiga 1999) and hei inhabi an s. In his ega d, class
s uggle, o au ho s such as Ha ey (2013), is pa icula ly mani es ed in he igh o he
app op ia ion o space in ci ies. The in ensi ica ion o he spa ial di isions coincides e y
well wi h class di isions, esul ing in a di e en ial dis ibu ion among a eas o he ci y
(Ha ey 2013).
Howe e , he cu en global and u ban scena io aises new challenges. Di e en
au ho s ha e al eady men ioned he inc ease in spa ial and social pola isa ion a he s a
o his cen u y (Wacquan 2010;Secchi 2014;Seiz 2020). This inc ease was pa ly due
Soc. Sci. 2022,11, 476. h ps://doi.o g/10.3390/socsci11100476 h ps://www.mdpi.com/jou nal/socsci
Soc. Sci. 2022,11, 476 2 o 19
o he globalisa ion o mig a ions (Cas les and Mille 1998) and o he expansion o he
neolibe al ci y model. Financial globalisa ion has gene a ed neolibe al ci y p oduc ion
models, which in u n has in ensi ied social inequali ies. These inequali ies a e likewise
heigh ened in c isis con ex s, whe he he 2008 economic c isis, in which ulne able a eas
and g oups we e mos badly hi (Janoshcka and Hidalgo 2014;Echa es Ga cía and Echa es
2017;Fe nández A agón and She shne a 2017), o he 2020 heal h c isis, which gene a ed
signi ican inequali ies (Gu e es 2020;Seiz 2020;Teixei a e al. 2022). The di e en c isis
scena ios e eal he need o pinpoin he mos ulne able g oups and a eas in o de o
design public policies o o se he nega i e impac s o c ises.
We a e cu en ly going h ough a scena io o as and ab up change. Thus, u ban
ulne abili y is e ealed as a highly ele an and complex issue, making i necessa y o
ca y ou an upda ed diagnosis ool ha conside s all o i s dimensions. E en hough i
has been s udied by di e en au ho s and om di e en pe spec i es, a comp ehensi e
app oach o u ban ulne abili y is some imes missing, making i necessa y o ake p e ious
discussions in o accoun whils aking a s ep o wa d on bo h a heo e ical and a p ac ical
le el. A e add essing he main concep ual discussions ela ed o u ban ulne abili y, as
well as econs uc ing he main e o s owa ds he cons uc ion o di e en ulne abili y
indices, a discussion on hei limi s and oppo uni ies is p esen ed. Thus, hese discussions
can help us be e iden i y he dimensions o analysis o u ban ulne abili y, owa ds he
cons uc ion o an in eg a ed measu e ha can be applied in he ci y o Ba celona.
1.1. Concep ual F amewo k: Rega ding he Concep o U ban Vulne abili y
As a s ep p io o se ing up an index ha allows us o measu e u ban ulne abili y, he
concep o ulne abili y and i s applica ion o he u ban sphe e should be examined. Wi h
ega d o i s mos gene al pe cep ion, ulne abili y eme ged in he li e a u e o he English-
speaking wo ld o mo e beyond he concep o po e y ha p o ed insu icien (Rod íguez
2001). The ulne abili y app oach, when ealising he de encelessness, insecu i y, and
exposu e o isk, shocks, and s ess (Chambe s 1989;Ochoa-Ramí ez and Guzmán-Ramí ez
2020) caused by ex eme socioeconomic e en s, p o ides a mo e comp ehensi e iew o
he li ing condi ions o people in po e y o a isk. Thus, ulne abili y would encompass
hose p ocesses ha o en occu in pa allel, such as he inc eased isks and h ea s ha could
a ec an indi idual o g oup, he ac u e and weakening o he p o ec ion ins umen s,
o he di icul y o o e come s uc u al po e y (Rod íguez 2001). The applica ion o
his concep o he u ban analysis mus conside he con e gence o pe sonal, social, and
physical pa ame e s occu ing in he u ban space.
The e a e mul iple ways o de ining u ban ulne abili y, some gi ing g ea e impo -
ance o one o ano he aspec . Thus, om he social pe spec i e, u ban ulne abili y e e s
o he po en iali y o a gi en popula ion o a speci ic u ban space o being a ec ed by
ce ain ad e se ci cums ance(s) (Alguacil Gómez e al. 2014). In his ega d, i is no only
de ined by he cu en c i ical disad an age, bu mo e speci ically by he h ea o exposu e
o ce ain exclusion isks (Callejo e al. 2005).
The Uni ed Na ions de ines ulne abili y as a s a e o high exposu e o isks and
unce ain ies, in combina ion wi h a educed abili y o p o ec o de end onesel agains
hese and cope wi h hei nega i e consequences (Uni ed Na ions 2003). The e o e, his
de ini ion s ands ou on wo basic poin s: on he one hand, he inc eased isks ha may
nega i ely a ec indi iduals o social g oups and, on he o he hand, he weakening o he
ools ha enable p o ec ion agains hose isks (Mose 1998).
In his ega d, he concep o u ban ulne abili y alludes o a dynamic and complex
p ocess, as i combines di e en esiden ial economic and socially disad an aged dimen-
sions leading o exclusion (Uni ed Na ions 2003). Thus, we can speak o a leas h ee basic
dimensions o ulne abili y: he sociodemog aphic, he socioeconomic, and he spa ial
(Piza o 2001;Rod íguez 2001). The i s o hem, sociodemog aphic ulne abili y, is mo e
linked wi h popula ion ageing, mig a o y mo emen s, and he appea ance o household
s uc u es p esen ing g ea isks o ulne abili y. The socioeconomic dimension, in u n,
Soc. Sci. 2022,11, 476 3 o 19
e e s o job ins abili y and insecu i y, exposing indi iduals o economic exclusion and
po e y. Las ly, he esiden ial dimension e e s o poo condi ions, bo h o housing and o
he physical spaces in which daily social ac i i ies ake place (Alguacil Gómez e al. 2014).
On he o he hand, au ho s (He nández-Aja 2007;Zhang e al. 2021) ha e s essed he
impo ance o conside ing he psychosocial dimension o he subjec i e pe cep ion o he
en i onmen in which hey li e.
In ela ion o he cha ac e is ics o u ban ulne abili y, Cas el’s e lec ions (Cas el 1991,
1995) on he dynamic na u e o his phenomenon a e o g ea in e es . Cas el a gued ha i is
no an ai igh condi ion, bu a he ha he condi ions o he indi iduals change depending
on he momen . Thus, he au ho di e en ia ed h ee a eas o ulne abili y esul ing om
hei social and employmen condi ions. These h ee a eas cons i u e a con inuum ha
anges om he in eg a ion a ea, which includes indi iduals wi h s able employmen and
a s ong ne wo k o social ela ions, o he ma ginalisa ion a ea a he o he end o he scale,
including people who lack wo k and social ela ions. The ulne abili y a ea is be ween
hese wo ex emes and ep esen s he combina ion o p eca ious employmen wi h he
agili y o ela ional suppo (Cas el 1991). In his sense, he cha ac e is ics ela ed o a
highe isk o ulne abili y ha e o do wi h he in e sec ion o economic, social, cul u al,
and en i onmen al ac o s such as job ins abili y, low le el o educa ion, unemploymen ,
ch onic diseases, disabili y, domes ic iolence, esiden ial seg ega ion, and dependency
(Ranci 2002).
In he u ban space, ulne abili y ends o be concen a ed in ce ain a eas o he ci y
whe e he e is a combina ion o un a ou able li ing, social, and job ac o s (Edwa ds 1975;
He be 1975;Alguacil Gómez e al. 2014). Residen ial seg ega ion, in u n, con ibu es
o people wi h simila condi ions coinciding in he same (unde )p i ileged u ban spaces
(Egea Jiménez e al. 2008;Méndez 2013;Temes 2014). In he case o Spain, esiden ial
disc imina ion is a widely s udied issue (Fe nández A agón e al. 2021a;Minis e io de
Igualdad 2022;Checa Olmos e al. 2010), especially in he con ex o mig a ion and e hnic
mino i ies. Rega ding he causes, one o he ac o s ha in luences u ban spa ial dis ibu ion
is he p ice o housing (Ma o i and Hobe g 2004;Alguacil Gómez e al. 2014), wi h
immig an s and young people on low incomes among he mos ulne able g oups (Alguacil
Gómez 2006). Howe e , he esiden ial disc imina ion is ano he ele an ac o explaining
esiden ial seg ega ion (Gals e and Keeney 1988;Massey 2005). Gals e and Keeney (1988)
di e en ia ed be ween public disc imina ion, which e e s o local and s a e land and
housing policies, and p i a e disc imina ion gene a ed by he eal es a e and p i a e agen s
owa ds ce ain g oups (Munnell e al. 1996). Among he consequences o esiden ial
seg ega ion, p e ious esea ch ended o ocus mainly on i s nega i e e ec s, speci ically on
socioeconomic in eg a ion and people’s wellbeing (Kempen and Ozuek en 1998;Wacquan
2001;Mus e d 2005).
Gen i ica ion is ano he p ocess ela ed o u ban ulne abili y, as i may imply a
po en ial h ea o he locals li ing in a speci ic neighbou hood, in ela ion o hei pe ma-
nence o expulsion by he hike in housing and o he p ices (Hübsche 2018;Lin e al. 2021).
P ocesses such as gen i ica ion and ou is i ica ion a e gene a ed when an u ban a ea is
app op ia ed by a popula ion segmen ha did no p e iously li e he e, consequen ly
expelling local inhabi an s (Janoshcka and Hidalgo 2014;Hübsche 2018;So ando and
A du a 2016). The expulsion is ela ed, mos di ec ly, o he high p ice o en esul ing
om he commodi ica ion and enewal o he neighbou hood (Callejo e al. 2005), as well as
wi h he appea ance o ou is o holiday en als, which exe s g ea p essu e on he en al
ma ke (Piñei a e al. 2021). Thus, gen i ica ion and ou is i ica ion, which pa icula ly
a ec u ban cen es, may esul in he modi ica ion o some cul u al, economic, social
and/o u ban cha ac e is ics o he whole a ea unde p essu e. The discussion ega ding
hese phenomena is di ided be ween hose who conside hem a sou ce o income and
u ban imp o emen , and hose who iew hem as a ac o o ulne abili y and subjuga-
ion. Whiche e he case, mo e and mo e de ini ions o u ban ulne abili y conside his
dimension o analysis (Lin e al. 2021).
Soc. Sci. 2022,11, 476 4 o 19
The e o e, ocusing ou esea ch on u ban ulne abili y, ying o unde s and i in all
o i s dimensions is pa icula ly impo an a his momen , as ou esul s may lead o an
ea ly iden i ica ion o u ban a eas wi h highe isks o social, economic, and/o esiden ial
exclusion. Fu he mo e, he in e es in he Spanish con ex and he ci y o Ba celona is e y
well suppo ed, gi en hei speci ici ies, as well as he possibili y o ex end ou esul s o
o he simila con ex s, mainly in he Spanish s a e bu also in he Medi e anean.
The s udy o u ban di e en ia ion, speci ically he use o indices, is well es ablished in
u ban sociology. These kinds o s udies ecei ed a signi ican me hodological boos in 1955
wi h he dissimila i y index (Duncan and Duncan 1955), as he sole indica o o measu e
esiden ial di e en ial. Subsequen ly, o he complemen a y measu es we e added o de ec
he mul iple dimensions o he u ban seg ega ion phenomenon (Massey and Den on 1988).
The me hodological de elopmen s o his ype and he gene a ion o indices as summa ised
and simple alues, bu wi h g ea explana o y powe , ha e since hen mul iplied. In his
ega d, Table 1shows some ele an e o s o ope a ionalise ulne abili y, i.e., o p o ide an
index capable o iden i ying i s dis ibu ion in he u ban space. Speci ically, we di e en ia e
be ween hose s udies ha , om a mo e adi ional ision, analysed ulne abili y on he basis
o social and economic indica o s and hose which, s a ing om a b oade unde s anding o
he concep , analysed i in e ms o mul iple aspec s o he u ban en i onmen . All o hese
s udies used a ailable seconda y da a and ope a ionalised u ban ulne abili y using a se o
indica o s, be o e ollowing di e en me hodologies o he calcula ion o a syn he ic index
(Fe nández-Ga cía e al. 2017).
Table 1. Vulne abili y and/o inequali y indices.
Index Au ho Yea A ea Me hod Indica o s
Socioeconomic
The social s a us index Ley 1986 Canada Co ela ion model
Socioeconomic; esiden ial
(gen i ica ion)
Small-a ea index o
socioeconomic dep i a ion Ha a d 2008 F ance Fac o ial analysis Sociodemog aphic;
socioeconomic
Dep i a ion index Townsend 1988 UK Loga i hmic
ans o ma ion
Socioeconomic; esiden ial
Socioeconomic le el index Fe nández-Ga cia 2017 Spain Fac o ial analysis Sociodemog aphic;
socioeconomic; esiden ial
Vulne abili y
U ban ulne abili y index Egea Jiménez 2008 Spain Fac o ial analysis
Sociodemog aphic;
socioeconomic; esiden ial;
subjec i e
Comp ehensi e u ban
ulne abili y syn he ic index
Minis y o
De elopmen 2010 Spain Mul ic i e ia
analysis
Sociodemog aphic;
socioeconomic; esiden ial;
en i onmen al
Indices o dep i a ion Minis y o
Housing 2011 UK Fac o ial analysis
Sociodemog aphic;
socioeconomic; esiden ial;
en i onmen al
Syn he ic index o
comp ehensi e u ban
ulne abili y
Fe nández A agón 2021b Spain Fac o ial analysis
Sociodemog aphic;
socioeconomic;
sociopoli ical; esiden ial
Comp ehensi e ulne abili y Hanoon 2022 I aq Fuzzy logic
unc ion
En i onmen al;
esiden ial; u ban
Composi e ulne abili y index
Ge undo 2020 I aly Agg ega ion
me hod
Sociodemog aphic; u ban;
esiden ial
Sou ce: P epa ed by he au ho s.
The socioeconomic dimension has been, adi ionally, he mos s udied dimension in he
ield o u ban sociology. In ac , i is no able how, om he mos adi ional o he mos con em-
po a y heo ies, he socioeconomic dimension has p o en o be he de e mining ac o o explain
di e ences in u ban spaces (Checa Olmos 2006). Howe e , social indica o s and dimensions,
such as he access o se ices and en i onmen al heal h (Na a o e al. 2016) and he li ing space,
Soc. Sci. 2022,11, 476 5 o 19
ha e gained impo ance in ecen yea s. This has likewise been he case in esiden ial analysis
(Ga cia-Almi all e al. 2017), which mos equen ly ends up being linked o he gen i ica ion
p ocess (Lin e al. 2021). Along wi h he socioeconomic, he sociodemog aphic dimension, wi h
special ocus on he p esence o a o eign popula ion gi en i s g ea e ulne abili y, is a cons an
in his ype o analysis (Fe nández A agón e al. 2021b).
Table 1shows he selec ion o a se o indices, ocusing mo e on one o ano he dimension
o ulne abili y. In he case o he s udies ha ocused mo e on socioeconomic aspec s, a
special men ion should be made o he classic Townsend dep i a ion index in he Uni ed King-
dom (Townsend 1988) and upda ed by he go e nmen in 2011 (Minis y o Housing o he
Uni ed Kingdom 2011). This lis also includes he Ha a d small-a ea index o socioeconomic
dep i a ion o he F ench case (Ha a d e al. 2018) and he socioeconomic le el index c ea ed
by Fe nández-Ga cía and o he s in Spain (Fe nández-Ga cía e al. 2017). They all sha e he
p io i y use o social dimensions, including esiden ial, socioeconomic, and sociodemog aphic
indica o s. The case o he social s a us index (SSI) de eloped by Ley (1986) o Canada is also
e y in e es ing. I clea ly links u ban po e y wi h gen i ica ion p ocesses, by aking some
esiden ial a iables in o accoun (She ky and Bell 1955;Ley 1988).
The able also shows he selec ion o u ban ulne abili y indica o s ha , in addi ion o
he abo emen ioned, conside dimensions ela ed o he subjec i e le el. This is he case
o he u ban ulne abili y index (IVU) o Egea Jiménez e al. (2008), he u ban syn he ic
ulne abili y index included in he u ban ulne abili y a las (Temes 2014) p oduced by he
Spanish Minis y o De elopmen , along wi h he English indices o dep i a ion (Minis y
o Housing o he Uni ed Kingdom 2011). The conside a ion o new dimensions and
indica o s ela ed o he esiden s’ pe cep ion o hei en i onmen —which is known
as ‘subjec i e ulne abili y’ and in ol es he lack o g een zones, pollu ion, an isocial
beha iou , and anspo —s ands ou in hese p oposals (Fe nández-Ga cía e al. 2017).
Al hough no included in he able, Ruáe al. (2019) p oposed pa icipa o y echniques o
he con as o hei selec ed indica o s o elabo a e an index o Cas ellon (Spain).
Fu he mo e, a iables a e inco po a ed ela ed o he esiden ial con ex , such as he p ice
o he dwellings and o he en i onmen al a ibu es (Fe nández A agón e al. 2021b;Ge undo
e al. 2020). A special men ion should be made o he syn he ic index o comp ehensi e
u ban ulne abili y (ISVUI) (Fe nández A agón e al. 2021b), which is he di ec p edecesso
o his pape . In addi ion o he mo e s anda d dimensions—sociodemog aphic, social and
employmen , and esiden ial, his las index conside s pa icipa ion h ough o mal (elec o al)
and in o mal (associa i e ne wo k) spaces. In addi ion o he dimensions lis ed in he able,
some ecen s udies linked u ban ulne abili y o geog aphical and/o clima ological ac o s,
which is pa icula ly ele an due o he consequences o clima e change (Rome o-Lankao
and Qin 2011;Hanoon e al. 2022). This analysis, in he case o Eu opean ci ies, was ca ied
ou by conside ing hese a iables as u u e isks (Tapia e al. 2017).
Al hough he e a e di e en s a is ical ools used o in eg a e he di e en indica o s,
as shown in Table 1, he p incipal componen ac o analysis, whe he explo a o y o con-
i ma o y, is he mos common one. We can also ind o he echniques such as mul ic i e ia
analysis and co ela ion models. As we e eal in Sec ion 2, his esea ch is based on a
ac o ial analysis.
1.2. Objec i es
One o he i s hypo heses o his wo k is ha social di e ences ha e a spa ial co ela-
ion. This was one o he s a ing poin s ha mo i a ed he esea ch in e ms o iden i ying
he dimensions o ulne abili y and he way in which hey combine and esul in he dis i-
bu ion o social g oups in he e i o y. Secondly, he e ision o li e a u e as well as he
s udy o o he ulne abili y indices esul ed in a mo e o less conscious decision o include
a iables ela ed no only o social, economic, and demog aphic aspec s, bu also o indica-
o s o he u ban and housing sphe es, mos ela ed o he alo isa ion and commodi ica ion
o u ban a eas (Se in e al. 2020). Thus, some o he ques ions add essed in his esea ch a e
ela ed o he weigh o u ban aspec s in he con o ma ion o a ulne abili y index.
Soc. Sci. 2022,11, 476 6 o 19
This esea ch’s objec i e is o discuss he scope and limi a ion o he concep o
u ban ulne abili y, whils gene a ing an index ha de ec s u ban ulne abili y in all i s
dimensions. This index is applied o he ci y o Ba celona, allowing i s neighbou hoods o be
posi ioned on a ulne abili y con inuum. Despi e being applied in Ba celona, he in eg a ed
ulne abili y index (he eina e IVI) eme ges wi h he pu pose o being eplica ed in o he
u ban spaces (wi h i s app op ia e adap a ion o he di e en con ex s).
This pape is s uc u ed in i e pa s. A b ie e iew o he main heo e ical pe spec-
i es on u ban ulne abili y and o some o he indices cons uc ed in simila s udies is
p o ided in Sec ion 1. Subsequen ly, he me hodology used o his s udy, he seconda y
sou ces selec ed, and he da a used o he cons uc ion o he IVI applied in he ci y o
Ba celona a e p esen ed in Sec ion 2. Then, Sec ion 3includes a desc ip ion o he a i-
ables included in he model. This in o ma ion was summa ised by means o a p incipal
componen ac o analysis (he eina e FA) in o de o es ablish he mos impo an ac o s
ha in luence u ban ulne abili y, as well as ob ain an in eg a ed measu e. The main
ou comes, oge he wi h alida ion and c osschecking, p esen ed in Sec ion 4, accoun o
a highly consis en and obus index ha is no ed o measu ing he ulne abili y in a
mul idimensional way. Las ly, he main conclusions a ising om his s udy a e p esen ed
in Sec ion 5.
2. Ma e ials and Me hods
In o de o cons uc a syn he ic index ha de ec s ulne abili y and ha allows he
di e en neighbou hoods o he ci y o be posi ioned on a ulne abili y con inuum, a quan-
i a i e analysis s a egy was selec ed, s a ing om seconda y da a on s in open access.
This las poin is o g ea impo ance, as his index seeks o be eplica ed; consequen ly,
access o da a mus be s eamlined. Speci ically, his exe cise was conduc ed o he ci y
o Ba celona.
2.1. Measu emen Uni : The Neighbou hood
Wi h ega d o he measu emen uni o his analysis, he neighbou hood was selec ed
as he e e ence space, e en hough i is mo e a sociological han an adminis a i e ca ego y.
U ban indices a e di ided be ween hose using he census sec ion o a mic o-scale as uni
and hose ha expand he scale o dis ic o neighbou hood (Temes 2014). We ound
examples o his ype o analysis, using he neighbou hood as uni , in Andalusia (Na a o
e al. 2016), Mad id (Uceda Na as 2017), Bilbao (Fe nández A agón e al. 2021b), and he
dep i a ion index applica ions (Townsend 1988). Access o da a is one o he easons o
he decision o wo k a a neighbou hood le el, as he da a by census sec ion a e o en no
a ailable, pa icula ly hose ela ed o he 2011 Census (de Cos Gue a and Fe e 2019). In
any e en , some o ha da a would be ou o da e. Consequen ly, p io i ising he applicabil-
i y o he IVI o o he municipali ies, he selec ed measu emen uni is he neighbou hood.
The choice o his scale is jus i ied by he in en ion o c osscheck his me hodology wi h
o he p e ious wo k, such as he index cons uc ed by Fe nández A agón e al. (2021b)
which is he basis o his esea ch. A he same ime, he neighbou hood scale has been he
planning scale o di e en public policy ini ia i es in he ci y o Ba celona and in Ca alonia,
pa icula ly a e he 2004 Neighbou hood Ac , which is e y ele an o he local eali y.
A he same ime, his scale is o pa icula impo ance, ela ed o he p esence o public
se ice and social wel a e a a neighbou hood scale, as well as i s ecogni ion as a alue o
p oximi y by local esiden s (Piasek e al. 2021).
2.2. Selec ion o Va iables
In o de o answe o ou objec i es, a da abase a neighbou hood scale was i s
p epa ed on he basis o 21 indica o s o di e en ypes (social, demog aphic, economic,
u ban, e c.) as a i s s ep owa ds he cons uc ion o an u ban ulne abili y index. These
indica o s we e selec ed ollowing he same model p oposed by he syn he ic index o
comp ehensi e u ban ulne abili y (ISVUI) applied o he ci y o Bilbao (Fe nández A agón
Soc. Sci. 2022,11, 476 7 o 19
e al. 2021b). Speci ically, i s indica o s a e ela ed o he sociodemog aphic, social and
employmen , esiden ial, and pa icipa ion dimensions. As o ou case, he sociodemo-
g aphic dimension includes he key a iables o unde s anding he composi ion o he
neighbou hood, which a e e y common in his ype o s udy (Alguacil Gómez e al. 2014).
Va iables such as age o o eigne s would be loca ed in his dimension. Rega ding he
employmen dimension, i is a classic dimension in he elabo a ion o u ban ac o analysis,
commonly called ‘social ank’ (She ky and Bell 1955). This includes a iables ela ed
o employmen and income. The esiden ial dimension e e s o he cha ac e is ics and
condi ions o housing. In e na ional s udies show he ela ionship o housing equipmen
wi h he ‘social ank’ ca ego y (She ky and Bell 1955;Hamil on and F ench 1979) o as an
isola ed ac o , as in he case o Gi us (1965) o Li e pool. Va iables such as he p ice o
en o hea ing in he dwelling a e also included. Las ly, many s udies linked po e y and
ulne abili y wi h social pa icipa ion, ei he h ough elec o al o associa i e pa icipa ion
(Gómez Fo es and T ujillo Ca mona 2011). Thus, a iables such as elec o al abs en ion o
pa icipa ion in associa ions a e also included.
Some limi a ions we e ound ega ding he cha ac e is ics o he ci y o Ba celona ha
we e no all ep esen ed in p e ious indices, making i necessa y o ake p e ious e o s in o
accoun , while p oposing an upda ed ool o analysis. Consequen ly, u banis ic indica o s
a e added o his esea ch wi h he in en ion o shedding some ligh on a dimension ha
a p io i seemed ep esen a i e o Ba celona, and which has o do wi h he u ban scale,
wi h he inhe en cha ac e is ics o he ci y, i s ou is p o ile, e c. The dimensions used in
he Bilbao case we e epea ed, whils adding some o he poin s linked o economic ends
ela ed o ou is i ica ion, and he u ban dimension (all measu emen s based on speci ic
indica o s such as buildings owned by o eigne s, he p opo ion o you hs ou o he o al
popula ion, he pe cen age o ou is accommoda ion ou o he o al building s ock, he
pe cen age o land dedica ed o u ban pa k, he popula ion densi y, e c.). Las ly, ega ding
he selec ion o a iables, in he case o Spain, a he ins i u ional and academic le el, i is
common o use he syn he ic indices o u ban ulne abili y included in he a las o u ban
ulne abili y (Minis y o Public Wo ks 2011). These indices a e c ea ed on he basis o h ee
indica o s: pe cen age o unemployed people, pe cen age o people wi h no educa ion, and
pe cen age o dwellings in buildings in poo condi ion. The au ho s o his pape conside
ha , al hough his basic index allows compa ison, his selec ion o a iables is insu icien
o explain u ban ulne abili y as a whole, as i lea es ou basic aspec s such as he quali y
o housing, u ban dimensions, and social class a ibu es. Mo eo e , his app oach does
no allow ulne abili y o be measu ed as a scale, as i only de ec s ex eme si ua ions. In
o de o o e come hese limi a ions, he IVI expands he selec ion o a iables as can be
seen in Table 2.
Ne e heless, his selec ion does no include a iables ela ed o he geog aphi-
cal/clima ological dimension. While we conside his o be an in e es ing dimension,
he lack o s anda dised da a a a s a e le el would p e en he index om being epli-
cable in o he ci ies. Likewise, he pa icipa ion dimension is limi ed only o elec o al
pa icipa ion and p esence o local en i ies o associa ions, also due o he di icul y o
ob aining da a.
2.3. Index C ea ion P ocess
Speci ically, he ollowing s eps we e ollowed o he elabo a ion o he index: i s ,
he mos ele an a iables ela ed o he objec o s udy we e selec ed on he basis o he
li e a u e e iew and he iden i ica ion o co e dimensions. Second, he selec ed a iables
we e ecoded o con e hem in o nume ical a iables, an essen ial condi ion o ca ying
ou a ac o analysis. Thi d, an explo a o y p incipal componen ac o analysis was
ca ied ou . In his phase, a iables wi h li le o no explana o y capaci y we e elimina ed.
Speci ically, he a iables ‘popula ion densi y’ and ‘u ban g een a eas’ we e elimina ed.
Fou h, a ac o analysis was ca ied ou wi h he explana o y a iables esul ing in ou
ac o s ob ained wi h Va imax o a ion. Wi h his second ac o analysis, we we e able
Soc. Sci. 2022,11, 476 8 o 19
o ank and weigh he impac o each dimension on he o e all u ban ulne abili y o
each neighbou hood. This is wha is mapped in he nex sec ion. The weigh assigned
o each dimension by he second-o de ac o analysis was as ollows: social class, wi h
23.7% explana o y capaci y; gen i ica ion, wi h an explana o y capaci y o 23.1%; social
and employmen , 22.7%; physical and a chi ec u al, 11.4%. The calcula ion o he global
index was hen ca ied ou conside ing he ela i e weigh o each o hese dimensions.
Table 2. Va iables selec ed o he model.
Indica o Sou ce
House p ices pe m2(EUR) Sec . o he U ban Agenda o
Ca alonia—GenCa (2021)
People wi h a uni e si y educa ion (%) Municipal Regis e o Inhabi an s (2020)
People wi hou basic educa ion (%) Municipal Regis e o Inhabi an s (2020)
A ailable amily income (EUR) Open Da a Ba celona (2018)
Age o he dwellings (yea s) Cadas al Gene al Di ec o a e (2020)
Tou is accommoda ion (%) Bcn S a is ics Depa men (2020)
En i ies pe neighbou hood (N) Open Da a Ba celona (2020)
Fo eign popula ion (%) Municipal Regis e o Inhabi an s (2020)
You h popula ion (%) Municipal Regis e o Inhabi an s (2020)
P emises p ope y o p i a e o eign owne s (%) Cadas al Gene al Di ec o a e (2020)
People wi h oca ional aining (%) Municipal Regis e o Inhabi an s (2020)
No. o people unemployed (%) Depa men o Wo k—GenCa (2021)
Abs en ion in las elec ions (%) Minis y o he In e io (2019)
O e 65 yea s old (%) Municipal Regis e o Inhabi an s (2020)
Non-con ibu o y pensions (%) Depa men o Wo k—GenCa (2021)
Sex a io (%) Municipal Regis e o Inhabi an s (2020)
Fla s wi h li (%) Popula ion and Housing Census (2011)
A e age su ace a ea o he housing (m2)Cadas al Gene al Di ec o a e (2020)
Housing wi h hea ing (%) Popula ion and Housing Census (2011)
Sou ce: P epa ed by he au ho s.
The seconda y da a used, which a e de ailed in Table 2, we e ob ained om s a is i-
cal in o ma ion sou ces a ailable in open o ma , including he S a is ics Depa men o
Ba celona Ci y Council, he Obse a o y o Dis ic s and Neighbou hoods, he Sociodemo-
g aphic Su ey, he Housing Census, and he ci y’s Su ey Regis e . Mos o he indices
used o measu e u ban po e y o ulne abili y use census da a, which can only be upda ed
e e y 10 yea s, when he census is ca ied ou . The e o e, o he elabo a ion o he IVI, we
op ed o o he ypes o sou ces ha allow ulne abili y o be moni o ed in sho e pe iods
o ime.
The ac o ial analysis is a da a educ ion echnique, whose ul ima e aim consis s o
sea ching o he minimum numbe o dimensions capable o explaining he as amoun
o in o ma ion con ained in he da a (De la Fuen e Fe nández 2011). The me hod seeks o
simpli y he a ailable in o ma ion in o de o make i easie o handle and in e p e . In his
ega d, i o e s huge bene i s when wo king wi h a la ge numbe o a iables and cases,
which is he eason o selec ing i as he mos app op ia e me hod o educe he numbe o
indica o s o a se ies o in e linked dimensions, wi hou losing aluable in o ma ion. A
he same ime, some limi a ions o his me hodology can also be indica ed, pa icula ly
hose linked o he use o s a is ical echniques whe e he esea che does no handle he
in o ma ion di ec ly. E en hough his could be seen as a gua an ee o ela i e objec i i y
in he me hod, he ‘capaci y o agency’ is an in eg al pa o any esea ch ask; bo h he
selec ion o he indica o s and he in e p e a ion o he da a a e eminen ly quali a i e
ac i i ies acco ding o ea lie s udies and eadings ha se he cou se, along wi h he esul
o ce ain ‘habi us’ o he esea che (Bou dieu 1978). Acco ding o hese commen s, he FA
is, he e o e, he mos app op ia e echnique gi en he esea ch goals o his pape .
A e ha ing ob ained he mos app op ia e model o explain he dimensions o
u ban ulne abili y, he ac o s ob ained we e educed in an in eg a ed ulne abili y index
Soc. Sci. 2022,11, 476 9 o 19
consis ing o he sum o he ela i e weigh s o each o he dimensions a ising om he FA.
Ha ing checked he con ibu ion o he a iables—abo e 0.5—and he KMO and Ba le
indica o s—abo e 0.6 in he i s case and signi ican in he second— ou ac o s we e
selec ed acco ding o he eigen alue me hod which al oge he explain mo e han 81% o
he a iance.
2.4. P esen a ion o Resul s
Las ly, he esul s we e mapped ( he maps in he nex sec ion ep esen he dis ibu ion
o each o he ac o s, as well as o he IVI), using geog aphic in o ma ion sys ems (GIS)
(Qgis 3.10-A Co uña, F ee So wa e Founda ion Inc., Bos on, MA, USA), a powe ul ech-
nology used by di e en disciplines when he subjec ma e has a e i o ial componen
(geog aphic, en i onmen , landscape, e c.) (Ga cia-Almi all e al. 2017). They can, hus, be
used o iden i y di e en dimensions in he e i o y being s udied, wi h huge implica ions
bo h o he esea ch and o he planning o ci ies and neighbou hoods.
3. Resul s
This sec ion po ays he main esul s ob ained ollowing he me hodological s a -
egy wi h he in en ion o answe ou esea ch objec i es ela ed o he discussion o he
concep o ulne abili y and he alida ion o an in eg a ed ulne abili y index. A e he
selec ion and inclusion o 19 indica o s in ou model, we conduc ed a ac o ial analysis ha
esul ed in he o ma ion o ou subindexes and an in eg a ed comp ehensi e measu e o
ulne abili y, which we named IVI. The implica ions o hese measu emen s a e p esen ed
in his sec ion. Secondly, he applica ion o he IVI o he ci y o Ba celona esul ed in
he cons uc ion o ou pa ial maps— ela ed o he ou dimensions o ulne abili y
p e iously iden i ied—as well as inal map po aying he di e en neighbou hoods o he
ci y in a ulne abili y con inuum. These maps a e analysed, acco ding o ecen da a, as
well as ollowing ecen indings om academic wo k. Subsequen ly, an analysis o he
implica ions o ou esul s in e ms o esea ch and public policy is p esen ed.
3.1. The IVI Fac o s
A e no malising and s anda dising he alues o each o he 21 indica o s in oduced
in o he model, wo a iables we e excluded, esul ing in aa o al o 19 indica o s which
we e in oduced in o he ac o ial analysis, ob aining obus esul s: ou sub ac o s and
s a is ical con idence. To accoun o he sui abili y o he FA’s esul s, wo o he mos
commonly used al e na i es a e he Kaise –Meye –Olkin (KMO) es and he Ba le es
o sphe ici y. In ou case, as can be seen in Table 3, he KMO was g ea e han 0.7, and we
we e s a is ically able o accep he p oposed model. A he same ime, he signi icance
ended o 0, showing ha he model is s a is ically eliable.
Table 3. KMO and Ba le es .
Kaise –Meye –Olkin Measu e o Sampling Adequacy 0.776
Ba le ’s es o sphe ici y App oxima ely chi-squa e 1716.212
d 171
Sig. <0.001
Sou ce: P epa ed by he au ho s.
The ac o ial analysis esul ed in he o ma ion o ou ac o s di e en ia ed om
each o he , bu whose componen s we e ela ed, al oge he explaining 81.03% o he o al
a iance o da a. As Table 4shows, he i s h ee ac o s explained be ween 22.8% and
23.7% o he o al a iance, while he las one explained 11.4%.
Soc. Sci. 2022,11, 476 16 o 19
be c ucial in e ms o p e en ing po en ial physical de e io a ion, gen i ica ion, o silen
expulsion endencies.
Las ly, i should be s essed ha he applica ion o he IVI o Ba celona p o es ha i is
impo an o cons an ly ob ain an upda ed and ‘ea ly’ iden i ica ion o complex si ua ions
o inequali y and ulne abili y. Mo eo e , his should igge a p oac i e esponse by
s akeholde s in ol ed in he planning and p oduc ion o he ci y, om a pe spec i e o
human igh s and social jus ice.
Au ho Con ibu ions:
Concep ualiza ion, G.P., I.F.A., J.S. and P.G.-A.; me hodology, G.P. and I.F.A.;
so wa e, G.P.; alida ion, I.F.A.; o mal analysis, G.P.; in es iga ion, G.P. and I.F.A.; esou ces, P.G.-A.;
da a cu a ion, G.P.; w i ing—o iginal d a p epa a ion, G.P., I.F.A. and J.S.; w i ing— e iew and
edi ing, G.P., I.F.A. and J.S.; isualiza ion, G.P.; supe ision, I.F.A. and P.G.-A.; p ojec adminis a ion,
G.P. and I.F.A.; unding acquisi ion, P.G.-A. All au ho s ha e ead and ag eed o he published e sion
o he manusc ip .
Funding:
This esea ch is pa o he doc o al hesis o he i s au ho , G.P., wi h he suppo om
he Sec e a ia o Uni e si ies and Resea ch o he Minis y o Business and Knowledge o he
Go e nmen o Ca alonia and he Eu opean Social Fund. Pa o he de elopmen o his esea ch
was suppo ed by an R&D p ojec : ‘Socio-spa ial indica o s o he imp o emen o he housing s ock
in ulne able a eas. C i e ia o ac ion in he cases o he me opoli an a eas o Ba celona and Bilbao
(Re-Inhabi ); RTI 2018-101342-BI00’, suppo ed and unded by he Spanish S a e Resea ch Agency.
Ins i u ional Re iew Boa d S a emen : No applicable.
In o med Consen S a emen : No applicable.
Da a A ailabili y S a emen :
The da a p esen ed in his s udy a e a ailable on eques om he i s
au ho . Fu he mo e, da a used in his pape a e a ailable in o icial open-access da a sou ces, such
as he S a is ical Depa men o he ci y o Ba celona, he na ional census, and he Obse a o y o
Neighbou hoods and Dis ic s.
Acknowledgmen s:
The au ho s hank M. de la Asunción o he suppo in he use o GIS so wa e.
Con lic s o In e es : The au ho s decla e no con lic o in e es .
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