Community Practice This Page Intentionally Left Blank Community Practice Theories and Skills for Social Workers

Community Practice This page intentionally left blank Community Practice Theories and Skills for Social Workers

Second Edition David A. Hardcastle Patricia R. Powers with Stanley Wenocur

1 2004 2

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Library of Congress Cataloging-in-Publication Data Hardcastle, David A. Community practice : theories and skills for social workers / David A. Hardcastle, Patricia R. Powers, Stanley Wenocur—2nd ed. p. cm. Includes bibliographical references and index. ISBN 0-19-514161-X (pbk.) 1. Social service. 2. Social workers. I. Powers, Patricia R. II. Wenocur, Stanley, 1938–. III. Title. HV40 .H289 2003 361.3Ј2—dc21 2003006312

135798642 Printed in the United States of America on acid-free paper Preface

The social in social work is that part of our prac- work must renew its commitment to social justice that helps individuals and families, as well tice and community residents. Our drift away as groups, organizations, and communities, ad- from social justice and community has not redress the social conditions that shape their be- sulted in great status, income, or well-being for havior and opportunities. Attention to the inter- social work, its clients, and the community. play between the individual and the social Others in social service and community work environment is social work’s great strength as a hold similar sentiments. At a recent national profession, and a feature that distinguishes it gathering of the United Neighborhood Center from other kindred helping professions. An ex- Association (UNCA), board president Tony panded view of helping—beyond therapy— Wagner passionately shared his concerns. He invites affirmation of social work’s historic com- stated, mitment to social justice: to serve and advocate for the victims of modern industrial global soci- [In the past,] ideals such as grassroots democ- ety and to contribute to developing supporting racy, fairness, justice, respect and dignity for all, communities. In our view, social work’s contin- especially the poor and outcast, and the belief uing legitimacy as a profession rests on its com- that people from a variety of cultural and eco- mitment to social justice and community wel- nomic backgrounds could work together to bet- fare. This commitment is especially important ter themselves, their families and their neigh- during this age of rampart individualism, eco- borhoods, kept us firmly rooted in the quest for nomic globalization, and slavish obedience to a bringing about a “nation of neighbors”. . . . [But market economy ideology with its concentration then, seeking funds,] we “over-professional- of income, wealth, and social power at the top. ized” our work, we learned to speak the lan- We see a mission for the profession to address guage of corporate management, we catego- the diminishing middle class, demonization of rized and specialized, and worst of all, we the poor, social retrenchment and welfare state relegated the people we serve to the status of devolution, restriction of civil rights and liber- “client”. . . . We need to gear up, to articulate a ties in the name of patriotism, and pathologiz- clearer vision and move to new heights. Today’s ing of diverse human behavior as reflected in an settlement houses and their national organiza- expanding Diagnostic and Statistical Manual of tion need to get a lot more edgy, a lot harder Mental Disorders. We continue to argue that re- and leaner. We need to tolerate less bullshit, vitalization of communities and our social con- confront more often, and speak out with more nectedness are critical requisites for a socially pride and confidence. The movement needs to and economically healthy United States. Social pay more attention to public policy and mobi- vi PREFACE

lization of our neighbors. We’ve got to advance munity problems and to reform the institutions our agenda and move our values closer to the that affect their lives. We assert that, despite dis- core of what we do. To remain stuck in old pat- couraging social forces at work in the world, terns and ideas that devalue the prominence of many constructive changes are taking place at the people we serve trivializes our work, our the local level, and our text includes exemplars mission, and our lives. Our communities call and best practices. Thus, both demoralizing and out for professionals who are committed, ac- encouraging factors are discussed in the text. cessible, and street-wise. (UNCA National Sum- In the 1930s, it was hard to ignore the impact mit, September 21, 2002)1 of a malfunctioning social system. Some social workers became politically active while staying The bottom line is that we must commit to on- in the casework trenches. Both caseworkers and the-ground social work rather than hooking community practitioners recognized the obvious our star to trendy notions or abstract outcome relationship between private trouble and public schemes. issues that blurred the distinction between com- In our first edition’s preface, we observed the munity work and casework. Social workers growing number of students coming to schools clearly had to attend to both. Many did. The of social work wanting to be therapists rather knowledge and skills of each played a part in the than social workers. Their desire is perhaps un- creation of a new system of basic social protec- derstandable as they observe the devolution of tions and services. The same is true in our cur- the welfare state, growth of contingent and con- rent struggles. The script is written. It entails tract employees in social agencies, and the in- struggle, but struggle, of course, with the tools, creasing privatization and commodification of technologies, and opportunities this era affords social services. (These trends are occurring with- to construct a different and more humane social out much vocal protest from the social work pro- order. To the extent that this book contributes to fession, whether in practice or academia.) Usu- social workers strengthening their community- ally, the student’s vision of therapy involves building skills and allegiance to the contest for some sort of psychosocial counseling of dys- social justice, we will have positively contrib- functional individuals and families in individual uted to the struggle. or group therapy groups on a more or less reg- As we look at the current field of social work, ular schedule of hourly visits in an office or clinic its future resembles past struggles. Poverty is over some specified time period. Not much re- escalating. Ethnic, racial, and social divisiveness flection is given in this dream to funding sources is increasing. Reactionary forces under the guise for client services, practice management, and so- of conservatism and patriotism are abandoning cial justice. It is an incomplete vision of helping and outright destroying the social safety net that because it leaves out the social in social work. undergirded the community from the New Deal Prospective and current students need to un- of the 1930s to 2000. As with the previous “Red” derstand how community comes into play emo- scares, diminished civil liberties, civil rights, tionally, in the hearts and minds of their clients, and an increase in the police powers of the state as well as practically in the opportunities and are justified and secured as patriotic actions nec- blocks it may present. They need to know that essary for homeland security. The U.S. design for what unifies social work practice that builds on the market economy helps large corporations community is a philosophy of being there for and the top 1% prosper while socially and eco- people that goes beyond psychological support. nomically relegating working and middle-class A commitment to community means being people to economic insecurity. The new millen- available to any group in the community, hear- nium’s first decade has seen a recession, with ing what all citizens want, and providing for record unemployment, a decline of workers’ those most in need. It means choosing locations, real wages and stock prices, an increase in hours, and staff that will make service users ex- poverty, and a loss of middle-class retirement perience us as being there for them, available to security with the Enron summer. It has also wit- them. It means providing the political support nessed a continuing growth of per capita income needed for programs to start, survive, thrive, and continuing tax cuts for the superrich. Our and protect the vulnerable and marginalized. political leaders tout this as progress and re- Fortunately, once students are enrolled in school form. As during the twentieth century’s Great and attending classes, some of their professors Depression, social workers now are doubly in- will stress that social workers can strengthen the jured. Our lives and livelihoods as well as our capacity of community members to solve com- clients are directly and harshly affected. What PREFACE vii should we do? There are no easy answers, but The textbook has two sections. The first part there are answers. covers the ideological, ethical, emotional, and Our goal for this edition remains the provision programmatic foundation necessary for com- of a comprehensive and integrated text covering munity practice. We believe professional social community theory and skills necessary for all so- work practice requires this ethical, ideological, cial work practitioners and students. It contains and emotional grounding as well as theoretical topics that build a foundation for those inter- knowledge as foundations for the practice skills. ested in either social administration or commu- Our ideology is clear. People and their community organization, and it covers materials of gen- nities are fundamental. The text also reflects our eral interest to all would-be macropractitioners belief that personal fortitude, integrity, and ded- as well. Special care has been taken to create a ication must accompany the application of any text that is relevant and useful to frontline social practice knowledge and skills. The second sec- workers. This second edition is intended to as- tion is devoted to community practice skills, sist anyone who desires to contribute to better such as entering communities safely and unob- communities and a better world and wants to trusively, and with sensitivity to culture. Social galvanize the reticent into action. The text does workers need to be able to go into communities not assume that all students or practitioners are where clients live and work in order to provide community organizers, but it does presume that services effectively. The skills chapters follow community skills and a commitment to social what we believe is a logical order; however, justice are necessary as a true and effective foun- instructors, students, and readers can arrange dation for direct service practice, community or- them to fit their preferences. We have updated ganization, and social services management. It is and revised all chapters, some appreciably, tak- a foundation textbook for social work practice. ing into account suggestions from students and The book addresses requisite theories and prac- instructors. More attention is devoted to com- tice skills related to communities, organizations, munity and community practice theories and the interorganizational practice, small groups, and skills of community assessment and analysis, as- individual cases. Such skills are required to be set utilization, networking, bargaining, and ne- effective direct service practitioners, case work- gotiation. There is new material on multiple top- ers, case managers, clinicians, and private prac- ics such as computers, and there are many tice social workers. additional references. New chapters on commu- We assume that a direct service practitioner nity organizing have been added at the request needs a commitment to social justice. The chap- of text users. In the broadest sense, both Chap- ter on community social casework, a reformula- ter 5 and Chapter 14 delve into community or- tion of case management, reflects this commit- ganizations. Chapter 5 introduces the concept of ment. We concentrate on the skills, knowledge, community building and examines the current personal fortitude, and ethical commitments re- scene of civic activity and associations—how di- quired of today’s social workers to help their ser- verse citizens are banding together. Chapter 14 vice users address the social environment. We features community organization tools, meth- call these helping activities and skills community ods, skills, and role models. It covers imagina- practice. The concept of community captures the tive ways to connect people in communities. humanness, the passion, and the interconnect- Although we sometimes use terms such as edness among people in a way that sterile labels clients, our philosophy is to view individuals and such as social environment, social ecology, so- families as collaborators and to view citizens as cial systems, task environment, and other bor- partners, whether the level of activity is case rowed physical science metaphors seem to miss. work, group work, or community work. We However, we do use these theories and concepts have struggled to find neutral terms to describe and others from marketing and from other pro- those whom social workers wish to assist. At the fessions in developing our model of community microlevel, client has much negative baggage, practice. As social work practice is broad, eclec- yet service user is more awkward. At the macro- tic, and intersects with many other fields, we de- level, citizen or community resident seemed ap- liberately use diverse practice theories and ex- propriate until issues were raised about immi- amples to illuminate our points. We feature the grants who are not official residents. We have difficulties people face individually and collec- used a mixture of labels, knowing that termi- tively in their daily lives, as well as ways that nology will continue to evolve as people strive social workers can be of assistance beyond the for dignity and inclusion. The accompanying In- psychological domain. structor’s Manual contains student practice exer- viii PREFACE cises (supplemental to those in the text) to de- We have, of course, drawn upon our own and velop, simulate, and apply the community our colleagues’ practice experience and theo- practice knowledge and skills. The most recent retical and methodological knowledge. The au- curriculum accreditation requirements of the thors’ combined community and social work Council on Social Work Education were re- practice exceeds a century. Our experience in- viewed in developing the text. cludes community organization and develop- At various points throughout the book, we ment, social group work, administration, child have used the specific words of community prac- welfare, aging, disabilities, consumer self-help, titioners to describe their helping practice. Many mental health, hunger and homelessness, fund- of these quotes were taken from interviews con- raising, labor organizing, lobbying, antipoverty ducted by graduate students at the University of work, AIDS programs, and more. Many of our Maryland School of Social Work for a project on case examples come our professional experiences the experiences, views, and perspectives of so- or are composites of our professional experience. cial advocates directed by one of the authors. We also have drawn upon the experiences and These interviews have been compiled in two contributions of others in the professional com- monographs, Stirring People Up (1994) and Chal- munity and the larger advocacy field. lenging (1993). Our foundation social work practice course on Note communities, social networks, and community 1. Wagner, A. R. (2002, Aug–Oct.). Where are practice skills provides the contours for this text- UNCA and the Settlement Movement today. book. We found that there was a dearth of re- UNCA Newsletter. Speech given by R. A. Wag- sources on the development and application of ner, President of United Neighborhood Centers community practice skills by direct service prac- Association, at UNCA National Summit, Cleve- titioners. land, OH. September 21, 2002. Acknowledgments

The authors are grateful for solid, insightful sug- ter neighborhoods and communities as places gestions from Fred Brooks of Georgia State Uni- for people to live informed our discussion of skill versity; Mayling M. Chu of California State Uni- building with clients, linkages with systems, and versity, Stanislaus; and Thomas Packard of San utilization of pressure points in forging change. Diego State University. Of course, we take re- We hope the book will continue their contribu- sponsibility for the final product. We thank Dean tion to enhancing community practice and hu- Jesse Harris of the School of Social Work, the mane communities. University of Maryland at Baltimore, and our The relationship and contributions of Dr. Stan colleagues, especially those in the School’s Man- Wenocur to this project are enduring. He was a agement, Administration, and Community Or- major contributor to the first edition. Subsequent ganization Concentration, for their encourage- to that edition, Stan has retired from most for- ment, suggestions, and criticisms of the first mal social work practice and education, al- edition and subsequent revision and their confi- though he is still keeping involved in commu- dence that the project would be completed. We nity. He is now a professional artist with palette have incorporated their work into some of the and devoted to his painting. exercises and examples. We expressly thank the Individually, we wish to thank our families for students in the community practice classes over their patience, empathy, reassurance, and peri- the past 35 years for their critiques of our theo- odic critiques. Without them, there would be no ries. We are especially appreciative to the stu- completed work. David Hardcastle particularly dents over the past decade for their use and cri- thanks his wife and colleague, Dr. Cynthia Bis- tiques of the book’s material and ideas for man of the Graduate School of Social Work and revisions. It was their stimulation, needs, and de- Social Research of Bryn Mawr College, who mands for coherence in community practice as helped to define and elaborate community prac- a basic skill for all social workers that inspired tice for direct practice applications. She is a per- the book. Furthermore, we gratefully acknowl- sistent and consistent helpmate, colleague, sup- edge the communities, clients, and practitioners porter, and an enduring inspiration. Patricia with whom we gained our community practice Powers thanks her spouse, Tom Harvey, who experience and refined our theories, under- has contributed in countless ways to both edi- standing, and skills. We appreciate the commu- tions of this book, to nonprofit organizations, nity practitioners, lay and professional, who and to social causes. His daily experiences as a shared with us their experience in services facil- manufacturer have given Pat much-appreciated itation and advocacy for people and their com- insight into the lives and challenges of working munities. Their service and commitment to bet- people, including former prisoners, immigrants, x ACKNOWLEDGMENTS the developmentally disabled, and the many who and the global village. Arthur was a role model are overextended financially. Pat also appreci- in his personal and professional life. The late Dr. ates the support of Joe Volk and colleagues at Harry Specht made fundamental constant con- the Friends Committee on National Legislation tributions to community and social justice as and particularly the loving support of her sons central facets of social work practice. His stead- Brendan McTaggart and Duncan McTaggart and fast and clarion call for maintaining community family (Lisa, Brendan & Andrea). Additionally, and social justice as social work practice’s living the authors wish to thank associate editor Maura central tenets, while sometimes discomforting to Roessner and managing editor Jessica A. Ryan many in our profession, has guided our think- of Oxford University Press. ing, practice and instruction. The book reflects We continue to salute the work of the pioneer our efforts to help Harry keep the profession community theorists and reformers. The profes- faithful and bring community and social justice sion needs more heroes now. Two such heroes back into all social work practice. were Arthur Dunham and Harry Specht. The late Arthur Dunham was concerned with peace D.A.H. and P.R.P. Contents

Chapter 1 Community Practice: An Introduction 3

PART I Understanding the Social Environment and Social Interaction

Chapter 2 Theory-Based, Model-Based Community Practice 33 Chapter 3 The Nature of Social and Community Problems 61 Chapter 4 The Concept of Community in Social Work Practice 91 Chapter 5 Community Intervention and Programs: Let’s Extend the Clan 120

PART II Community Practice Skills for Social Workers: Using the Social Environment

Chapter 6 Discovering and Documenting the Life of a Community 145 Chapter 7 Using Assessment in Community Practice 172 Chapter 8 Using Self in Community Practice: Assertiveness 208 Chapter 9 Using Your Agency 244 Chapter 10 Using Work Groups: Committees, Teams, and Boards 272 Chapter 11 Using Networks and Networking 293 Chapter 12 Using Social Marketing 320 Chapter 13 Using the Advocacy Spectrum 355 Chapter 14 Using Organizing: Acting in Concert 391 Chapter 15 Community Social Casework 426 Subject Index 441 Name Index 453 This page intentionally left blank Community Practice This page intentionally left blank 1 Community Practice: An Introduction

Community practice is the core of social work edge and skill for all social workers, describes and necessary for all social workers, whether the generic social work community problem- generalists, specialists, therapists, or activists. solving strategy and its use in community prac- Although usually associated with community tice by clinical and community development organization, social action, social planning social workers, and examines the ethical con- (Rothman & Tropman, 1987; Wells & Gamble, straints of community practice. 1995), and other macropractice activities, direct service and clinical social workers engage in community practice when they make client re- COMMUNITY PRACTICE ferrals, assess community resources, develop client social support systems, and advocate to Community practice is the application of prac- policymakers for programs to meet clients’ tice skills to alter the behavioral patterns of com- needs. Social work claims an ecological per- munity groups, organizations, and institutions spective. Social ecology is about community. or people’s relationships and interactions with Whittaker, Garbarino, and associates (1983) per- these entities. Netting, Kettner, and McMurtry suasively argue that “the ecological-systems per- (1993) conceive of community practice as part of spective . . . will compel us to do several things: macropractice. They define macropractice as the (1) view the client and the situation—the ‘eco- “professional directed intervention designed to logical unit’—as the proper focus for assessment bring about planned change in organizations and intervention, (2) see the teaching of envi- and communities” (p. 3). Community practice as ronmental coping skills as the primary purpose macropractice includes the skills associated with of helping, and (3) place environmental modifi- community organization and development, cation and the provision of concrete services on social planning and social action, and social an equal plane with direct, face-to-face inter- administration. ventions with clients” (p. 59). Indeed, as this text Community organization and the related illustrates, social work practice is about using the strategy of community development is the prac- community and using naturally occurring and tice of helping a community or part of a com- socially constructed networks within the social munity, such as a neighborhood or a group of environment to provide social support. people with a common interest, to be a more This chapter presents an overview of commu- effective, efficient, and supportive social envi- nity practice, explores our conception of com- ronment for nurturing people and their social munity practice as social work practice, reviews relationships. Ross (1967), an early sponsor of the importance of community practice knowl- bringing community organization into the social 3 4 COMMUNITY PRACTICE work profession, conceived of community orga- cial movements (Well & Gamble, 1995, pp. nization as “a process by which a community 580–589). While the domains are not mutually identifies its needs or objectives, orders (or exclusive, the schema does expand the scope of ranks) these needs or objectives, develops the community practice. More important, it specifies confidence and will to work at these needs or a range of social work roles or skills necessary objectives, finds the resources (internal and/or to fulfill the domains: organizer, teacher, coach, external) to deal with these needs or objectives, facilitator, advocate, negotiator, broker, man- takes action in respect to them, and in so doing ager, researcher, communicator, facilitator. These extends and develops cooperative and collabo- are roles and skills that cut across all social work rative attitudes and practices in the community” practice domains. (p. 28). We advocate further expansion of crosscutting Social planning, a subset of community orga- social work community practice skills and assert nization, addresses the development and coor- that they are or should be shared by social work- dination of community agencies and services to ers regardless of the client systems: individuals, meet community functions and responsibilities families, primary groups, organizations, and ge- and to provide for its members. Social action, an- ographic and functional community groups. other subset of community organization, is the These skills are necessary to fill social work mi- development, redistribution, and control of com- cro- or macrodomains. The additional skills or munity statuses and resources, including social acts of doing encompass campaigning, staging, power, and the alteration of community rela- marketing and social marketing, and acting as tions and behavior patterns to promote the network consultant and facilitator. development or redistribution of community When a social worker engages in developing, resources. locating, linking with, and managing commu- Well and Gamble (1995) elaborate this basic nity resources to help people improve their so- tripartite community practice prototype into an cial functioning and lives, the social worker is eight-component model that combines practice engaging in community practice. When a social acts or the doing with the purposes of the prac- worker helps clients make better use of the so- tice. The unifying features of their inventory are cial environment’s resources, the social worker purpose and objectives. Community practice’s is involved in community practice. Advocacy is purpose is “empowerment-based interventions a community practice task common to all social to strengthen participation in democratic pro- work practice (Ezell, 2001; Schneider & Lester, cesses, assist groups and communities in advo- 2001). All social workers should, under the pro- cating for their basic needs and organizing for fession’s ethical code, advocate in social and po- social justice, and improve the effectiveness and litical arenas to achieve an equitable distribution responsiveness of human services systems” (p. of the community’s resources and for social jus- 577). Community practice’s objectives are to tice (National Association of Social Workers, 2003). Social workers seeking licensure protection for the profession or stronger laws against • develop the organizing skills and abilities of child abuse from the state legislature are partic- individuals and groups, ipating in social action. • make social planning more accessible and in- The macro social worker (the community or- clusive in a community, ganizer, planner, and social activist) and the di- • connect social and economic involvement to rect service or clinical social worker may differ grassroots community groups, in perspective. The community organizer as- • advocate for broad coalitions in solving com- sumes that if the community, with its organiza- munity problems, and tions and institutions and behavior patterns, can function more effectively and be more respon- • infuse the social planning process with a con- sive to its members, the members of the com- cern for social justice. (Well & Gamble, p. 577) munity will be healthier and happier. In direct service practice, the community is viewed as a The model’s eight practice domains are (a) supportive or potentially supportive resource neighborhood and community organizing, (b) for a specific client or a class of clients, and the organizing functional communities, (c) commu- community change efforts are designed to im- nity social and economic development, (d) social prove the community for these clients. In at- planning, (e) program development and com- tempting to improve the quality of life for indi- munity liaison, (f) political and social action, (g) vidual clients, the social worker may operate coalitions building and maintenance, and (h) so- from the perspective that if enough individuals AN INTRODUCTION 5 can be made healthy, the community will be bet- veloped through involvement in and identifica- ter for everyone. Both sets of practitioners re- tion with social and community groups (Miller quire knowledge of community structures and & Prentice, 1994). behavior and the skills to effect behavior changes Community theories explain what communi- in some part of the community. Both sets of so- ties are and how communities function. Often cial workers generally use a similar problem- the theories offer propositions delineating how solving strategy that is described later in this communities should function to serve their chapter. Additionally, social workers often en- members most effectively. Community theories gage in both sets of practices, either simultane- tend to be complex because the concept of com- ously or sequentially. They work directly with munity, like many social science concepts, is a clients and, at the same time, develop commu- slippery, intricate, ideological, and multifaceted nity resources. Social work supervisors, admin- summary concept covering a range of social phe- istrators, and social activists often begin their nomena. Cohen (1985) has cataloged more than professional careers as direct service social 90 different definitions of community used in the workers. social sciences literature. Communities are nonetheless real for most people, although, as discussed in Chapter 4, the THE COMMUNITY IN SOCIAL concept of community means different things to WORK PRACTICE different people. Community can mean a geographic space, a geopolitical or civic entity, and Communities are always the context, if not al- a place of emotional identity. It is the emotional ways the content, of social work practice. Com- identity of community that gives it meaning for munities and community practice have been most people (Bellah, Madsen, Sullivan, Swidler, central to social work’s history and develop- & Tipton, 1985, 1991; Cohen, 1985; Lasch, 1994). ment. Understanding, intervening in, and using Cohen (1985) emphasizes the emotional charg- the client’s social environment as part of the ing, personal identification, and symbolic con- helping process are skills consonant with the struction of community by people. He conceives profession’s ecological foundation. Social sys- of community as “a system of values, norms, and tems, especially communities, strongly influence moral codes which provoke a sense of identity the ways people think and act. Communities can within a bounded whole to its members. . . . be nurturing environments and provide basic so- Structures do not, in themselves, create meaning cial, economic, and emotional supports to indi- for people. . . . [Without meaning] many of the viduals and families. Conversely, communities organizations designed to create ‘community’ as can be hostile places when there are inequities palliative to anomie and alienation are doomed that contribute significantly to individual and to failure” (p. 9). The community, Cohen con- family malfunctioning (Anderson & Carter, tinues, is “the arena in which people acquire 1984). One’s self-concept, at least in part, is de- their most fundamental and most substantial experience of social life outside the confines of the home. . . . Community, therefore, is where one learns and continues to practice how to ‘be so- Communities and Clients cial’” (p. 15). 1. Community forces shape and limit If we accept community’s central importance client behaviors. to people, it follows that community knowledge 2. Community provides opportunities for and community practice skills are necessary for and limits to client empowerment. all social work practitioners. Community prac- 3. Client empowerment requires that tice calls on social workers to employ a range clients have a capacity to access, of skills and theories to help clients use and manage, and alter community resources contribute to the resources and strengths of and forces. their communities. Indeed, postmodernist social 4. Clients need a capacity to contribute to, work theorists such as Pardeck, Murphy, and reciprocate, and affect the welfare of Choi (1994) assert that “Social work practice, their communities. simply stated, should be community based. . . . 5. Community involvement provides [Community] is not defined in racial, ethnic, de- clients with a capacity to affect their mographic, or geographic terms, as is often communities. done. Instead a community is a domain where certain assumptions about reality are acknowledged to have validity” (p. 345). 6 COMMUNITY PRACTICE

COMMUNITY PRACTICE SKILLS REQUIRED lems of individuals. Helping individuals to FOR ALL SOCIAL WORKERS make use of their social resources is one of the major functions of social work practice. And Community practice as a shared foundation just as important is the social worker’s function skill of all social workers is rooted in the pro- of developing and strengthening these re- fession’s purpose and mission, its history, the sources by bringing people together in groups policies of the two major professional social and organizations, by community education, work associations, and the changing environ- and by organizational development. (p. 23) ment of social work practice.

Specht & Courtney (1994), like Gordon (1969), Social Work’s Purpose and Mission further contend that social workers should examine and facilitate the transaction between Gordon (1969), a leading social work theorist clients—indeed, between all people—in the until his death in the early 1990s, stated that im- community and inveigh against the social isola- provement of the client’s social functioning is the tion of psychotherapy: “Social work’s mission cardinal mission of contemporary social work should be to build a meaning, a purpose, and a practice. The profession’s attention is focused on sense of obligation for the community. It is only the transactions between people and their social by creating a community that we establish a ba- environment and the management of these sis for commitment, obligation, and social sup- transactions. “Transaction is exchanges in the con- port. We must build communities that are ex- text of action or activity [italics added] (Gordon, cited about their child care systems, that find it p. 7). exhilarating to care for the mentally ill and frail Polsky (1969) concurred and advocated even aged, that make demands upon people to be- more strongly for community knowledge and have, to contribute, and to care for one another. skills by the practitioner and participation by the Psychotherapy will not enable us to do that. . . . client in community change. “Changes in dys- to give purpose and meaning to people’s lives, functioning individuals cannot be effectuated and enable us to care about and love one an- [or] sustained unless the system in which they other” (Specht & Courtney, p. 27). function also undergoes modification through Emphasizing the centrality of community the- client efforts” (Polsky, p. 20). ory and community practice skills in all social The importance of the client’s community is work practice is not antipractice or anti–clinical reflected in social work’s dual perspectives of practice. It is pro–social work practice. It is critical person in environment, person and environment, and of social work practice (done with blinders) that the ecological approach to social casework practice does not recognize social obligations of clients promoted by Bisman (1994), Ewalt (1980), and and the social context of the client and the Germain (1983). Bisman (1994) clarifies the dual client’s well-being. Community knowledge and perspective and the community’s role in social community practice skills have been distin- work practice with the following conception: guishing attributes separating the complete so- “What has been called the dual perspective of cial worker from the wanna-be psychiatrist, a person and environment actually has three com- social worker who is only marginally profes- ponents. Person and environment means the sionally competent. Without community knowl- consideration of individuals within the context edge and skill, the social worker is limited in the of the community and its resources, societal poli- capacity to understand and assist clients in shap- cies and regulations and the service delivery of ing and managing the major forces that affect organizations” (p. 27). their lives and the capacity to help clients em- Specht and Courtney (1994), in their critique power themselves to develop and manage per- of the contemporary profession, Unfaithful An- sonal and social resources. It assumes that the gels: How Social Work Has Abandoned Its Mission, client as an individual is unaffected, whether in emphatically insist that Decca or Des Moines.

The objective of social work is to help people make use of social resources—family members, Social Work’s History friends, neighbors, community organizations and social service agencies, and so forth—to Community practice skills are and have been solve their problems. . . . They (i.e., social work- an indispensable component of social work’s ers) deal with social problems, which concern repertoire since the inception of the profession. the community, rather than personality prob- The recognition of and attention to the commu- AN INTRODUCTION 7 nity and its influences, the social in social work, Lee is often credited with conceptualizing the is one of the properties that has historically dis- strain in this “cause and function” address. But tinguished the social work profession and effec- the speech’s title and emphasis were cause and tive social work practice from the profusion of function, not cause or function (Spano, 1982, p. other counseling and therapeutic professions 7). Lee saw no dichotomy or dilemma, nor is (Doherty, 1995, p. 47). there one. Social work has emphasized and does From its formation as a profession at the be- emphasize individual help, use of the social en- ginning of the twentieth century, social work’s vironment in providing assistance, and social ac- central concern has been to improve individual tion and reform (Pumphrey, 1980). and collective social functioning. Mary Rich- mond, a pioneer in American social casework, indicated the importance of community theory, National Association of Social Workers and the social environment, and community practice the Council on Social Work Education Policy skills for social casework in her two books Social Diagnosis (1917) and What Is Social Casework? Social work’s largest professional association, (1922/1992). Social casework was concerned the National Association of Social Workers with the case in the community rather than be- (NASW), and social work education’s accrediting limited to an insular therapy. ing body, the Council on Social Work Education The methodology and techniques of social (CSWE), recognize the importance of commu- casework proposed by the 1929 Milford Confer- nity theory and skills for all social work practi- ence on Social Work followed Mary Richmond tioners. NASW (2003) states that the and went beyond counseling, advice giving, and modeling and demonstration of behavior, to in- primary mission of the social work profession clude the community practice skills of informa- is to enhance human well-being and help meet tion gathering and referrals to other community the basic human needs of all people, with par- resources (American Association of Social Work- ticular attention to the needs and empowerment ers, 1929). The conference’s purpose was to of people who are vulnerable, oppressed, and specify social work’s professional content and living in poverty. A historic and defining feature boundaries. of social work is the profession’s focus on individual The social casework that Richmond and the well-being in a social context and the well-being Milford Conference championed was not desk of society. Fundamental to social work is attention bound or introspective counseling; rather, it in- to the environmental forces that create, contribute volved confronting the client’s problems in the to, and address problems in living [italics added]. community where the client lived and the prob- Social workers also seek to promote the lems existed. The Charity Organization Society responsiveness of organizations, communities, (for a time, Mary Richmond’s principal agency and other social institutions to individuals’ and the leading casework agency of the era in needs and social problems. (“Preamble,” paras. Great Britain and the United States), held com- 1–2) munity work fundamental to casework. Bosan- quet, an early leader of the British Charity Or- ganization Society movement, is quoted by The professional code does not limit these Timms (1966) as stating that “Case work which obligations to community practitioners. It holds is not handled as an engine of social improve- all in the profession responsible. NASW’s Code ment is not . . . Charity Organization Society of Ethics (2003) also has set forth a set of ethical work at all” (p. 41). principles to which all social workers should as- The profession’s often-reviewed cause and pire. First among the principles is that “Social function strain between social action, social workers’ primary goal is to help people in need change, and reform, on one hand, and individ- and to address social problems (Ethical Princi- ual treatment and change, on the other, poses a ple 4, NASW, 2003).” Additionally, “social work- spurious dilemma. It is a dilemma only when ers recognize the central importance of human wrongly framed as an either/or choice between relationships (Ethical Principle 4, NASW, 2003).” two mutually exclusive activities rather than as This principle holds that social workers “seek to two interrelated and complementary social work strengthen relationships among people in a pur- components. Porter Lee, in his 1929 presidential poseful effort to promote, restore, maintain, and address to the National Conference on Social enhance the well-being of individuals, families, Welfare, recognized the necessity of both cause social groups, organizations, and communities” and function for the profession (Bruno, 1948). (NASW, 2003). 8 COMMUNITY PRACTICE

NASW developed and advocates that social that all social work students acquire knowledge caseworkers and social work clinicians use a and skill in social relations and the range of so- person-in-environment (P-I-E) diagnostic and cial systems (including organizations, social in- classification system. Social environment in the stitutions, and communities) as part of their pro- P-I-E schema is defined as “systemic relation- fessional foundation. Indeed, the Commission ships that people have by virtue of being in the recognizes that a basic purpose of social work is same location” (Karls & Wandrei, 1994, p. 3). The the “promotion, restoration, maintenance, and social environment in the P-I-E classification sys- enhancement of the social function of individu- tem is essentially the same as the conception of als, families, groups, organizations, and com- community just presented. munities” (1. Purposes of the Social Work Pro- NASW’s formulation of the practice method- fession, 2003). ology claimed by a majority of NASW members—clinical social work—reinforces the importance of community theory and skills. “The Changing Nature of the Social perspective of person-in-situation is central to Work Practice Environment clinical social work practice. Clinical social work includes intervention directed to interpersonal The last quarter of the twentieth century saw interactions, intrapsychic dynamics, and life- profound changes in the social work practice en- support and management issues” (NASW, n.d., vironment. After the 1960s and 1970s, with their p. 4). Standard 4 of the policy’s 11 standards emphasis on federal government involvement guiding clinical practice requires that “Clinical and services coordination, since the 1980s we social workers shall be knowledgeable about the have seen federal, state, and local human ser- services available in the community and make vices policies move toward reduction, competi- appropriate referrals for their clients” (NASW, tion, divestiture, and privatization of public pro- n.d., p. 8). grams. These changes are accompanied by the The Council on Social Work Education’s Com- rhetoric, if not always the reality, of returning mission on Accreditation, the national accredit- power, responsibility, and control to state and ing organization for graduate and undergradu- local governments and the private sector for wel- ate professional social work education, charges fare and social services, and an increase in personal and family responsibility. The federal government’s role and responsibilities for welfare and human services probably are undergoing their greatest transformation since the New Deal Our Position on Community Practice era of the 1930s. Reforms first instigated by con- Our position, theory, and set of servative governments have subsequently been propositions, briefly stated, on the embraced and expanded by the traditionally lib- requirement for community practice is that eral political parties (Deacon, 1997; Gillespie & people exist in social ecologies or Schellhas, 1994: Gingrich, Armey, & the House communities. Behavior is biopsychosocial Republicans, 1994; Mishra, 1999; Morgan, 1995; and not exclusively biopsychological. It is Mullard & Spicker, 1995; Room, 1990, pp. shaped by interactions, engagements, and 106–111; Wagner, 1997). exchanges with the social ecology. The national political landscape is conserva- Personal empowerment requires the tive. The 1995 Congressional elections saw Re- capacity to develop and manage the publicans gain control of both houses of Con- interactions and exchanges with the social gress for the first time since 1958, a majority of ecology. All people, including social work the governorships up for election, and signifi- clients, have the capacity to develop and cant Republican gains in state legislatures (Con- improve their social management skills and nelly, 2000). Republicans recaptured the presi- functioning. If all people have this capacity dency in the 2000 election after an arduous, and if empowerment is a goal of social contested, and contentious process involving work, then all social workers will need to disputed recounts and a dubious U.S. Supreme develop knowledge and skills to enable Court ruling. They also retained control of the them to better assist people in developing House of Representatives. After Vermont’s Sen- and managing supportive social ecologies ator James Jeffords dropped his Republican or communities. Party membership for Independent status and voted with the Democrats, the Democrats controlled the Senate. The 2002 elections were a dis- AN INTRODUCTION 9 aster for the Democrats, no matter what the spin. sources, and an employment safety net (Sher- The Republicans, after a vigorous campaign by raden, 1990; Williams & Hopps, 1990). As social President Bush, increased their margin of con- workers have to develop their own resources in trol in the House and regained control of the an increasingly competitive world, clinical skills Senate. Both parties have moved to the political alone are insufficient for professional mainte- right. The Democrats have become more con- nance. With privatization, private practice, and servative in their welfare policies and in general, managed care, social workers will not survive since the September 11, 2001, terrorist attacks on unless they are able to market themselves and the World Trade Center and the Pentagon. Ide- their services, to get themselves included on ological identification, regardless of party, tends managed-care vendor lists, and to access and to support the thesis that American voters are manage networks. These trends toward privati- more conservative than liberal, with 43% of the zation, contract services, managed care, and pro- voters identifying themselves as conservative, prietary practice by social workers will continue. 25% as liberal, with 32% in between, as far back The proprietary practice of social work, either as 1988 (Ladd, 1989, p. 17). Coupled with the in- solo, group, or employment by for-profit corpo- creasing conservatism of the voters is the de- rations, either full or part time, has become per- clining voting rate. Voting is lowest among the vasive (Gibelman & Schervish, 1993; Hardcastle, young, minorities, and lower income citizens 1987; O’Neill, 2003). (Connelly, 2000; Doherty & Etzioni, 1994–1995; Advocacy skills are particularly imperative for Ladd, 1989, p. 11; U.S. Bureau of the Census, clinical social workers as mental health services 1995, pp. 226–292). If these voting and electoral under managed care grow; as efficiency becomes patterns continue, support for a welfare state the deciding criterion; and where, in the absence and public social services will steadily degener- of convincing evidence in the movement to evi- ate (Dowd, 1994; Shapiro & Young, 1989, pp. denced-based practice, proprietaries seek to cut 61–62). costs (Asch & Abelson, 1993). Direct service The world’s economies are moving toward practitioners, if they are to help their clients, will globalization. The United States, although it is have to engage in social action in the increas- the sole superpower, has dramatically increased ingly fragmented community to develop or pro- military spending since September 11, 2001, and tect resources and rights for both clients and so- is engaging in more global military adventurism. cial workers. Consider the 1994 Pennsylvania With increased military spending and domi- Supreme Court decision that held that an indi- nance, there is a devolving welfare state. Devo- vidual cannot be convicted of rape unless the vic- lution of the welfare state involves decreasing tim struggles and physically resists the attacker. federal responsibility for welfare and returning Simply saying no, regardless of how often and greater authority and responsibility to states, lo- how forcefully, apparently is not enough. Phys- calities, and the private sector. With devolution ical resistance must be made. It does not matter and increased local authority, control, and re- that physical resistance may place the rape vic- sponsibility for social welfare, all social workers tim in jeopardy of harm beyond the physical and need community practice knowledge and skills. emotional trauma of the rape itself or that other Social workers will need to assess local commu- victims of physical assault do not have to resist. nities for needed resources; to develop resource The Pennsylvania Supreme Court argued that its networks and support systems for themselves interpretation is compelled by Pennsylvania’s and their clients; to advocate for their clients rape statutes, which require physical resistance and to broker services; and to engage in social if rape is to be legally considered. Clinicians in marketing of their services, social ideals, and rape counseling centers and members of the themselves. public, if they wish to reduce the risk to women, Community practice competence is vital as the will need to engage in social action—lobbying— social work profession moves out from under to change the law so that a clear “no” will suf- the protective umbrellas of public and volun- fice as a refusal, and life-threatening physical re- tary, not-for-profit social service agencies into an sistance will not be required. Social action to often harsh, competitive marketplace of propri- change the law probably will be more effective etary and private practice with its contracts for than after-the-fact rape counseling in sparing service, managed care, and the privatization of women the emotional and physical traumas of social services. Increasingly, social work practi- rape. With growing cutbacks in financial sup- tioners will be responsible for developing, man- port for social programs, social action is required aging, and marketing their practices. Agencies more than counseling to meet the needs of will not be providing clients, other needed re- women. 10 COMMUNITY PRACTICE

THE NEED FOR REVITALIZATION OF profession allows the payer to call all the plays— THE COMMUNITY AND THE SOCIAL that is, when funding sources and employing IN SOCIAL WORK agencies unilaterally determine professional functioning and mission—social work forsakes Although social work has a rich history of its claim to professionalism. The mission is de- community practice, many critics inside and out- termined by the strength of the profession’s and side the profession hold that the importance of each professional’s service commitment rather community practice in social work is declining. than by employment auspices. It is the service With this decline, social work’s unique profes- commitment that separates professions from oc- sional contribution is also dwindling. In Un- cupations (Gustafson, 1982; Lubove, 1977). With- faithful Angels, Specht and Courtney (1994) allege out a strong understanding of the impact of the that social work has abandoned its historic mis- community on individual behavior and oppor- sion of service, especially service to the poor, in tunities, and the skills necessary for developing the pursuit of psychotherapies, private practice and using community resources to enhance the and autonomy from social agencies, and in- individual’s functioning, social work will indeed creased income and status. The therapies used abandon its mission of service in the pursuit of often lack any scientific basis; instead, some so- status. cial workers even embrace faddish interventions The importance of the social—the commu- resting on spiritualism and mysticism. The prob- nity—is emphasized in the profession’s name, lem is not so much that individual social work- social work. But far too little attention is directed ers have abandoned the traditional mission of to developing the community practice skills of the profession and, in a sense, the profession, but all social workers, compared with the attention rather that the profession itself has abandoned given to development of the more circumscribed its historic service mission, the community, and clinical skills. Specht and Courtney (1994), Bel- the community’s most needy and vulnerable lah et al. (1985), and Doherty (1994–1995) main- citizens.1 tain that psychotherapy as therapeutic individ- The profession’s movement away from com- ualism can be socially amoral, isolating, and at munity and social concerns is illustrated by odds with the mandate to strengthen the com- NASW’s social action and legislative agenda. munity and social commitments. Participating in NASW’s major legislative efforts and successes, and looking to primary social structures and nationally and by state chapters, over the past groups such as the family, church, and neigh- decades have been toward obtaining licensure borhood for guidance has often been replaced by and the legally mandated capacity to receive therapy and the therapist. The therapist becomes third-party vendor payments for therapies teacher, spiritual guide, and moral arbiter with- (Hardcastle, 1990). The major social work pro- out a moral base. Therapy is nonjudgmental; it fessional associations were largely silent in the emphasizes looking out for number one and legislative battles on welfare reform and health teaches that if it feels right, it is right. While this care. Salcido and Seek’s (1992) conclusions, after message may appear liberating, it hardly allows a survey of the political activity of 52 NASW the building of mutual support, a sense of the state chapters, still generally holds true. The common good, and a feeling for community. chapters “seemed to act on behalf of goals re- Social work as a profession exists in and related to promoting the profession and to a lesser flects the larger society. The decay of social extent on those promoting social services legis- work’s social skills and commitment has ac- lation. . . . These findings imply that the thrust companied the erosion of community spirit and of future chapter political activities may be as- social commitment in the United States. It is re- sociated with professionalization and to a lesser flective of the “me-ism,” the libertarian, self- degree with political activism on behalf of dis- centered philosophy presently rampant, and the advantaged groups” (Salcido & Seek, p. 564). social isolation and fragmentation of contempo- Forsaking a mission goes beyond social work’s rary America (Bellah et al., 1985; Etzioni, 1993; employment auspices and venue. Social work- Lasch, 1994). ers can pursue the profession’s mission or they Communities as unifying social institutions can renounce it, whether they are employed by are declining. This decline does not bode well social agencies or engaged in entrepreneurial for the future of the individual or the country as practice. Social workers can and often have a whole. Strong communities enhance individ- abandoned the historic mission and service call- ual rights and individual well-being. The 1980s ing even when practicing under the auspices of and 1990s—the Generation X decades—were an public and not-for-profit agencies. When the age of anomie and breakdown of social stan- AN INTRODUCTION 11 dards with a focus on the self—self-gratification motivated solely by self-interest and the protec- and immediate rewards—with an increase in il- tion of their rights to privacy, will be incapable legitimacy, public violence, and public and pri- of democratic self-government because democ- vate crime often excused solely on the basis that racy requires more. It requires the virtues of mu- the opportunity was present or the perpetrator tual cooperation, mutual responsibility, and was victimized earlier in life. Our high homicide, what Aristotle called friendship, concord, and violence, and incarceration rates are unrivaled in amity” (p. 20). any other industrialized nation (Gray, 1995). Fewer Americans are involved in active civic participation, as reflected by the decline in vot- THE SOCIAL WORK ing rates, volunteer services, and church partic- PROBLEM-SOLVING STRATEGY ipation (Putnam, 2002). Community service has become a penalty imposed by the courts for The social work general problem-solving criminal offenses or an educational requirement strategy is a planned change process that begins in many states (Bellah et al., 1985, 1991; Doherty with the identification of a problem—a condition & Etzioni, 1994–1995; Etzioni, 1993; Specht & that someone wants changed—and terminates Courtney, 1994). with the evaluation of the change effort (Comp- Community as a basis of identification is be- ton & Galaway, 1979, pp. 232–450; Epstein, 1980, coming exclusionary rather than inclusionary, pp. 2–5; Hepworth & Larsen, 1986, pp. 25–44; socially fragmenting rather than integrating, Lippitt, Watson, & Westley, 1958; Netting et al., and now rests on a negative rather than a posi- 1993, pp. 203–220; Pincus & Minahan, 1973, pp. tive base. Support groups focus on negative 90–91). The strategy, not limited to social work, attributes and separateness rather than on pos- is a comprehensive and rational approach to itive traits and ways to integrate their partici- problem analysis, resource analysis and aggre- pants more fully into the community. The com- gation, and intervention. Its social work appli- munity has become a means for division rather cation is constrained by the profession’s values than integration. In negative communities, the and ethics and usually by the preferences of the individual is socially isolated and the sense the client and the client system. The client or client “person makes of his or her life and the social system can be individuals, families and other relationships on which it is based is essentially primary groups, communities, community or- an individual task” (Specht & Courtney, 1994, p. ganizations, and community groups such as 41). Too often the reasons for community par- neighborhoods or interest groups. ticipation are individualistic, fragmented, and therapeutic. Phase 1: Recognition of a Problem and Social workers need to integrate clients and Establishment of the Need for Change constituencies into positive communities. Posi- tive communities are nonutopian, cohesive communities where personal relations are captured Problem-solving and change efforts begin by agreed-on communal purposes. The positive with the recognition by an individual or a group, community offers the individual a shared struc- the initiator of the change effort, of a condition ture of meaning, explanation, purpose, and sup- perceived as a problem that requires change. The port in both good times and bad (The Responsive initiator may be the client, a parent, a couple ex- Communitarian Platform, 1992). periencing marital discord, or others such as an Democratic communities and societies thrive not on the individualistic isolation of their members but on the robust functioning of their intermediate structures such as families, neigh- The Social Work Problem-Solving Strategy borhoods, voluntary associations, and commu- 1. Recognition of a problem and nity schools (Berry & Hallett, 1998; van Deth, establishment of the need for change 1997). These are Berger and Neuhaus’s (1977) 2. Information gathering mediating structures. Mediating structures serve 3. Assessment and the development of a to counterbalance the impact of both individual case theory and plan for change and state excesses. 4. Intervention and the change effort The Catholic theologian Hollenbach (1994– 5. Evaluation and termination of the 1995) asserts that both democracy and freedom change effort require dynamic community involvement by its members: “Solitary individuals, especially those 12 COMMUNITY PRACTICE individual who fears child abuse or neglect by tems in gathering information on the condition another person and refers the situation to a pro- and the potential resources than do psychologi- tective services agency. A community group cally centered problem-solving strategies. may also pinpoint problems of employment, crime, or poor treatment received from public or Phase 3: Assessment and the Development of other social organizations. Implicit, if not ex- a Case Theory and Plan for Change plicit, in the identification of the problem and the recognition of the need for change are the goals and objectives sought. Without a statement of The third phase is assessment and the devel- desired outcomes, data gathering and assess- opment of the case theory and plan for change ment, especially resources assessment, is hin- to accomplish a SMARRT objective. The case can dered. This phase will be discussed more fully be an individual, a group, a community, or part in Chapters 3 and 4. of a community. However, the change effort ex- Although the labels goals and objectives are of- tends beyond the individual unit to include its ten used interchangeably, goals will be used here ecology and situation. Case theory, like all the- as the broader, more final objective of a case ory, involves an explanation of phenomena and plan. Objectives are more specific outcome events situation. Case theory (Bisman, 1994; Bisman & that, when accomplished, lead to the next event Hardcastle, 1999) is the theory or coherent ex- and eventually to the goals. Sub-objectives are planation of a case’s problem, a specification of the events that lead to the next level of objec- desired outcomes, selection of intervention tives. Operational goals and objectives are set strategies and methods of changing a condition forth in a SMARRT format (adapted from Ad- and producing the desired outcomes, and an ex- ministrative Systems for Church Management, n.d.; planation of why and how the selected inter- Reddin, 1971). The SMARRT format criteria inventions will work. To refine and specify dicated in Box 1.1, require goals and objectives SMARRT outcomes clearly during this phase, it that are specific, measurable, acceptable, realistic, re- may be necessary to collect additional informa- sults oriented, and time specific. SMARRT format- tion on the availability of potential resources. ted objectives guide case planning, case theory, Case theory is developed from the data collected and the intervention and problem-solving strat- in Phase 2. The data are assessed and organized egy. At the conclusion of the assessment phase, according to the change agent’s, the social a case theory and a SMARRT case plan specify- worker’s, social and behavioral theories of ing goals, objectives and responsibilities should choice. Examples of social and behavioral theo- be completed. ries include systems theory, exchange theory, operant and social learning theory, and psycho- dynamic theories. The case theory is the social Phase 2: Information Gathering worker’s construction of the problem and the model for the proposed change effort. As a case Phase 2 in the problem-solving process is to situation is both unique and complex, a case the- gather information on the problem and on pos- ory should avoid an overly reductionist view of sible resources for intervention to achieve the cause and effect. The causes of any problems lie SMARRT objectives. During this phase, the so- in a range of phenomena. Solutions also require cial worker gathers information on the problem a complex intervention strategy and resources in order to develop an intervention plan. The appropriately coordinated and managed (Chaz- information-gathering phase is guided and lim- don, 1991, p. x). ited by the theoretical perspective of those work- In community practice, the concept of assessing for the change, on the causes of the problem ment is generally preferred over the more lim- and the potentially available interventions. This ited concept of diagnosis. Gambrill (1983) pro- phase includes accumulating information on vides a useful discussion of the distinction the problem itself; the client system, including between diagnosis and assessment and insight strengths and potential resources useful for in- into why assessment is preferred in community tervention; the strengths and limitations of sup- practice: port and potential support systems; and any potential constraints and limitations of any change The term diagnosis was borrowed from medi- effort by the target system. Community-based cine. . . . Observed behavior is used as a sign of practice models devote more attention to the so- more important underlying processes, typically cial ecology, the environment, and the social sys- of a pathological nature. Methodological and AN INTRODUCTION 13

BOX 1.1 SMARRT OBJECTIVES EVALUATION CHECK SHEET

SMARRT objectives are the desired accomplish- vention methodologies available. They are ment and results of an intervention with a client not so trivial as to be not worth accomplish- system, the change sought. Objectives are stated ing. Goals and objectives are realistic if they in empirical and behavioral language and spec- are achievable in the best judgment of the so- ify changes in the client system, target system, cial worker, change agent and action system, or ecology. and a client or client system, within the potential costs and resources available, the 1. Specific. Goals and objectives, as well as the readiness for change of the target, and the words, ideas, and concepts used to describe knowledge and skills of the action system. them, are precise and not stated in vague ge- 5. Results oriented. Final goals and all objec- neric language such as “to improve the con- tives are expressed as outcomes, events, and dition of” unless operational meanings are accomplishments by the client and action given for improve and condition. Specific system or changes in a target rather than as goals and objectives need to be developed a service event or a process. The provision of with and understood by the client and action service or an intervention does not constitute systems. an objective or meet this SMARRT criterion. 2. Measurable. Goals and objectives need to The criterion requires that the results of the contain operational and measurement crite- service and how it will benefit the client be ria used to indicate their achievement. A case specified. If an intervention or service pro- plan states how the goals and objectives are vides skills training, the results are not the measured or judged. Client and action sys- provision of skills training or a client’s at- tems need to understand both the goals and tending training classes. A result is a speci- the measurements used. Measurements can fied increase in the client’s skills, brought be quantitative and qualitative or, more of- about by the training. ten, both. 6. Time specific. A specific time frame or target 3. Acceptable. Goals and objectives must be ac- for accomplishing the goals and objectives is ceptable to the client system and, ultimately, projected. Time limits are inherent in deter- to the action system and other resource mining realism, and they are necessary for re- providers that cooperate with the problem- sults. Time limits are based on an interven- solving strategy. If the goals and objectives tion’s power, the resources available and are unacceptable, participation is probably conditions favorable to change, and the bar- coerced. Acceptability implies informed con- riers blocking change and objective accom- sent by clients to the plan, its goals and ob- plishment. Without a time limit criterion, it is jectives, and the intervention. The goals and not possible to measure accomplishments or objectives acceptability will be constrained to have accountability. Without a time limit, by the mission and eligibility criteria of the achievement always can occur in the distant social worker’s agency and funding sources. and indeterminate future. The condition can 4. Realistic. Goals and objectives are potentially remain socially dysfunctional or a client can accomplishable within the complexities of remain in trauma indeterminately while an the case, time frame, resources, and inter- ineffectual intervention is continued.

conceptual problems connected with the use portant in their own right as samples of relevant of diagnosis include frequent low degree of behaviors. Behavior is considered to be a re- agreement between people in their use of a sponse to identifiable environmental or per- given diagnosis, and the low degree of associ- sonal events. . . . Rather than using behavior as ation between a diagnosis and indications of a sign of underlying intrapsychic causes, as- what intervention will be most effective. . . . sessment includes an exploration of how cur- Assessment differs in a number of ways from rent thoughts, feelings, and environmental diagnosis. Observable behaviors are not used as events relate to these samples of behavior. (pp. signs of something more significant but as im- 33–34) 14 COMMUNITY PRACTICE

Assessment is a more inclusive and generic ing to what they contribute and how the change concept than diagnosis, with a greater emphasis process affects them (Netting et al., 1993, pp. on social and environmental factors. Agree- 224–231; Pincus & Minahan, 1973, pp. 53–64). ments on an assessment, SMARRT goals and ob- The system’s metaphors, as demonstrated by jectives, and problem-solving strategies between Box 1.2, represent functions that people fulfill in social worker, client, and other relevant case par- the change effort. The same people can fulfill ticipants working toward change are critical for more than one function and hence can belong to cooperative efforts. more than one system in the change process. Although some systems and people generally are involved throughout the problem-solving Phase 4: Intervention and the strategy’s change process, such as the change Change Effort agent and client systems, not all systems need to be involved. Table 1.1 illustrates that the same The intervention is the change efforts based on people at the same or difference phases in the the theory of the case to achieve the desired process may be involved in multiple systems, outcome. While interventions in social work and their involvement may shift as their contri- practice can be categorized under casework butions and their relationships to a change pro- strategies, clinical approaches, community orga- cess evolve. nization, or environmental and social change, The change agent (that is, the social worker) each intervention plan involves a variety of must anticipate and identify the people who will skills, techniques, and tactics; a range of people comprise the various systems involved and per- or systems, either directly or indirectly; and the form the change functions in the problem- use of resources. The selection of the specific in- solving processes. The social worker should rec- terventive methodologies and technologies is di- ognize that the people or the systems are not sta- rected by the theory of the case. tic. The membership and importance of a particular system’s contributions vary with the Phase 5: Evaluation and Termination phase of the change strategy. of the Change Effort

Case Illustration of the Problem-Solving The last phase of the social work problem- Strategy in Direct Practice: Ms. S.2 solving strategy is the evaluation of its effectiveness in achieving the stated goals and objectives. Depending on the level of achievement PHASE 1: RECOGNITION OF A PROBLEM AND and the stability of the change, the case may be ESTABLISHMENT OF THE NEED FOR CHANGE terminated, the process repeated to enhance its A working single mother, Ms. S., with two effectiveness or to achieve additional objectives, preschool-age children, ages 3 and 4, has diffi- or the case referred to additional service re- culty finding a suitable baby sitter. She also rec- sources. While evaluation is generally presented ognizes that she is becoming more short- in the models together with the termination tempered with her children because of the fa- phase, it is a continuous effort and a part of all tigue and stress of working full time and raising the phases. the children alone, she worries about money, Pincus and Minahan (1973) rightly assert that and she is distressed about the baby-sitting the intent of the problem-solving process, arrangements. It is becoming more difficult for whether targeted to individual or community Ms. S. to maintain her composure when disci- change, is to help people, to change people, “not plining her children, and she recognizes that if [deal in] vague abstraction such as the ‘commu- she loses control, she might physically abuse the nity,’ ‘the organization’ or the ‘system’” (p. 63). children. What is changed are the behaviors and interac- Ms. S. is not sure what to do, as she is very tions of the people who constitute the groups, tired at the end of the day after getting up at 5:30 organizations, communities, and systems. A.M.; fixing breakfast for herself and the children; getting the children up, dressed, and fed; taking them to whatever baby-sitter is available; and Problem-Solving Systems getting to work by 9:00 A.M. After the work day ends, she must first pick up the children, then The people involved in a social work problem- fix dinner and put them to bed. She has no time solving and planned change strategy can be ex- to play with the children or to think of herself. amined, using the system’s metaphors, accord- Ms. S. recognizes that she is starting to resent the AN INTRODUCTION 15

BOX 1.2 PROBLEM-SOLVING SYSTEMS IN SOCIAL WORK

1. Initiator system: The person or persons who and through to achieve the goals and affect first recognize the problem and bring atten- the target system. The action system gener- tion to the need for change. ally includes the client as an essential com- 2. Support system: The people who have an ponent of the change process. Not all ele- interest in and will support the proposed ments of an action system are part of a change change and who may receive secondary ben- agent system or need to favor the change. efits from it. 6. Controlling system: The people with the for- 3. Client system: The people who sanction, ask mal authority and capacity to approve and for, or expect to benefit from the change order implementation of a proposed change agent’s services and who have a working strategy. agreement or contract, whether formal or in- 7. Implementing system: A subset of the host formal, with the change agent. system composed of the people with day-to- 4. Change agent system: The people who will day responsibility for implementing the work directly to produce the change, includ- change. ing the social worker, any social action or- 8. Target system: The people who are the tar- ganizations and groups, clients, and the peo- gets of the change effort; the people who ple who belong to the social worker’s agency need to be changed to accomplish the goals and the organization working to produce the of the change strategy and to produce the change. benefits for the client system. The target sys- 5. Action system: The change agent system and tem can be people other than a client. the other people the change agent works with

children and that at times she feels she would be seeking to make a change. She and her children better off without them. are the client system, as the beneficiaries of the Ms. S. saw a poster on a bus advertising the change effort. The social worker is the change child guidance clinic’s parent effectiveness train- agent and part of the initiator system in recog- ing. She now goes to the child guidance clinic to nizing the problem and helping Ms. S. define the obtain help in maintaining her composure when need for change. disciplining her children, and training to develop effective parenting skills. The social PHASE 2: INFORMATION GATHERING worker assigned by the agency to work with Ms. The social worker obtains information about S. recognizes that she is under a lot of stress and Ms. S., the children, and the children’s father, needs assistance with more than her parenting who is regularly employed but pays no support skills. and only occasionally visits the children. The so- Ms. S. is the initiator system, as she recognized cial worker also obtains information on possible a problem, perceived a need for change, and is resources in Ms. S.’s neighborhood and other

Table 1.1 Systems Typically Involved in Phases of Problem-Solving Strategy

Problem-Solving Phase Systems Involved

1. Recognition of problem and Initiator, client, and change agent 1. establishing need for change 2. Information gathering Initiator, client, support, and change agent 3. Assessment and development of case Client, support, controlling, and change agent 1. theory and plan for change 4. Intervention and change effort Client, support, controlling, change agent, action, and target 5. Evaluation and termination of change Client, support, change agent, controlling, 1. effort and action 16 COMMUNITY PRACTICE possible social and community supports. She The day care center is also a target system be- discovers the existence of a public 12-hour day cause Ms. S.’s children need to be enrolled in the care center. center. If the intervention called for by the plan Systems most involved in information gather- is successful, the father will ultimately become ing are the client and the change agent systems. part of Ms. S.’s support system. As an agent of The information is accumulated to define and the child guidance clinic, the social worker needs build the other necessary systems. The necessary approval of the plan by the controlling system, information goes beyond describing the client, the agency. The court, which must order the sup- her problems, and their etiology. It includes in- port payment, also is part of the controlling sys- formation about potential supports for the client tem. The agency is the host system, and the so- and her children; for example, from the absent cial worker is the implementing system. Ms. S., father, the day care center, and other potential the social worker, and the parent effectiveness community resources for the client that might be trainer are the implementing system, as they are constructed into a support system. These poten- the people “who will have the day-to-day re- tial resources make up a target system, the peo- sponsibility for carrying out the change” (Net- ple who need to be changed to accomplish the ting et al., 1993, p. 228). goals of the change strategy and bring about benefits for the client, until they are formed into PHASE 4: INTERVENTION AND THE CHANGE EFFORT a support system for the client. The composition The intervention plan resulting from the the- of the systems is dynamic over time. ory of the case is a social intervention. Ms. S. is to allow the children’s father to have the chil- PHASE 3: ASSESSMENT AND THE DEVELOPMENT OF A dren for one weekend a month and two evenings CASE THEORY AND PLAN FOR CHANGE a week if he pays child support. A court-ordered The social worker and Ms. S. review the infor- support judgment will be obtained for the sup- mation to explain why Ms. S. is stressed and fa- port and visitation. This should ease Ms. S.’s fi- tigued and to decide what might be done to nancial worries and provide help with parent- change the situation, including greater involve- ing responsibilities and some time for herself. ment of and responsibility by the father. The fa- The social worker assisted Ms. S. in obtaining ther has stated that he will not pay support unstable day care from the public neighborhood til he has regular visitation with the children. Ms. day care center. Ms. S. will attend the child guid- S. will not allow visitation until he pays support, ance clinic’s parent effectiveness training classes thus creating a standoff. on one of the evenings that the father has the Both the theory and goals are straightforward children. and direct. Ms. S. is exhausted and stressed be- Ms. S., the social worker, the court, and the cause she maintains a full-time work schedule in parent effectiveness trainer form the action sys- addition to the demands of being a single par- tem to change the target systems: Ms. S., the fa- ent living financially on the edge. She has no so- ther, and the day care center. As indicated above, cial life because of the demands of work and car- if the change effort with the father and the day ing for her children, which contributes to her care center is successful, they become part of Ms. resentment of the children. Her fatigue and re- S.’s support system for subsequent changes and sentment place the children at risk. She doesn’t development. know if she can spare the time for parent effectiveness training, although she wants the training and would enjoy the social interaction and PHASE 5: EVALUATION AND TERMINATION OF THE support provided by the sessions. The goals are CHANGE EFFORT to achieve stable child care, financial and social At the conclusion of the parent effectiveness assistance from the children’s father, and the use training classes, Ms. S., the social worker, and of any time gained by Ms. S. from a stable child- the father, now a part of the problem-solving care arrangement and the father’s increased re- process, will evaluate the current arrangements. sponsibility for the children for parent effective- Although evaluation is the final phase, it is ness training and her own needs. also a continuous part of the monitoring of the The client and change agent systems, the so- problem-solving process. The monitoring in- cial worker and Ms. S., develop a case theory and volves Ms. S., the social worker, and often the plan with SMARRT objectives to resolve the support, controlling, host, and implementing problem. The plan specifies other needed sys- systems. The evaluation of a problem-solving tems. The father and Ms. S. are the target system strategy before its termination can involve all of clients, since the behavior of both must changed. these systems, including Ms. S., the social AN INTRODUCTION 17 worker, the parent effectiveness trainer, the fa- irrigation canal water contained agricultural ther, and possibly the child guidance clinic field runoff with fertilizer, herbicide, and pesti- supervisors. cide contaminants. The Town’s water system was built largely by state and federal community development Case Illustration of the Problem-Solving grants. It delivered abundant potable water to Strategy in Rural Community Development the Town’s residents. The water system’s mains 3 and Action were located less than a quarter of a mile from La Colonia. A water system connecting each PHASE 1: RECOGNITION OF A PROBLEM AND home to the Town’s water system could be con- ESTABLISHMENT OF THE NEED FOR CHANGE structed at a relatively low cost to La Colonia California’s San Joaquin Valley’s natural cli- and the Town, as most of the cost would be paid mate is hot and arid for about 8 months of the with state and federal funds. However, the Town year. It is very fertile. It naturally is a semidesert, Council did not want to provide water to com- with rainfall between 4 and 12 inches annually, munities not incorporated into the Town, re- depending on the location. With the expenditure gardless of the cost. The Town Council did not of millions of federal and state dollars since the want to establish a precedent and risk a possi- 1930s to bring water to the valley’s communities ble demand from other rural communities more and agriculture, the San Joaquin Valley is now distant from the Town. The Town Council’s pol- the food basket of the nation. However, in the icy was to restrict its provision of water to areas 1960s, there were small rural communities pop- incorporated within its boundaries. La Colonia’s ulated by Chicanos, black, and poor white agri- PUD Commission, La Colonia’s nominal leader- cultural laborers still without a public water ship, did not want to be annexed to the Town, supply. La Colonia was one of these rural as they feared La Colonia would lose its iden- communities. tity, would be unable to remain a defined com- La Colonia was a small Chicano rural farm la- munity with its own traditions, would simply bor village of about 100 families adjacent to a become another Town barrio or ethnic neigh- larger agriculturally based community, the borhood, and would perhaps incur a Town Town, with about 5,000 people. La Colonia was property tax increase. The Commission simply a stable unincorporated area with a 90-year his- wanted good, affordable water. tory. Its homes were generally owned by its res- The Commission approached the county’s idents. There was no formal government other community action agency (CAA), a not-for- than a local public utilities district (PUD) with a profit community development and social action commission elected by La Colonia’s property organization, for help with their water problem. owners. The PUD provided no utility services After a meeting of the CAA’s director and the because, after its formation and incorporation, it PUD Commission, the director assigned a Chi- discovered that La Colonia was too small and cano community development worker (CDW) poor to afford the startup costs of providing pub- from the Town to work with La Colonia and the lic services. Individual La Colonia homes re- commission to obtain a potable water system. ceived electric and gas services from the regional La Colonia’s PUD Commission was the initia- gas and electric utility company. The families tor system and the client system. The contract provided their own sewage service in individual was between the CAA and the commission. La septic tanks or cesspools. Garbage and trash dis- Colonia was also part of the client system, as the posal was an individual household responsibil- commission was acting on the community’s be- ity. The PUD and its commission basically serve half. The change agents were the CAA director as a forum to discuss community problems, me- and the CDW. During this phase, the controlling diate community disputes, and plan and con- system was the CAA and the commission. The duct community events such as the celebrations CAA and the commission constituted the host of Cinco de Mayo and other traditional holidays. system, with the CDW and volunteers from La The families obtained their water from individ- Colonia composing the implementing system. ual wells, a significant capital investment for a The client system and the change agent system farm laboring family, by individual agreements saw the Town Council as the target system. with neighbors who had wells, by hauling water from the Town’s public water tank taps, or PHASE 2: INFORMATION GATHERING from the irrigation ditches that surrounded La This phase involved the action system—the Colonia. Water from the wells was often pol- CDW, La Colonia volunteers, and CAA staff— luted by septic tank and cesspool seepage. The gathering information on (a) the ability and will- 18 COMMUNITY PRACTICE ingness of La Colonia’s residents to pay their The information gathered in the assessment share of the water system development costs, phase indicated that (a) one Town Council mem- hookup cost, and monthly water bills; (b) grant ber had ambitions for higher office as a county requirements for state and federal community commissioner, (b) several local churches were development funds; (c) the direct costs to the supporting civil rights efforts in other commu- Town beyond La Colonia’s costs and the state nities and were eager to do something locally, and federal grants for expanding the water sys- and (3) farm labor unionizing activity was oc- tem to serve La Colonia; (d) potential support curring in the eastern part of the county. The systems in the Town and county; and (e) proce- Town and its growers were located in the west- dures for placing the item on the Town Coun- ern part of the county and, as yet, were unaf- cil’s agenda. fected by the union organizing activity.

PHASE 3: ASSESSMENT AND DEVELOPMENT 4. PHASE 4: INTERVENTION AND THE CHANGE EFFORT OF A THEORY FOR CHANGE The intervention and change effort based on The initial SMARRT objective for the planned the case theory called for a combination of tech- change strategy was to obtain a stable, cost- nical assistance to the Town, social action, and effective potable water supply and system for La political persuasion and support. Its basic strat- Colonia. The CAA also had an empowerment egy was to target certain individuals and groups goal endemic to community development: to in the Town—ministers, church leaders, and a develop La Colonia’s capacity as a community politically ambitious council member—to bring to work together to solve its problems and them into either the support or action system. achieve greater cohesion in the process. The ministers and leaders were to be brought in The theory for change, the case theory, based by casting the problem as a civil rights issue. La on an assessment of the information obtained in Colonia was a Chicano community. The minis- Phase 2, was rather simple and direct. The prob- ters and church leaders were first a target sys- lem—the lack of a stable potable water system— tem, with an intent of making them part of a was a result of La Colonia’s lack of resources and support system. This strategy called for ex- an unwillingness of the Town to connect La panding the action and support systems to in- Colonia to its water system under mutually tol- duce the politically ambitious council member erable conditions. La Colonia could develop the to become a sponsor of a proposal to expand the infrastructure for the water system within its Town’s water system to serve La Colonia. In re- boundaries if a connection with the Town’s wa- turn for this sponsorship, the support system ter system was made. The Town was unwilling would support her county commission bid. Ad- to connect the water system for political and eco- ditionally, the CAA would assist the Town and nomic reasons. Although the Town was ethni- La Colonia in developing the proposals for fed- cally diverse, its Council consisted of the white eral and state community development funds. establishment that largely represented the agri- La Colonia leaders would also let it be known cultural interests. There were the fiscal costs of that if the proposal did not receive favorable con- expanding the water system (though minor to sideration from the Town Council, La Colonia serve La Colonia) and the fear of a precedent that would approach the farm labor union for assis- would require expansion of the water system to tance in developing a water system for La Colo- all surrounding rural areas, with ever-increas- nia. This would introduce the farm labor union ing, though incremental, costs, accompanying to the west side and provide it with a local spon- each expansion. Eventually, the council rea- sor and sanction. When the support and action soned, the incremental costs would necessitate a systems were expanded, the Town Council (the politically unpopular property tax increase, an target system) would be addressed. If the pro- equally disliked water use fee increase, or both. posal to expand the water system was accepted The case theory explaining the lack of a stable by the Town Council, it would become the con- water system for La Colonia rested on the in- trolling system, part of the action system, the transigence of the Town Council and La Colo- host system, and—with the Town’s city man- nia’s PUD. La Colonia could petition for a prop- ager, water department, and CAA—the imple- erty owner’s incorporation vote and, if it passed, menting system to take the final step in La Colo- obtain water as an incorporated area of the nia’s water system development. Town. The Town could alter its policy against providing water to areas not incorporated into PHASE 5: EVALUATION AND TERMINATION the Town. As La Colonia was the client system, OF THE CHANGE EFFORT its preferences directed the change strategy to al- Evaluation of the change effort by the client ter the Town’s policy. system and the CAA (as part of the action sys- AN INTRODUCTION 19 tem) of the SMARRT objective of obtaining a The service mission to the community super- potable water system was direct: The system was sedes the accrual of personal wealth, the pro- obtained. However, evaluation of the commu- duction of particular products or services, or the nity development goals is more complex. Has application of specific sophisticated techniques. the community increased its ability to continue Many occupations allow the accumulation of its development? personal wealth, the production of products or The problem-solving approach for planned services, the use of complex techniques, and they change, with its community practice skills of sys- may even contribute to the public’s welfare. But tems identification, community assessment, and their prime motivation is not service. Although developing and linking resources, is important service as a pristine motive of profession has whether the problem-solving strategy is used been tainted and is often ignored by contempo- with a delimited client system such as Ms. S. and rary professionals, it is embedded in most con- her family or a larger client system such as La ceptions of profession. Adherence to the out- Colonia. ward service orientation provides professions and professionals with the community’s mandate and authority to be self-regulating (Hardcastle, ETHICS, ADVOCACY, AND 1977, 1990; Howe, 1980; Vollmer & Mills, 1966). COMMUNITY PRACTICE The service calling is both outward to the community and inward to the professional. No discussion of professional practice is com- Gustafson (1982) clarified the relationship of the plete without attention to a profession’s ethics, outward and inward dimensions of professions: the values that form the basis for the ethics, and the ethical standards of practice. The outward is the larger context within which any person’s contributions can be seen to have Profession as Calling significance. It contributes to the meeting of human needs; it is an element, no matter how A profession is more than an occupation. A small, in the ‘common good’ of the human profession is a vocation, an avocation, and a call- community. It serves a purpose that is not sim- ing. A profession’s values constituting its service ply self-referential in the object of its interests. calling, not the profession’s technology, distin- The inward significance is twofold: There is a guish it from occupations. Professions are given dignity to one’s work that can be affirmed, and public protection and sanction to benefit the thus a dignity to the worker; and there is a sense community, the public, clients, and the common of fulfillment and meaning that can come from good. Professions require a vision of and com- being of service to others and to the common mitment to ends to be served and not just the good. (p. 504) techniques practiced (Howe, 1980; Lubove, 1977). Service is not only to the individual clients, but also to “a larger whole, to a larger Social Work Ethics good . . . of the community” (Gustafson, 1982, p. 512). It is the outward service to others that pro- Social work ethics, derived from more abstract vides the basic requirements of ethical conduct values, are rules to guide the social worker’s con- and the inner rewards to the professional. The duct and behavior. Values are “generalized, emo- historical foundation of the profession, its ser- tionally charged conceptions of what is desir- vice mission, and its ethical standards was the able, historically created and derived from nineteenth-century social gospel movement in experience, shared by a population or group the United States (Gustafson, 1982; Lubove, within it, and they provide the means for orga- 1977). This service mission and calling is re- nizing and structuring patterns of behavior” flected in a declaration by Brother Cyprian Rowe (Reamer, 1995, p. 11). Values motivate ethics (a Marist brother and emeritus faculty member and behavior. Values direct the nature of social of the School of Social Work, the University of work’s mission; the relationships, obligations, Maryland, Baltimore), a declaration that “I have and duties social workers have for clients, col- an awe-filled notion of the meaning of social leagues, and the broader community. Social work. We are, in a sense, the hands of society; work’s basic value configuration is the result of conscience. We really minister. . . . The people the many forces and orientations that the pro- [the social workers] . . . on the line [should be fession has been subjected to and embraced over well] prepared to do right and do well by the the years. The orientations and forces buffeting people they meet” (“Living a Life of Giving,” the profession and forging its values range from 1994, p. 6). its social justice orientation, political ideologies, 20 COMMUNITY PRACTICE religious base, and scientism. These represent pressed individuals and groups of people. Social some internal conflict. Scientism is an amoral ori- workers’ social change efforts are focused pri- entation and a growing force in social work that marily on issues of poverty, unemployment, dis- rejects a strong value base of normative con- crimination, and other forms of social injustice. cepts. Instead, it places an emphasis on techni- These activities seek to promote sensitivity to cal, scientific knowledge as the exclusive guide and knowledge about oppression and cultural to evidence-based interventions (Reamer, 1993; and ethnic diversity. Social workers strive to Webb, 2000). ensure access to needed information, services, Ethics are prescriptions and proscriptions for and resources; equality of opportunity; and professional behavior. Ethics deal with the right, meaningful participation in decision making for the good, the correct, and the rules of behavior. all people (NASW, 2003, “Ethical Principles,” They address the whats of behavior more than para 6). whys to behave. Ethics provide a basis for defining professional good guys and bad guys. The profession’s and professional’s values and ETHICS AND SOCIAL WORK’S ethics, along with technical and empirical re- FIDUCIARY RESPONSIBILITY search-based knowledge, provide the criteria for selecting actions and making judgments, The fiduciary responsibility of a profession is choices, and decisions regarding interventive embedded in its service calling and is the un- methods and practice behavior. Interventions are derpinning of all professional relationships not totally a matter of empirical science, nor is the (Kutchins, 1991). Clients have a right to expect profession merely an amalgamation of technologies professional competence: for professionals to be and evidenced-based interventions. The profession current in the valid knowledge and skills neces- and its interventions should reflect a set of coherent sary to intervene in the problems of clients whose values capturing its service orientation and reflect- cases they accept, for professionals to know their ing its ethical standards. limitations, and for professionals to adhere to pri- The Code of Ethics4 of the National Association mum non nocere—“Above all, not knowingly to of Social Workers provides ethical guidelines for do harm.” Peter Drucker (1974), the management social workers. Many states have adopted the and social theorist, states the following: NASW’s code of ethics as part of their legal regulations for social work (Hardcastle, 1990). Men and women do not acquire exemption NASW’s code is predicated on six core values. from ordinary rules of personal behavior be- These core values, embraced by social workers cause of their work or job. . . . The first respon- throughout the profession’s history, are the sibility of a professional was spelled out clearly foundation of “social work’s unique purpose 2,500 years ago, in the Hippocratic oath . . . pri- and perspective” (NASW, 2003, “Preamble,” mum non nocere—“Above all, not knowingly to para. 3). The values are service, social justice, dig- do harm.” No professional . . . can promise that nity and worth of the person, importance of human he will indeed do good for his client. All he can relationships, integrity, and competence. The values do is try. But he can promise he will not know- lead to the ethical principles. For example, the ingly do harm. And the client, in turn, must be value of service leads to the ethical principle that able to trust the professional not knowingly to “Social workers’ primary goal is to help people do him harm. Otherwise he cannot trust him at in need and to address social problems” (NASW, all. And primum non nocere, “not knowingly to 2003, “Ethical Principles,” para. 3). do harm,” is the basic rule of professional ethics, Social workers elevate service to others above the basic rule of ethics of public responsibility. self-interest. Social workers draw on their (pp. 366–369) knowledge, values, and skills to help people in need and to address social problems. Social The client has the right to expect that the pro- workers are encouraged to volunteer some por- fessional will make an effort to know. And any tion of their professional skills with no expecta- potential risks the client faces as a result of the tion of significant financial return (pro bono ser- social worker’s intervention are the client’s vice) (NASW, 2003, “Ethical Principles, para. 4). choice under informed consent. The value of social justice requires that all so- The fiduciary responsibility inherent in the cial workers “challenge social injustice” (NASW, professional mission of service and shared with 2003, “Ethical Principles,” para. 5).” all professions is reflected in the values of in- Social workers pursue social change, particu- tegrity and competence. These values challenge so- larly with and on behalf of vulnerable and op- cial workers to “behave in a trustworthy man- AN INTRODUCTION 21 ner” (NASW, 2003, “Ethical Principles,” para. 11) Ethical Standard 6 extend beyond a particular and limit their practice to “their areas of com- client, group, or cause to social and political ad- petence,” (NASW, 2003, “Ethical Principles,” vocacy to achieve an equitable distribution of so- para. 13) also challenging them to “develop and cial resources and for social justice. Advocacy, enhance their professional expertise” (NASW, simply defined, is representing and supporting 2003, “Ethical Principles” para. 13). a client, group, organization or cause to others. “Social workers are continually aware of the The ethical codes of most U.S. and international profession’s mission, values, ethical principles, professional social work associations (Hardina, and ethical standards and practice in a manner 1993; International Federation of Social Workers, consistent with them. Social workers act hon- 1994; NASW, 2003) do not proscribe advocacy estly and responsibly and promote ethical prac- and community action ethical obligations for di- tices on the part of the organizations with which rect service social workers. Case and client ad- they are affiliated” (NASW, 2003, “Ethical Prin- vocacy are inherent in the ethical standards ad- ciples,” para. 12). dressing the social worker’s responsibility to protect client self-determination. Otherwise, the standards are hollow rhetoric. COMMUNITY PRACTICE AND THE FIDUCIARY RESPONSIBILITY Informed Consent Community practice in all its forms, and the use of community practice skills by direct ser- A social worker’s first responsibility to a client vice practitioners, require adherence to the same is not to risk the client for a greater good unless high ethical standards of conduct as those re- the client makes the decision to be at risk in the quired of any professional social work practice. quest for greater good. An individual client Community practice does not represent a higher should not be placed in harm’s way to produce form of practice exempted from ethical con- a subsequently greater social, collective, and in- straints and fiduciary responsibility. Whether a stitutional good without the client’s informed con- client is an individual, a group or organization, sent. Informed consent requires that the consent or a community with the goal of fundamental be informed. Informed consent requires that a structural change, the ethical constraints remain. client has valid information on risks, the proba- Indeed, community practice may require greater bility level that the risks will produce greater adherence to ethical standards, as both the scope good, an appreciation of any personal gains and of an intervention and change’s potential for losses, and any organizational and employment good or harm often are greater. Community constraints placed on the worker in the advocacy practice interventions can’t rest on the teleolog- and change effort. The social worker has a duty ical claim that moral and equitable ends can be to warn others of the risk that a client’s behav- justified by unethical means (Schmidtz, 1991, p. ior may pose to them, and a duty to warn a client 3). Ethics govern means or practices as much as of the risks faced in any personal or social change ends. Not only must the ends be ethical and just, effort. Conflict situations, the social worker’s but also the tactics and behavior used in the pur- ideological commitments, or employer interests suit of the ends must meet ethical and moral cri- do not remove ethical imperatives. Informed teria. No matter how well-meaning the social consent is necessary for worker accountability worker is in the search of noble ends for the and client self-determination and empowerment. client or community, the ethical constraints of in- Individuals, groups, and community organi- formed consent and the rights of clients inher- zations have the right to decide their risks (e.g., ent in ethical codes remain operative, even if jeopardizing jobs, risking jail time, losing a these ethical standards interfere with the pro- home). They have a right not to be unilaterally cesses of change. placed in harm’s way by a community practitioner pursuing a social, collective, or institu- Advocacy tional good. Clients and action systems deserve the opportunity to participate or not to partici- Gilbert and Specht (1976) reinforce the need to pate, on the basis of appraisal of the gains and guard against the seduction of the teleological risks to them. They need to be advised of the ex- position of ends justifying means in client and tent to which the social worker or sponsoring social advocacy. Advocacy is a professional re- agency will go to protect them or to share the sponsibility (NASW, 2003, Standard 6). The ad- risks with them. Clients have a right to provide vocacy responsibilities ethically mandated by or refuse informed consent. 22 COMMUNITY PRACTICE

Dilemmas in Ethical Behavior The preceding example is not an ethical dilemma or conflict. The strain is not between While consistently ethical conduct often is two equally compelling and opposed ethical im- difficult for social workers, the difficulty gener- peratives. The strain is between ethical stan- ally lies in conflicts between a social worker’s dards and pragmatic self-interests. These prag- pursuit of pragmatic self-interest or meeting eth- matic interests are not trivial. The dilemma is the ical obligations. True ethical dilemmas are rare. choice between the ethical imperative of primacy Pragmatic dilemmas are frequent. An ethical of the client’s interest (Ethical Standards 1.01: dilemma exists when two ethical imperatives ap- Commitment to Clients and 1.02: Self-determi- pear to require equal but opposite behaviors and nation) and the social worker’s self-interest im- the ethical guidelines do not give clear directions peratives of maintaining a job and economic or set a clear priority as to the ethical impera- viability for family and self, collegial work relatives to follow. Typically, the competing ethical tions, and retaining the benefits of the em- imperatives do not actually require different and ployer’s good will. The strain and the dilemma opposite behaviors. Pragmatic considerations are real and important, but this is not an ethical frequently make ethical behavior arduous and dilemma. In helping the client protest the rules, professionally or personally risky, but the prag- the social worker adheres to the ethical stan- matic considerations and hazards are not ethical dards and the ethical principle of social justice dilemmas. The dilemmas are between ethical be- and the related social action ethical standards havior on one hand and pragmatic consequences (6.01 and 6.04), although the social worker does on the other hand. There are substantial prag- risk his or her livelihood in so doing. matic self-interests dangers and possible conflicts between ethical behavior and pragmatic Ethical Example 2: Civil Disobedience to interests involved in both ethical examples dis- Maintain Ethical Behavior cussed in the following sections. Public law and policy have been amended to limit services provided to illegal immi- Ethical Example 1: Advocating Client grants.5 The public law requires that service Interests Over Agency Interests professionals report illegal immigrants to the My agency has a rule that restricts long- Immigration and Naturalization Service. term agency services to clients since its fund- Should I as a social worker participate in and ing sources limit service reimbursement and adhere to public policies and laws that restrict provide capitation resources based on the public services to illegal immigrants, a con- numbers of clients. The funding limits don’t sideration of national origin, and report any prevent services but they limit the amount of clients who are illegal immigrants to law en- reimbursement. This rule encourages workers forcement officials? Not reporting the illegal to provide clients with the least number of immigrant, if I’m discovered, can result in loss service sessions necessary to justify reim- of my employment, my license, and in my be- bursement, rather than with the number of ing subjected to other civil and criminal sessions required for effective intervention. penalties. All clients tend to get the same number of service sessions, regardless of assessment. Often, This second example does present an ethical the services are superficial and do not allow dilemma to a social worker because the ethical clients to adequately address their problems. code presents an apparent internal inconsistency. I have a client who wants to appeal this rule The dilemma is between the profession’s values and practice to state regulators, as well as and its ethics. The conflict is between the profes- make it more publicly known. If I help my sion’s values of social justice, as reflected in Ethi- client to appeal and publicize this unfair cal Standards 4:4.02 and 6:6.04(d), and the ethi- agency rule and funding practice that denies cal limitations Ethical Standard 1.01 places on a client services, it will embarrass my agency social workers’ ethical responsibilities to clients: and my colleagues, isolate me in the agency, limit my chances for promotion and salary 1.01 Commitment to Clients raises, and may cost me my job and place my Social workers’ primary responsibility is to family and me at economic risk. However, if promote the well-being of clients. In general, I don’t help my client appeal and make the clients’ interests are primary. However, social practice public, my client as well as many workers’ responsibility to the larger society or other clients will continue to suffer. specific legal obligations may on limited occasions AN INTRODUCTION 23

supersede the loyalty owed clients, and clients blowing should be done prudently. Reisch and should be so advised. (Examples include when Lowe (2000) provide some guidance for poten- a social worker is required by law to report that tial whistle-blowers. After satisfactorily deter- a client has abused a child or has threatened to mining who is being accused and whether or not the harm self or others.) (NASW, 2003, Ethical accusations are fair, the whistle-blower must ad- Standards, 1.01) dress the questions in the following section. 4. Social Workers’ Ethical Responsibilities as Professionals 4.02 Discrimination Guideline Questions for Whistle-Blowing Social workers should not practice, condone, facilitate, or collaborate with any form of dis- 1. Am I acting in the public interest and good or crimination on the basis of race, ethnicity, na- for personal interests and motives? tional origin, color, sex, sexual orientation, age, 2. Do the facts warrant this action? Have all in- marital status, political belief, religion, or men- ternal alternatives been explored? tal or physical disability. (NASW, 2003, Ethical 3. Does the obligation to serve the public inter- Standards, 4.02). est outweigh my responsibility to colleagues 6. Social Workers’ Ethical Responsibilities to and the agency? the Broader Society 4. Can the harm to colleagues and the agency be 6.04 Social and Political Action minimized? What are the least harmful meth- (d) Social workers should act to prevent and ods available? eliminate domination of, exploitation of, and discrimination against any person, group, or class on the basis of race, ethnicity, national ori- Whistle-blowing, under Ethical Standard 3.09: gin, color, sex, sexual orientation, age, marital Commitment to Employers, should be done only status, political belief, religion, or mental or after all other avenues for change within the physical disability. (NASW, 2003, Ethical Stan- agency are exhausted. The use of alternative av- dards, 6). enues for change ethically can be rejected after consideration, according to Reisch and Lowe Ethical Standard 1.01 presents social workers (2000), for three reasons: (a) when no alternatives with the challenge of reconciling specific legal exist for the situation at hand, (b) when there is obligations that may supersede the loyalty owed insufficient time to use alternative channels and clients and to social justice that require engaging the damage of no change or exposure outweighs in civil disobedience by providing service to the the damage of premature whistle-blowing be- client and ignoring national origin. The informed fore alternatives are exhausted, and (c) when the consent, or at least informing clients of risks, is organization is so corrupt that there is an immi- an effort to ameliorate any ethical conflicts. Slav- nent danger of being silenced or falsely refuted. ish adherence to public law in itself is not always moral, although here it is ethical. It negates civil MACROPRACTICE AND COMMUNITY disobedience, and historically this ethical re- PRACTICE’S FIDUCIARY CHALLENGES quirement would have precluded social workers’ participation in the civil disobedience of the civil As discussed above, community practitioners rights movement or sheltering Jews and other are not relieved of ethical principles or stan- persecuted peoples in Nazi Germany. dards, although sometimes it’s difficult to determine the whos and whats that the ethical stan- Whistle-Blowing and Ethics dards serve and protect in community practice. NASW’s Code Of Ethics is more reflective of A pragmatic dilemma for an agency-based so- Howe’s (1980) private model of profession, one with cial worker, or third-party financially dependent members who “are primarily responsible to in- social worker, is whistle-blowing. Whistle-blow- dividual clients” (p. 179). Private professions in ing calls public attention to social and legal the main are concerned with the private good of wrongdoings by an agency’s or funding source’s individual clients. Reisch and Lowe (2000, p. 24) personnel, usually persons in authority. A whis- contend that NASW’s ethical code assumes that tle-blower usually does not face ethical dilem- the ethical issues it addresses arise primarily mas, although whistle-blowing does carry with within the context of a clinical relationship and it very real personal costs, risks, and pragmatic the administrative and supervisory environment dilemmas. No one appears to respect a snitch, of that relationship. They claim that social even when snitching in the public good. Poten- work’s code of ethics does not provide sufficient tial future employers become wary. Whistle- ethical guidance to community practice and that 24 COMMUNITY PRACTICE the social work literature gives little attention to client goes beyond being a target of change, the the ethics of community practice. agent of social change, or beneficiary of change to the inclusion of agreeing to the change. The Client in Community Practice As Reisch and Lowe point out (2000, p. 25), other challenges confronting community orga- The client often is not clearly defined in macro- nizers include issues involving truth telling and and community practice by traditional notions competing interests and goals, paternalism and of a client relationship. Community practice the limits on an organizer’s interventions when shares with much of social work practice third- there are divided professional loyalties, alloca- party employment, unwilling clients, and peo- tion of scarce resources between competing in- ple not seeking the practitioner’s service. The so- terests, and resolving differences between pub- cial worker is employed by and accountable to lic and private interests. an agency. This clouds and often preempts any social worker’s accountability to a client, target, or beneficiary of the professional action. In prac- Code of Ethics Challenges in tice, care must be taken not to stretch the con- Community Practice ception of client and a client relationship beyond recognition. Most conceptions of a client in a pro- 1. Social Workers’ Ethical Responsibilities to Clients fessional relationship indicate that a client is the 1.01 Commitment to Clients—Who is the person who in some way engages the profes- client and does primary commitment lie sional service of another. Community practice, with client or with cause? as pointed out by Gilbert and Specht (1976), em- 1.02 Self-Determination—Who is the client, phasizes the importance of being clear about and how are self-determination decisions the responsibilities to client and to employing made for the community? agency. But who is the client? The social worker 1.03 Informed Consent—Who provides the in social advocacy, social action, community de- informed consent for the community? Do velopment, and much of macro- and community all the problem-solving systems have the practice is employed and engaged by a social right to privacy and informed consent or is agency or organization to produce social change. it limited to the client system only? What The practitioner may have no formal or even im- about the action system? plied or informal contract with a client group, let 1.09 Sexual Relationships—Sexual relations alone the client system. Community groups are are proscribed with current and former used in the action system to pursue change. The clients and basically with the client’s pri- social worker is not employed by the commu- mary social networks. But how does this nity. The funding may come from sources out- apply to the client systems in community side any target or beneficiary community. The practice? problem-solving systems discussed earlier in this chapter require careful professional attention. What’s a social worker in community practice Social workers, community psychologists, and seeking ethical guidance to do? The standards similar professionals must decide and be clear to do not always provide behavior guidance for a whom they are accountable, as there are bound community practitioner. They sometimes con- to be conflicting loyalties and vague mandates. fuse it for all practitioners and conflict with val- O’Neill (1989, p. 234), a community psycholo- ues and principles. We suggest that practition- gist, notes that we often intervene on behalf of ers look to the profession’s values and ethical groups who are “only vaguely aware that a pro- principles, and that practitioners, above all, fessional is working to advance their presumed should not knowingly do harm. interests” and “who gave no consent at all.” The conception and subsequent construction of a client system in situations where the practitioner THE ORGANIZATION OF THIS BOOK is employed by a social organization other than client systems must be approached carefully. The book is divided into two parts. Part I ex- Client systems generally are the people who ask plores the context, dynamics, and primary theo- for and sanction the proposed change and who ries underlying community practice. This part have a working agreement or contract, whether contains four chapters that were not included in formal or informal, with the change agent as well the first edition: Chapter 2, “Theories on Com- as being the expected beneficiaries of the change munity Practice by Direct Service Practitioners”; agent’s services. A meaningful conception of Chapter 3, “The Nature of Social and Com- AN INTRODUCTION 25

BOX 1.3 SOCIAL WORK’S ETHICAL PRINCIPLES

Value: Service Value: Integrity Ethical Principle: Social workers’ primary goal Ethical Principle: Social workers behave in a is to help people in need and to address social trustworthy manner. problems. Value: Competence Value: Social Justice Ethical Principle: Social workers practice within Ethical Principle: Social workers challenge so- their areas of competence and develop and en- cial injustice. hance their professional expertise.

Source: From “Ethical Principles,” Code of Ethics of the Na- Value: Dignity and Worth of the Person tional Association of Social Workers (retrieved May 25, 2003, Ethical Principle: Social workers respect the in- from http://www.naswdc.org/pubs/code/code.asp). Copyright herent dignity and worth of the person. 2003 by the National Association of Social Workers.

Value: Importance of Human Relationships Ethical Principle: Social workers recognize the central importance of human relationships.

munity Problems”; Chapter 4, “The Concept of Chapter 8: Using Self in Community Practice: Community in Social Work Practice”; and Chap- Assertiveness, Chapter 9: Using Your Agency, ter 5, “Community Intervention and Programs: Chapter 10: Using Work Groups: Committees, Let’s Extend the Clan.” Part II, which addresses Teams, and Boards, Chapter 11: Using Networks essential community practice skills for all social and Networking, Chapter 12: Using Social Mar- workers in the twenty-first century, is divided keting, Chapter 13: Using the Advocacy Spec- into 10 chapters. Chapter 6: Discovering and trum, and Chapter 14: Using Organizing: Acting Documenting the Life of the Community, Chap- in Concert, Chapter 15: Community Social ter 7: Using Assessment in Community Practice, Casework.

Discussion Exercises

1. Could theories of human behavior and social 5. Are there limits to client advocacy because of work intervention be developed and used with- resource scarcity? out a consideration of community influence? If so, would the theories be equally applicable to any- 6. Are there differences between the legal re- one in the world, without consideration of culture quirements and ethical obligations in duty to or community? warn, client self-determination, and informed consent? 2. How are interventions and post intervention successes of clients affected by the community? 7. Do the simultaneous obligations to clients, Do the social relations, environment, and net- the community, and the employing agency and works of a drug user affect drug use? Will drug advocacy of the primacy of the client’s interests use be influenced by a “clean” community and a present practice dilemmas? What are they? social support network of nonusers? 8. In social cause advocacy, does the social 3. Are there values that are shared by most com- work advocate owe primary loyalty to the em- munities? If so, what are they? ploying organization, the social cause, or the participants? Is there a client or a client system in so- 4. What are the social worker’s ethical respon- cial cause advocacy? sibilities to a client and the limits of the social worker’s capacity to engage in client advocacy 9. Can there be a profession sanctioned by the when employed by a social agency? Which ethi- community for social reform and social recon- cal codes limit advocacy? struction? Can reform and social change be pro- 26 COMMUNITY PRACTICE fessionalized? Can a profession or occupation de- collective, and institutional change that might re- pendent on and employed by the public sector, sult in good for a large number of people?” De- either directly or under contract, become a radi- fend the position based on the social work pro- cal change-oriented profession? fession’s code of ethics and values. 11. Can affirmative action be defended as ethi- 10. If the first ethical rule of all professional be- cal by the code of ethics? How is affirmative ac- havior should be primum non nocere—“first of tion compatible with the code of ethics? all, do no harm”—what is your position on the question, “Should the social worker risk harming 12. Are there ethical canons that allow law and an individual client in order to produce social, public policy to supersede the code of ethics?

Notes

1. For a somewhat different view of social work’s of portable water supply or no water system, lack need for a common base, see Wakefield (1988). of adequate waste water facilities, lack of decent, Wakefield distinguishes between clinical coun- safe, and sanitary housing, inadequate roads seling as social work and psychotherapy as lying and/or inadequate drainage control structures” outside of social work. Wakefield argues for uni- (Henkel, 1998, p. 18). fying principles derived from John Rawl’s con- 4. The complete and current Code of Ethics is ception of minimal distributive justice. available at http://www.naswdc.org/pubs/code/ code.asp on the Web. All references to and ex- 2. The case was provided by a clinical practice cerpts from the NASW Code of Ethics were ob- colleague. tained from this source. 3. The community development case is based on 5. California voters had passed an initiative cur- one of the author’s practice experience. Similar tailing the provision of public health, education, colonias to the one described here currently dot and welfare services to illegal immigrants. The the southwestern United States. A colonia is a U.S. Congress was, and is, considering similar re- “rural, unincorporated community . . . in which strictions. California’s law subsequently was de- one or more of the following conditions exist: lack clared unconstitutional by the federal courts.

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New York: Aldine. a new century (pp. 45–56). Washington, DC: Williams, L. F., & Hopps, J. G. (1990). The social NASW Press. work labor force: Current perspectives and fu- Wakefield, J. C. (1988). Psychotherapy, distribu- ture trends. In L. Ginsberg, S. Khinduka, J. A. tive justice, and social work. Part I: Distributive Hall, F. Ross-Sheriff, & A. Hartman (Eds.), En- justice as a conceptual framework for social cyclopedia of social work (18th ed., 1990 work. Social Service Review, 62(2), 187–210. suppl., pp. 289–306). Silver Spring, MD: Na- Webb, S.A. (2000). Some considerations of the va- tional Association of Social Workers. This page intentionally left blank I UNDERSTANDING THE SOCIAL ENVIRONMENT AND SOCIAL INTERACTION This page intentionally left blank 2 Theory-Based, Model-Based Community Practice

I came to theory desperate, wanting to comprehend—to grasp what was happening around and within me. . . . Theory is not inherently healing, liberatory, or revolutionary. It fulfills this function only when we ask that it do so and direct our theorizing towards this end.

B. HOOKS (1991, PP. 1–2)

A CONCEPTUAL FRAMEWORK FOR PRACTICE single, unified master theory of human behavior. So, in the above example, group resistance One way in which professional social work is not a simple concept; resistance can take many practice differs from nonprofessional practice is forms and can be explained in many different that social science theories, as well as a body of ways. A Freudian would talk about unconscious professional values, guide professional practice. conflicts; a Skinnerian would consider rewards With theory-based practice, social workers will and punishments. Similarly, persuasion can take presumably use similar interventions in similar many different forms. Therefore, interventions situations to produce similar results. Under the to overcome resistance will vary. Discovering clearest circumstances, the propositions of prac- the kind of persuasion that works best for over- tice theory would thus take the form “If X coming particular forms of resistance represents occurs, or under X conditions, do Y,” and pro- a further elaboration of theory, indeed an im- fessional training would primarily involve mas- provement, but one that still will not yield a sim- tering the theories and their applications. So, for ple rule. example, a proposition might be: “If you en- In fact, the enormous complexity of social counter group resistance to a new idea, then work practice means that often we cannot find identify an opinion leader and try to persuade a direct correspondence between theory and him or her, outside of the group context, to adopt practice. Social science theory seldom tells us di- your idea.” rectly exactly what to do, nor could it entirely, In social work practice, however, situation X since ethical principles also inform professional is seldom the same as situation Y, and the com- practice. plexity of human beings and human relation- Should we therefore abandon theory as use- ships is such that behavioral science theories less? Not really. Instead, as professional practi- cannot be applied quite so neatly. Nor is there a tioners, we need to develop a conceptual frame- 33 34 COMMUNITY PRACTICE work for ourselves, namely, a body of related man or social systems such as the Baltimore Ori- concepts that help us understand and think oles, the Department of Social Services, the AIDS about the phenomena we are encountering and Outreach Service of the health clinic, and Fam- help us make decisions about how to intervene. ily Services of America; or, for that matter, any Since there is no unified grand theory of human individual human being. To the extent that a sys- behavior (for which we are thankful) or of social tem can remain closed—free of outside influ- work practice, our conceptual framework will ences—the assumption that it is well integrated draw on a number of different theories, which is tenable. But since systems are seldom entirely will be refined through practice experience. The closed, and since human or social systems are in- process of reflecting on our practice experiences herently open, it is more reasonable to suggest in the light of social science theory (and vice that every social system is also inherently messy versa), and making appropriate modifications in and that no human system can ever be perfectly theory and practice as a result (sometimes re- integrated. ferred to as praxis), helps us to make sense out For a social system to exist, it must be sepa- of our practice world. Therefore, in this chapter, rable from other systems and from its sur- we will briefly outline the theories we believe roundings. It must have boundaries. At the same are most pertinent to community practice. At the time, no human system can exist without relat- same time, as helpful as theory is, we should not ing to its environment, a proposition that defines overemphasize its importance either, for creative the essence of an open system. Therefore, we practice draws from many sources. In the words could say that every human system is an open of Renato Rosaldo (as cited in Saleebey, 1994): system striving for closure. Some degree of clo- “Rather than work downward from abstract sure is necessary for a human system to function principles, social critics work outward from an and remain intact or coherent. At the same time, in-depth knowledge of a specific form of life. In- every human system must exchange information formed by such conceptions as social justice, hu- and resources with other systems and act on that man dignity, and equality, they use their moral information, to maintain itself and flourish. In imagination to move from the world as it actu- fact, the uniqueness of human systems is that ally is to a locally persuasive version of how it they can process, create, and act on information; ought to be” (p. 355). they can learn. In the sections that follow, we will identify Thus we can say that every human system several streams of theory and a number of the must negotiate its environment. Consequently, concepts and propositions embedded in them in it must remain open to some degree, and it must order to suggest useful components of a con- manage some degree of uncertainty from exter- ceptual framework for community practice (also nal sources. If a human system cannot negotiate see Martinez-Brawley, 2000; Rogge, 1995). Read- its environment, if it cannot process information ers will still have the task of integrating these well enough, then it must either exist in a pro- ideas and organizing their own frameworks. tected milieu or die (Juba, 1997). Social service agencies, like all organizations, can be viewed as open systems striving for clo- THEORIES FOR UNDERSTANDING sure. They were formed to carry out a particu- MACROPRACTICE lar mission; they are goal oriented. They also attempt to arrange their operations and decision- Entire books have been written about each of making rules so as to attain those goals. In short, the theories discussed in this section. Our ab- they attempt to operate rationally. A bureau- breviated presentation here includes ideas, con- cracy, in the nonpejorative meaning of the term, cepts, and propositions that we view as espe- represents an attempt to rationalize organiza- cially pertinent for community-based practice. tional decision making by locating expertise at the top of the decision-making structure and lay- Systems Theory and Organizations ing out clear rules and regulations for coordination and decision making by successively lower A system can be viewed as a whole and its in- members in the hierarchy. The organizational terrelated parts. Its guiding principle is organi- chart, depicting the formal structure of author- zation. The main assumption underlying sys- ity in the organization, probably best symbolizes tems theory is that a well-integrated, smoothly the organization as a rational system. This pure functioning system is both possible and desir- form of rational organization works well when able. Examples of systems are mechanical sys- the degree of uncertainty that must be managed tems such as computers and automobiles; hu- is fairly low. So, when there is time to make de- THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 35 cisions, when information is clear, and when re- can be very difficult. An organizational manager sources are readily available to do the work, it stands at the nexus of political, social, and eco- is easier to operate rationally. nomic streams of information and relationships, A bureaucracy, in the pejorative sense of the requiring new kinds of management skills (e.g., term, can be viewed as a nonrational, defensive networking and coalition building), new forms organization. Our large public social service, of organizational structures (e.g., problem-solv- health, and educational organizations tend to fall ing teams with members from all levels of the into this category. Required by law to serve or organization), and much more familiarity with remain open to all who fit within their legislated information-processing technologies than ever service categories, yet with insufficient revenues before. Both organizational managers and com- to provide services adequately due to political munity practitioners need to learn who the rel- struggles over the allocation of scarce resources, evant group and organizational decision makers these public agencies develop red tape (that is, are for projects they are concerned about, as well lengthy procedures for decision making and as how those systems operate. other defensive features) to stem the tide of un- relenting demand. They try to operate rationally but are overwhelmed by the demands of their Social Learning Theory environment. Social service organizations, even nonprofit Behavioral approaches to social work practice and proprietary agencies, exist in an increasingly are usually identified with various forms of in- complex, demanding, dynamic, external milieu dividual and group therapy. They are based on that poses a great deal of uncertainty for them. the work of a number of important learning the- (It goes without saying that the same is true for orists such as I. P. Pavlov, B. F. Skinner, Joseph social workers and for individual clients.) Due Wolpe, and Albert Bandura. Social learning to such factors as the exponential growth of com- ideas are also useful in community-based prac- munication and information-processing tech- tice, especially in understanding and influencing nologies, previously unrelated elements in the the behavior of individuals and groups. For ex- environment may link up and bring about un- ample, the process of developing effective orga- predictable reactions with far-reaching conse- nization leaders, satisfied staff members, and in- quences (Emery & Trist, 1965). Consider, for ex- fluential social action strategies can benefit from ample, the complexity of the current health care understanding and using social learning con- debate and the difficulty of predicting the even- cepts and principles. tual effects on organizational resources and ser- The basic assumption of social learning theory vices, especially for health and mental health is that human behavior is learned during inter- agencies (Morrison & Wolfe, 2001). How do new actions with other persons and with the social computers and other information system tech- environment. This is not to deny the presence of nologies affect an organization’s ability to com- biological or psychological processes that pro- pete for clients, referral sources, and revenue? duce emotions and thoughts. However, little How will welfare reform affect the demand for credence is given to the idea that some sort of services and the availability of funds? internal personality governs behavior. Thus Modern organizations also generate a good learning theorists are much more interested in deal of internal system uncertainty from a vari- observable behaviors and in the factors that pro- ety of sources, that is, uncertainty that is built duce and modify these behaviors. into the human differences among the members A shorthand way of thinking about the factors of the system and the nature of their relation- that produce or modify behavior—that is, the ships. Such sources of uncertainty include mul- contingencies of social learning—is as cues, cog- tiple and conflicting member goals and varying nitions, consequences (Silver, 1980). In Silver’s passions, values, interests, needs, and skills, as words, “To understand social action, social well as the dynamics of members’ interpersonal learning looks to cues that occur prior in time, relationships. So organizations have informal sys- mental processes (cognitions) that mediate them, tems for making decisions based on the previ- and rewarding or punishing consequences that ously noted sorts of nonrational factors, as well follow. There is also feedback from conse- as formal systems for decision making governed quences to cuing and thinking for future behav- by written rules, job descriptions, and lines of ior. All together, these are the social learning con- authority. tingencies” (p. 13). In this complex and constantly changing en- One major form of learned behavior is called vironment, organizational decision making respondent learning, sometimes referred to as clas- 36 COMMUNITY PRACTICE sical or Pavlovian conditioning. Examples of re- (cognition). My success may also be affected by spondent behaviors include autonomic nervous the prospect’s prior positive or negative experi- system responses such as perspiring, salivating, ences with coalitions (consequences), as well as and fight-or-flight reactions, as well as many his or her strong belief in or skepticism about the fears, anxieties, and phobias. Respondent be- value of coalitions for addressing a particular havior is essentially learned through prior cues problem (cognition). If I succeed in forming the that produce an innate or unlearned response, coalition, I will have modified the environment such as the response to the smell of food when for addressing the AIDS problem, and this, in one is hungry, or to a strong reprimand. When turn, may influence skeptics to join the effort, an unconditioned stimulus (one that elicits an in- which may alter my perceptions of my personal nate response) is paired with a neutral stimulus competence or self-efficacy, and so on, in a con- or event, that is, one that evokes little or no re- tinuous interactive causal chain involving be- sponse, the neutral stimulus may acquire a sim- havior, cognition, and the environment. ilar ability to arouse a pleasurable or painful The concepts of perceived individual self-efficacy response. Thus the citizen who speaks at a leg- and collective efficacy are particularly useful for islative hearing, which was originally a neutral community practitioners. Perceived individual event, and is strongly attacked by a powerful self-efficacy may be viewed as self-appraisal of opponent may be fearful of speaking at or even one’s ability to determine and successfully carry attending a legislative hearing in the future. This out a goal-oriented course of action (Bandura, new response is considered a conditioned re- 1986). This perception stands between one’s ac- sponse, a behavior learned through pairing of a tual skills and knowledge and what one does in conditioned stimulus with an unconditioned a given situation. So, for example, while a prac- stimulus that elicited a painful reaction. titioner’s skills may be quite good, his or her self- Operant behavior, the other major form of appraisal of the adequacy of these skills will af- learned behavior, refers to activities that can be fect how that worker performs. A practitioner consciously controlled, such as talking or study- whose perceived self-efficacy is low may often ing; it is influenced primarily by the positive or avoid challenges; the worker whose self- negative consequences that follow it in time. These appraisal of efficacy is high may take them on. consequences are commonly referred to as re- When individuals give up trying to accom- wards or punishments. Behavior that is rewarded, plish a goal because they judge their skills to be or positively reinforced, usually is maintained or inadequate, we can say that they have low effi- increased, whereas behavior that is punished or cacy expectations. When they feel confident but not reinforced has a lower probability of being give up trying because they are up against un- repeated. Praise and attention are common ex- yielding obstacles or unresponsive environ- amples of positive reinforcers; disapproval or ments, we can say that they have low outcome ex- a physical slap are examples of negative rein- pectations (Bandura, 1982). In the latter case, this forcers or aversive stimuli. The supply of posi- inaction is akin to the concept of learned helpless- tive and negative reinforcers is endless, although ness (Seligman, 1975), a state of mind that comes which is which depends a great deal on how the about after repeated failure to exert influence individual thinks or feels about it. That is to say, over the decisions that affect one’s life. Still, one’s behavior is mediated by one’s cognitions. some people keep on trying even after repeated Social learning theory recognizes the impor- failure. How can this apparent anomaly be tance of cognition in understanding and modi- explained? fying human behavior. The human capacity to Abramson, Seligman, and Teasdale’s (1978) think and feel and to reflect on thoughts and per- reformulation of learned helplessness takes a ceptions, to believe, to remember the past and step in this direction by positing the concepts of anticipate the future, and to develop goals—all personal and universal helplessness. When individ- of these affect how we behave. Social cognitive uals believe they cannot work out problems that theory posits a model of reciprocal causation in they should be able to solve—others do solve which “behavior, cognition and other personal them—they feel personally helpless. They them- factors, and environmental influences all oper- selves are at fault. But when they judge that ate as interacting determinants that influence nobody can solve the problem—it is beyond any- each other bidirectionally” (Bandura, 1989, p. 2). one’s control—they experience universal help- Thus, if I am a community worker, the manner lessness. Putting the various concepts together in which I go about recruiting a prospect to join (Pecukonis & Wenocur, 1994), if we consider the an AIDS education coalition may be influenced idea of high perceived self-efficacy and low or by how competent I think I am as a recruiter high outcome expectancy (the degree of respon- THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 37 siveness of the environment), we can imagine shape their lives is an important goal of social several different states of mind and accompany- work practice. In the previous section, we pro- ing action-oriented or political kinds of behav- posed that both clients and social workers are ior. Persons whose self-appraisal of efficacy is more likely to take a step in that direction if they high and who have been successful in influenc- see the world as potentially changeable rather ing decisions that affect their lives or their ex- than fixed. To a large extent, this view of the ternal environments develop a sense of universal world depends on the meanings that individu- hopefulness. They believe that they can succeed als attach to objects and events. In the words of and that others can as well, and so they are will- Saleebey (1994), “Practice is an intersection ing to take action on behalf of change when where the meanings of the worker (theories), the needed. Persons with high perceived self-effi- client (stories and narratives), and culture cacy and low outcome expectations because of (myths, rituals, and themes) meet. Social work- an unrewarding or unresponsive environment ers must open themselves up to clients’ con- may develop a sense of personal hopefulness if structions of their individual and collective they believe they are not personally responsible worlds” (p. 351). for their failures but see that the system is defi- But how do we develop our understanding of cient. Such individuals are likely to mistrust the events and objects that make up everyday life? political system and, under certain conditions, The theory of reality construction advanced by will engage in militant protest to change it (Ban- Peter Berger and Thomas Luckmann in The So- dura, 1982). Being personally hopeful, they be- cial Construction of Reality (1967) suggests that lieve they can succeed even if the system tries to those understandings come about through social stop them. Persons who are angry at political processes. Objective facts do not exist apart from and social injustice and who have a hopeful the subjective meanings that people attach to frame of mind often make excellent leaders them as they are being perceived. “Men together in community planning and social advocacy produce a human environment, with the totality efforts. of its socio-cultural and psychological forma- Applying the concept of efficacy to group life, tions” (Berger & Luckmann, p. 51). Therefore, as collective efficacy can be defined as a shared per- the book title suggests, the everyday reality that ception (conscious or unconscious) that the people experience is not simply a confrontation members of a group hold about the group’s abil- of facts and objects; it is socially constructed. ity to achieve its objectives (Pecukonis & So, for example, in any society, people hold dif- Wenocur, 1994). Collective efficacy includes, but ferent kinds and amounts of riches, but the is more than the sum of, the individual mem- meaning of rich—who is rich and who is poor, bers’ perceptions of their own efficacy, because what constitutes wealth and poverty—is subjec- it is a property that pertains to the group as a tively experienced, socially defined, incorpo- whole, like the notion of group solidarity. A pos- rated into individual consciousness or internal- itive sense of collective efficacy is shaped by the ized through a process of socialization, and experiences of the members in the group and by eventually taken as truth or reality. This latter the group’s interactions, as a group, with its ex- process, “the process by which the externalized ternal environment. At the same time, these ex- products of human activity attain the character periences may also contribute greatly to the feel- of objectivity is [called] objectivation [italics ing of personal self-efficacy that each member added]” (Berger & Luckmann, p. 60). comes to hold. When the collectivity is a social The source of the objectivation process is that action group, successful experiences will greatly human beings are by biological necessity social enhance feelings of personal worth and em- animals. Humans must interact with other hu- powerment. Experiential learning (connecting mans and with the various elements in their ex- experiences with knowing about oneself and the ternal environments in order to survive and world) also create opportunities for political con- grow, and to do this they need a certain degree sciousness raising (Gowdy, 1994), an important of stability or order. This process of ongoing in- ingredient in overcoming oppression, which will teraction with the external world is called exter- be discussed later. nalization (Berger & Luckmann, 1967, p. 56). Social order and interpretations of reality are created through this process as people talk with Reality Construction each other about their experiences and validate their understanding of them, and as they de- Helping clients gain a greater degree of power velop established ways of doing things to ac- over the organizations and institutions that complish their goals. Established behavior pat- 38 COMMUNITY PRACTICE terns and expectations, embodied in the ideas of centric thinking expressed in census reports has, roles and role behavior, lead, in turn, to the de- until recently, treated whites as a dominant velopment of institutions, which strongly influ- category, while African-Americans have been ence the meanings that the members of society defined as nonwhites. Thus, language does not take as truth (Greene & Blundo, 1999). merely convey information “but is believed to For example, the family is an institution whose thoroughly mediate everything that is known” meaning is very much in flux in U.S. society. Dif- (Pardeck, Murphy, & Choi, 1994, p. 343). Because ferent segments of society are contending for language can be detached from the here and acceptance of their definitions of family and, in now, people can use it to record and pass on the fact, for a more inclusive definition of family, past as well as to imagine the future. Language based on new and different roles for men and thereby helps to translate individual subjective women and changing social and economic con- experiences into objective reality and collective ditions. The traditional nuclear family in which experiences into cultural knowledge. We live in Mom stays home with the kids and Dad is the a symbolic universe. Think about the meanings breadwinner, if there ever was such a family, has attached to, say, the flag of the United States ver- given way to many different kinds of families— sus the flag of the Confederacy. Think about the families in which both parents work, where one struggle of the United Farm Workers and the parent is absent, where divorce and remarriage role of the Aztec blue eagle in that struggle. have resulted in blended families, where same- Think about the meaning of the historical “truth” sex parents and children constitute a family unit, so many of us learned in elementary school, that and so on. And just as the meaning of family Columbus discovered America, despite the ob- is changing, so is the meaning of home and vious fact that a people already lived on this con- marriage. tinent when Columbus arrived. The relationship between human beings as the Human organizations and institutions de- creators of reality and the reality that is the prod- velop their own cultures and ideologies reflect- uct of the process is a dialectical one. Thus the ing the composition of their membership and constructions that human beings produce—for their most powerful stakeholders. And some- example, the language they use, the meanings times institutions become reified; that is, they they derive, the roles they develop, and the seem to take on a life of their own or to exist as organizations they form—all influence future entities apart from their human origins and constructions in a continuous back-and-forth makeup. “Reification implies that man is capa- process. “Externalization and objectivation are ble of forgetting his own authorship of the hu- moments in a continuing dialectical process” man world, and further, that the dialectic be- (Berger & Luckmann, 1967, p. 61). So, the social tween man, the producer, and his products is order that human existence requires and creates lost to consciousness” (Berger & Luckmann, is an order that is constantly being recreated as 1967, p. 89). The expression, “You can’t fight City we negotiate our daily lives together. For com- Hall,” for example, implies that City Hall exists munity workers who must frequently help their apart from the politicians and workers who clients as well as themselves in negotiating com- make it up, and that it is something not subject plicated bureaucratic systems to get resources to to human influence. Social work’s traditional survive and perform valued social roles, reality low-income constituents, along with many social is neither predetermined nor fixed for all time. workers, often hold this version of reality. An- Moreover, it is incumbent on practitioners to val- other common example of reification occurs idate the experiences of the individuals and when an organization becomes well established groups with whom they work—their realities. and then begins to lose its vitality because its Symbols, especially language, represent the members assume that the organization can con- major currency of social interaction through a tinue to function effectively without their fresh body of conventionalized signs and shared rules energy, ideas, and leadership. Thus, not only do for their usage. People give meaning and struc- organizations need to continue bringing new ture to their experiences through language and members on board, but the newcomers need to other symbols, and language, in turn, structures be socialized in a manner that values their vigor our thinking and beliefs. Feminists, for example, and creativity. have argued that language is a major source of The third moment in the process of reality con- categorical thinking and helps to sustain the pa- struction, internalization, refers to the incorpora- triarchal order. In this view, male is a dominant tion of socially defined meanings into one’s own category and “whatever is not male is female” consciousness though a process of socialization. (Sands & Nuccio, 1992, p. 491). Similarly, ethno- Socialization itself may be defined as “the com- THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 39 prehensive and consistent induction of an indi- vention” (Pardeck et al., 1994, p. 345). From a vidual into the objective world of a society or a macroperspective, a constructionist approach segment of it” (Berger & Luckmann, 1967, p. also suggests that social workers help clients un- 130). Primary socialization occurs early in child- derstand “the oppressive effects of dominant hood when the significant persons in a child’s power institutions” (Saleebey, 1994, p. 358) and life basically teach the child what the world is tune in to the countervailing knowledge avail- about and how to behave in it. During this pro- able in their own communities (Reisch, Sherman, cess, the significant others necessarily filter ob- & Wenocur, 1981). jective reality for the child through the lenses of their own selective definitions and personal idio- syncracies. As the child bonds emotionally with Social Exchange Theory and Power these significant persons, she or he begins to establish an identity that is partially a reflection of In that people act in their own interests, the socializing agents. As a child continues to whether economic, social, or psychological, ex- grow and relate to an expanding and ever more change is the act of obtaining a desired com- complex universe, secondary socialization into modity from someone by offering something many new subworlds proceeds, mainly though valued by the other party. Commodities ex- the acquisition of role-related knowledge and changed can include adoration and praise for job skills. security, information for status, sexual favors for The socially constructed realities produced protection, and influence for political donations. through internalization are stabilized or altered Whether exchange actually takes place depends on the microlevel as individuals test their plau- on whether the two parties can arrive at terms sibility against the new information and alter- that will leave each of them better off or at least native definitions they are constantly receiving. not worse off, in their own estimation, after the At the macrolevel, as new generations arise, the exchange, compared with alternative exchanges institutional order itself requires explanation possible and available to them. (See rivalry and and justification, that is, legitimation, as it is cooperation in game theory, Nasar, 2001, Chap- tested against changing external conditions and ter 49.) challenged by ideologies that run counter to Social exchange theory, associated with theo- established beliefs. For example, as medical rists such as George C. Homans (1974), Peter M. knowledge and the capacity to sustain prema- Blau (1964), and Richard Emerson (1962), forms ture infants expanded, the belief that life begins another conceptual building block for commu- at birth was strongly challenged in the 1980s by nity practice. Built on the operant conditioning the counterideology that life begins at concep- aspects of social learning theory and an eco- tion. Thus will each successive generation have nomic view of human relationships as concerned to construct its own complex reality. with maximization of rewards or profits and Constructionist theory has implications for minimization of punishments or costs, exchange social work practice. Social phenomena such as theory underlies such skills as bargaining, ne- health, crime, and normalcy cannot be defined gotiating, advocating, networking, and market- simply in terms of empirical, objective facts. ing. The part of exchange theory that deals with They are embedded in a “web of meanings, cre- power and dependency is especially pertinent to ated and sustained linguistically” (Pardeck et al., community practice. 1994, p. 345), that make up our own and our Community practice takes place in an action clients’ worlds. Effective social work practice re- or exchange field. In terms of exchange theory, quires skill in communications to understand the exchange field represents a market consisting and enter the assumptive worlds of our clients. of two or more parties who interact with each The practitioner with such skill will be better other, at different times and in various combina- able to make informed, sensitive assessments of tions, to exchange desired resources or products. client system problems, unhindered by poten- These resources can be tangible or intangible. tially stereotypical and inappropriate diagnostic They can include counseling and community or- taxonomies (Pozatek, 1994; Saleebey, 1994). Thus ganization services, money (a proxy for other “clients are not merely consulted through the products), information, ideas, political influence, use of individualized treatment plans . . . but goodwill, compliant behavior, meanings, and en- supply the interpretive context that is required ergy. For transactions to occur, the involved par- for determining the nature of a presenting prob- ties require information about the products to be lem, a proper intervention, or a successful treat- exchanged and a desire for the exchange prod- ment outcome. This is true client-centered inter- uct(s). Given relevant information and desire, ex- 40 COMMUNITY PRACTICE change theory holds that parties in a transaction parties have mutual dependencies, albeit in dif- select from all possible exchanges those that have ferent degrees. the greatest ratio of benefits or rewards to costs. Suppose, for example, that the local health In social exchanges, this calculus is seldom as clinic would like financial support from the precise as in economic exchanges. For example, United Way for its AIDS Outreach Project, and in a contribution to a United Way campaign, the right now that is the clinic’s only hope for fund- donor is giving dollars (an easily measurable ing. In that exchange relationship, the United unit), but the products received in return—say, Way has power with respect to the clinic because social status, community improvement, and as- it controls the resources that the clinic needs. sistance to people in need—are not easily mea- Theoretically, if the United Way chose, it could surable or readily comparable with alternative establish preconditions (contingencies) for ob- products for the donor’s money. taining those funds, such as requiring the clinic All of the parties in an exchange field do not to coordinate its services with an existing United necessarily have relationships with each other at Way–affiliated agency like the Family Services any given point in time. Two agencies, for ex- Society. More typical United Way preconditions ample, might not have any transactions, but both usually include reporting requirements, a finan- might transact business with the same third or- cial audit, and an agreement not to raise funds ganization. When Party A in an exchange field during the United Way campaign. Now, to the (be it an individual, a group, or an organization) extent, say, that the United Way has been under can accomplish its goals without relating to pressure in the media to become more respon- Party B, and vice versa, these parties can be said sive to community needs, it might view the AIDS to be independent of each other. However, as soon Outreach Project as a highly desirable prospect as either party cannot achieve its ends without for funding. Therefore the United Way might be obtaining some needed product or resource from willing to relax its reporting or audit require- the other and exchanges begin to occur, they can ments to make it easier for the clinic to affiliate. be considered interdependent. Usually, interde- Parties who need resources that others control pendent relationships are not perfectly balanced; can engage in various power-balancing strategies that is, Party A may need the resources that Party in order to bring about more favorable ex- B controls much more than B needs what A has changes. For the sake of discussion, let us con- to offer. In fact, B may not need what A can of- sider Party A an as action organization, a com- fer at all. In this extremely imbalanced situation, munity group that is trying to get resources from A may be said to be dependent on B. This imbal- Party B, a target organization, say, a large private ance in exchange relationships sets the stage for university in the area that has resources that A relations of power or influence among the mem- needs. Since A, the community group, is in a de- bers of an exchange field. pendent position in this situation, B, the univer- Stated most simply, in an exchange relation- sity, holds power with respect to A. In order to ship, power is a function of the ability to control the reduce B’s power, A can adopt one of two ap- resources that another party needs. To the extent proaches. Either A can find some way to de- that Party B has control over the resources that crease its dependency on B or A can find some Party A must have in order to accomplish its way to increase B’s dependency on A. These ap- goals, B has power over A. In that relationship, proaches lend themselves to the following B’s position is one of independence. B can, if it power-balancing strategies: competition, revalu- chooses, exercise its power over A by making its ation, reciprocity, coalition, and coercion. Each exchange of resources with A contingent on A’s of these strategies will now be described. compliance with certain requirements. A is in a power-dependent position with respect to B in COMPETITION their exchange relationship. Consider the rela- This strategy requires Party A to find other tionship between the social worker and the client ways to meet its goals than making exchanges through this lens (Cowger, 1994). Hearkening with Party B. So long as B has a monopoly on back to the contingencies of social learning, fa- the resources that A needs, A will be dependent vorable exchange is a contingency of A’s com- and B will have power. If A can get needed re- pliant behavior. If B also wants some of the resources from Parties F and G, then B’s power sources that A controls—and remember that will be reduced. those resources may be tangible or intangible Suppose that A (the community group) would (e.g., money, services, goodwill)—then the rela- like B (the university) to donate, or sell at a low tionship is interdependent, although weighted price, a parcel of land for a community recre- more in favor of one party than the other. These ation center. So long as A’s goal is to build the THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 41 recreation center and it needs this land, and there may control some portion of what the target or- is no other place to get it except from B, B has ganization, B, needs. A and the other parties may power in relation to A. As a consequence, if both thereby reduce their dependency by working parties are willing to make an exchange, B could out a more evenhanded relationship with B. potentially force A, for example, to support a Let’s say that A, C, and D are all community piece of controversial legislation before the city groups that are trying to influence the univer- council. If there are other land-holding insti- sity’s (B’s) parking policy in the community. Al- tutions in the community—say, a couple of though individually none of these organizations churches (F and G) to which A might turn for may be able to exert much influence over B, to- inexpensive land, then B’s power over A will be gether they may be able to control enough votes reduced. on the city zoning commission to get B to adopt a more favorable parking policy for the com- REEVALUATION munity. These votes may even be important In this strategy, because of either value or ide- enough to the university to get it to lower the ological changes, A becomes less interested in price of the land that A, the coalition leader, the resources that B controls, and B accordingly wants for the recreation center. loses power over A. In situations such as this, the target organization, B, may try to maintain COERCION A’s dependency on it by offering A inducements Coercion is often defined as the use of physi- or new advantages to sustain the exchange cal force or intimidation (economic, reputational, relationship. etc.) to compel one party to do what the other For example, A (the community group) may party wants. Since threats, blackmail, or actual lose interest in its goal of building a recreation harm to persons and property are normally ille- center because the level of community violence gal and immoral, this strategy falls outside the has increased, causing A to put its energy into a bounds of professional acceptability. We would different issue: developing a community polic- distinguish physical coercion from political co- ing effort. B, the university, no longer has a re- ercion and from the use of disruptive tactics that source that A needs, and it cannot use its rela- are normally legal, such as sit-ins, rallies, strikes, tionship to get B’s support on the controversial or media blitzes. Social change authors Bobo, legislation it seeks to have enacted. Because B Kendall, and Max observe that a tactic available believes it might need A’s support in the future, to social action groups is depriving “the other B may offer to contribute money or training to side of something it wants” (2001, p. 13). A’s community policing effort or to lower the In the above illustration, if A were to threaten price of the land that A originally wanted for its to do harm to B’s personnel or property in an ef- recreation center. fort to get B to sell its property cheaply, this would constitute an illegal form of coercion. RECIPROCITY However, if A organized a large demonstration Here A seeks to find a resource that it controls of students and community residents outside the that Party B would like. If A can thus make itself university president’s office as a means of pres- more attractive to B as a potential trading part- suring B to change its decision about selling the ner, then the dependent relationship could be property by creating unfavorable public opinion, transformed into an interdependent one, and A this could be an acceptable strategy. We would could achieve a more equitable balance of power. consider this a form of reciprocity, namely, gain- Continuing the above illustration, if A (the ing control over a resource needed by A— community group) can gain control over a par- favorable public opinion—rather than inappro- cel of land that B (the university) would like for priate coercion. (Bobo, Kendall, and Max would expanded student parking, then A owns a de- regard it as conventional straight-up power sirable resource. A might be able to use this re- politics.) source to negotiate a favorable exchange with B, Although the dynamics of power and ex- thereby achieving some balance of power in the change are important, many transactions in an relationship. exchange field do not carry heavy overtones of power. People are constantly relating to one an- COALITION other, exchanging information, and sharing re- A by itself may not be able to exert much in- sources without trying to extract advantages fluence over B. The same may also be true of C from the transaction. In fact, the more people ex- and D in their exchange relationships with B. But change resources with each other, the greater the if A can coalesce with C and D, together each likelihood that reciprocal obligations will de- 42 COMMUNITY PRACTICE velop and that these will be governed by norms tion is embedded in a larger network of groups of fairness. As positive relationships develop, ex- and organizations that it must relate to in order change partners who each obtain a desirable re- to survive and prosper. Within this interorgani- source may be attracted to one another and may zational network or exchange field, each organi- form cohesive associations such as support zation must carve out a specific domain, or sphere groups, networks, new organizations, coalitions, of operation. Levine and White (1961, 1963) did and the like. the seminal work on domain theory. An agency’s In general, within the framework of social ex- domain is the claim for resources the agency change theory, it is important to note that ex- stakes out for itself based on its purpose and ob- changes involving power require building rela- jectives. The organizational domain usually in- tionships among people, making connections volves some combination of (a) human problem where none may have existed previously, and or need, (b) population or clientele, (c) technol- creating interdependencies. Since the potential ogy or treatment methods, (d) geographic or for building relationships with other people is catchment area, and (e) sources of fiscal and non- limitless, the implication is that power is neither fiscal resources. While some of the domain may limited as a resource nor confined to a set group be shared and other parts may be in dispute, all of people. Rather, power can be viewed as a dy- parts cannot be shared or be in dispute if the namic resource that is ever expandable. In the agency is to maintain itself as a separate entity. words of Lappé and Du Bois (1994), “Power as For example, although there may be overlap, no it is being lived and learned, is neither fixed nor two organizations serving the homeless will one-way. It is fluid. Based on relationships, it is have identical domains. One may serve only dynamic. It changes as the attitudes and behav- men and the other, families. One may refuse sub- ior of any party change. This understanding of stance abusers; another may accept all who come power offers enormous possibilities: it suggests but require attendance at religious meetings. Ge- that by conscious attention to the importance of ographic boundaries may vary. Some organiza- one’s own actions, one can change others—even tions may include an advocacy function and oth- those who, under the old view of power, appear ers, only service. immovable. All this allows us to discover new The domain of an organization identifies the sources of power within our reach” (p. 54). points at which it must relate to and rely on other Note also that the coalitional power-balancing organizations to fulfill its mission. Mother’s strategy, in particular, underlies all community Kitchen, which provides hot meals to the needy organization practice. It suggests that if individ- in South Bostimore, will need serving, eating, uals or groups by themselves do not have suffi- and storage facilities, a supply of volunteers, a cient power to influence the decisions that affect supply of food, health department approval, and their lives, they need to join forces with other so on. Joe’s Van, which supplies coffee and sand- people—friends, confederates, others who have wiches on winter weekends to homeless persons power—so that together they can create new in South Bostimore, will need different kinds of sources of influence that alone they did not volunteers, facilities, and supplies. Depending possess. on an organization’s domain, then, we can readily see that the structure and dynamics of its external environment will have a lot to do with the Interorganizational Theory organization’s ability to achieve its objectives. In some environments, resources are scarce; in oth- Much community practice involves establish- ers, plentiful. So, volunteers may be relatively ing and managing relationships with other easy or hard to find. There may or may not be a groups and organizations. The selection of the- food bank to draw on for inexpensive staples. oretical material thus far presented provides the Some environments have many competitors or groundwork for many of the ideas that help us regulations, others few. Complex organizations understand these interorganizational relations. in dynamic environments may also have spe- In this section, we try to understand the behav- cialized positions or even whole departments to ior of groups and organizations rather than assist them in handling environmental transac- individuals, so conceptually, in interorganiza- tions—for example, a director of volunteers, a tional relationships, the unit of analysis is the or- public relations department, and a lobbyist or ganization or organizational subunit rather than governmental affairs division. the individual. It is useful to conceptualize the set of external The fundamental (by now obvious) idea in in- organizations and organizational subunits that a terorganizational theory is that every organiza- focal organization must deal with to accomplish THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 43 its goals as a task environment (Thompson, 1967). Education (CSWE) accredits schools of social The task environment is the specific set of or- work. A school of social work may lend its ganizations, agencies, groups, and individuals support to a local agency’s continuing educa- with which the agency may exchange resources tion program. The dean of the school may and services and with which it establishes spe- serve on the board of directors of an agency cific modes of interaction, either competitive or serving the homeless, along with client rep- cooperative, to achieve its goals and fulfill its resentatives from the homeless union. mission. It is the part of the environment that 3. Providers of clients or consumers. These include can positively or negatively affect the agency’s those very important individuals and groups functioning and survival (Wernet, 1994; Zald, who make referrals to the agency, as well as 1970). The task environment is influenced by the the individuals and families who seek out the general environment’s level of resources, the organization’s services directly. The depart- competition for resources by all alternative de- ment of public welfare may be a major refer- mands, the social ideology and philosophy of ral source of clients for Mother’s Kitchen. need meeting, and the socioeconomic demo- Other clients may come on their own as word graphics of the population (age distribution, of mouth passes around on the streets. The family composition, income distribution, eco- South Bostimore Community Association nomic base, and so forth). To give but one ex- may be a major source of referrals for a new ample, the voluntary sector in a particular locale health maintenance organization started by can be rich or poor (Mulroy & Shay, 1997, p. 517). the local university hospital. Thus, families have many or few choices and 4. Providers of complementary services. These in- helpers; this in turn affects a given agency. The clude other organizations whose products or resources in the task environment do not con- services are needed by an organization in stitute a system; they are merely a set of things order to successfully do its job. Mother’s until they are organized into a system to support Kitchen may use the university medical the agency and its mission and objectives (Evan, school for psychiatric consultations and a 1963). While the concept of external environment drug treatment center for substance abuse is somewhat abstract and amorphous, the task counseling services. The welfare department environment concept can be delineated quite provides income maintenance for homeless specifically. The task environment consists of six families who use Mother’s Kitchen. categories of components (Hasenfeld, 1983, pp. 61–63; Thompson, 1967), which will now be de- 5. Consumers and recipients of an organization’s scribed. For any given organization, some envi- products or services. Social service agencies ronmental units may fit into more than one cannot operate without clients, a community category. organization cannot operate without members, and a school of social work must have students. Clients and consumers are critical to 1. Providers of fiscal resources, labor, materials, justifying an organization’s legitimacy and equipment, and work space. These may include claims for resources. So the consumers of an providers of grants, contributions, fees for agency’s services are the clients themselves, products or services, bequests, and so on. Or- voluntarily or involuntarily, together with ganizations often have multiple sources of their social networks. Other organizations funds. Mother’s Kitchen may receive federal may also be consumers of an agency’s prod- funds channeled through the local mayor’s of- ucts. For example, employers need to be avail- fice of homelessness services, as well as con- able and willing to hire the graduates of the tributions from a sponsoring church. At the welfare department’s employment training same time, Mother’s Kitchen may receive programs. space from a local church, office supplies from 6. Competitors. Few organizations operate with a a local stationer, and maintenance supplies monopoly on consumers or clients and other from a janitorial products company. The resources necessary for them to function. school of social work may be an important With human service organizations, other such source of labor via fieldwork interns. agencies are frequently competing for the 2. Providers of legitimation and authority. These same clients or for fiscal resources from sim- may include regulatory bodies, accrediting ilar sources. Several schools of social work in groups, and individuals or organizations that the same city may compete for students and lend their prestige, support, or authority to will try to carve out unique domains to reach the organization. The Council on Social Work into different markets to ensure a flow of ap- 44 COMMUNITY PRACTICE

plicants. Similarly, private family agencies are old ones exiting, new domains are being carved competing for clients with social work private out in response to new opportunities and con- practitioners and psychotherapists. Since straints, and so on. No organizational domain is resources for social services are invariably static. Modern organizational life, in short, is scarce, the ability to compete successfully is really interorganizational life, and it involves a almost always a fact of life for organization continuous process of negotiation in a complex, managers. constantly changing, and highly unpredictable environment (Aldrich, 1979; Emery & Trist, The power and exchange relations discussed 1965). in the previous section govern a good deal of interorganizational behavior. This is because the member units of an organization’s task environ- Conflict Theory ment represent interdependencies that the organization must establish and manage successfully There is perhaps a natural tendency among to operate in its domain. Clearly, to the extent human beings to search for social order and or- that an environmental unit has some of the re- ganization in their lives. Hence the processes of sources that your organization needs to carry out socialization and social control that support or- its business, that unit has power with respect to der seem very acceptable, while processes in- your organization. Furthermore, if your organi- volving social conflict often make us uncom- zation cannot establish the requisite interdepen- fortable. Yet, as we said earlier, disorder is also dencies—and competitors could make that dif- a natural and inevitable aspect of human life. ficult—it will not be able to carve out a workable Thus the dialectical conflict perspective in soci- domain. Thus, Mother’s Kitchen cannot operate ology, as propounded by theoreticians such as as a soup kitchen without passing a state health Karl Marx and Ralf Dahrendorf, can further in- department sanitation inspection and a city fire form social work practice. department safety inspection. Nor will your Although their images of society differ, Marx church be able to establish its homeless shelter and Dahrendorf share some basic assumptions without the approval of its neighbors. And a about the nature of society (Turner, 1978) that grant agency such as a state department of men- help us to see social systems as dynamic entities. tal health or a private foundation is usually in a Both believe that (a) social systems systemati- good position to dictate the terms of compliance cally generate conflict, and therefore conflict is a for the dollars it awards. pervasive feature of society; (b) conflict is gen- Interorganizational relations become truly in- erated by the opposed interests that are interesting when we think about the concepts of evitably part of the social structure of society; (c) domain and task environment as dynamic rather opposed interests derive from an unequal dis- than static entities. Imagine an exchange field tribution of scarce resources and power among with multiple individuals, groups, and organi- dominant and subordinate groups, and hence zations, each of which has its own domains and every society rests on the constraint of some of task environments but all of which are at least its members by others; (d) different interests loosely connected, directly and indirectly, as tend to polarize into two conflict groups; (e) con- would be the case, for example, in the city of flict is dialectical, that is, the resolution of one Bostimore’s homelessness sector.” Since Bosti- conflict creates a new set of opposed interests, more is a city of 650,000 people and since home- which, under certain conditions, spawn further lessness is a complicated problem, hundreds of conflict; and (f) as a result of the ongoing con- organizations provide different kinds of services flict, social change is a pervasive feature of to, and advocate for, homeless individuals and society. families. While enough order or consensus ex- For Marx, conflict is rooted in the economic ists for these organizations to be able to get the organization of society, especially the ownership resources they need to function (i.e., there is of property and the subsequent class structure some level of domain consensus among the orga- that evolves. Production (the means by which nizational players), thousands of exchanges are men and women create their daily subsistence) taking place. New organizational relationships is a central aspect of Marxist thought. It influ- are being formed and old ones altered, new ences cultural values and beliefs, religion, other needs and new information are emerging, new systems of ideas, social relations, and the for- ideas are being created, available resources are mation of a class structure. Under capitalism, the shifting with political and economic develop- means of production (factories, corporations) are ments, new players are entering the scene and owned by capitalists rather than by the workers. THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 45

Because workers must now depend on capital- her oppression in a sexist society” (NOW, 1982, ists to be able to earn a living, they are rendered p. 3). Thus, political CR may be defined as the powerless and exploitable. Labor becomes a method by which an oppressed group comes to commodity to be bought and sold, moved and understand its condition and becomes activated shaped, as the needs of capital dictate. In the politically to change it (Berger, 1976, p. 122). But modern world, Marx would argue that the developing this awareness is not so easy. Marx movement of corporations to different parts of argued that human beings are victims of a false the United States or to foreign countries to gain consciousness born of the exploitive power of tax advantages and find cheap labor is a mani- the capitalist system. For Gramsci, a neo-Marx- festation of the commoditization process. But ist, an alliance of ruling-class factions maintains capitalism also contains the seeds of its own de- hegemony over the subordinate classes by struction (dialectical materialism). Therefore, as means of ideology spread by the state, the media, alienation sets in among the workers, a revolu- and other powerful cultural institutions (Hall, tionary class consciousness begins to develop. 1977): The workers begin to challenge the decisions of the ruling class, ultimately seeking to overthrow This means that the “definitions of reality,” fa- the system and replace capitalism with socialism. vorable to the dominant class fractions, and in- For Dahrendorf (1959), writing a century after stitutionalized in the spheres of civil life and the Marx, industrial strife in modern capitalist soci- state, come to constitute the primary “lived re- ety represents only one important sphere of con- ality” as such for the subordinate classes. . . . flict. Still, conflict is pervasive, having a struc- This operates, not because the dominant classes tural origin in the relations of dominance and can prescribe and proscribe, in detail, the men- submission that accompany social roles in any tal content of the lives of subordinate classes organized social system from a small group or (they too “live” in their own ideologies), but be- formal organization to a community or even an cause they strive and to a degree succeed in entire society. If an authority structure exists, framing all competing definitions of reality that is, a structure of roles containing power dif- within their range, bringing all alternatives ferentials, Dahrendorf calls these social systems within their horizon of thought. They set the imperatively coordinated associations (ICAs). The limits—mental and structural—within which differing roles in ICAs lead to the differentiation subordinate classes “live” and make sense of of two quasi-groups with opposing latent inter- their subordination in such a way as to sustain ests. These quasi-groups are not yet organized, the dominance of those ruling over them. (pp. but when they become conscious of their mutual 332–333) positions, they do organize into manifest interest groups that conflict over power and re- A capitalist system thus finds myriad ways to sources. This conflict eventually leads to change induce people to believe that happiness lies in in the structure of social relationships. The na- the pursuit and achievement of material ends. ture, rapidity, and depth of the resultant change Just how and why the transformation into a depend on empirically variable conditions, such conflict group takes place is not entirely clear, as the degree of social mobility in the society and for many latent interest groups exist under cruel the sanctions that the dominant group can conditions without organizing for change. Both impose. Marx and Dahrendorf, however, do stress the The transformation of an aggregate of indi- importance of leadership in this process. “For an viduals who share a set of common, oppressive organized interest group to emerge from a quasi- conditions into an interest group that will en- group, there have to be certain persons who gage in conflict to change the situation is critical make this organization their business, who carry for conflict theorists and has relevance for social it out practically and take the lead” (Dahrendorf, work advocates and community practitioners. A 1959, p. 185). In addition, it seems clear that the main ingredient of that transformation seems to prospective members of this interest group have be the development of an awareness or con- to be able to communicate their grievances to sciousness of one’s relative state of deprivation each other, that physical proximity helps, and and the illegitimate positions of those in power. that freedom of association may aid the process, In a manual on consciousness-raising (CR) although conflict groups have certainly emerged groups, for example, the National Organization in totalitarian regimes (Dahrendorf, 1959; Tur- for Women (NOW) wrote that “Feminist CR has ner, 1978). one basic purpose: it raises the woman’s con- Marxist and neo-Marxist theory applied to the sciousness, increases her complete awareness, of role of the state in capitalist society also has spe- 46 COMMUNITY PRACTICE cial relevance for social workers because many Motivational Theory social workers either work directly for government agencies or work in nonprofit organiza- Motivational theory, which examines why, tions in programs funded with state dollars. Un- when, and how people act or decline to act, is like conservative political economists, who want linked conceptually with emotions and notions to greatly reduce the role of the state in regulat- of human nature (Oliner & Oliner, 1995). When ing market system activities and its human costs, investigating causes of human behavior, moti- and unlike liberals, who view the state as a po- vation theorists often elect an inner orientation, tential leveling force for reducing income dis- focusing on individual rather than collective be- parities and alleviating distress, Marxist analysts havior. Nonetheless, motivation theory draws view the state in a more complicated fashion. In from political science, sociology, economics, the long term, they see it as serving the interests business, and advertising (the technology of mo- of the ruling class by maintaining social har- tivation), in addition to psychology and philos- mony (Piven & Cloward, 1971) and preparing a ophy, and has macro-applications.1 low-wage work force. On an ongoing basis, they Numerous explanations regarding individual argue that the state mirrors the contradictions in motives have been suggested, including hedo- the capitalist system, hence it is an arena for ide- nism, unconscious urges, instinct, drive, optimal ological and practical struggles over the distri- arousal, self-actualization, multiple and incon- bution of income, benefits, and rights (Corrigan sistent wants (Apter, 1999). In line with these, & Leonard, 1979). In the words of Fabricant and motivation theorists discuss culture or con- Burghardt (1992), “To them, class struggle is not science variables and reinforcement or incentive a simplistic ‘war’ between workers and owners, factors. However, as practitioners discover, suc- but an ongoing, complex, and contentious rela- cess in discerning motives does not confer the tionship among actors in the state, in the econ- ability to predict or even to persuade. Moreover, omy, and in other social groups struggling over an individual’s own explanation may be un- the direction and extent of state intervention. Ul- trustworthy. And yet, human agency (volition, timately, this struggle will either enhance the le- proactivity) and individual decision making are gitimacy of social services through a combina- affirmed in this tradition in contrast with views tion of expansion and restructuring . . . or of the empty self. encourage greater accumulation and unfettered In terms of individual involvement in com- private investment—with the resultant industri- munities, motives include egoism, altruism, col- alization of social services” (p. 52). lectivism, and principlism (Batson, Ahmad, & If social workers and managers of social ser- Tsang, 2002, pp. 434–440). Thus, the debate vice agencies can become conscious of them- about self-interest (individual and group) versus selves as actors in this struggle, they can share social responsibility (Leiby, 1997; Olson, 1971; their awareness and analysis with their clients, Wuthnow, 1991) is a dimension of motivation and they can resist treating the problems of in- and the concepts of empathy, altruism, and hu- dividual clients only as private troubles rather manitarianism are part of this literature (Davis, than as systemic dysfunctions. 1996; Monroe, 1994; Schwartz, 1993; Wuthnow, 1993). What explains why certain people care so ADDITIONAL FRAMEWORKS much about or identify with others? Some writing addresses motivations of citizens who are Explanatory frameworks based on concepts galvanized to get involved and mobilize others. of motivation, ecology, critique, difference, and Reform motives can include moral indignation; complexity can also be applied to community duty and shame; a desire for affiliation, visibil- practice. Key ideas will be sketched here. Sev- ity, or immortality; or an enjoyment of being con- eral of these frameworks relate to the postmodern trary or rebellious. In community practice, un- school, a hard-to-define, multidisciplinary, in- derstanding our own motives leads to effective tellectual movement—highly influential since use of self, while understanding the motives of the 1980s—that challenges prior modern theo- others spells the difference between project suc- ries and assumptions (Irving & Young, 2002; Mc- cess and failure. Inevitably, when we organize, Cormack, 2001; Robbins, Chatterjee, & Canda, opponents and potential allies (Gitterman, 1994, 1998; Vodde & Gallant, 2000; Walker, 2001). A p. x) question the motives of change leaders and significant component of many forms of post- their followers or the modes of motivation uti- modernism theories is their more explicit recog- lized, and we have to respond to charges of nition of the political in social science theory. manipulation. THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 47

Community practitioners will be particularly • Viewing context to be as important as the im- interested in collective motivations that contrib- mediate situation ute to a sense of heightened mutuality and • Seeing how mutuality and interdependence meaningful action at the macrolevel, in a civic suggest values and obligations beyond family, culture (Gottsegen, 1994) or community context. neighborhood or nation Popular thinkers such as Bellah and Putnam are • Examining ways communities organize to concerned about motivation and the civic cul- maintain themselves in given areas ture, but so are traditional theorists such as Habermas. He writes about the “problem of mo- • Looking for ecological, natural, and imper- tivation” that creates “civil privatism” or lack of sonal influences in addition to personal causes participation in the public or civic realm (as cited of human problems in Wuthnow, Hunter, Bergesen, & Kurzweil, 1984, pp. 202–203). In the community context, To date, social work has highlighted primar- collective motivation is written about largely in ily the immediate environment rather than com- the social change literature (Mansbridge and munity groups or societal forces; for a critique Morris, 2001). Motivational theory underlies a of this emphasis, see Beckett and Johnson, 1995; hearts-and-minds-of-people community orga- Elizur, 1995; and Gardella, 2000. What is certain nizing approach rather than resource mobiliza- is that the community environment comes into 2 tion and other approaches. focus as we work to protect children. Ecological theory stresses interdependence between ele- Ecological Theory ments in an environment (Scherch, 2000). Here is a distressing example: The vitality or inaction Ecological theory draws on environmental, bio- of public health systems directly affects the num- logical, and anthropological precepts to high- ber of children who are brain damaged due to light interconnections between the social sur- lead poisoning each year. In fact, the physical en- round and geographic and other factors. vironment (extent of lead paint), social environ- Numerous illustrations make the point. Rain- ment (many low-income landlords), and regu- forests are destroyed and humans are hurt as an latory environment (funding levels for city incidental repercussion. Diseases are exchanged inspection) all have effects. In some cities, 9% of between England and France, and between children have been affected. The macrolevel Africa and the United States. U.S. movies and ecosystem includes more than the community music influence cultures around the globe. Spicy level. Federal political appointments may have foods from Third-World countries replace more local repercussions. According to newspaper ac- bland food in Western diets. An ecological counts, the Secretary of the Interior Norton (of framework underscores such transactions, adap- the 2001 Bush administration) previously lob- 3 tations, and shaping (Kuper & Kuper, 1999 ). bied for a lead paint company. Fortunately, the This theory reminds us that human beings number of lead poisoning cases has diminished have ever-changing physical and cultural envi- due to local vigilance and lawsuits. ronments. Suppose that within 50 years, as some have predicted, a third of the earth’s people live in areas of earthquake and volcanic activity. Critical Theory How might this change in physical environment affect our grandchildren and the relationships Critical theorists have a macro-orientation, an between nations? Cultural environments also interest in the social totality and the social pro- shape things as they change. For instance, a duction of meaning, and a “focus on criticizing statue of President Franklin Roosevelt, seated in and changing contemporary society” (Ritzer, a wheelchair, was recently erected. It took group 1992, p. 149). Developed in Frankfurt in the advocacy to create a new cultural perspective on 1920s, critical theory continues to influence a bygone leader who—because of the mores of many disciplines and professions, in part be- his era—never let the public know how depen- cause of the work of Jurgen Habermas on com- dent he was on a wheelchair. munication and discourse. Critical theory fo- Ideas about ecology and ecosystems of human cuses on dominating institutions and how the groups have influenced helping professions system works, on large-scale capitalistic struc- (Germain & Gittelman, 1995; Pardeck, 1996). Fac- tures and how they intersect with local environ- tors that affect social functioning and a new ori- ments. It prompts compelling questions such as entation for intervention include the following: this one: “How is it possible that penal systems 48 COMMUNITY PRACTICE could have expanded so rapidly and that cor- can help social workers grasp the connections porate interests could have become so ensconced between individual insight and societal change in punishment practices without a significant (Dean & Fenby, 1989). critical discourse developing?” (Washington, 1999, p. 1). Feminist Social Theory In our information and technology age, critical theory’s concerns with the culture and knowledge industries seem even more relevant The differentiation of people, at home and than earlier concerns with the industrial means abroad, that sometimes leads to “honor killings” of production and work. In an era of expanding of women and girls and increased use of date- rights and global influences, its concern with rape drugs has traditionally been discussed in ideology, domination, and consciousness is of terms of biology, customs, and atrocities. Like interest. One critical legal studies scholar said of many theories, feminist theory explains “why Habermas, “He seems to explain the feeling that things are the way they are, how they got that American corporate capitalism is burning up way and what needs to be done to change them” cultural meaning the way a Cadillac burns up (Ryan, 1992, p. 60). Growing out of a social gasoline” (Boyle, 1985, p. 23). movement, feminist theory remains critical and Critical theorists are aware of the loss of com- activist, seeking world betterment, and may be munity and the need for meaningful discourse the only theory in which those who developed about fundamental values. They see the need for it benefit so directly from the insights it provokes interrogation of knowledge and the received— (Tong, 1992). Yet, it shares much with other mul- all that comes to us as rules or givens (Swenson, tidisciplinary, contemporary theories because it 1998). Thus, rather than studying prejudice in an asks us to individual or group or legislative context, analysts may instead study the role of MTV, the mu- • relinquish conventional wisdom, thought cat- sic cable television show watched by young peo- egories, and dichotomies or binaries; ple; for example, what are the cumulative effects • interrogate traditional beliefs about roles, be- of pro-violence, homophobic, sexist lyrics of rap havior, socialization, work, conception; and musicians aired regularly? Or, analysts might • discern absences. examine manipulations underlying programming formats used by public television or by Univision and Telemundo. What does special- “Where are the women?” While Marxism en- ized television reveal about underlying patterns courages us to see the world from the perspec- of culture? In social work application, profes- tive of workers rather than bosses, feminism asks sionals can seek to unmask forces in the com- us to consider the vantage point of what tradi- munity that perpetuate inequity and injustice or tionally was the invisible half of humanity.5 For hate. These forces may be radio talk shows, rigid instance, “feminist scholars reveal how gen- bureaucracies, or abstract legal or religious doc- dered assumptions help to determine whose trines. Should we not challenge passivity? Here voices are privileged in ethnographic accounts” are some compelling facts: U.S. vital statistics re- (Naples, 2000, p. 196). Among others, Nancy veal that between 1990 and 1997, there were ap- Hartsock (1998) introduced the idea of stand- proximately 294,000 firearm deaths including point theory and feminist epistemology (ways of unintentional shootings, suicides and homicides knowing). Feminist theory suggests that we (Violence Policy Center, n.d.). Gun deaths are question formal knowledge and core assump- not natural and inevitable, and these statistics tions (Hyde, 1996; Kemp, 2001), since so much suggest that the National Association of Social emanates from male-dominated scholarship. Workers should vigorously oppose the National For decades, the woman-focused perspective Rifle Association. was considered more ideological than theoreti- In line with critical theory, it is vital to con- cal. Then, scholars began to realize how much sider more than the advocacy content as it could had been missing from their usual scope of in- be written or stated. A picture can be a power- quiry because women were seldom the objects ful way to communicate (Huff, 1998). In the in- of study, and their day-and-night experiences ternational aid field, a news photograph of a vul- were so often ignored (Smith, 1999). Many fields ture staring at a prone, starving, naked Sudanese have changed since addressing the question: child was used to generate money for refugee “And what about the women?” (Lengermann & services.4 At the most basic level, critical theory Niebrugge-Brantley, 1990). “The struggle THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 49 against misogyny and for equality led to a broad Tokyo creating lilliputian turbulence might con- array of social concerns: Social hierarchy, racism, tribute—in combination with other events—to a warfare, violence [sports, domestic violence, storm in New York (Grobman, 1999; Ward, pornography, and rape] and environmental de- 1995). This notion of amplifying effects is sug- struction were seen to be the effects of men’s psy- gested in the title of an article by Edward Lorenz: chological need for domination and the social or- “Can the flap of a butterfly’s wing stir a tornado ganization of patriarchy” (Abercrombie, Hill, & in Texas?” By curious coincidence, the “butter- Turner, 1994, pp. 162–163). fly ballots” in one Florida county helped deter- Insights about the role of gender have led so- mine the outcome of a presidential election in facial work to take a closer look at identity, dif- vor of a Texan (whose brother was governor of ference, domination, and oppression. Concepts Florida). from feminist theory also have furthered an in- The postmodern scientific mind views the terest in experiential knowledge, personal nar- universe as constituted of forces of “disorder, rative (telling your story), the actualities of peo- diversity, instability, and non-linearity” (Best, ple’s living, and bodily being (Harris, Bridger, 1991, p. 194). Unlike a linear analysis that might Sachs, & Tallichet, 1995; Tangenberg, 2000). diagram regularity, parts, and progressions, a Feminist theory is sometimes subsumed un- nonlinear analysis may sketch irregularity and der the heading of empowerment, justice, liber- what interferes, cooperates, or competes. De- ation, emancipation, and Queer theory. Such spite its name, chaos theory is not about total theory has the goal of recognition, an emphasis disorder because “even apparently random dison how categories shape the way we see the order may sometimes be patterned and to some world, insights regarding privilege, and an af- extent accessible to probabilistic prediction” firmation of resiliency. All of these features are (Mattaini, 1990, p. 238), especially in short-term common to new frameworks about race, ethnic- or nearby situations. Chaos theorists are in- ity, disability, and sexual orientation as well as trigued by how tiny changes in initial conditions gender (Weed & Shor, 1997). Academics have be- can have major consequences (Gleick, 1987). To gun to join activists in naming what contributes use the election example: ironically, if Gore (usu- to marginalization. Empowerment theories may ally the better debater) had accommodated motivate social workers to take a critical look at Bush’s fervent desire not to debate, Gore might processes of paternalism, silencing, and societal have won the election, because as it turned out denial (Lamb, 1991; Profit, 2000). In community the media excoriated Gore on his debate style. practice, we aspire to give voice in societal dis- Paradoxically, complexity theory also relates to course to previously silenced persons. the concept of self-organization or spontaneous emergence of order (Kauffman, 1995). Mattaini (1990) notes the relevance to social work: “This Chaos Theory theory offers promise for practice within a contextual perspective, while suggesting the need Chaos theory and systems theory, which for ongoing monitoring of results of intervention emerged from the physical sciences, both stress that may not be entirely predictable” (p. 237). interrelationships. Systems theory assumes or- Complex phenomena tend to be counterintu- der, integration, logic, whereas chaos or com- itive and to require information not yielded by plexity theory examines that which is less easily simple models. Forrester (1968) states that com- diagrammed. Newton’s mechanical, determined plex systems are counterintuitive in that “they universe is being replaced by one that is less pre- give indications that suggest corrective action dictable and more lifelike (Elsberg & Powers, which will often be ineffective or even adverse 1992). Social work practice involves many com- in results” (p. 9). Such ideas help us think about ponents, changeable conditions, and endless oc- cause and effect in a more analytical way, show currences. With its complexity of social envi- us how to acquire new understandings, and ronments, our profession can certainly relate to allow us to view chaos as a beneficial force a dynamic view of reality in which random (Bolland & Atherton, 1999; Warren, Franklin, & events and behavior can change the whole pic- Streeter, 1998; Wheatley, 2001). ture. For instance, the 2000 U.S. election made a There can be value in new science that renders mockery of academic models predicting who older views more complex. Think of cognitive would be elected president; the predictors view theorists such as Howard Gardner on intelli- the result as an outlier or random shock. Chaos gence; what if intelligence(s) were viewed more scientists say, hypothetically, that a butterfly in universally as multidimensional mental pro- 50 COMMUNITY PRACTICE cesses? Thus, for positive as well as negative rea- namely, the action field, helps the worker assess sons, in community practice we must face com- the scope of the project. Since the problem is plexity, “not keep it at a distance with a passing complex, the composition of the action field will nod of recognition” (Henderson & Thomas, also be complicated. Elements in the field will 1987, p. 8). also vary in their importance at different points in the intervention process. Some of the main components of an action field in this case might THE FIELD OF ACTION IN be the following: COMMUNITY PRACTICE

For direct service practitioners, practice in the 1. Adolescents (by no means a monolithic community will often start with understanding group) cultural and community influences on them- 2. Parents (also not a monolithic body) selves and their clients as mutual participants in 3. Groups and organizations serving adoles- the larger system (Pardeck, 1996). Practice inter- cents, such as high schools, recreation cen- ventions may then move to a social system fo- ters, clubs, informal cliques or friendship cus either to address and resolve system mal- networks, and so on functions (e.g., to replace a local school which 4. Public health and social service organiza- has become physically unsafe) or to create de- tions (nonprofit, for-profit, and governmen- velopment opportunities. To do that, we need tal), such as the health department and the theories that will help us to understand the be- organization you work for, the AIDS out- havior of individuals; the behavior of groups reach service of the health clinic, Planned and organizations; relationships of power and Parenthood, and the department of health exchange among individuals, groups, and orga- and mental hygiene of your state nizations; and individual and group ideologies (Silver, 1980). 5. Civic and community associations, such as A useful way of conceptualizing community PTAs, sororities and fraternities, neigh- practice, then, is as a series of interventions that borhood associations, and the Knights of take place in a field of action or exchange. The Columbus important components of the field include 6. Churches and religious organizations 7. Elected officials and governmental bodies • individuals, groups, and organizations or or- such as legislative finance committees ganizational subunits; 8. The media • the main elements that these members ex- 9. Ideologies of these individuals and groups, change, namely, resources and information; including the way they view AIDS and the and problem among adolescents, as well as their • influential aspects of the relationships among political, social, professional, and religious the members, namely, power balances and beliefs or philosophies rules of exchange, as well as individual and 10. Relationships of exchange and power differ- group ideologies, including values, beliefs, entials that may exist among the members of and feelings. the field, and the information and resources that the various members may control For our purposes, keep in mind that resources and information seldom exist apart from the in- Obviously, just knowing the potential compo- dividuals and organizations that control them. nents of the action field does not tell the worker See Box 2.1 for components of a real-life field of how to go about building an effective coalition. community action. The professional needs some theories about how Imagine a community practitioner trying to this community operates to decide what to do to address the problem of the spread of acquired accomplish the task. The worker also needs to immunodeficiency syndrome (AIDS) among know something about how the members of the adolescents in a particular community by build- field relate to each other and how they might re- ing a coalition that will mount an AIDS educa- act to the proposed project. As a bare beginning, tion project. What would this social worker need there are traditional models of practice with to consider in order to carry out this task effec- which the community social worker ought to be tively? Seeing the potential elements of the arena familiar. Such models try to put flesh on the in which the interventions will take place, bones of theories of justice (Nagel, 1999). THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 51

BOX 2.1 PHYSICIANS SHOULD . . . !

A SHIFT TO SYSTEMS THINKING: A SERIES dart from service stations on one side to the lane OF COMMUNITY INTERVENTIONS of traffic on the other. A local orthopedic surgeon, appalled by the carnage, first approached, Physicians are asked to assume many roles. then hounded, his local member of the provin- We counsel the troubled, heal the ill, deliver ba- cial parliament. He appeared before an Ontario bies, set broken bones and remove tumours. We legislature committee and pointed out the enor- also immunize, advise, diagnose and comfort. mous cost of hospital admissions, nursing care But we could do more. and all other aspects of caring for the accident We think physicians should assume another victims. His action led to construction of a bar- role, in which the community becomes our pa- rier that, more than anything else, has reduced tient. An apocryphal example will help support the traffic-accident toll in our area. our case. When cholera epidemics ravaged Lon- This surgeon’s skill in repairing broken limbs don in the mid-19th century doctors were pow- had been very important in treating the accident erless because they could offer no effective treat- victims but his role as community advocate was ment and did not know what had caused the more effective because he helped eliminate the outbreak. Dr. John Snow stepped in as commu- accidents. nity advocate. Rather than trying to treat indi- Another example, again from our community, vidual patients in his surgery, he sought out the illustrates that physicians can have an impact source of the epidemic. He determined that the outside their areas of specialization. A detoxifi- area’s water supply was the disease source and, cation centre for alcoholics was needed to sup- so the story goes, removed the handle on the plement existing services and one of our radiol- Broad Street pump. With its source eliminated, ogists took it on as his challenge. He chaired the the water-borne epidemic died out. planning committee, wrote grant requests and By taking community action, Snow had an went to the media—repeatedly. This physician impact much greater than he could have had by played an important role in seeing the centre remaining in his surgery and caring for patients completed successfully. The fact that radiologists one at a time. We suggest that Canadian physi- are seldom involved in treating alcoholism was cians could have a similar impact on important immaterial . . . health problems if they were to use their ex- There is a long list of areas in which doctors pertise and stature to act as community advo- can have an impact on community health. It in- cates . . . cludes family violence, industrial safety, drunk- Community advocacy can have an impact. In driving legislation, needle exchanges for drug the 1960s it was recognized that accidental poi- addicts, water safety, environmental issues, sonings in Ontario’s Essex County were an im- health education in schools and water fluorida- portant cause of illness and death in children. tion. In all these areas physicians’ specific Suggestions made to parents and creation of a knowledge, stature in the community and orga- poison-control centre did not reduce the num- nizational and communications skills can have ber of cases, so a local pediatrician decided it a major impact. However, doctors must be will- was time to take community action. ing to go into the community and participate In 1967, with the help of local pharmacists, with others working in these areas. They cannot the Essex County Medical Society launched a succeed by remaining in their offices . . . widely publicized campaign to promote the use Go to the community. Work with public of child-resistant containers. During the next 5 health officials. Approach the media. Enlist the years poisonings caused by prescription drugs help of a local service club in promoting a proj- fell by 86%. This intervention has since become ect. Above all, stand up and stand out. standard practice across the country. Source: From “Community Advocacy and the MD: Physicians Another example is found where we live. A Should Stand Up and Stand Out,” by B. A. P. Morris and D. major multilane highway was built north of Bar- Butler-Jones, 1991, Canadian Medical Association Journal, 144, p. 1316–1317. Copyright 1993 by the Canadian Med- rie, but no median barrier was provided and ical Association Journal. Used with permission. there were numerous collisions as cars tried to 52 COMMUNITY PRACTICE

TRADITIONAL MODELS OF Environment Program. The action organizer COMMUNITY ORGANIZATION might demand that mining companies be held accountable under state law for damage to wa- Classic Conceptual Scheme ter sources (Timberg, 2001). In such real cases, intervention modes may overlap, as we will dis- Like numerous formulations of community cuss after painting a fuller picture of each ap- practice and social change, organizing has been proach. No single approach to organizing is su- categorized in a variety of ways (Fisher, 1995; perior, as use depends on how the situation Mondros & Wilson, 1990). Respected social work unfolds and often all three are used to varying educator Marie Weil views models of social in- degrees on the same issue. tervention as holding an intermediate place between theory and practice skills, since they “embody theory and illustrate the actions that put Locality or Community Development theory into practice.” Weil (1996) goes on to say, “A conceptual model or framework is a way of Locality development seeks to pull together putting together concepts or ideas. It provides a diverse elements of an area by directing indi- design for how to think about or illustrate the vidual and organizational strengths toward im- structure and interworkings of related con- proving social and economic conditions. This is cepts—a structure, a design or a system. A con- an enabling style of organizing similar to those ceptual model is intended to illustrate the oper- of Volunteers in Service to America (VISTA), ation of a theoretical approach, and to build or Americorps, and the Peace Corps. Rothman demonstrate knowledge. . . . Conceptual models (1987) turns to pioneer Arthur Dunham for of community practice illustrate the diverse ways development themes—”democratic procedures, that community practice is conceived” (pp. 1–2). voluntary cooperation, self-help, development Most social workers are familiar with Jack of indigenous leadership, and educational ob- Rothman’s highly referenced conceptual model jectives” (p. 5)—still relevant today. Urban of community practice. In 1968, Rothman de- parks—that draw together solitary individuals vised a three-pronged model, a community prac- both during development and afterwards—are tice framework that social work students everyone of many community projects that fall under where have studied ever since. As mentioned in this rubric.6 New voices should be heard. Diffi- Chapter 1, the prongs are locality development, cult people also must be heard and involved. The social planning, and social action. In Rothman’s locality developer role calls for self-discipline, (1996) own words, his three approaches include suggests Rothman (2000): “The role is compli- the following: cated and in some respects runs against certain human propensities, calling on practitioners to 1. the community-building emphasis of locality stay in the background and neutralize their con- development, with its attention to community tribution; to give credit to local participants competency and social integration rather than to themselves; to maintain positive working relationships with opponents and vex- 2. the data-based problem-solving orientation of atious elements in the community; and to refrain social planning/social policy, with its reliance from proposing solutions, even when practi- on expertise tioners possess requisite knowledge, so that so- 3. the advocacy thrust of social action, with its lutions will emerge from local residents them- commitment to fundamental change and so- selves” (p. 103). cial justice (p. 71) Despite its challenges, locality development has never gone out of fashion as an approach to The Rothman model is easy to apply in real community practice. life. For example, remote Peapatch in Virginia coal country needs public water, because mines It is a cool breezy spring evening and the have destroyed its wells. The locality developer gardeners have on sweaters to do their plant- might recruit Peapatch residents to supervise the ing. As they dig, they exchange a few words daily work and recruit volunteer laborers to run about the benefits of daylight saving time. a water line up the mountain to service the Only a dozen individuals had plots in the lot 50 homes. The social planner might identify before it was cleaned up. Now thirty families appropriate funding resources, such as Com- are involved, and Jorge, who keeps records on munity Development Block Grants and the Ap- which family has signed up for which plot, is palachian Regional Commission, and develop- triumphant. The public garden area is be- ment resources such as the Small Towns THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 53

Social Action tween a Latino neighborhood and an African- American one. Organized groups from each Activists on the right and left have used tac- area fought hard with city officials to use this tics associated with this model. The social action formerly idle land. It was their first joint proj- approach can involve either radical, fundamen- ect. Since then, Lou, the area’s paid organizer, tal change goals or reformist, incremental goals. and the activists have been discussing other Fundamental change has been embraced by locality development projects—elementary Green Peace, the American Indian Movement, school involvement and better fire protection. AIDS Coalition To Unleash Power (ACT UP), Students for a Democratic Society (SDS), Democratic Socialists of America (Rothman, Social Planning 1996, p. 91), and the Ruckus Society (http:// ruckus.org/), which trains antiglobalization Planning looks objectively at past, present, protest participants. (For an overview, see and future scenarios, using available data or col- Fisher, 1995.) Social action confronts—in differ- lecting new data, to consolidate and meet ser- ent degrees and with a variety of tactics—hier- vice and civic needs and to address social con- archical power relationships within a commu- ditions efficiently and systematically. This is a nity in order to benefit powerless people, task-oriented style of organizing, similar to those socially vulnerable populations, or others that of the United Way and housing authorities, that feel locked out of decision processes. This ad- requires mastering bureaucratic complexity. The versarial style is used by citizen coalitions behind-the-scenes planner handles information throughout the world. Just as U.S. farmers have technology, writes position or option papers, brought their tractors to Washington to disrupt provides technical expertise, and works to fill traffic, tens of thousands of pullers in India have service gaps. The part of planning that seems used their rickshaws to physically block gov- more like organizing involves public participa- ernment centers. In July 2002, unarmed women tion in decision making and human service took over four Chevron Texaco facilities in Nige- plans. To ensure the involvement of a cross sec- ria to protest poverty, costing the company $2.9 tion of the population, the advocate planner million daily (for additional examples of citizen should hold meetings and hearings and secure action in Africa, see All Africa Global Media’s representatives from different sectors. Thus, the informative web site at http://allAfrica.com). out-front planner plays the roles of community The aim can be to make basic changes in major liaison, facilitator, outreach worker, interpreter institutions or community practices (Rothman, of regulations and policies, translator between 1987, p. 6) or in the policies of formal organiza- groups with different knowledge bases, and con- tions (p. 18) or to redistribute power, resources, sciousness raiser for groups not initially inter- and decision making. There will be resistance, ested in the needs of the target population. since social action involves a struggle for power. A critical mass is a long-term necessity; broad participation can launch initial changes. A huge fan blows the technical papers around the table. The agency lawyer mutters about proceeding without a consensus, but Madison—the organizer—wants the citizen- On the day that the bus drivers pleaded advisors to the planning board to make the with their bosses for relief, the action group decision. Tasha, a single mother, shifts in her knew that victory was near. It started when a chair, feeling that she ought to get home for teenage waitress was robbed and a develop- the sitter; she has decided to demand that mentally challenged man was beaten two days child care be provided in the future. Twenty later; both incidents took place in dark bus tired but determined heads bend over the re- stops where there were no streetlights. Bus ports again. Everyone has been reading and riders became uneasy and unhappy, grum- rereading the regulations, trying to figure out bling that since only working people rode an angle that would give citizens more rights buses at night, no higher-up would do any- than the corporations. Then Kenny yells, “I thing. An organizer overheard and amassed a figured it out!” and has their instant attention. group to write the bus company and the Ba reopens his notebook ready to take notes mayor, demanding installation of lights. To and Nuit rushes back to the laptop. “We’re gain publicity, the group decided to carry un- ready, go ahead,” smiles Madison. wieldy items on the buses—filling up space 54 COMMUNITY PRACTICE

The project’s primary goal was to raise aware- and disrupting the routine. Following media ness of the dangers of heroin (“junk”), yet it soon coverage about the two victims and the goal, became a forum in which youths could discuss ever more riders arrived with lamps, bunches issues of alienation and stigmatization in main- of balloons, huge baskets, or suitcases. stream society. The project continues to work out of the Bunker, and shelter workers act as guides Composites who can provide advice when needed. Punk, Not Junk has become very popular among street youth and gained some media attention (Kara- As Rothman recognized, in actual organiza- banow, 1999, p. 323).7 tions and ongoing projects the three organizing approaches often get combined in various forms. Cheryl Hyde (1996) has put forward pertinent Related Community Intervention Model organizational examples of single modes (such as when the staff of the Institute for Women’s Based on assessment, Rothman wanted com- Policy Research intervenes as planners) and munity practitioners to fit their mode of action to combined modes (such as when the staff of the the situation at hand. According to Ann Jeffries State Commissions on the Status of Women com- (1996) from the United Kingdom, “Rothman’s bine planning with action; Hyde, p. 133). In ac- identification of three models of community or- tual practice, clinical and community work over- ganization practice has permeated the commu- lap, case management and advocacy overlap, so nity work literature on both sides of the Atlantic” naturally the three organizing modes can as (p. 102). Reworking Rothman, Jeffries proposes a well. For instance, in Montreal, an organization four-square model of community practice. To called Dans la Rue (On the Street) creatively com- oversimplify, Jeffries’s approach renames Roth- bined locality development with social action. Ini- man’s first two modes and divides social action tially, street kids were asked what they needed into “nonviolent direct action” and “coalition from a mobile van designed to serve them in building and campaigns” (see Figure 2.1). their territory, and eventually a shelter was cre- Jeffries (1996) renames locality development ated that the street kids staffed and named the capacity and awareness promotion because she be- Bunker. Such locality development service proj- lieves “the ability is there, it just needs to be ects led to advocacy and then to “the organiza- given a chance to blossom” (p. 115). This ap- tion of a demonstration against the increased proach or mode of organizing starts with the per- number of police harassment and brutality cases sonal concerns of neighborhood residents and reported” by homeless residents of the city. moves on to “developing or giving scope for and Another project funded by the Bunker—and recognition to the skills, or capacities of com- initiated by four street youths—was Punk, Not munity groups” (p. 114). Community workers in Junk. This initiative included sensitizing the this mode may call upon their own “interper- public as to the punk culture and demystifying sonal, educational and group work skills” (p. views of this subculture as consisting totally of 115). She renames social planning partnership individuals who are drug addicted and racist. promotion because, rather than facilitating service

Figure 2.1 Models of community organizing. THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 55 delivery, the current emphasis is on collabora- whatever are the pressing issues of concern and tive planning with the community “to enable the to do so in a way that promotes the chances of community to act for itself” (p. 114). Ultimately, both long-term and fundamental improvements there could be “community management of ser- in the community’s quality of and approach to vices or community economic development” (p. communal life, building a more just and em- 114) through this mode of organizing. In the powering society and thus contributing to the third approach, having developed confidence feminist vision of a transformed society” (p. 105). and conviction—often from capacity and awareness promotion activities—community members can be ready to “get the attention of those in au- A NOTE ON THE USES AND LIMITATIONS OF thority . . . and an unsympathetic power struc- THEORIES AND MODELS ture” (p. 116) using the nonviolent direct action mode of organizing. Community workers in this This chapter has featured an array of theories mode will strive to “coalesce interests into action and models of which community practitioners groups” (p. 115). Such change-oriented protest should be aware. We leave the reader with sev- work, often local or legislative in nature, can be eral cautions. Some caveats are in order regard- contrasted with social campaigns: ing social science, theories, and models. Firstly, ideology is inherent in the social sciences and Clearly social campaigns have long been a key in their resultant theories and constructions of feature not only of single issue organizing but reality (Coates, 1992; Robbins, Chatterjee, & also of radical, change-oriented social move- Canda, 1999). Theories are developed not only ments. While the former often have a more spe- from our observations of nature but also from the cific objective and may align themselves with paradigms used to guide the observations. Para- organizational elites, the latter are more com- digms and their ways of finding out about nature, prehensive in scope. They may be seeking so- according to Kuhn (1970), not only have strong cial justice or be promoting an ecological con- value and ideological components; they are ide- sciousness in society. . . . These days campaign ology. Paradigms organize and order our per- organizers can take advantage of information ceptions of nature according to their rules. Some technology to build country-wide and inter- of the theories and models are descriptive; others national campaign coalitions. Yet to generate are prescriptive. Some of the theories simply the mass mobilization that may be necessary to describe certain aspects of nature, of human be- take on multi-nationals or an unsympathetic havior and interaction. Other theories and mod- government, it is important also to have strong els prescribe what should be and what should community level organization. (Jeffries, 1996, be done by the social workers. The models are p. 117) not empirical reality. Community practitioners should take care not to reify the models—not to Thus, Jeffries formulates four up-to-date, rel- make the models reality (McKee, 2003). Rather, evant, and serviceable characterizations of orga- they should use the models to guide, construct, nizing. We suggest an example for each mode and understand the complexities of reality. (our examples are in brackets): Our view and construction of reality strongly • Capacity and awareness promotion [tribal reflect symbolic interactionism. Blumer (1969), a gaming as economic development] leading symbolic interactionist theorist, held that symbolic interactionism “does not regard mean- • Partnership promotion [local anticrime efforts] ing as emanating from the intrinsic makeup of • Nonviolent direct action [confronting U.S. the thing that has meaning, nor does it see mean- Food and Drug Administration officials re- ing as arising through a coalescence of psycho- garding AIDS medications] logical elements in the person. Instead, it sees • Social campaigns [preventing oil drilling in meaning as arising in the process of interaction Alaska] between people. . . . Thus, symbolic interactionism sees meaning as social products, as creations In summary, theories and models guide com- that are formed in and through the defining ac- munity practitioners. However, abstractions tivities of people as they interact” (pp. 4–5). alone are insufficient. As stated earlier, in social Wexler Vigilante (1993) elaborates on the rel- work practice, such frameworks are melded evance of symbolic interactionism or construc- with the political and the ideological. In fact, Jef- tionism in social work practice. She asks us to fries (1996) herself says she is ultimately less in- “assume that systematic data gathering cannot terested in differentiation between ideal types accurately reflect the complexities of human and more interested in “ways to engage with functioning. The . . . strategy consists of the client 56 COMMUNITY PRACTICE and worker successfully framing and reframing practitioner is ever to understand the client’s be- the client’s story until coherent and shared havior. The client’s constructions and meanings meanings are achieved” (p. 184). of reality, and hence the client’s world and op- Symbolic interactionism’s emphasis, similar to portunities, can be improved with changes in the that of assessment in practice, is on meaning. client’s social interactions. A community prac- People tend to define, construct, and give mean- tice task is to help the client establish new coming to their world partly as a result of their in- munity interactions and hence to construct new teractions with others, as we discuss more fully realities with new meanings (Pozatek, 1994). in Chapter 3. A practitioner needs to understand Theory gives us a start on grasping what is hap- the meaning of the interactions and the social en- pening around and within us, and practice mod- vironment to the client, the client’s system, and els stimulate our imagination so we can make an the other systems of the change process if the effective beginning.

Discussion Exercises

1. “The law, in its majestic equality, forbids the keep their jobs under the new management), rich as well as the poor to sleep under bridges, to recognize their hard work. to beg in the streets, and to steal bread” (Ana- What motivates people? Do motivation the- tole France, Le Lys Rouge, 1894, p. 89). Read ories suggest that motivations can be shaped? the preceding quote. Analyze and explain the What can community practitioners glean from statement from each theoretical perspective. theory to understand, encourage, or stop any of Do conclusions differ? the above actions? 2. Right out of our communities: Divide into two teams. Pick two theories from the chapter. Then debate whether the 7-year- • A group of affluent high school athletes takes old’s efforts are useless; that is, by collecting the a neighbor girl with an IQ of 64 into a base- suitcases for children in foster care, was the ment to sexually abuse her. 7-year-old just treating the symptoms? Just mak- • A city council—citing tradition—refuses to ing the haves feel better? Or is a need for dig- move their town to higher ground, even with nity met by this act, so that the effort should be federal help. So once a decade the low-lying appreciated? section, where poorer residents live, floods and the rest of the community pitches in to 3. Look at Box 2.1, the article about doctors and clean up. their communities. What three components were in their action field? What system mal- Society often discusses complex motives in functions did the advocates address and re- actual situations like those above. But aren’t the solve? What development opportunity was cre- following positive stories, pulled from newspa- ated by one doctor’s action? pers, equally relevant to social work? 4. What is the difference between feminist theory • A political dissident gives up his career and and feminism, in your view? Why does a con- easy life because of his democratic principles servative such as Rush Limbaugh focus on Fem- but, after years, emerges from disgrace as a inazis? powerful national leader. 5. Do you know a professional whose work in- • A teenager forgoes the offer of a car and involves locality development, social planning, stead gives the money to a cause. or social action? How does that person’s work • A 7-year-old collects 1,000 suitcases for fos- differ from Jack Rothman’s models? ter children, so they no longer have to carry 6. Does your fieldwork involve any interventions their belongings around in garbage bags. described by Jeffries (capacity & awareness • A student spends three years in high school promotion, partnership promotion, nonviolent creating a course (for credit) in peace stud- direct action, social campaigns)? ies. 7. Analyze antiglobalization street protests, first in • A man sells his business and shares $130 mil- theoretical terms and then as models of orga- lion of the proceeds with his employees (who nizing. THEORY-BASED, MODEL-BASED COMMUNITY PRACTICE 57

Notes

1. As a macrolevel example, consider bargaining 5. In Western countries, women were invisible and game theory from economics and mathemat- even though they outnumbered men. Worldwide, ics; see A Beautiful Mind (Nasar, 2001). Amartya Sen (winner of the Nobel Prize in economics) calculates that as many as 60 to 100 mil- 2. Joseph Davis (2002) argues that the new promi- lion females are “missing” due to infanticide, sex- nence of narrative (see Chapter 14, this volume), selective abortions, and nutritional and medical in at least nine academic disciplines, relates to re- neglect based on gender. Such factors contribute newed emphasis on “human agency and its effi- to “excess mortality and artificially lower survival cacy” (Davis, 2002, p. 3). He goes on to note that rates” for women in countries such as China and earlier social movement theorists seemed stuck on India (Sen, 1999, pp. 104–107). “structural and interest-oriented explanations, to the near exclusion of ideational factors” (p. 4). 6. Locality developers who emphasize commu- 3. In Kuper and Kuper (1999), see especially the nity building assume a common good that people chapters on “Ecology” (by R. F. Ellen) and “Envi- of many backgrounds working together can real- ronmental Economics” (by D. W. Pearce). ize (see Project for Public Spaces, Inc., 1997). 4. The photo also won a Pulitzer Prize. Notwith- standing its impact, critical analysts questioned 7. A philosophical interview with a punk rock ac- why the photographer waited for the perfect pic- tivist from Washington, D.C., named Mark An- ture before scaring away the bird to protect the derson, whose work also combines service and child (Kleinman & Kleinman, 1997). Within this social action with youth, appears in Powers framework, the critic will be critiqued, too. (1994).

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The approaches to solving social problems can be summed up as services, advocacy and organizing. This view omits the question, “What are we trying to build?”

M. MILLER (2002, P. 36)

In a 1988 case involving the beating death of an Asian American gay man, a Broward County [Florida] circuit judge jokingly asked the prosecuting attorney, “That’s a crime now, to beat up a homosexual?” The prosecutor answered, “Yes, sir. And it’s also a crime to kill them.” The judge replied, “Times have really changed.”

N. HENTOFF (AS CITED IN JENNESS, 1995, P. 148)

CONCEPTUALIZING A A Viewpoint on Problems and SOCIAL–COMMUNITY PROBLEM Their Resolution

The problem-solving process was covered in Communities define which of many social our first chapter (also see Hardina, 2002). Here problems they will make their own, just as we explore how situations become problems. nations do. This chapter will contribute to the Besides the external aspects of laws and social social worker’s understanding of problems— norms captured in the epigraph from Hentoff, facilitating more appropriate interventions— we want to rivet the reader’s attention on inter- and will suggest applications that can lead to nal perspectives that can help us be part of the mutual construction of problems and solutions solution. Defining and addressing social prob- and to coalition building. What determines lems entails more than doing; it involves think- whose definition prevails? Does power or pas- ing, values, and discernment about culture and sion play a part? From whose standpoint is a related concepts. Diversity is explored in every problem raised and whose worldview is ac- sense of the word as we present numerous ex- cepted (Lopez, 1994)? Are there service conse- amples of challenges that social workers must quences (underutilization, inappropriate inter- meet. ventions) to being oblivious to another group’s 61 62 COMMUNITY PRACTICE culture or reality? Are new possibilities con- fordable housing” (Murase, 1995, p. 157). An ex- ceivable? Can problem solving be used to unite perienced worker might feel perfectly confident a community? We will explore such questions about proceeding. However, if the community is and rethink the conventional wisdom regarding Japanese American and the worker is not, more the nature of social problems, focusing on information might be needed. The same problems can take different forms within a commu- Definition—how problems are conceptual- nity and between communities due to cultural ized; variations (Greenberg, Schneider, & Singh, 1998). Meaning—how problems are experienced; Human service workers, according to Gins- and berg (1994, pp. 45–47), typically contend with Action—how problems are kept in check or these problems: economic disadvantage, physi- solved. cal illness, mental illness, crime and delin- quency, maltreatment, lack of services to special This requires exploring many-sided and fluctu- populations, and lack of resources for programs. ating realities. Although reality is not fixed, try- For now, let us view social problems as widespread, ing to overcome problems is no quixotic exer- intense worries that collectively demand leadership, cise, for there are ways to frame problems and societal attention, and intervention. Ginsberg says interventions (Chapin, 1995; Mildred, 2003). The it is “the shared belief that the problem repre- crucial thing is for community members to be- sents a serious threat to a community or the come part of the process. larger society which provides people with the will to do something about it” (p. 41). (See Box Introduction to a Complex Phenomenon 3.1.)

A clinician ordinarily sees but one aspect of DISTINCTIONS RELEVANT TO OUR PROFESSION individuals who are surrounded and sustained A skeptic might ask why social workers need by a community of immense complexity. It is as to learn any more about problems since, after all, if the professional stands before the open top they work with problem families every day. It is half of a Dutch door, conversing without seeing clear that our profession assists hard-pressed the operations of the household or even a single families and lunges to catch society’s throwaway whole person. The same is doubly true of our citizens. It is less clear whether the problem is view of a social problem, many dimensions of these individuals, or those who toss them aside. which are veiled. Unemployment and underemployment in an era Aspiring to see the whole view of a community of global corporate relocation illustrate this com- condition, Vissing and Diament (1995) set out to plexity. Did blue-collar workers fail to acquire learn how many homeless teens lived in the sea- information-age skills, did management focus coast area of New Hampshire and Maine. Social too much on immediate profits instead of ac- service providers kept telling them that “teen quiring productive computer-controlled plant homelessness simply was not a problem in machinery, or will corporations always gravitate their communities” (p. 287). However, the 3,000 to cheap labor? How will the problem be de- teenagers they surveyed conveyed a different fined? Organizer and policy advocate Makani story. Part of the difference in perception hinged Themba (1999) challenges us to think about on definitions, but Vissing and Diament decided problems in new ways: that “adolescents are likely to be invisible. . . . Living with friends, floating from place to place, Who are you holding responsible for social prob- there is no one person to identify teens who ‘live lems in this country? A strange question per- independently’” (p. 289). Thus, unveiling dimen- haps, but each time we choose an action to ad- sions of community problems requires mental dress a problem, we also assign responsibility to agility. some group for solving that problem. . . . Youth Understanding how specific clients and prob- violence? Focusing on gun policy or movie vio- lems inhabit their social context contributes lence puts the onus on one set of players and in- to problem clarification. We may or may not stitutions, advocating for mentoring or ‘scared already be familiar with the problems, those straight’ problems targets another. (p. 13) linked with them, or the setting. Suppose a worker is told that a community has problems “related to family breakdown, drug and alcohol REACHING OUR OWN UNDERSTANDINGS abuse, long-term health care, services for the el- When people say to social workers, “Here’s a derly, equal opportunity in employment, and af- social problem—fix it,” we cannot take either THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 63

BOX 3.1 WHEN DOES A CONDITION BECOME A PROBLEM?

Some Middletown residents saw a brook in their sembling atomic weapons. Even those who were town turn red. Some workers saw their skin turn told that classified secret were not told about the yellow. Others became fatigued and developed dangers of radiation. Workers handled radio- the “Line One Shuffle.” Between 1947 and active substances with their bare hands and 1975, thousands upon thousands of people in breathed deadly fumes and powders. The U.S. this southeast Iowa town worked at the local mu- Department of Energy is now funding the Uni- nitions plant. Now, public health officials and versity of Iowa to contact everyone who might university professors are attempting to locate have been exposed to the bomb assembly line former assembly line workers, guards, techni- (Line One) processes. Public health officials are cians, maintenance workers, and even laundry interviewing workers and holding educational personnel. outreach events.

Source: Excerpts from “Trouble in Middletown,” 2001, April, VEILED DIMENSIONS OF THE Iowa Alumni Magazine, p. 37. SOCIAL CONDITION

A deadly secret was kept through the end of the Cold War. Middletown workers had been as-

their judgment or their command at face value. correct, given the combined power of industry, For many reasons, we must not “accept the prob- military, and government arrayed against them, lem definitions of others” (Glugoski, Reisch, & but who in the community or the university Rivera, 1994, p. 84). We must establish our own un- shouted out that there was a problem? derstandings and agendas—and do so with those af- The many conceptions of problems outlined in fected.1 From this perspective, one human service this section reveal that a problem may be pro- role is to be aware of how affected individuals moted on the basis of self-interest or blame. can help frame social problems. Thus, we dis- While lay people believe they know a problem cover a hidden challenge in social work: how to when they see it, social workers need to take a avoid being pressured or dominated by others larger view. We do not want to disempower by who would define problems for us. The better adding to the chorus of those telling our clients, able we are to follow the amorphous nature of “You are the problem!” As Rose (1990) says problem development, the more we can influ- poignantly: “Believing in the ‘promises’ while ence the process for professional ends. We need being constricted by the realities . . . countless to have as much input as possible; one person’s people experience themselves as failures, as stu- judgment cannot be automatically preferred, be- pid or inadequate” (p. 42). cause it is limited in perspective and knowledge. To be relevant and consumer-centered (Tower, SUBTLE FORMS OF BLAMING THE VICTIM 1994) regarding social problems requires flexi- When people unfairly attribute responsibility bility. As Castex (1993) says, “An awareness of to individuals who have suffered harm, this pe- the occasional arbitrariness of one’s assumptions jorative practice is called blaming the victim should lead to an openness about altering those (Ryan, 1992). This concept is cited when rapists assumptions in new situations or when more in- use the victim’s manner of dress as an excuse or formation is supplied” (p. 687). when people with human immunodeficiency Similarly, when everyone says a problem is virus are blamed for acquiring their disease or impossible to solve, we cannot take that assess- when small investors get taken in the stock mar- ment at face value either. It is incumbent on us ket. From a blamer’s viewpoint, children who ate to know ways to break logjams, work around lead paint and became ill and their parents, who constraints, and further the interests of commu- “obviously” did not exercise proper “surveil- nity members. To return to Box 3.1, the Iowa fac- lance,” become the problem, as opposed to man- tory employees may not have believed that their ufacturers, landlords, and housing inspectors. work conditions could be changed—even if they Ryan contends that while environmental causes faced them head on—and they may have been are now accepted as major factors, interventions 64 COMMUNITY PRACTICE are directed to individuals. Think about that. History Allows Us to See Problem Patterns Moreover, blaming the victim is “the most characteristic response to contemporary social prob- PERCEPTIONS OF PROBLEMS AND SOLUTIONS lems on the part of most citizens, many public A historical perspective involving youth can leaders, and some social scientists” (Lowry, heighten the perception of what was or is viewed 1974, p. 32). Social workers and liberals fall into as a problem (H. Miller, 2000). Conduct and cir- the same trap according to Ryan (also see Kozol, cumstances addressed as social problems in ser- 1995). mons and editorials 100 years ago are still dis- Some in society, says Ryan (1992), simply discussed but not regarded in the same way today. miss victims, even in the face of “unalleviated These include unregulated spare time, mastur- distress,” while “kind humanitarians” place bation, truancy, and pilfering from vacant build- blame on the environment, not on individual ings (Elkin & Handel, 1978; Kett, 1977). Today, character (p. 367). Yet Ryan reproaches the along with concerns about body piercing and tat- “kind” people who want to be compassionate toos, the public worries about problems involv- while (unconsciously) leaving their self or class ing (a) “innocent” youth, such as victims of kid- interests unchallenged—“charitable persons” napping and child pornography; (b) “troubled” whose mission is to compensate or change soci- youth, such as those living on the streets or tak- ety’s victims rather than change society: “They ing and selling illegal drugs; and (c) “out-of- turn their attention to the victim in his post- control” youth, such as children who kill chil- victimized state. . . . They explain what’s wrong dren (Ginsberg, 1994, p. 48). with the victim in terms of . . . experiences that It is easy to assume that our era has found the have left wounds. . . . And they take the cure of truth and to forget that what is deemed a social these wounds . . . as the first order of business. rather than a personal problem continues to be fluid They want to make the victims less vulnerable, (see Box 3.2). Infertility, frailty, and menopause send them back into battle with better weapons, are recent problem constructions (Greil, 1991; thicker armor, a higher level of morale” (p. 372). Jones, 1994; Kaufman, 1994; Taylor, 1992; Ryan is thinking of survival battles. Mental Theisen & Mansfield, 1993). health practitioners focus on psychoanalytic Proposed solutions or timetables may capture explanations and solutions, he suggests, rather our imagination, only to disappoint us later or than facing with numerous clients “the pounding make us scoff. Alcohol prohibition—the result of day-to-day stresses of life on the bottom rungs a century of lobbying—was disappointing as a that drive so many to drink, dope, and madness” policy solution. Current controversial solutions (1992, p. 373). Parsons, Hernandez, and Jorgen- include (a) facilitated communication with autis- sen (1988) add that “society is more willing tic children, (b) recovered memory therapy, and for social workers to work with these victims (c) the death penalty for teenagers. Homeless- than with other components of social problems” ness was thought to have quick solutions, but (p. 418). Such insights are reason enough to ques- like other problems treated initially as acute tion our assumptions about problem formula- rather than chronic and as urgent rather than tion and resolution. routine, it has remained for decades, leaving

BOX 3.2 CHANGING PERCEPTIONS OF SOCIAL PROBLEMS

Spector (1989) captures the historical vagaries of vote by the American Psychiatric Association in social problems: “People who drink alcohol to December 1973” (p. 779). excess were thought to be sinners by the tem- Similarly, Gordon (1994) puts the drug prob- perance movement . . . regarded as criminals by lem in historic perspective, revealing how often the prohibition movement . . . and as diseased it was promoted as a problem in the twentieth addicts by the medical establishment after 1940. century and in what forms, and showing today’s Homosexuality used to be both a crime and a resurrection of the “dangerous classes” con- mental disorder [before] the decriminalization struction (p. 225). movement and a particularly dramatic official THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 65 emergency service providers in bad straits (Lip- the family history. Thus, what one child’s life is sky & Smith, 1989). (Today, “housing first” is a worth in actuarial terms can differ between fam- preferred solution for chronic homelessness, that ilies by millions of dollars. As Elkin and Handel is, permanent housing—even single room occu- (1978) say, “Newborns begin their social life by pancy housing with supports—is seen as prefer- acquiring the status their families have” (p. 119). able to shelters.) Similarly, food banks and other This is not raised as a problem in polls, by hunger relief programs diverted us from policy schools, by planners, by presidential candidates. solutions (Poppendieck, 1998). However, a crisis brought to the surface doubts about this “nonproblematic” stance in a sup- Perceptions of Nonproblems and posedly egalitarian society. In 2001, when peo- Nonperceptions of Problems ple in several government buildings were exposed to anthrax, lower profile postal workers were tested long after higher profile workers and In an earlier period, parents and the public elected officials on Capitol Hill, and several were affronted and outraged by boys and men postal employees died. Income, class, and status who wore their hair long. This nonproblem was issues also were in plain view as the government treated as evidence of social disintegration. Less determined a compensation formula for Sep- susceptible to notice, but fascinating, is what has tember 11th victims. In an article entitled “Who not been labeled a social problem. For instance, Counts?” a writer for the National Journal raises discrimination based on age has rarely been class and favoritism issues as problems: identified as a problem for those in the younger age brackets, except when the voting age was The terrorists didn’t choose their victims based lowered. Similarly, prejudice based on personal on income, marital status, number of children, unattractiveness or size differences and societal sexual orientation, place of birth, or state of res- advantages flowing from beauty are considered idence. But to the consternation of many Amer- natural. It is telling that the following statement icans, the sums that victims’ loved ones could comes not from a newspaper or a textbook but expect from the federal fund varied widely from a science fiction story: “For decades peo- depending on these factors and others. . . . ple’ve been willing to talk about racism and sex- Strikingly similar grumbling was heard in the ism, but they’re still reluctant to talk about look- aftermath of the nation’s first true bio-terror at- ism. Yet this prejudice against unattractive tack—the spread of anthrax through the mail. people is incredibly pervasive. People do it with- (Kosterlitz, 2002) out even being taught by anyone, which is bad enough, but instead of combating this tendency, Ideology and receptivity affect our concep- modern society actively reinforces it” (Chiang, tions of problems. In Tallman’s (1976) astute 2002, p. 282). words, “An essential element in the problem- Or consider aid to dependent families, com- solving process is the ability or willingness to pared with aid for dependent corporations recognize that a problem exists. . . . People will (Ralph Nader’s term). That some low-income differ in both the kinds of situations they view families receive long-term welfare is defined as as problems and the number of situations they a problem. That wealthy families benefit from are willing to consider to be problems” (p. 151). foundation tax breaks or corporate welfare is not defined as a problem (Donahue, 1994). SITUATIONS NOT NOTICED OR NOT ACTED ON Hurtful situations exist that fail to be per- PRACTICES NOT CONSIDERED PROBLEMATIC ceived by those who could intervene, including In a democracy (as opposed to a country with the social service system. Over 700 residents of a rigid class system), we think of all children as Chicago died between July 14th and 20th, 1995, having an even start. Yet children are automat- in a heat wave. It was equally disturbing that ini- ically of the same class as their parents, and the tially the bodies of approximately 170 victims U.S. school experience solidifies that position went unclaimed by families who did not even in much the same way that English schools do realize they were missing (Klinenberg, 2002). (Apted, 1998). If a child is killed through negli- Isolated, poor individuals—living without fans gence in an accident and an insurance claim or or air conditioning—kept their windows and court case is being settled, lost future earnings doors closed because everyone had defined will be projected—was this child headed for street crime as a problem but had defined extreme Harvard Medical School or jail?—and linked to heat and extreme isolation as conditions. Netting, 66 COMMUNITY PRACTICE

Kettner, and McMurtry (1993) help us see this thinking of problems as being revealed by ob- by defining a condition as a phenomenon pres- jective indicators and other measurement de- ent in the community “that has not been for- vices, we have been seeing how difficult it is to mally identified or publicly labeled as a prob- rely on facts when there are issues of theory ver- lem” and a social problem as a recognized sus fact and lack of shared definitions. Sociolo- condition that has been “incorporated into a gists increasingly account for such complexity in community’s or organization’s agenda for ac- their analyses. For example, Rubington and tion” (p. 204). Why is one group’s pain noticed Weinberg (1995) discuss various ways, such as rather than another’s (Hodges, 1999)? For exam- labeling and critical analysis, of looking at social ple, USA Today ran a lead story about the tribu- problems (p. 357). lations of college students and graduates with personal debt. One student enhanced her life LABELING style by racking up $20,000 on 14 credit cards Since a single personal behavior or social phe- (Dugas, 2001, pp. A1–A2). However, newspa- nomenon can be called many positive and neg- pers seldom describe hardships caused to young ative things, those who study labeling or an people in impoverished countries by the crush- interactionist approach are intrigued by the dying societal debt. namics of how the naming occurs or prevails, how it Problem creation results from human action changes across time, and how attention and reaction (Tallman, 1976, p. 5). The action involves activ- create a problem. (See S. Cohen, 1980; Hardcastle, ity to promote a problem and a response to ad- 1978; and F. B. Mills, 1996, for case studies.) dress the problem. Kaminer (1992) provides a Changes in labels are common enough to be stark example when she contrasts two very dif- mocked in musical theater. For example, the ferent groups. She points out that Cambodian song “Gee, Officer Krupke” from West Side Story refugees “who survived torture, starvation, mul- suggests how members of youth gangs have tiple rapes, and internment in concentration been characterized by various helping profes- camps and witnessed the slaughter of their fam- sionals (Bernstein & Sondheim, 1957). ilies” do not use terms like survivors and trauma Labeling can be amusing but usually has seri- loosely and do not “testify” to the distress of ous implications. Effects of being labeled “men- their childhoods, as do those who are caught up tally ill” or a “hyperactive child” can be studied. in “victimization”2 (pp. 81, 84). Cultural values Think what it would be like to say that your about silence and resilience characterize this im- child’s track in school was the “socially advan- migrant group. In contrast, articulate and im- taged” track rather than the “honors” track. Con- passioned promotion of recovery and self-help sider the difference between being labeled a high characterize the second group, a diffuse, nation- school “dropout” and “a dissatisfied prepara- wide network of proselytizers and sincere par- tory school customer.” There are societal as well ticipants. The persons who acted to promote a as personal consequences. As historian Kather- problem contributed to this outcome: being a ine Castles (2002) maintains, “It is unlikely that child of an alcoholic and many forms of co- the large sums of money spent on special ser- dependency have become defined and publi- vices for disabled students would be available if cized as national problems, while the needs of those students were identified as merely poor” Cambodian and other refugees remain a condi- (p. 10). Public labels such as “sex offender” and tion. (The outcome also was influenced by the “ex-con” are conceptualizations that can create fact that millions are involved in self-help pro- or sustain a problem. Trice and Roman note that grams.) Being a metaphorically wounded child someone entering prison is put through elabo- has made it onto the media agenda as a problem rate procedures of negative labeling but, on re- along with physical abuse. These are now de- lease, “no process delabels or relabels him” (in fined problems; as part of the response, pro- Lowry, 1974, p. 128) in a positive way. Social grams are being designed and money is being workers specializing in addictions or working in spent to address them. institutions are in a position to ritualize an individual’s “reentry into conventional society.” Sociological Ways to Study Problems CRITICAL PERSPECTIVE A social problem is a construct, just as goodness, A critical approach requires us to step back, ex- defense mechanisms, service-worthy, and the deserv- amine presumptions, and figure out who benefits ing poor are constructs (Griffin, 2002; Loseke, from maintaining a particular problem (unem- 1999; Marvasti, 2002). While we are used to ployment, vagrancy, conspiracy). For instance, re- THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 67 spected sociologist Herbert Gans (1973) has writ- why they are problematic, and (d) the potential ten cogently about functions of poverty that help for social intervention. Think of a fact such as this explain poverty’s persistence. The focus of attention one: Alcohol-related traffic accidents kill some- in this approach is on the entire social system, in par- one every half hour. That is the phenomenon. ticular on the ruling class. It encompasses activist inclinations toward exposing domination and pro- Framing a Social/Community Problem moting emancipation (Rubington & Weinberg, 1995, Chapter 7). Domination reveals itself in its Circumstances often require us to look at a labels. To wit, a Salvadoran complains about the phenomenon in an immediate, rational way. way indigenous culture is devalued and denied: This, in turn, requires a framework that can be “They call our art . . . handicraft; our language . . . used with many situations—pediatric AIDS, use dialect; our religion . . . superstition, and our cul- of marijuana, homicide, illiteracy. The frame- ture . . . tradition” (Gabriel, 1994, p. 5). work we utilize here (Hardcastle, 1992) has six A critical approach asks us to examine societal con- elements: tradictions. A contradiction in a program or club aimed at socialization skills would be to call the 1. Definitions of normative behavior program users “members” but then to divide the lunchroom, lounge, and bathrooms into separate 2. Ideology and value configurations involved member and staff facilities—reserving the 3. Views of social causation preferable rooms for staff (the opposite of other 4. Scope kinds of clubs). A critical approach to problems 5. Social cost requires development of “critical consciousness” (Reeser & Leighninger, 1990, p. 73). Many ad- 6. Proposed mode of remediation herents of this perspective emphasize political activism and the need for social change (Rub- This framework is suited to social work anal- ington & Weinberg, 1995, pp. 234–235). ysis because of the profession’s strong normative and ideological emphasis, although as an

RELEVANCE FOR PRACTITIONERS analytic vehicle the framework strives for ideo- Since social workers often engage in multidis- logical neutrality by making ideology explicitly ciplinary work, in team practice, and within a a component. It assists us in understanding how host agency, they must be alert to theoretical per- others have come to their conceptualization, spectives about problems held by other profes- how we can come to our own, and how we can sions. Just as the medical model shapes what position ourselves to address problems. should be done, a problem perspective may un- Before discussing each element, an explanation dergird the workings of a program with which of normative and deviant behavior may be helpful. social workers are associated. However, that Behavior and circumstances may be regarded as perspective may not be respectful of clients or desirable, acceptable, and normal within a group community residents. or a community. Then they are normative. How- ever, a situation may be defined as a deviation from the norms of a community, a nation, or an- DEFINING AND FRAMING A other entity. Thus, hunger, homelessness, and SOCIAL–COMMUNITY PROBLEM mental illness are deviations from community standards. Some standards are manifest; for ex- Before confronting community problems, it is ample, regulations are codified norms, while oth- important to understand in what ways social ers are insinuated. Our great-grandparents were workers can define and intercede with problems. openly religious in their speech, letters, and di- We seek analysis tools that can make clear the aries. In today’s secular society, similar behavior nature of a problem and its potential relation- may be considered deviant by the less religious ships to its environment and solutions. Such (touting one’s atheism is also not acceptable). To knowledge and understanding will inform our understand why a situation is or can be labeled practice interventions. as deviant, the analyst needs to search for the The elements of social problems can be pulled meaning of a particular deviance to certain com- together into a conceptual framework, the pur- munity segments. People have their own out- pose of which is to organize phenomena in a looks on how things should be. manner that allows the analyst to determine (a) In the following section, we look at the com- if the phenomena or conditions are problematic position of social problems. We describe six ele- and, if so, (b) to whom they are problematic, (c) ments of problem analysis and action. A condi- 68 COMMUNITY PRACTICE tion must be subjected to a problem definition Social causation does not mean that problems process by defining groups to be classified as a are exclusively social; they may have strong bi- problem by an observer. ological elements. Drought is a function of nature, but emergency supplies are social. NORMATIVE AND DEVIANT For a condition to be labeled a problem, it SCOPE must represent to the defining group an impor- Scope relates to the condition’s social nature tant deviation from an actual or ideal standard in terms of the number and proportion of the or norm. The norm can be statistical and the de- community affected by the condition. It is re- viation quantitative, such as poverty based on flected in incidence and prevalence. Generally deviations from standard of living indexes or the condition has to affect more than one per- poverty lines. The norm also can be a model/ son. It represents costs to significant portions of guideline and the deviation qualitative—for ex- the population. These costs, such as restricted ample, quality of life standards such as income choice, are more than one-time costs. If a child security or respect. If the group plans to take on falls into a hole or well and is rescued by a huge an issue and set the stage for successful inter- collective effort, that is not a social problem. vention, the task is to capture the broad range of Thus, the number of persons affected beyond a standards. The community is not homogeneous social worker’s individual client or caseload will in its normative conceptions, but the group can be relevant. However, if too many are affected, figure out what is basically shared, that is, where it can be overwhelming, so the defining group cooperation or at least toleration is possible. The should not overstate the deviation’s scope. defining group can anticipate rival depictions. SOCIAL COST IDEOLOGY AND VALUE CONFIGURATIONS Social cost relates to the assumption that the Ideology means an internally consistent set of condition, if left unattended, has economic, per- values and integrated system of beliefs that form sonal, interpersonal, psychic, physical, or cul- a unit and shape the definer’s perceptions. It sug- tural costs. It may be a real cost, an implied cost, gests the ideals that determine how the world or an opportunity cost, the cost compared to should be constructed (e.g., the United States what it would be if the conditions were suc- wants everyone to adopt the work ethic). The cessfully remediated. There is no assumption term goes beyond limited, formal political be- that the cost is perceived or carried equally by liefs captured by labels like conservative, liberal, all members of society. An analytical task is to or right to encompass the holder’s sense of com- determine (a) who bears the cost, (b) the per- munity, community standards and acceptable ceived cost, and (c) the perception of its distri- behavior, belonging, and reciprocal obligations. bution. Defining social costs often propels parts Ideology is not necessarily controversial, at least of society toward intervention or remediation. within the community where it arises and is ar- The definitions of social costs also may be a func- ticulated. Values range from permissive to puni- tion of affordability. Conditions are defined as tive on such issues as casual drinking, drug use, problematic as the interventions become afford- and sex. Whether a deviance is a problem or able. Examples are relative deprivation (the rais- is significant depends on perception, which is ing or lowering of the poverty line as the wealth rooted in ideology. Women’s control over their of the society increases or decreases) and men- bodies and whether the fetus has human rights tal health (expansion of the definition of mental are familiar examples. When perceptions are illness as technological gains and society’s abil- widely held and promoted strongly enough by ity to treat, alter, or address the conditions the defining party, the problem becomes pub- expand). licly defined. REMEDIATION SOCIAL CAUSATION For intervention to be considered, there must The public attributes most problems to social be a defining party that can turn a condition into factors. This attribution of cause relates to the a problem, and a belief that the condition is al- definer’s perception that the condition is not to- terable and remediable. If there is no belief, there tally the result of physical or biological forces but will be no search for possible remediation. The also has social roots. It may represent a conflict levers of change or those who can affect change between the physical or technological and the cannot be totally out of range for the commu- social, or between social elements within society. nity. A means of remediation does not have to THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 69 be known; only the belief that remediation is overt controversy and conflict between groups possible must be present. If a condition is be- over the issues articulated by those seeking lieved to be unalterable or in the natural order change, and (3) an attempt, by at least one of the of things, the condition may be defined as non- opposing sides in the conflict, to mobilize sup- problematic or as something that must be en- port from broader segments of the population” dured, perhaps with some attention to reducing (p. 204). Think of animal rights. suffering. One example is how the poor are As we move toward resolution of a problem, viewed under the philosophy of Social Darwin- we can consider the group empowerment frame- ism. Combined beliefs about cause and remedi- work. It comes out of collective social problem ation are important in many social work situa- solving, a participatory process. Barnes and tions. The initial remedial plan can be official or Fairbanks (1997) have explored problem-based unofficial and commonly will be changed as in- learning and Paulo Freire’s problem-posing terest groups react to it. model (see our Chapter 14). They suggest that common people are more likely to take part Discussion of the Interventive when social endeavors reflect these points: Problem Framework • Relevant issues and problems drive participation. If we notice that 30 of our clients share a similar condition or circumstance, could this be the • Participants are learners and teachers. start of a problem? Considerations will include • Participants identify and solve problems. our view and others’ views of its tractability and • Participants learn better through self-discov- whether circumstances (supportive media, pub- ery. lic approbation, etc.) appear favorable for resolution (Mazmanian & Sabatier, p. 191). We are • There is a continual cycle of reflection and not advocating developing a formula for taking action. immediate action on a perceived problem but • Community transformation is by people, not rather a means of determining what to do based for them. (Barnes & Fairbanks, pp. 58–59) on a better understanding of what needs fixing and why. Thus, if we intend to stage a problem, GETTING A SOCIAL–COMMUNITY we figure out the factors that allow us to be most PROBLEM ADDRESSED effective as interveners. We need to know the problem’s scope and the community’s costs if the In this section, we continue to discuss condi- condition remains, compared with those if it is tions and problems from a social construction remediated. This approach thrusts the analyst perspective. toward the specification of outcomes without assuming that all of society will benefit equally Stages, Players, and Techniques from any specific outcome or alternative social of Construction state. It does not assume that everyone perceives the problem similarly or envisions the same so- Once a defining group has pinpointed a trou- lution. However, a careful use of the framework bling condition, it must get itself in a position to should enable us to determine to some degree, be taken seriously in making a demand. We call a priori, to whom certain outcomes will be ben- this community organizing (see Chapter 14, this eficial and to whom they will be problematic. volume). When the group works instead to position the condition so that it will be considered a Other Models problem and to create an environment in which anyone would be viewed as having a right to Other frameworks exist for identifying condi- make a claim because the condition is so intol- tions, distinguishing problems, and moving to- erable, we call that claims making. Claims mak- ward resolution. Two human service books (Ket- ing is not equivalent to coalition building, where tner, Moroney, & Martin, 1990; Netting, Kettner, many groups find common ground; it is a com- & McMurtry, 1998), for example, walk readers petitive process that tends to favor problems through similar processes. Tallman (1976), on with pathetic victims and groups with clout. the other hand, asserts that “in all social prob- Claims-making activities can be grassroots ef- lems” there are three essential and observable el- forts where we can affect matters. Input is pos- ements: “(1) a demand for social change based sible since we are dealing with activities of defin- on moral interpretations of social conditions, (2) ing and demanding. 70 COMMUNITY PRACTICE

THE STAGES AND THE CLAIMS PROCESS 3. Ongoing conflicts between advocates and the How does a problem evolve? Spector and Kits- relevant federal agencies use help us examine the claims process and how 4. Renewed advocacy at the community and citizens and advocates can make claims. They state level stress “unfolding lines of activity” (1987, p. 158) and see the life of a social issue commonly going through four stages of development and res- PLAYERS AND STATES OF RESOLUTION olution. To them, government responses are key Who and what potentially contribute to recog- in determining whether social problems become nition of a problem? Gladwell (2002) has popu- part of society’s agenda. larized the idea that there are three kinds of ex- ceptional people who contribute to what he calls • The critical first stage occurs when a public social and word-of-mouth epidemics or the claim is made that a problem exists and should spread of “ideas and products and messages and be addressed (at this point, no formal or rec- behaviors” (p. 7). He calls them “mavens” (in- ognized group may even exist) with an ensu- formation collectors), “connectors,” and “sales- ing debate. men.” A targeted push by such people can con- • A second stage of getting government engaged tribute to problem resolution. Blumer (1971) says will follow if (a) the issue has become public, that types of action (e.g., agitation and violence) (b) the claimant has exercised power effec- may be factors. He also notes significant types tively, and (c) the claimant has used the vari- of players: interest groups, political figures, the ous channels of recourse (such as the govern- media, and powerful organizations that may ment and the media) well. This is the stage in want to “shut off” or “elevate” a problem or both which policymakers (who believe they, too, (p. 302). Thus, many groups contribute to prob- have discovered the problem) respond to the lem definition: those suffering from a condition, claimant and offer official recognition (if the challenging groups, social movement partici- designated agency decides to own the pro- pants, policymakers, and journalists. Helping gram). professions can be important participants in the process (Spector, 1985, p. 780). Blumer puts pro- • A third stage of renewed claims may follow in fessionals like social workers with others—such which the original conditions, problems, and as journalists, the clergy, college presidents, civic activities for change reemerge. By now, these groups, and legislators—who have access to “the may be less of a focus for the claimant than assembly places of officialdom.” We can legitimate the perceived blocked or ineffective avenues of re- a problem or a proposed solution through “are- course, discourse, dialogue, and procedural reso- nas of public discussion” (Blumer, 1971, p. 303). lution that had seemingly opened in Stage 2. In what is essentially a political process, gov- (For further detail, see Spector & Kitsuse, ernments “respond to claims that define condi- 1987, pp 142–155.) tions as social problems by funding research on • Finally, a last stage of return to the community solutions to problems, establishing commissions may happen when claimants back away from of inquiry, passing new laws, and creating en- government agencies, disillusioned with their forcement and treatment bureaucracies” (Spec- responses, and develop alternative solutions. tor, 1985, p. 780). In the case of resident mal- The problem might die during or after any of treatment by some nursing homes, for example, these stages. in the discovery stage a Nader report was published that included firsthand accounts by peo- Brief examples. Noting the high rate of suicide ple who had worked undercover in several by the elderly is the first stage of recognition as facilities. The federal government began moni- a problem. Although documented by organiza- toring nursing homes more closely, funded re- tions, scholars, and even the media (USA Today, ports from the Institute of Medicine, passed the the New York Times), elder suicide has not caught Nursing Home Quality Reform Act, and created on as teenage suicide did (Mercer, 1989; Osgood, the Administration on Aging’s Long Term Care 1992). In contrast, nursing home reform followed Ombudsman Program. (Simultaneously, the the full course. Applying the stages to concerns nursing home industry has fought hard to keep about quality care, the development followed reform regulations from going into effect.) As this path: one aspect of the response stage, more social workers have been hired by facilities to upgrade 1. Abuse documentation quality.3 2. Formation of resident and consumer organi- Concurrent with drawing attention to a con- zations and government response units dition, claims makers must interpret it. They THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 71 must shape public understanding of an emerging social problem, convince the public of its In the morning mail of January 8, 1962, legitimacy, and suggest solutions based on the the Supreme Court of the United States new consensus and understanding (Best, 1989, received a large envelope from Clarence pp. xix–xx). This definitional process is often Earl Gideon, prisoner No. 003826, Florida conflictual, as different definitions and the solu- State Prison. . . . [His documents] were tions that flow from them compete for public fa- written in pencil. They were done in vor and scarce resources (Blumer, 1971). The carefully formed printing, like a systems for ameliorating a problem and estab- schoolboy’s, on lined sheets. lishing control that result from successful stag- Source: From Gideon’s Trumpet (p. 3), by ing of a problem have been studied less than the Anthony Lewis, 1966. initial framing of problems. Two cases follow, in which the aftermath has been documented.

Extended Examples of matter became a public matter because of “a cri- Claims-Making Processes sis in institutional arrangements” (C. W. Mills, 1959, p. 9). We deliberately emphasize classic over cur- In the first phase of claims making, prisoners rent situations (gay marriage), so the reader can from many states had petitioned for years to concentrate on process rather than content. Ex- get redress for their perceived injustice. In the perience suggests that substantive details can second phase, for various internal reasons, the distract from seeing how a circumstance becomes Supreme Court was ready to consider change a social problem. It will be productive to focus and therefore accepted Gideon’s petition and here on problems as activities. upheld his claim, which, crucially, had been buttressed by supportive briefs filed by state offi- THE RIGHTS OF THE ACCUSED cials. Claims-making analysis helps us see the A criminal justice example will serve as an important role of the Supreme Court in accept- illustration of simple, straightforward claims ing Gideon’s case, providing him, as a pauper, making. Clarence Gideon made a claim that in- with top-notch lawyers at that level of the legal justice was happening and society had a prob- system, legitimizing the claims of injustice put lem it should remedy immediately by paying forward by a convicted felon, and setting the for lawyers for the indigent in all criminal cases. stage for conclusions involving new programs at Gideon was a small-town, middle-aged man the state level. Power plays a role in the defini- who had served time. He was unjustly accused tion of problems, but so do well-positioned pro- of a pool hall robbery in Florida but could not fessionals, including social workers. So can the afford a lawyer and had to defend himself. He tenacity of one individual. asked for a lawyer, was denied one, lost his case, and was sent to jail for 5 years. He immediately PROTECTION OF THE INNOCENT appealed, though unsuccessfully, to the Florida In our second example, the dramatization of Supreme Court, wrote the U.S. Supreme Court missing and endangered children provides a com- about the right to counsel, and started a legal plex illustration of the claims-making process. revolution that ended with a new system of pub- This represents another aspect of the crime and lic defenders in our country. Gideon himself was punishment saga, for it is about those who are acquitted at his second trial with the help of a or fear being victims of major crimes. The pub- local lawyer. He was an average guy who de- lic career of this problem started with a number cided to make a constitutional claim and, in of sensational murders, peaked with milk carton standing up for himself, called attention to a na- and grocery store sacks printed with pictures of tional social problem—the lack of legal repre- missing children, and continues with the “Have sentation in noncapital cases. Until then, only You Seen Us?” cards sent in the mail with the poor people facing a death sentence were pro- 800 number for the National Center for Missing vided with lawyers. Gideon’s story illustrates and Exploited Children. The designation missing the sociological distinction between troubles and children combined into one broad conceptualiza- issues. Far more than Gideon’s character and tion what had been three different problems— criminal troubles were at stake; values and is- children kidnapped or abducted by strangers, sues of fairness at a societal level were at stake children kidnapped or snatched by one parent, because Gideon was one of thousands of poor and runaway children who were missing but people failed by the legal structure. A private sometimes returned (Best, 1987, p. 104). When 72 COMMUNITY PRACTICE they were lumped together, the total number of That some priests were exploiting children children involved was higher. The commonly and teenagers was known to the church hier- cited incidence figure for missing children be- archy 25 years before the pedophiliac behav- came 1.8 million cases per year (inexact esti- ior and its cloaking became headline news. mate), which got attention and led to public Church officials convinced many parents and hearings but misled almost everyone into think- children to treat the egregious situation as a ing that most of these children were abducted nonproblem. The transition from condition to by strangers—by far the least prevalent circum- social problem took place only after large stance (Best, 1987, pp. 106–107; Best, 2001, p. numbers of victims were documented and 128).4 In actuality, approximately 100 abductions hidden atrocity tales were revealed through by strangers are investigated per year. By the legal suits and investigative journalism. The time the advocacy campaign had lost public in- claims-making process involved an “innocent terest and some credibility, new organizations children” justification for the problem re- and television shows were attending to the prob- ceiving attention and remediation. Getting a lem. Many individuals were involved, but more problem in the public eye does not require to the point, many advocacy groups and social a consensus about causation. The sexual abuse service organizations were part of the identifi- and institutional cover-up have been attrib- cation, formulation, and promotion of this prob- uted to many factors, for example, the lem. Parents and child advocates sought to get church’s policy of celibacy and its arrogance stolen children returned and to bring flaws in toward laypeople. systems to the attention of policymakers and the On a positive note, the Catholic Church is public. A useful Web site for further information actively opposing wife abuse and the practice on policy concerns is maintained by the National of using Bible passages to justify it. Thousands Center for Missing and Exploited Children at if not millions more church members are af- http://www.missingkids.com. fected by this condition; will they deem it a To highlight aspects of the claims-making problem and stage any action? process, Best draws on the field of rhetoric (also see Baumann, 1989). This approach helps us see the techniques employed to get this problem on THE POLITICS OF CLAIMING the agenda, such as repeated use of horrific sto- Social action experts Robert Fisher and Eric ries (atrocity tales and case histories), exagger- Shragge (2000), drawing on John Friedmann, ated use of statistics, and frightening parents urge social workers who work with community into having their children fingerprinted. To organizations to engage in strenuous claims stage the problem and buttress its need for at- making, not just about social problems such as tention, advocates staked out the claim that no sexual abuse but about the larger workings family was exempt, as this problem was not tied of society. Social workers should, Fisher and to size of locale, income level, or race: “By ar- Shragge argue, make claims for the need for the guing that anyone might be affected by a prob- government to engage in wealth redistribution: lem, a claims maker can make everyone in the “Claims making needs a broader strategy, which audience feel that they have a vested interest in understands the fundamental importance of the problem’s solution” (Best, 1987, p. 108). Ra- raising social policy, and wider political de- tionales or justifications for focusing attention mands which critique the dominant political on this problem were used: the victims were economy. In an era of neoliberalism, the domi- “priceless” and “blameless” (in contrast, say, to nant social agenda of a relative free market with drug abusers); even runaways were portrayed a diminished role for the state in the social and as abuse victims who fled, only to face ex- economic field cannot be accepted as inevitable. ploitation on the streets (Best, 1987, pp. 110, It has to be challenged” (p. 13). 114). The objectives were to force more sharing and coordination of information between states and between the FBI—which handles kidnap- Techniques Used in Claims Making ping cases—and local police, as well as to cut down on the waiting time before children were The above descriptions of claims-making pro- declared missing so that the official search cesses in legal aid and child protection illustrate could begin sooner. Preventing the murder and ways to make potent arguments and shape per- kidnapping of children is still deemed the high- ceptions, as we social workers have done and est priority (Amber alerts and Megan laws) but will continue to do as part of our mission. We one a bit more in perspective today. want to master convincing techniques as de- THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 73 scribed below, but from the outset we should re- problem, evidence that society is being too ma- member that individual workers are not flying terialistic, or a woman’s problem. Regarding solo when they make claims; they have the pres- typification through examples, we are all aware tige of our field and the combined helping pro- of the power of the typical case as it is used in fessions to draw on. politics—from the family unable to pay its med- Examples and case histories or stories, used so ef- ical bills “because of” legislation opposed by the fectively with missing children, are employed Republicans, to the rapist who has been paroled with charitable fund-raising (e.g., Jerry Lewis’s “because of” laws sponsored by the Democrats. kids) and other problems. Sexual harassment be- Social workers can operate with integrity and came identified with Anita Hill after she testi- still provide examples that will withstand fied on Capitol Hill in the Clarence Thomas scrutiny and reveal why a problem such as racial Supreme Court nomination hearings. Since a and ethnic profiling (Gates, 1995; Meeks, 2000) 21-year-old college student from Wyoming is important. We can aid those who have not was murdered because he was gay, the name had a problem themselves to experience it vic- Mathew Shepherd is becoming linked with pub- ariously through a telling example, so they can lic opposition to bigotry. His death has sparked see the impact of profiling (or whatever) on peo- drives for antihate legislation and became the ple’s lives. Typification tells society about the na- subject of a play called The Laramie Project. In ture of a problem and implies the advocacy that shaping perceptions, “welfare advocates focus would be needed to address it. Regarding the on the deserving poor, their opponents speak of typification of the problem in Box 3.3, the per- welfare Cadillacs,” and both sides find this a son featured in the example (a best-selling au- convenient “shorthand for describing and typi- thor and professor of religion at a prestigious fying complex social conditions” (Best, 1987, p. university) cannot be discounted, and the ob- 114). The most effective stories are those that ring jected-to behavior is given the orientation, or true to the majority of the population. spin, of being antidemocratic and unlawful, a vi- To typify is to exemplify. George W. Bush uses olation of core societal values. Most of those for- the word evil to denote many foes. “Typification tunate enough to obtain taxicabs instead of West occurs when claims makers characterize a prob- are not even conscious of their “white privilege.” lem’s nature” (Best, 1989, p. xx; see also Ken- nelly, 1999). Among the forms used are provid- PROBABILITIES AND PRECONDITIONS ing an orientation or an example. Typification Why do some conditions become problems through orientation is a device used to position and not others? Is there a formula? Gladwell the problem. To illustrate orienting, or steering, (2002) discusses the rise and fall of social prob- think about an organization that wishes to char- lems in terms of a “tipping point” (p. 9). If prob- acterize a problem such as kleptomania or pros- lem creation results from an organized human titution. The organization could characterize it response, then we should be interested in the in- as (pick one) deviance, a crime, a self-esteem ducements for and indicators of that action. In

BOX 3.3 AN EXAMPLE REGARDING PERSPECTIVE

Cornel West has allowed plenty of time to make fear not of West in his suit but of his destina- an important appointment, but he must catch a tion. To the refused passenger, the unfairness cab and none will stop for him in downtown goes deeper than the fact that the drivers—what- New York City. West, a theology professor at ever their race—are violating their own regula- Princeton, is dressed in a suit and tie. He is on tions. The experience negates democracy, the the way to have his picture taken for the book “basic humanness and Americanness of each of cover of what will become his best-seller, us,” as West (1994) puts it (p. 8), and causes named, appropriately, Race Matters. However, achievement stories to seem like a mockery. To the taxis drivers do not know any of this and West, the increasing nihilism of minority groups drive by West to pick up white passengers, only results not from doctrine but from lived experi- yards beyond him, instead. Ten cabs refuse him. ence (pp. xv, 22). West becomes angrier and angrier. The observer would see this as an example of discrimination. Taxi drivers would highlight their 74 COMMUNITY PRACTICE collective action and social movements, terms Agenda such as critical mass are used. Gitlin (1991) speaks of “critical social thought, oppositional energy,” We need to know about short- and long-term and “a vision of social change.” Goldberg (1991) media effects, how to use the media to advance talks about an “energizing event” (p. 14). Net- an agenda regarding individual and social prob- ting et al. (1993) think that “a condition becomes lems, and how to counter the way the media re- a problem when it receives enough attention that inforce destructive individual and societal ten- it can no longer be ignored by community lead- dencies. An obvious case is the massive and ers, or when one or more leaders declare a con- extended attention that the media focus on vio- dition unacceptable and decide that something lent people (school and workplace shootings, must be done” (p. 210). Is there a threshold that bombings). A century-long debate has raged must be met or a trigger that puts a condition over media’s role in creating some social prob- over the top? Must a critical mass experience the lems (e.g., effects of television violence) and me- problem or get involved in promoting a solu- dia’s potential to resolve others (e.g., documen- tion? Netting et al. argue against a threshold no- tation of police violence or the promotion of safe tion because they see no precision “in terms of sexual practices or birth control). Today we be- time of appearance, size, or severity” (p. 210). lieve the media’s reality-shaping capacity and (They still believe that such factors, along with their ability to set or stall an agenda give them urgency and duration, should be analyzed.) a great deal of influence.5 The number of those having a condition is not One role played by the media is to introduce sufficient because those affected may not act and us to a parade of problems until we are saturated. because other factors may be involved—per- Humorist Art Buchwald once compared this pro- ceived costs and who bears them. For example, cess to the Miss America pageant; instead of Miss numerous people have sarcoidosis, a disease Georgia, Miss South Dakota, and so on, each year that does not spread and threaten public health brings us such contestants as Miss English-Only, and that is more common in African Americans, Miss Pollution, and Miss Global Warming, all a less influential group in medical circles. Con- competing for attention until one is crowned. We sequently little research money is spent on this have a multiyear hit parade of social problem fa- somewhat mysterious, incurable—albeit rarely vorites: “Here she comes,” Miss Hunger in Amer- fatal—condition. Intensity of effects, or the suffer- ica. (“There she goes” is the accompanying ver- ing, of many individuals, is also not a criterion; ity.) This hypothetical competition comes to life, lupus and arthritis are not treated as problems. in a political context, when first ladies select the Even the death of many individuals annually winning problems, such as drug addiction, illiter- may be treated as just a condition. We can con- acy, or lack of health care; or spouses of vice- trast the relative lack of action regarding the presidents back winning solutions, such as emer- safety of space heaters, despite many deaths, gency preparedness and mental health coverage. with decisive action on lawn darts, on the basis Lucky the problem that wins the contest or re- of two deaths, due to the efforts of the deter- ceives a sponsor! mined father of a child who died. We can identify the process of organizing a response, factors (as in the missing-children example), and tech- Accountability niques, but there is no one precipitant. On a serious note, although media coverage THE MEDIA AND SOCIAL PROBLEMS can be superficial or deplorable, some investigations are exemplary, such as Time magazine’s People interpret the information they receive extended photo spreads on subjects social work- on the basis of their own experience. Thanks to ers care about: gun deaths and deaths in foster the expanding media role in our society, more care. We should look for ways to take advantage and more people get their “experience” from the of such media-borne public attention to our is- media picture of the world. We are what we sues, so we can turn that attention into action watch—which is just as true for the Arab public or public campaigns. It is also imperative for us as the U.S. public (El-Nawawy & Iskandar, to pay attention when the finger of blame is 2002)—especially since people are often too busy pointed at our field, documenting, say, the fail- to have developed their own understanding of ings of the foster care system. Since we want cit- an event or a condition and have no other com- izens to take ownership of community problems, peting picture. our own credibility will be higher if our profes- THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 75 sion takes ownership of human misery in our countable on energy policy. People pass along bailiwick (Bernstein, 2001; Klinenberg, 2002; something fun; so, after publication, the clever Roche, 2000). piece began circulating on the Internet. By now, News coverage often lets powerful responsi- the source reference to BusinessWeek magazine ble parties off the hook. Iyengar (1996) puts it has long since disappeared, and it seems to be this way, “By obscuring the connections between the original idea of individuals who post it. What political problems and the actions or inactions of is the logical fallacy in comparing gasoline to political leaders, television news trivializes po- bottled water or mouthwash? litical discourse and weakens the accountability Journalists also need to be held accountable. of elected officials” (p. 59). As activists long have argued, profit-driven me- Aileen O’Carroll (2001) analyzed television dia owners and arrogant media personalities sit- coverage of a Group of Eight (G-8) meeting and ting astride emerging news stories play a role in its attendant protest. She detected the following the disaffection of people from public life. Now, assumptions by television professionals: some journalists agree. The public journalism movement hopes to prod cynical or fractious Assumption 1. Members of the ruling class journalists and citizens to solve social problems. are peaceful. The protestors are violent. Proponents of public journalism believe that di- Assumption 2. It is shocking when journal- alogue about solutions is impossible so long as ists are attacked by the police, because not caring reigns in journalism, and everyone they are innocent; by implication, all pro- else is drowning in information overload (Mer- testors, if not guilty, then at least are sus- ritt, 1995, pp. 262–264). A number of media out- pect. lets are experimenting with new approaches Assumption 3. It is the right of the G-8 pow- (Rosen, 1996). One newspaper ran a series on ers to meet; the protestors have no right to projects underway to improve the city. Instead be there. of focusing on the awfulness of the problems, Assumption 4. The protests aren’t political. journalists focused on the awesomeness of the Real politics is conducted by the world efforts being put forth by community-based or- leaders only (excerpts from pp 1–6) ganizations. For once, none of the published quotes were from government officials; they Popular magazines also shape problems for us were all from townspeople. Social workers and as do various tidbits served up on the Internet. other problem solvers may want to be part of The following clever piece ran in BusinessWeek such reforms. Online (July 23, 2001). It suggests how we can We can ask community outlets to assist with reframe situations to provide a new perspective. community education. For instance, the media can help assimilate newcomers to the country, The List: Think Gas is Expensive? and even Native Americans who were here first, To put the price in perspective, remember by teaching the public how to pronounce their these fluid numbers the next time you’re at the names. Basic respect is lacking when radio or pump: television personalities make fun of a name that Snapple (16 oz., $1.29) is unfamiliar or has many syllables. Price per gallon: $10.32 Evian water (9 oz., $1.49) Price per gallon: $21.19 WORLDVIEWS AND SOCIAL PROBLEMS Scope (8.6 oz., $3.19) Price per gallon: $47.48 Multiple Realities Pepto-Bismol (4 oz., $3.85) Price per gallon: $123.20 Many of us know the non-Western world pri- Liquid Paper (0.6 oz., $1.99) marily from photographs in National Geographic. Price per gallon: $424.53 (p. 3, para 2) Yet that publication’s pictures have “rarely cried out for change” (Lutz & Collins, 1993, p. 280). This brief but effective piece probably pleased Our mental pictures of social problems in other both gas and oil executives and environmental- lands are shaped and incomplete, and we have ists, who want high prices for different reasons, little sense of how non-Westerners who move to while displeasing those concerned about low-in- North America have lived or how they think. We come people and those seeking to hold Vice Pres- must come to know intimately others’ world- ident Cheney—with his corporate ties—ac- views to be relevant in interventions and to es- 76 COMMUNITY PRACTICE

BOX 3.4 SEPARATE SOCIAL REALITIES

The following scene was recorded, by Erik “Are you an Arab?” Baard, a Village Voice reporter, at 9:50 p.m. on “No, I’m a Gypsy.” September 11, 2001, when it seemed possible “You’re an Arab.” that crowds would turn on neighbors and store “No, I’m a Gypsy.” owners as news spread of who had crashed the “No you’re not, you’re an Arab.” passenger planes into the World Trade Towers. “I am a gypsy. Next person?”

In one of three Arab-run delis in Queens- boro Plaza, a Latino boy of maybe 10 years The only Gypsy on Queens Plaza is a palm enjoyed grilling the nervous thirtyish man be- reader upstairs from the fishmongers [sic] and hind the counter at the Plaza Deli and Gro- check cashers [sic]. The workers at the three cery. The gap-toothed boy glowed the way a delis studding Queensboro Plaza South are child does when he finds he’s got one over largely Yemeni. But one man already knew to on an adult, watching the grownup sputter hide, from even a child. (Baard, 2001, paras. silly denials, like denying a bad toupee. 4–11)

tablish a (partial) shared reality. We should enough to the client’s manner of speaking so as strive to broaden our take on situations until we to be part of a shared discourse” (Pozatek, 1994, can include the viewpoints of constituencies p. 399). This entails avoiding professional jargon. with whom we work and communicate and un- As Wells (1993) points out regarding emergency derstand what they face. Events have very dif- rooms, “Choice of words is an important con- ferent meanings for our varied citizenry, some sideration when dealing with a patient’s family. of whom experience foreigner discrimination Excessive use of medical terminology [such as and post–September 11 suspicion (see Box 3.4). intubation] may escalate anxiety” (p. 339). It’s equally important to listen carefully and verify DIRECT PRACTICE AND REALITY CONCEPTIONS that key ideas are not misunderstood. During Our field emphasizes the potential for shared crises and commonplace activities, there are nu- 4 meaning with clients and community members merous and distinct realities. No one can be in (Lum, 2003; Saari, 1991; Stringer, 1999), but some the know about all of them. To illustrate, sub- differences go deep. To be effective practition- stitute social services for Medialand in the boxed ers, we must become attuned to systems of anecdote about gang members (next page). meaning. For example, cultural and religious as- Everyone’s world is rich and complex. As pro- sumptions about the nature of reality may skew fessionals, we can have more confidence in later results on our standard psychological tests. Af- actions if we first explore multiple conceptual- ter all, normalcy is a construct, not an indepen- izations about people and their situations, a step dent truth (Pardeck, Murphy, & Choi, 1994, pp. toward culturally competent practice. 343–344). What do concepts such as normalcy and psychosis mean to a particular group (Richeport- Inside Our Heads Haley, 1998)? Does the group have alternative concepts for health and illness—such as energy Flexibility in our thinking enhances prob- balance and imbalance? When we avoid elevat- lem solving. This means reexamining taken- ing our own reality, we remember that there “is for-granted assumptions, engaging in self-reflex- no privileged position, no absolute perspective” ivity, and being aware of possible paradigm (Rabinow & Sullivan, 1987, p. 8). shifts: “What if what was needed was not a Imagine the experience of being a “patient” bridge at all but a tunnel under the water or a (Sacks, 1984) or a “crip” (Milam, 1993). Profes- ferry to cross the river?” (Martin, 1992). In The sionals and service users cannot presume to un- Nurture Assumption, Judith Harris likewise chal- derstand each other—another reason for check- lenges accepted wisdom about childrearing (as ing things out—until a common vocabulary cited in Gladwell, 1998, p. 55), making a strong develops. “It is imperative that social workers case that peers matter as much as parents. Such a ensure that their manner of speaking is similar paradigm shift could broaden clinicians’ hereto- THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 77

MONEY AND PROPERTY EXAMPLES A journalist met with five teenaged boys, Thought structures affect how (or if) we look wards of the state of Illinois, to hear their at phenomena. In a rich country, it shocks us to stories but became lost in trying to hear that people in poor countries sell their understand the world of a former gang body organs for transplant, because we lack the member. “He tried to explain the economy framework—desperate poverty—to consider it. to me, the drugs and the colors and the Politicians could easily improve human condi- beepers. He got me so confused I felt like I tions (drinkable water, health supplies) and save was in history class in the seventh grade, lives through forms of wealth sharing such as unable to even raise my hand to ask a overseas aid. But ideological unthinkability stops question because I didn’t quite know what most U.S. leaders from pursuing international or the words meant. It occurred to me, then, domestic sharing, even ideas considered by close just how remote those of us in Medialand allies. For example, to give young people a more are from our neighbors. So many realms of promising future, Prime Minister Tony Blair per- reality” (Laskas, 1994, p. 6). suaded the British government to set up Baby Bonds to guarantee that at age 18 every child will receive a fund of about $4,500 to $7,500 (a self- help account). The poorest children receive the most money (Boshara & Sherraden, 2003). This is not to say that ours is the only culture that finds fore nearly exclusive focus on matters inside the some ideas unthinkable. In most cultures, for in- home to one that incorporates more outside instance, abolition of inheritance is unfathomable. fluence. For example, clinicians working with Most Americans entertain new thoughts about youth might take more workshops on conflict money only after being exposed to ideologies resolution such as peer mediation, disputes and other than capitalism, to worldviews other than peacemaking, and community conferencing those held in the Western developed world, and processes. to utopian novels and communities. However, even a little exposure to a contending thought SOCIETAL THOUGHT STRUCTURES structure can put new possibilities on the table. The way we (and clients) conceive problems Why does any of this matter in our practice? and solutions depends on systematic ways of First, we must start from the premise that we thinking and frames of reference. Thought struc- have certain cognitive blinders. Second, if a way tures can set limits and shape whether and how of thinking is unfamiliar—or even a bad idea or we discern something (Witkin, 1998). If we have based on error—a social worker still must take no way to place something mentally or lack a notice and be able to stand in the shoes of those cognitive structure to which we can tie our who use it. For example, a practitioner who dis- thought, we are not likely to consider it. By way counts collectivism will fail to see the pluses when of illustration, a columnist points out that, in one a religion requires its members to avoid loans fell swoop, our nation could nearly eliminate and interest payments (Noguchi, 1999) or when crime, teenage pregnancy, and drug abuse by a religious or immigrant community pools its “sequestering,” or putting on “reservations,” all capital and decides who will use it in which or- males “between the ages of 15 and 19” (Allen, p. der for what. We may have heard of immigrant C5). While the columnist was joking, we might burial societies, but we may be unaware that add that because research shows gay males are “savings and credit associations are common to less violent and more altruistic, in this scenario many cultures” (Sun, 1995, p. 22) and that money they could be exempted (Nimmons, 2002). pools, which make payouts based on need or a We may avoid considering ideas that would lottery, operate for practical and social bonding anger or threaten those in power. Getting around reasons. Ethiopians call this arrangement an such avoidance can require tactics, such as ekub, Bolivians refer to it as pasanau, Cambodi- bumper stickers, that gradually shift percep- ans as tong-tine, and Koreans as keh (Sun, pp. 1, tions; the Movement for Economic Justice used 22). Suppose family money is held in common, the slogan “Robin Hood Was Right.” The Web yet the practitioner urges the young adults to be- can also give provocative ideas a voice. An ex- come independent and use their savings to buy ample is the movement to redesign corporations: a house for themselves, their spouse, and child. to take away their personhood, roll back their Reciprocal obligation and the family safety net rights to early days, and revoke charters or seize are being ignored. The mainstream U.S. world- assets when corporations misbehave. view puts the individual at the center, with “fam- 78 COMMUNITY PRACTICE ily, community, and society as the environ- which we each interpret reality,” explain Ka- mental context”; many immigrants and refugees, vanagh and Kennedy (1992, p. 23), but they add however, operate out of a worldview “in which that approaches flowing from many cultures can the family, community, or society, not the indi- have merit. Saari (1991) says, “Culture has often vidual, is central” (Glugoski et al., 1994, p. 83). been referred to as if it were a singular and static thing. It is not” (p. 52). Nor is it solely about PROPOSING A DIFFERENT THOUGHT STRUCTURE language and racial differences. Indeed, Swidler While we often attempt to see the total picture, describes culture as a tool kit (Forte, 1999). we rarely attempt to propose a different picture. Brandwein (1985) does just that by outlining the EXPECTATIONS REGARDING CULTURAL AWARENESS feminist thought structure that currently con- Social workers are expected to acquire multi- tends with the dominant Western white male cultural awareness and cultural competence in thought structure. The dominant structure is ra- dealing with discoverable differences. It is dis- tional and materialistic, while one feminist con- coverable, for instance, that godparents are a re- struct places value on emotional and intuitive source in many Hispanic families (Vidal, 1988). knowing (p. 177). Instead of asserting a strictly We also must learn to interpret less obvious or gender-based conflict, Brandwein juxtaposes apparent differences. A study of older rural two philosophies and ways of seeing the world African Americans found that many of them be- or thinking—for example, contrasting femi- lieve receiving help in old age is a reward for nism’s both/and with the dominant either/or, and having lived a good life. Acquiring such cultural feminism’s collaborative with the dominant knowledge allows helpers to market or program competitive. Brandwein argues that true change services in more appropriate ways to address comes only when a new thought structure is in- problems (Jett, 2002). troduced and gains acceptance and ascendancy To grasp the hidden, a social worker, like an (p. 174). Debates over pay equity do not take ethnographer, must search for the “meaning of place so long as women are deemed to be pos- things” that a full participant in a separate sessions—whether as slave or wife. Brandwein culture “knows but doesn’t know he knows” is adamant that most movements, although “ad- (Spradley & McCurdy, 1972, p. 34). For instance, vocating social and economic justice,” stay stuck cultural participants have a tacit understanding in old thought patterns, that is, they adhere to of the conventions and values associated with “the dominant thought-structure in our society” public speaking. Conklin and Lourie (1983) point (p. 169). out that not all speeches use the form taught in Thought structures can be contested (Van- school of previews, reviews, summaries, and Soest & Bryant, 1995). For example, those in crit- evaluations. An alternative form is topic chain- ical legal studies (a critical approach to law) ask ing, shifting from one topic to the next. More- whether it makes sense to continually take a over, many Native Americans “offer all known rights approach to law reform or social change. facts, regardless of how they apply to their own Yet allegiance to individual rights goes so deep personal opinions. . . . The interactional goals of that it is hard for us to conceive of alternatives. Anglo-Americans and American Indians—the The gay/lesbian movement (Tully, 1994; Warner, one to convince the listeners, the other to submit 1993) has challenged the way normal human be- information for their private deliberation—lead havior and development and couples counseling to two radically different oratorical structures is taught. (Conklin & Lourie, p. 274). Ethnocentrism makes us feel that our way is CULTURE AND SOCIAL PROBLEMS right because it is what we know, even though facts can give us a broader view (e.g., Americans Culture is “that which makes us a stranger hold silverware differently from most other when we are away from home,” according to an- Westerners). As professionals, we must know thropologist John Caughey (1984, p. 9), who con- our biases, how we see the world, and how we nects culture with a set of beliefs, rules, and val- take the measure of others. Do we grasp our own ues, with a way of life, with an outer and an inner ethnic bias about what constitutes an effective world. speech, an appropriate–acceptable human body, or the best way to eat a formal meal? Those who Reality in a Cultural Context must learn a new culture become more accepting of multiple traditions. Cao O. is Chinese, “Because we are each a product of our cul- born in Vietnam. Now a social worker in the ture(s), culture provides the filters through United States, he describes his transition as his THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 79 family became more American, acquiring new ignored, whether one is working in a military habits and new wants, such as privacy: “Now community, with its tendency to reject homo- what I use to eat with depends on who I am eat- sexuals, or in a gay (even the language is differing with. . . . At home we don’t use the small ent) community, where the 1978 murder of San rice bowls any more. We use the American soup Francisco city supervisor Harvey Milk and the bowls to eat with. Yet my family would use 1969 Stonewall battle in Greenwich Village still chopsticks to go with that. We don’t pick up the have meaning (Duberman, 1993; Simon, 1994, p. bowl anymore. . . . Before my family all lived 150). Similarly, those who want blacks to get and slept in one big room. Now I have to have over it and quit bringing up the topic of slavery my own room” (quoted in Lee, 1992, p. 104). are ignoring other debasing moments in white It sometimes takes a jarring twist for conven- history. Hideous tortures before lynchings were tional Americans to notice either different prac- public entertainment as recently as 70 years ago tices (such as not automatically smiling) or com- (R. Cohen, 2000). If the Great Depression still af- peting perspectives (such as thinking of oneself as fects people, then lynchings will still affect peo- “temporarily able-bodied” or differently-abled ple. A caseworker takes a social history; a com- rather than thinking of some fellow citizens as munity worker digs out a social history. A “mobility impaired” or “handicapped”). Oliver practitioner involved with the community in ca- (1990) describes a survey of adults with dis- pacities such as child adoption needs to know abling conditions that included questions such personal and communal social histories and as “Can you tell me what is wrong with you?” their accompanying worldviews. and “Does your health problem/disability mean Once again, we can best communicate across that you need to live with relatives or someone social boundaries when we realize that ours is else who can help look after you?” (emphasis not the only reality (Green, 1998). Service users added) (p. 7). According to Oliver, “the inter- and community residents can better share their viewer visits the disabled person at home and stories if they realize that we know something asks many structured questions. . . . It is in the about their world. If a sixth grader in a self- nature of the interview process that the inter- esteem group says that she sleeps in the same viewer presents as expert and the disabled per- bed as a parent, we do not presume incest when son as an isolated individual inexperienced in the problem may be poverty. Greif (1994) ob- research, and thus unable to reformulate the serves that “working with these parents [from questions” [which never focus on the environ- public housing] has taught me to rethink many ment, just the person] (pp. 7–8). of my basic assumptions about therapy with No matter how pleasant the interviewer, poor families and African American families. niceties cannot overcome his or her built-in Twenty years ago I had been trained, for exam- power and control, yet the professional may not ple, that parents should never share a bed with think of this or the competing realities. A disabled children. Yet these mothers have little choice” identity that affects the thinking of everyone with (p. 207). Awareness of multiple realities keeps us every degree of ableness, in Oliver’s view, is from making premature assessments. Feminist constructed through medicalization personal standpoint theory takes a similar position. tragedy theory, dependency expectations, and “Members of each group must work to under- “externally imposed” images of disability stand the standpoint of others to construct views (Oliver, 1990, p. 77). of our shared reality that are less partial,” says There can be rival perceptions. Many op- Swigonski (1994, p. 392). For direct and indirect pressed groups and persons out of the main- practice, the “key to successful intervention is stream have identification considerations. Na- communicative competence” (Pardeck et al., tive Hawaiian children do not identify with 1994, p. 344). either Japanese or white (Haole) people. With any given group, social workers must grasp DIFFERENT CLASSES whether messages from the dominant group are Saari (1991) asserts that “members of tradi- “accommodated, negotiated, or resisted” (Grace tionally disadvantaged minority groups are by & Lum, 2001, p. 421). no means the only persons in society who must participate in more than one culture. . . . In a DIFFERENT STANDPOINTS complex society, the individual normally partic- The concept of communitarianism, discussed ipates in a number of somewhat different cul- in chapter one, helps us avoid getting stuck in tures or shared meaning systems in the course tribalism, balkanism, victimization, and martyr- of an average day” (pp. 53–54). Some of these dom. However, differences and history cannot be cultures or systems play a greater role than oth- 80 COMMUNITY PRACTICE ers. For example, it is easy to underestimate class jective, but is farther from actual experience of differences if the focus is solely on race and the phenomenon” (p. 23). ethnicity. Those who are more privileged and better ed- UNITING WITH CONSUMERS AND ucated, with certain tastes, have the idea that COMMUNITY RESIDENTS they see things as they really are and are sure Often it seems as if there is a world of clients, that Others lag, without drive, stuck in their communities, and causes and also a social provincial or limited realities and behaviors. worker world, while for practice purposes the Less privileged and less educated people of the ideal is a joint one. Three key ideas derived from same heritage, with certain tastes, consider the etic–emic discussion are as follows: themselves down-to-earth people who see things as they really are but view Others as fix- • Those experiencing the social problem have an emic ated on striving and appearances, uptight and or insider view. Therefore, “Instead of asking, stuck-up, limited by snobbish realities and be- ‘What do I see these people doing?’ we must ask, haviors. Each view is ethnocentric. These views ‘What do these people see themselves doing?’” are internalized at quite a young age; children (Spradley & McCurdy, 1972, p. 9). Kavanagh know about subtle distinctions, as this telling and Kennedy (1992) urge that we “assess from story shows: A little girl was shown a card de- the client’s perspective what the most appro- picting five bears who looked exactly alike, but priate goals are in a given situation” (p. 24). one bear was being shunned by the other four. • Social workers and clients may not share the same When she was asked what was happening in the context or realities during an interaction. What we picture, her quick reply was, “He’s not our kind say may not be what clients hear and vice of bear.” versa. “It is essential,” writes Pozatek (1994), “for practitioners to be aware of this phenom- INSIDER/OUTSIDER PERSPECTIVES ON REALITY enon, and to socially construct, through dia- Children gain cultural knowledge from a va- logue with the client, a shared reality that they riety of sources, ranging from parental com- agree is a representation of their interaction” mands (“leave your nose alone”) to peer teach- (p. 399). ing. They also develop a perspective of their own. Sixth-grade girls can “distinguish nearly • Clients have reasons for what they do or decide. We one hundred ways to fool around,” including must individualize (Al-Krenawi & Graham, “bugging other kids, playing with food, and doo- 2000). Green (1998) warns that if social work- dling” (Spradley & McCurdy, 1972, pp. 18–19). ers view intervention modes as having uni- Adults have a different perspective on such versal applicability, such thinking constitutes activities. applied ethnocentrism. We must be aware of how the other person views experience. “The effective communicator One area in which we want to build a shared learns to acquire and to understand, to the great- reality is in constructing the story of the problem est extent possible, both insider (emic) and out- as it is told by individuals, families, groups, or sider (etic) perspectives” (Kavanagh & Kennedy, community residents (Chrystal, 1999; Donald- 1992, pp. 45–46). Etic analysis, which is observer son, 1976; Finn, 1998; Marcus, 1992; Saleebey, oriented, gives us the ability to see similarities 1994). We may be the experts on resources and and differences and to compare or find com- options, but our clients are the experts on their monalties across systems. Such a level of analy- own needs and problems (Hartman, 1992). We sis might further a communitarian view by must convert the question “What can I as a so- pointing out categories that all humans relate to, cial worker do to help out those poor people?” such as kinship. In social work, planners and or- to a question to mull over: “What are they say- ganizers build on such a perspective. In contrast, ing to me?” emic analysis, which is actor oriented, allows us The second way to build a shared reality is to become immersed in a worldview or lifestyle through mutual hope, mutual expectation, and a and its minutiae as a participant or a participant- shared sense of efficacy. Saleebey (1994) sees nar- observer. Emic analysis takes us into a collec- rative and the building of hope as connected. If tive, culture-specific mindset. Kavanagh and only negative tales are being told (e.g., by resi- Kennedy see trade-offs: “The emic view pro- dents in public housing), then counterstories of vides the subjective experience but limits objec- success or “grace under pressure” might be tivity, whereas the etic perspective is more ob- spread and “scenarios of possibility” might be THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 81 opened up (pp. 356–357). Most individuals and from the top down—social policies determined advocates have such stories to tell. Since “mean- by the powerful” (p. 17). While later chapters an- ing . . . can inspire or oppress,” suggests Salee- alyze power, advocacy, and intervention meth- bey, “why not take the time to work with indi- ods, here we consider ways to move the prob- viduals to articulate those meanings, those lem remediation process forward. To concur stories, those possible narratives that elevate with VeneKlasen (2002), the process of citizen- spirit and promote action?” (p. 357). centered advocacy involves looking inward, un- In terms of self-efficacy, we can “help make derstanding the big picture, identifying and possible different stories that clients . . . tell about defining problems, analyzing problems and se- themselves” (Saleebey, 1994, p. 357) and we can lecting priority issues, and mapping advocacy approach our work in new ways. Clinicians can strategies. allow clients to direct their therapy (Pardeck et al., p. 343; Wyile & Paré, 2001). At the macrolevel, we should make an equally strong Problem Solvers Must Be Supported commitment to those directly involved: their interpretations should determine the agenda of Problem solvers are those who identify, de- community development. Community organiz- velop, and accelerate the reaction to social prob- ers might see it as getting the people who are lems (Tallman, 1976). A community survey most affected by the change involved in the pro- called Voices of Rural America was conducted cess (see Chapter 14, this volume). in 2000. It found that those living in places of If we have an etic view while simultaneously 2,500 or fewer persons ranked obtaining living- trying to gain an emic perspective, what is our wage jobs and affordable health care as their role? We should not give ourselves short shrift, most serious problems and reported usually especially since we have resources and options. turning to friends and neighbors for assistance As practitioners, we have much to offer. We take in solving problems. The survey also determined our own reality for granted and forget how that “in urban communities, nonprofits along much we know that our service users do not with local ministries and the local police de- know about how systems work or the ways cer- partment were viewed as the most effective tain aspects of the community function. We problem solvers. Rural residents were signifi- know how to manipulate our own and other or- cantly more likely to view their civic and service ganizations to get them to serve clients better. clubs as more effective problem solvers than Our function at times is to connect one world to those in urban communities (Pew Partnership, another. As a shelter and employment director 2000, p. 5, para 1). for chronically mentally ill adults puts it, “There Problem solvers include citizens in social dis- are all these homeless people who have fallen tress, the many players in problem solving, and out of the larger system. They almost can’t get those local heroes—professionals and commu- back without someone to be a bridge and to help nity leaders alike—who stay engaged in prob- them access all those systems and services that lem solving for decades, often taking on one they may be able to get.” This social worker does problem after another. They include a “cloud of not operate from a superior position—she talks witnesses,” community and social heroes pro- of kinship with her clients—but rather from an- ceeding us who faced social injustice (Bruegge- other reality, with different knowledge, where mann, 2002, p. 430). The luckiest problem solvers both perspectives are validated. She believes that engage out of choice or professional commit- success for a social worker is predicated on “be- ment, but as Tallman (1976) points out, “others ing somebody that can deal with diversity of are forced to take action either by circumstances backgrounds and functioning levels and cultures, or by confrontations which they cannot avoid” if you will.”6 (p. 150). It is outside our scope to discuss the many influences that give individuals the capacity to act, but Tallman’s emphasis on vision TOWARD SOLVING A and values is noteworthy: “One of the most im- SOCIAL–COMMUNITY PROBLEM portant elements influencing the development of social problem solvers is the expectations they As sociologists Eitzen and Zinn (2001) state, hold for how society should treat its members” “Solutions come from the bottom up—that is, (p. 172). (See Box 3.5.) people organize through human agency to Rather than calling themselves problem change social structures. Solutions also come solvers, some people think of themselves as pro- 82 COMMUNITY PRACTICE

BOX 3.5 A PROBLEM SOLVER STARTS A MONTHS-LONG PROCESS

Asherah Cinnamon is the director and sole paid the statement. . . . The vast majority of peo- staffer of the East Tennessee chapter of the Na- ple I speak with thank me for giving them the tional Coalition Building Institute (NCBI), an or- opportunity to show their support. Many say ganization that addresses intergroup tensions. they did not know what to do, and their shock This social worker, who coordinates 20-30 lo- kept them immobile until I called. cal volunteers, demonstrates sensitivity to her That evening, I meet with the Methodist community: minister who helped me draft the statement, to attend the prayer service in the parking lot Three days in January, though not routine of the burned out church. It is a freezing Jan- for me, nevertheless represent the culmination uary night . . . and our toes feel frozen soon of three years of local organizing and rela- after we arrive. We are introduced to the pre- tionship-building. At 8 p.m. on a Monday siding minister, who welcomes us and invites night, I hear that a black church [and its ra- us to read our statement of support after the dio station and day care center] in our city service. I do so and then list some of the com- has been burned to the ground in the early munity leaders who have signed. I notice the morning hours. Recovering from shock, out- faces of the 50 or so congregants who are rage, and grief about this, I begin making gathered in this place of violent destruction. phone calls to find out more about it and learn As I read, I see one woman elbow her friend that the church is one of more than 20 that with an excited air as she hears the names of have burned to date in the Southeast USA in the signers. . . . One woman’s eyes sparkle the past 16 months. . . . That same night, we with unshed tears. . . . It is a small thing, re- put together a statement of support to present ally, to put words together and send around a to the congregation of the burned out church statement of support. But for these people, it as quickly as possible. Calls go back and forth is a sign of hope, and a contradiction to their at 10 p.m. with the first draft of the statement, isolation as victims of violence and their iso- to check with the NAACP president and sev- lation as members of a minority group in the eral chapter members to make sure that the midst of a majority culture which has too of- statement is appropriate and will indeed be ten let them down. seen by the African community as a genuine offer of support. Source: From “Community Organizing for Social Change” (pp. Early the next morning I begin faxing the 295–300) by Asherah Cinnamon, 1999, in L. M. Grobman statement out to key community leaders, es- (Ed.), Days in the Lives of Social Workers: 50 Professionals pecially white church and synagogue leaders, Tell Real Life Stories From Social Work Practice (2nd ed.), Harrisburg, PA: White Hat Communications. Copyright 1999 for their signatures. . . . I make more phone by White Hat Communications. Reprinted with permission of calls to encourage other local leaders to sign the author and White Hat Communications.

testors or social movement participants. Origi- dermine, reform, or overthrow a system of hu- nally, people experiencing a problem might not man domination. . . . At a minimum, opposi- have identified themselves as advocates or actional consciousness includes . . . identifying tivists. Mansbridge (2001) found—in studying with members of a subordinate group, identi- such groups as sexually harassed women, Chi- fying injustices done to that group, opposing cano workers, and gay men, and lesbians—that those injustices, and seeing the group as having their “outrage at their situation had at one point a shared interest in ending or diminishing those been kept under control by a dominant set of injustices. . . . Oppositional consciousness takes ideas that portrayed their situation as natural, free-floating frustration and directs it into normal, or in any case not unjust” (pp. 1–2). anger. It turns strangers into brothers and sis- Mansbridge also notes, ters, and turns feelings for these strangers from indifference into love. (p. 5) Oppositional consciousness as we define it is an empowering mental state that prepares Here, the important support is peer support members of an oppressed group to act to un- from others in a subordinated group or from THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 83 others in an action group seeking to end the Our problem-framework components relate to domination. intervention as much as to definition. We must Those of conviction who are already empow- work toward a shared construction of a problem. ered clearly can help empower others. Still, those The way a group’s purpose is characterized will out in front pushing on for the rest of society expand or narrow the number and variety of must be valued by professionals in their quest people who will join the action. It has become to provide solutions to social problems. Their in- clear, for example, that right to life was success- tensity of emotion should engender some recip- ful as a recruitment and umbrella term for di- rocal passion in us (Tallman, 1976, p. 6; Weaver, verse constituencies, while antiabortion was more 2000). Furthermore, for political reasons, we had limiting. In the same way, proabortion was not better back up our allies. something many wanted to endorse, in comparison with the idea of prochoice. Community or- Issues Must Be Cut Strategically ganizers sometimes call this cutting the issue (Staples, 1997; Mizrahi, 2001). If we are clear that we will be working with people of many To recapitulate, we can analyze the nature of minds, our appeals can be better directed to a social problem by reach a broad group. The same holds true as we try to build an action coalition. To lobby with • knowing our own minds and ideas and learn- the community requires us to find core beliefs ing how clients or consumers of services see that unify. Problems create common denomina- the problem’s implications for them; tors for citizens even while being distinctively • figuring out which significant actors or com- experienced. munity segments can potentially provide re- How does a strategic grasp of problems influ- sources; ence our practice? The practitioner becomes clear about what community members under- • on any issue, finding out our profession’s stance, reading in other disciplines and study- stand to be social problems and achieves a joint ing the media, and reviewing past and pres- vision with them, then looks for ways to get ent general views regarding solutions, as well forces in the community to work toward desired as conservative/liberal positions; and outcomes. The practitioner may strive to get defined as a problem something the community • discovering the collective definition process cares about or wants to change, or could strive this problem has undergone to date and an ap- to get something currently seen as a problem to propriate role, if any, for our agency. If we plan be viewed as a nonproblem or, more typically, to intervene, we must also look at what others a different kind of problem. Suppose that the have done and consider what we can do. current understanding of the problem is adverse to community interests or siphons off resources Once we or those we work with get started ad- that should go toward solving problems in the dressing problems, we are not eager to take time community’s interests. The effort to stop terror- out to do this type of analysis. One of the first ists from injuring U.S. citizens is an example. The impulses after recognizing and discussing the current understanding is that immigrants, for- seriousness of a problem is an intuitive attempt eign visitors, and men from the Middle East are at “often ill-advised” reform, which James risks. Social workers who work with immigrants Bossard calls the “Well, let’s do something, and refugees may be able to reframe the prob- folks” stage (as cited in Spector & Kitsuse, 1987, lem, at the community level, to protect those we p. 138). However, doing just anything to satisfy serve. Certainly, all the money put into military others’ or our own sense of frustration is un- and security programs represents money that professional and fruitless. Also, simply because could have been used to meet community goals we have finally defined a condition as a problem and to solve social problems. does not mean that others have done so. We have to look for support or mutual understanding in the wider world, and we have to think logically Inertia Must Be Confronted about the elements of problems so that our emotions and actions will be purposeful and suc- After perception comes action (Tallman, 1976, cessful. To start, we need to find out how many p. 29), but most people are going to be inactive. others are morally indignant (Tallman, 1976). It is within the range of normal to be indifferent How many hold our point of view or see a situ- to aspects of one’s personal life (jobs, schools, ation our way? spouse), so naturally many will be indifferent to 84 COMMUNITY PRACTICE social distress. Still, why don’t those of us who If professionals are not careful, we can add to do care “get off the dime”? Perhaps it is numb- this sense of powerlessness. We must not skip ness, self-preservation, being fed up, or a lack of past clients’ attitudes. How do those with whom leadership. It takes effort to pay attention, and we work view themselves and life? Success fre- yet political attending is necessary for democ- quently follows when community residents racy (Bellah, Madsen, Sullivan, Swidler, & Tip- make a simple adjustment in their thinking, a ton, 1991, p. 254). What sometimes stops us from cognitive action equivalent to cleaning one’s taking personal or collective action is uncertainty glasses. While many want to see change, they or lethargy induced by beliefs or myths. This cannot imagine it happening or themselves be- point will be covered more in Chapter 8. Lowry ing involved in the process. An activist makes (1974) cites Robert Claiborne, who said that such this point quite eloquently: myths and “schlock” research lead to the following conclusions: The initial problem that any community organizer has to overcome is a sense among peo- • Nothing can be done about the problem; it is ple that (a) there’s nothing I can do to make a an inherent aspect of humanity and nature. difference in the way things are, or (b) even if • Nothing needs to be done about the problem; I tried, I wouldn’t be successful. It’s what a lot things aren’t that bad; enjoy things as best you of people call apathy. I don’t think it is apathy. can. A lot of folks haven’t really looked at their environment with a goal of changing it. It’s a new • Nothing much needs to be done; a little cos- idea for many people. Quite a few people go metic reform of the system will suffice. (p. 40) through life thinking that life is happening to them. What you do in organizing is help people Here is a starting point for our profession, see that life isn’t something that necessarily which has firsthand experience with the per- happens to you, it’s something that you can sonal pain and social costs involved in these sup- change as a group. The trick in the beginning is posedly inconsequential problems. We can re- having enough hope in people’s hearts that do- nounce such myths and bear witness to the need ing something will work.7 for a community-based system of social care. We can play a role in community education. We can The phrase making a difference became a per- make sure that the burdened and oppressed re- sonal mantra for advocates, a successful volun- ject such myths and do not get tricked into teer and activist recruitment pitch, and a popu- adopting positions that are in conflict with their lar advertising theme because most people own self-interests. We can study reasons why hunger for meaning and quietly hope that their people finally act. For instance, E. P. Thompson lives indeed count for something. Freire (1994) has written about how the English working class says poetically, “I do not understand human ex- “overcame the dominant ideas of its time and istence, and the struggle needed to improve it, began to see itself as a distinct class whose in- apart from hope and dream. . . . Hopelessness is terest conflicted with those of factory owners” but hope that has lost its bearings, and become (as cited in Mansbridge, 2001, p. 2). a distortion of that ontological need” (p. 8). Organizers spend their days helping citizens By nature, social problems seem initially over- frame social problems in ways that reflect the in- whelming but, with engagement, emerge as terests of the community rather than the power- fairly resolvable. Personal passivity can change ful. However, organizers are keenly aware that to action before or after this perceptual conver- first they have to overcome years of socialization sion, as those who are affected by a social prob- that teaches people to be passive and oriented lem get angry enough about how they are being solely to the personal. To quote Si Kahn (1991): treated to face the problem squarely. Once they “We are taught to act as individuals, not as have moved from a feeling of futility to one of groups. . . . Individual problems can be handled self-efficacy, they may try to recruit us, the without making major readjustments in the sys- mayor, or the governor as an ally. tem. . . . Another reason for encouraging individual solutions is that they tend to make people blame themselves for their own problems. . . . Putting Oneself in the Picture: Exercises It makes us believe that we are really not as good as the people who run the country, the factories, 1. In her empowerment guide for people en- the schools” (p. 16). gaged in social action, Katrina Shields (1994) THE NATURE OF SOCIAL AND COMMUNITY PROBLEMS 85

proposes ways to connect the personal and social problem that concerns you)? With the political.8 We adapted some exercises she whom would you like to join forces? suggests: Share in a circle in pairs, or write your thoughts in your journal. (a) Relax, close your eyes and remember a (c) How do you disempower yourself? How time when you felt that some action you do you perceive others as doing this? Do took made a positive difference. What you have a myth, belief or story that helps happened? Who was involved? What was you put the current times in perspective, the setting? Remember as vividly as pos- and to persist when the going gets rough? sible your feelings at the time. Ask yourself these questions or discuss Share your memory in small groups or them with others (see Shields, 1994, pp. pairs, or write about the incident in your 19, 23, 77, for the original exercises). journal. 2. Mainstream media ignore positive changes (b) If you were totally fearless and in pos- brought about by grassroots groups. Start a session of all your powers, what would scrapbook of success stories about commu- you do to heal our world (or do about a nity problems and issues.

Discussion Exercises

1. Did you disagree with any of the premises or domly selected. Eventually, parents and children arguments set forth in this chapter? Over which are reunited for 4 years. In general, children sections do you think you and your parents or you would spend about 10 of their first 26 years with and your neighbors would have the most dis- their birth parents (based on Sandra Feldman’s agreement? “Child Swap Fable” in Eitzen & Zinn, 2000, p. 547). Discuss what difference this would make in 2. On what basis should social workers take ac- what families care about and in the U.S. budget. tion regarding social problems? Consider these possibilities: stopping the spread of AIDS in Africa; 6. Spector and Kitsuse (1987) suggest a rudi- condemning Islamophobia in the United States; mentary approach to analysis and action: cut out legalizing marijuana or euthanasia; replacing old, community newspaper clippings; put down fun- faulty voting equipment; regulating violent con- damental ideas and your own beginning knowl- tent in video games; rewarding never married wel- edge about a situation that should be addressed fare recipients who marry; stopping abortion. Re- for personal or professional reasons. The requisite view the elements in framing a condition. What activities are these: (a) describe a condition; (b) are your first three steps? tell why it is annoying, disturbing, harmful, unethical, destructive, or unwholesome; (c) identify 3. For a study of alternative realities, watch what causes the condition; (d) describe what Rashomon (1951), the classic Japanese film about should be done about it; and (e) explain how one a lady, a gentleman, and a bandit; consider their would begin to accomplish this (pp. 161–162). Ex- widely differing points of view about whether periment using this exercise in the field with a there was a sexual assault and about virtues such client. If you’re working with an organization, ex- as bravery. How can we take differing realities amine an issue collectively with your group. into consideration without losing confidence that there is any solid ground on which we can stand 7. Do not forget collecting data and obtaining a to practice? firm grasp on specifics. As a young labor organizer, Eugene Debs endeavored to protect the 4. Discuss similarities and differences in societal rights and lives of firemen on U.S. railways. To perspectives over time regarding honor and re- orient himself, “He set up a sheet of brown wrap- spect. Think about deaths resulting from “being ping paper on one wall of his room and drew it dissed” (disrespected) and from dueling. off into squares. On the left-hand side he put the 5. Imagine a different society. Parents only have job the worker was doing; in the first column he their children with them for 4 years; then the chil- set up the hours, in the next the wages, in the next dren go to live with a series of other families, ran- the ratio of employment to unemployment, in the 86 COMMUNITY PRACTICE next the proportion of accidents, and what re- pinpoint such data about a problem and about a sponsibility the employer took for them; and in group that are of grave concern to you. the last column the conditions under which the men worked” (Stone, 1947, p. 44). He also 8. Brief research: Is rape of females viewed as a learned the realities for the wives and children, condition or as a problem in the United States, “He knew to an eighth of a pound and half of a Mexico, Canada, and England? What about rape penny how much of the poorest grade of hock of males, especially in prison, in the same coun- meat and bones they could buy, to the last pint tries? Content analysis: Check to see if newspaper of milk and thin slice of bread how much nour- accounts about this act of violence use passive ishment could go into each of the children; how voice, that is, “A woman was raped last evening,” much longer the threadbare clothing on their or active voice “A man raped a woman last backs could endure” (p. 81). Find documents that evening” (Blezard, 2002). Does wording matter?

Notes

1. Gowdy (1994) quotes an intriguing statement to sell as a problem to market-driven television by a consumer: “Throw away the textbooks and because there is nothing to see, just as in the let me teach you about being mentally ill. I have women’s movement, consciousness raising was a Ph.D. in mental illness!” (p. 362). not observable (Tuchman, 1978, p. 139). Regard- ing culture–media connections, see Schiller 2. Empowerment expert Simon (1994, Chapter 1) (1989) and Stevenson (1995). discusses the terms healer and survivor as positive metaphors. By contrast, victimization culti- 6. Mary Slicher, executive director of Project vates a “sense of resignation” rather than a desire PLASE (People Lacking Ample Shelter and Em- to act (Kaminer, 1992, p. 158). ployment), was interviewed by Sally Dailey for Stirring People Up (Powers, 1993). 3. Most social work jobs are a result of a problem creation process. Think of positions in houses 7. Susan Esty of the American Federation of State, for battered women or mental health centers. County, and Municipal Employees in a 1992 videotape by Lesley Bell and Michael Garcia, Uni- 4. Pozatek (1994) provides an illuminating ex- versity of Maryland at Baltimore School of Social ample of traditional Hispanic differences and re- Work, entitled “Action Adventures in Our Own alities (p. 397). Different worlds are powerfully de- Backyard.” A separate interview with Esty by Re- picted in Michael Moore’s movie on Flint, becca Smith appears in Stirring People Up (Pow- Michigan, called Roger and Me (1989) and in ers, 1993). Anna Deavere Smith’s book and film on Crown Heights, Brooklyn, called Fire in the Mirror 8. Exercises from In the Tiger’s Mouth, An Em- (1993). powerment Guide for Social Action, a delightful manual by Katrina Shields (1994, New Society 5. For an overview, see McQuail (1994). See the Publishers; ordering information retrieved May “Glossary” in Lull (1995). On controlling the 30, 2003, from http://www.newsociety.com/ agenda, psychological abuse of any group is hard bookid/3722).

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They hang the man and flog the woman Who steals the goose from off the Common, But let the greater criminal loose Who steals the Common from the goose.

ENGLISH RHYME

It is hard to imagine a more elusive concept than ingly, for this book, we have adopted Fellin’s the idea of community. Fraught with meaning, (2001) formal definition of communities as “so- the word community conjures up memories of cial units with one or more of the following three places where we grew up and where we now dimensions: live and work, physical structures and spaces— cities, towns, neighborhoods, buildings, stores, 1. a functional spatial unit meeting sustenance roads, streets. It evokes memories of people and needs relationships—families, friends and neighbors, 2. a unit of patterned interaction organizations, associations of all kinds: congregations, PTAs, clubs, teams, neighborhood 3. a symbolic unit of collective identification (p. groups, town meetings. It evokes special events 1).” and rituals—Fourth of July fireworks, weddings, funerals, parades, and the first day of school. It This chapter establishes the basic concepts, evokes sounds and smells and feelings— variables, and changes related to community warmth, companionship, nostalgia, and some- life. The following two chapters examine ways times fear, anxiety, and conflict as well. We all of studying communities and methods for hear- grew up somewhere; we all live in communities ing community concerns. To change community, somewhere; we all desire human associations, their parts, processes, and particularities must be some degree of belonging to a human commu- understood. nity; we all carry around some sense of com- The common elements in sociological defini- munity within us. It goes deep into our souls (see tions of community are geographic area, social Box 4.1). interaction, and common ties. However, while The elusiveness of the concept of community connection to a territorial base is frequent so that derives from its multidimensionality. Accord- neighborhoods, villages, or cities fit the defini- 91 92 COMMUNITY PRACTICE

BOX 4.1 MR. BIRTHDAY MAKES HIS ROUNDS

On the morrow, she will turn 7. On every birth- What Mr. Engert does, though, isn’t only about day of her life, she has awakened to find a fes- birthdays. It’s about neighborhood. . . . Mr. En- tooned sign planted in her front yard and signed gert lives on Luzerne Avenue, a shaded lane of at the bottom, “Mr. and Mrs. Jerry Engert.” An- delightful bungalows in North Woodside, not far nie has no blood tie to Mr. Engert. Nor do Jo- from downtown Silver Spring. . . . On Easter in hanna and Greta Pemberton, nor Robert and North Woodside, there’s an egg hunt. On Emma Speiser, nor Wendy and Lisa Bauman, nor Mother’s Day, a softball game. On Labor Day, any of the 18 neighborhood kids whose names Luzerne has a block party. And all year long, and birth dates appear in a 3-by-5 index file in Luzerne has birthday signs. Mr. Engert’s basement. But each gets a lawn sign Source: From “Mr. Birthday Makes His Rounds,” by Steve every year, individually crafted and bearing a Twomey, June 19, 1995, The Washington Post, p. 81. Copy- bag of goodies. . . . right 1995, The Washington Post. Reprinted with permission.

tion, functional and cultural communities or the wide range of member needs and solve its “communities of interest” without clear geo- problems and challenges of daily living” (p. 70). graphic bases (such as the social work commu- Community competence is enhanced when res- nity, the Chicano community, or the gay and les- idents have (a) a commitment to their commu- bian community) are also included. Spatial units nity, (b) self-awareness of their shared values with clearly defined geographic boundaries are and interests, (c) openness in communication, seemingly becoming less necessary to commu- and (d) wide participation in community deci- nities because of rapid electronic communication sion making. technology, ease of physical mobility, and economic globalization. Most of us have connections to several com- BASIC COMMUNITY CONCEPTS munities, in part because we are geographically mobile and increasingly tied together though Community, Neighborhood, and Public Life electronic and other media, and in part because the smaller communities we affiliate with are Community enterprise zones, community control, usually embedded in larger communities that community partnership abound in policy discus- also affect our lives. As social workers, we need sions. Community and grassroots have a kind of to understand the multiple communities of our social currency. They are buzzwords in politics clients as well as our own communities. Com- and ideologies of the left and right. By grassroots, munities provide us with a rich social and per- we mean a bottom-up approach, starting with sonal life. They shape the way we think and act. common people. Community and neighborhood They surround us with values and norms of be- are sometimes used interchangeably to mean a havior, explicit laws, and unwritten rules of con- local area (e.g., a section of a city or a county, duct. They furnish us with meanings and inter- where many residents share, over time, a com- pretations of reality, with assumptions about the mon world view). Residents unite, on a short- world. They provide resources and opportuni- term basis, in their roles as indignant utility ties, albeit unevenly—places to work, to learn, to ratepayers or exuberant sports fans in ways that grow, to buy and sell, to worship, to hang out, can facilitate community action and transcend to find diversion and respite, to be cared for. deep differences. They confront us with traumas and problems; Community suggests people with social ties they intrude on our lives, and they hold out the sharing an identity and a social system, at least possibilities for solutions. In keeping with the partially, while neighborhood suggests places that social work ecological model’s emphasis on per- are grounded in regional life where face-to-face son in environment, communities must be the relationships are possible. See Fellin (1995, 2001) object of social work intervention as much as infor an in-depth discussion and definition of com- dividuals, families, and groups. Social workers munity and neighborhood. Public life refers to can help expand community resources. A com- the civic culture, local setting, and institutional petent community, according to Fellin (2001), is context that also are part of the “environment- a community that “has the ability to respond to surrounding-the-person” (Johnson, 2000). Lappé THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 93

Figure 4.1 Public life: Some key roles. From The Quickening of America: Rebuilding Our Nation, Remaking Our Lives (p. 25), by F. M. Lappé and P. M. DuBois, 1994, San Francisco: Jossey-Bass. Copyright 1994 by John Wiley & Sons, Inc. Reprinted with permission of John Wiley & Sons, Inc. and Du Bois (1994) provide a delineation of some Dixie County, reported (concerning politicians), roles in the various sectors of public life (see Fig- “I don’t think they think about people like us, if ure 4.1). they do care, they’re not going to do anything Let’s illustrate these three concepts with Dixie for us. . . . Maybe, if they had ever lived in a two- County, Florida, a real rural neighborhood near bedroom trailer, it would be different. I don’t the Gulf of Mexico. As one index of its public think either one of those men running for pres- life, residents vote at the lowest rate in Florida. ident has ever had to worry about where their They may trust each other. They don’t trust rich next paychecks are coming from” (Bragg, 2000, politicians. A 41-year-old worker in Cross City, p. 18). 94 COMMUNITY PRACTICE

Other residents wished for a political cham- Natives often blame problems on new arrivals. pion who would talk sincerely about poor peo- When we plan with families or create new pro- ple. During a national economic boom, people grams, both length of stay and level of involve- in this rural locality were preoccupied with hard ment and commitment are crucial factors. times, low-paying jobs and a lack of neighborhood factories and work places. They worried Place and Nonplace Communities about gas prices at least four months before the rest of the country. They felt and were ignored A mantra for real estate agents is location, lo- by Washington. cation, location, the mantra for community prac- Geographical communities evolve in many titioners is context, context, context. Where do forms and have been classified in numerous people come from? Who do they relate to? ways such as enclave, edge, center, retreat (Brower, Where is their identity? What gives meaning to 1996); white versus blue-collar; and boom ver- their lives? Social workers should learn about sus bust. These descriptive structural ideas their clients’ place and nonplace communities. cannot substitute for the community narrative. Locational communities in a definable area, with Community is more than just local space, espe- boundaries that often constitute a political juris- cially in urban areas, and needs social identity diction, where many inhabitants have familial (Fellin, 2001). Residents can share the same ge- roots (Ginsberg, 1998), focuses attention to a ographic space, such as in rural Arizona (Mc- physical and social environment surrounding Cormick, 1997), and hold widely differing ide- providers and consumers of services. However, ologies and particularistic religious, ethnic, and within and outside such spatial and structural class identities. Gays and Cuban Americans in- communities are other influential nonplace habit the same territory in Key West without groupings based on identity, profession, reli- sharing the same language, political agenda, his- gion, and other social bonds that comprise an- tory, or social institutions. A London resident other type of community. Social workers must may think about himself more as a businessman pay equal attention to an individual’s or family’s or an immigrant from Pakistan than as a Lon- diffuse nonplace social networks and solidarity doner. People not in physical proximity, that is, bonds. Place and nonplace communities repre- international travelers or guest workers or un- sent two forms of we-ness and identity. Box 4.2 documented aliens, can still share more cultural compares the two types of communities. affinity with those back home than with the new A social worker’s complete social history on neighborhood. Those in our caseload also have a client or case ought to include a community complex allegiances and affiliations. Think of a history and a client’s experiences in communi- child who has a father in urban Michigan and a ties as well as personal or family history: Where mother in rural Montana and, in either state, was a person born? What did the person gain bounces from one relative’s neighborhood to the from living in prior locales? Social workers also next—bringing along clothes, attitudes, haircuts, will want to get a complete picture of how both and slang from the last school that never quite types of communities—place and nonplace— fits at the new school. figure into an individual’s present life. We dis- We often bemoan the loss of community with cuss these needs more fully in Chapter 15. its fragmentation, alienation, and increased mobility accompanied by a decline in public life THE CHANGING U.S. COMMUNITY with fewer residents involved in voting and volunteering. Today, many people choose their de- To understand the modern community as a gree of commitment to their neighborhoods context for social work practice, we will briefly and towns. Using length of stay as a variable, review some important changes in U.S. life that Viswanath, Rosicki, Fredin and Park (2000) have occurred over the last 50 years. The con- found four types of residents: temporary U.S. community as the context for social work practice has undergone significant Drifters: Less than 5 years of stay and a high changes in the past half century. Change is likelihood of moving away from the commu- American, and the past two decades’ changes nity. have been dramatic. Perhaps it is because we are Settlers: Less than 5 years of stay and less like- living through these changes. The United States lihood of moving away from the community. has vast resources and ambitious people with Relocators: More than 5 years of stay but likely the freedom and energy to invent, to explore, to move away from the community. to develop, and to challenge. The changes are Natives: More than 5 years in the community sometimes positive and sometimes, unfortu- and unlikely to move away. (p. 42) nately, exploitative. THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 95

DIFFERENCES AND SIMILARITIES BETWEEN PLACE AND NONPLACE BOX 4.2 COMMUNITIES

Differences Place—Bounded Location Nonplace—Bounded Interest Collective territorial identity Relationship identity and dispersion Intertwined processes Specialized processes Empathetic connections Mixed allegiances

Similarities Traditions Mutual constraints Lack of absolute boundaries

During most of the last half of the twentieth tury have reversed some of these trends and century, the U.S. economy expanded and espe- accelerated others. Welfare, crime, and taxes cially boomed to end the millennium. But the decreased while income inequality, corporate new millennium was welcomed by economic re- power, and the influence of money in politics in- cession, corporate greed, and collapse. We were creased. Privatization of social welfare and pub- clear about the constellation of a good family lic services become trendy. Prisons became a and family values, even if not always faithful to growth industry, with many of the prisons op- them. Per capita income and consumption grew, erated by proprietary corporations. These all and Americans worked harder and longer. The spoke of complex forces at work in U.S. society, new millennium was accompanied by threats seemingly unresponsive to easy fixes. Let’s now to retirement income and Social Security with consider some of the more important forces and an expanding work life for an aging popula- trends to deepen our understanding of social tion. College education, seen as an American work practice for the twenty-first century. The birthright until the 1980s and 1990s, was be- changes reviewed in the following paragraphs coming inordinately expensive. World peace, on reflect our views of what seems significant. They the horizon with the end of the cold war and are not presented in any particular order of breakdown of the Soviet Union, appears to have importance. collapsed in the ethnic strife and terrorism that characterizes so much of the world. And on Sep- • Urbanization, or more accurately, suburban- tember 11, 2001, global terrorism came to the ization continues (Scott, 2001). Most U.S. citi- United States. It seemed apparent to some ob- zens (over 80%) live in 39 metropolitan statis- servers that a future can’t be predicted on a past. tical areas (MSAs) of 1 million people or more, Americans, “accustomed by our historical train- more than in smaller cities or rural communi- ing to expect mastery over events,” could no ties (U.S. Census Bureau, 2001). Population longer remain uncritically optimistic about the continues to shift from the old Rust Belt, mill future (Heilbroner, 1960, p. 208). towns, and smokestack cities of the Northeast The social movements of the 1960s—civil and Midwest to the Sunbelt of the South and rights, community action, women’s liberation, Southwest, especially California, Florida, and peace—together with the Vietnam War—did Texas. Reflecting the population shift is a much to shake the complacency of the 1950s in change in the economy from manufacturing the United States. However, the radicalism of the and farming to information, personal, and en- 1960s was followed by a conservatism since the tertainment services, technology, and e-busi- 1970s. It’s still with us. nesses. Most MSA growth is in the new outer The 1980s saw a necessity for two wage earn- ring suburbs beyond the old suburbs. Even ers to support a family; burgeoning health care with periodic energy crisis and chronic de- costs; expansions of unemployment, welfare pendence on foreign energy sources, the auto- rolls, homelessness, and crime; and a growing mobile and high-energy single-family homes income and wealth disparity between the are preferred. Metropolitan area growth hasn’t wealthy and the poor and middle classes. The brought metropolitan government to coordi- 1990s and the beginning of the twenty-first cen- nate the multiple jurisdictions within MSAs. 96 COMMUNITY PRACTICE

Probably the greatest resistance to metropo- and shenanigans, executive and management litan governments comes from suburbanites’ salaries and bonuses have rapidly increased. not wanting to mingle their public amenities From 1980 to the end of the century, the aver- and tax resources with the poorer neighboring age pay of ordinary working people increased core cities in the MSAs. The metropolitan ar- by 74%, while the average compensation to eas are becoming increasingly balkanized and corporate CEOs exploded by a gigantic 1,884%. hypersegregated. with more centers of ethnic The compensation increased during the last minorities and poverty, while the suburbs are quarter century for CEOs from 10 to 45 times less ethnically diverse and more affluent as much as the average worker to 400 times as (Scott, 2002). much (Executive Pay Watch, 2003; Executive • Rural-urban and suburban differences will in- Pay, 2002; Executive Pay, 2003; Johnston, crease with rural problems, as with central city 2002c). The median CEO annual salary in 2000 problems, which will be neglected for at least was $6.2 million, supplemented by $14.9 mil- the first part of the twenty-first century.1 lion in stock options, up 50% from 1999, for a Poverty will continue to be greater in rural ar- total average annual compensation of over $20 eas than in metro areas, with most of the poor million. The increases in managerial compen- counties in the United States being rural. sation are not linked to managerial or corpo- While most rural poor are white and non- rate performance. Many executives eased out Hispanic, a disproportionate number of poor for poor corporate performance received huge families are African American, Hispanic, and bonuses and severance packages (Leonhardt, headed by females. The natural resources base 2002; McGeeham, 2003; Pearlstein, 2000). In- of rural areas continues to decline, and low- vestors, on the other hand, typically lost, as il- skill jobs face increasing global competition. lustrated by an average 12% reduction in total The metro–rural wage gap continues to widen, shareholder return value in 2000 and 2002. as does the gap in college completion rates. Managerial compensations increased by 22% Distance and a lack of sufficient density hin- although managers often were dumping their der rural economic development. Rural local- stock ownership of their company’s failing ities will continue to lose population, es- stock (Banerjee, 2002; Leonhardt, 2001b). Graef pecially the young and more educated Crystal, an analyst of corporate executive com- (Economic Research Service, 1995). The pro- pensation observed that if this trend contin- portion of the nation’s population that is non- ues, by the year 2015 the gap between work- metropolitan decreased from 20.2% in 1990 to ers’ and executives’ pay “will approach that 19.7% in 2000 (U.S. Census Bureau, 2001, pp. which existed in 1789, when Louis XVI was 30). Agriculture is becoming more corporate, King of France” (as cited in Day, 2000). The with farm sizes increasing (U.S. Census Bu- French Revolution also began in 1789. reau, 2001, pp. 523–524). The exceptions to • The average worker’s salaries increased by these trends are the high-amenity rural areas only between 3 to 4% in 2000, compared with with mild climates and scenic environments the 22% increase in managerial compensation that are becoming gentrified and gaining pop- (Leonhardt, 2001a, 2001b). These workers had ulations (Economic Research Service, 1995). increased their work year by over 2% during • The 90s and beyond have seen an escalating the decade of the 1990s, so most worker gains economic inequity in the work force. There has are explained by their working more. The U.S. been an extensive loss of well-paying, stable worker now works more hours a year than manufacturing blue-collar jobs, with job workers in other industrial countries. We are growth in lower paying service jobs. One re- increasing the hours in the work year while it’s sult has been high and persistent rates of un- decreasing in other countries (Greenhouse, employment and underemployment among 2001). older industrial workers and unskilled men • Unfortunately, social work’s salaries did not and women of all ages. A rising retirement age even keep up with inflation during this era is reversing a decade-long trend (Walsh, 2001). (Gibelman & Schervish, 1996, p. 166). The av- Later retirement ages will be accelerated with erage salary for direct service social workers the decline in value of stock-based retirement according to Kerger and Stoesz (2003), com- plans and the increasing age requirements for bined social work salary, the average for BSWs Social Security benefits. and MSWs was $32,010 in 2000. This was less • Even with recession, the Enron and World- than 0.15% of the average CEO compensation Com fiascos, and other corporate failures (Executive Pay, 2002). THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 97

• As would be expected from the earnings and omy discard social obligations to their citizens compensations differences, the United States with a subsequent erosion and downward spi- now is more income unequal, with a greater ral of social provisions that can lead to the low- concentration of income at the top than any est social welfare denominator (Deacon, 1997, p. other industrialized nation. The middle 60% of 196). The economic upheavals of the global- U.S. society have seen their share of the na- ized turboeconomy may be as dramatic as the tional income fall from 53.6% in 1980 to 48.5% industrial revolution. A global economy en- by 1999 (U.S. Census Bureau, 2001). Some 47% courages cheap labor, lower or no taxes on the of the total real income gains between 1983 and rich and on corporations (Gray, 1998; John- 1998 accrued to the top 1% of income recipi- ston, 2002b, 2002c), corporate welfare, tight ents, 42% to the next 19%, and only 12% to the money, market deregulation, protection of bottom 80%. Only people at the very top made capital over labor and antilabor policies, and any real economic improvements ( Johnson, a decline in welfare state provisions and ben- 2003). Tax policies, economic policies and re- efits for labor as employees and as citizens of cession, and a devolving welfare state has led a welfare state (Freudenheim, 2002; Gray, to increasing poverty for the first years of a 1998; Johnston, 2002a; Mishra, 1999; Pear, 2002; new millennium (Pear, 2002). According to Wagner, 1997). The G7 nations, the globe’s top some economists, including a founding father economic powers, national marginal personal Adam Smith (1922, p. 17), one’s position in the tax rates declined in all seven countries with unequal income distribution is largely a mat- the greatest decline in the United States. Glob- ter of birth. James Hechman, a libertarian Uni- alization increases aggregate national wealth, versity of Chicago economist, as quoted by poverty, and social and income inequality Stille (2001), asserts, “Never has the accident within and between nations (Deacon, 1997, pp. of birth mattered more. If I am born to edu- 34–35; Halsey, Lauder, Brown, & Wells, 1997, cated, supportive parents, my chances of do- p. 157; Hokenstad & Midgley, 1997, 3; Room, ing well are totally different than if I were born 1990, p, 121). Globalization cultivates national to a single parent or abusive parents. . . . This fragmentation and a civic decay manifested is a case of market failure: Children don’t get by increasing income and social inequality, to ‘buy’ their parents, so there has to be some poverty, fear, violence, family breakdown, kind of intervention to make up for these en- fundamentalism and intolerance, social and vironmental differences” (p. A-17). economic ghettoization, social isolation and social exclusion, political and social marginal- • The 1990s saw the U.S. economy and world ization, and political authoritarianism (Berry economy globalize and the nation-states and & Hallett, 1998, pp. 1–12; Dahrendorf, 1995; welfare states begin to devolve. This trend Hokenstad & Midgley, 1997, p. 45; Passell, should continue despite the growing unilater- 1998; Thurow, 1995). We have seen an increase alism of the United States. Economic global- in the number of nation-states and a growth ization treats the world as a single economic of separatist movements within nation-states system. Globalization’s intent is to reduce state since the advent of globalization. sovereignty and the constraints of national borders and any social and cultural arrange- • The welfare state is devolving in the United ments and relationships as economic hin- States and globally (Dodds, 2001). We com- drances (Deacon, 1997, p. 34; Gray, 1998; Park, mented on the growing political conservatism 1999, p. 34). Globalization weakens the econ- in the United States in Chapter 1. Liberal gov- omy’s basic social partnership by shifting the ernment’s traditional function in a market balance of power to capital and corporations, economy—to help communities manage and and it reduces the power of labor and the state protect themselves from the excesses and va- (land) (Gray, 1998; Mishra, 1999, pp. 100–101). grancies of the market economy—is reduced Transnational corporations have reduced pub- with global deregulation. Globalization’s logic lic regulation and responsibilities for commu- undermines the Keynesian welfare state as a nity social welfare and any ecological agenda. means of mutual communal support and a As seen by the environmental unilateralism of first line of defense against poverty. It creates the United States, setting sustainable global downward pressures on the welfare state and growth limits need not be heeded by a single its social protections, undermines the ideology nation or global corporation transnationally of social protection under girding the welfare (Deacon, 1997, p. 54). Competing nation-states state, subverts national community solidarity, pursuing global corporations in a global econ- and legitimizes inequality of rewards. The re- 98 COMMUNITY PRACTICE

sults are “welfare reform’s” punitive and aus- 1997; Salamon, 1997; Swarns, 1997, pp. A1, tere approaches. The welfare state’s devo- A12; Strom-Gottfried, 1997; Uchitelle & Klein- lution is to motivate the poor to accept and de- field, 1996). The business model of social wel- pend on marginal, low-wage employment, fare transforms social workers into producers and to reduce and keep taxes low on corpora- and clients into consumers. As with most pub- tions and the extremely affluent. First insti- lic policy pronouncements, privatization’s ef- gated by conservative government, devolution ficiency claims have neither been rigorously has been subsequently embraced and ex- tested nor supported (Morgan, 1995). panded by traditionally liberal or left political parties of the United Kingdom and the United • United Way giving in the United States is States (Deacon, 1997; Kramer & Braum, 1995; down, especially in urban centers, and agen- Gray, 1998; Mishra, 1999; Morgan, 1995; cies are forced to increase revenue from other Mullard & Spicker, 1995; Park, 1999; Room, sources ( Johnston, 1997, pp. 1, 28). Founda- 1990, pp. 106–111; Wagner, 1997). tions also are retaining more of their funds during this high market growth era (Domini • Privatization, proprietarization, and commer- & Van Dyck, 2000). Corporate contributions to cialization are currently trends and shibbo- health and human services have dropped and leths in the welfare state’s rollback. These also constitute less of total giving than prior to are manifestations of the conservative trend. the tax reductions (Marx, 1998, p. 34). Philan- The privatization movement assumes a pri- thropic giving largely serves the donor com- macy of economic market forces as the best munity’s social and political ends and cultural means of allocating and conducting services institutions. The socially marginalized are ef- (Gibelman & Demone, 1998; Moe, 1987; Mor- fectively excluded from benefit (Abelson, 2000; gan, 1995, Salamon, 1997). A privatization ide- Marx, 1998). The very affluent traditionally do- ology forces government to be more busi- nate smaller portions of their income to phil- nesslike and efficient as well as smaller— anthropy than do the middle-income ranges leaner and meaner. It reduces public sector (Phillips, 1993, p. 143; Salamon, 1997). Dona- costs and competition for money either tions deterioration will continue as income through taxes or by borrowing. Privatization concentrates at the top of the income distribu- diminishes public sector involvement in en- tion, a sense of a general community declines, terprise decision making through deregulation and tax codes make giving less financially at- (Morgan, 1995). Privatization takes the focus tractive (Freudenheim, 1996, p. B8; Phillips, and political pressure off government for poor 1993, p. 143). services, places a buffer between the public and politicians, and transfers any onus of poor • The United States is becoming more ethnically services and inefficiency to the market resolv- and socially diverse and is moving toward able by market forces. Privatization of gov- greater ethnic heterogeneity, with no ethnic ernment-financed vendor services also pro- majority population. California currently has vides political spoils to the government’s no ethnic majority, with over a quarter of its backers in contingent employment and con- population foreign born (Haub, 1995; Scott, tracts (Berstein, 1997; Metcalf, 2002), as with 2002). the proposed, and as of 2003 only a proposal, Table 4.1 illustrates more than a lack of a na- privatized U.S. Social Security retirement actional majority ethnic population by 2060. It counts. Privatization and commercial enter- also points up the absurdity of ethnic classifi- prises are increasing their share of the educa- cations (Patterson, 2001). The total white pop- tion, health, and human services. In the United ulation, including white Hispanics, remains the States, the profit sector has over a third share majority population into the next century. of the social services market with a 50% Non-Hispanic whites are projected to decline to growth projected over the next few years. Pro- less than 50% by 2060, as Hispanics increase prietary firms are global involving mammoth, to over a fourth of population. Non-Hispanic vertically integrated global companies such as whites, however, will remain dominant in po- Lockheed Martin, Magellan Health Services litical and economic power. and Crescent Operating, Inc. (health and men- Appiah (1997) thoughtfully observes the in- tal health), Wachenhut (corrections), and Xe- consistencies in our obsession with race, mul- rox (for context, see Berstein, 1996; Fein, 1996; ticulturalism, and diversity: Freudenheim, 2002; Kuttner, 1996; Levenson, Some groups have names of earlier ethnic cul- 1997; Myerson, 1997; Nordheimer, 1997; Rose, tures: Italian, Jewish . . . Some correspond to THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 99

TABLE 4.1 United States Population Grouping in Percentages: 2001, 2006, and 2060

Population Grouping 2001 2006 2060

Foreign-born 9.9 10.8 13.1 Total white 82.0 81.3 73.8 White, non-Hispanic 71.0 68.9 49.6 Total black 12.9 13.1 14.8 Black, non-Hispanic 12.2 12.4 11.8 Total American Indian 0.9 0.9 1.1 American Indian, non-Hispanic 0.7 0.8 0.8 Total Asian and Pacific Islander 4.2 4.7 10.3 Asian and Pacific Islander, non-Hispanic 4.0 4.4 9.8 Total Hispanic 12.1 13.5 26.6

Note. Data in this table are adapted from National Population Projections: I. Summary Files, Total Population by Race, Hispanic Origin, and Nativity, U.S. Census Bureau, November 2, 2000. Retrieved June 19, 2003, from http://www.census.gov/population/ www/projections/natsum-T5.html

the old races—black, Asian, Indian; or to re- maybe we should conduct our discussions of ligions. . . . Some are basically regional— education and citizenship, toleration and so- Southern, Western, Puerto Rican.. Yet others cial peace, without the talk of cultures. (pp. are new groups modeled on old ethnicities— 35–36) Hispanic, Asian American—or are social cat- The United States is becoming more diverse. egories—women, gay, bisexuals, disabled. . . . We have done relatively well in our diversity Nowadays, we are not the slightest bit sur- during the last two decades, compared with prised when someone remarks on a feature of the rest of the world, if nondiversity is mea- the ‘culture’ of groups like these. Gay culture, sured by genocide, ethnic cleansing, and out- Deaf culture . . . but if you ask what distinc- right violence. However, if we are to avoid tively marks off gay people or deaf people or these plagues, we should emphasize commu- Jews from others, it is not obviously the fact nity rather than differences. that to each identity there corresponds a dis- • Despite advances in civil rights, communities tinct culture. (p. 31) still remain highly ethnically and economically An increased emphasis on the constructions segregated, especially within urban areas and of race and culture is misplaced and leads to between urban and suburban areas. This cre- greater balkanization, social marginalization, ates a significant barrier to upward social mo- and challenges to a cohesive community bility (Massey, 1994). Poverty of women and (Longes, 1997, p. 46). There are no trends to in- children has also increased since the 1960s. dicate that an increasing emphasis on multi- Single parent, female-headed families now culturalism leads to less hypersegregation and make up nearly half of the households living balkanization. Appiah (1997) again provides below the poverty line. Forty-four percent of some insight: these are black families, and most live in cen- To an outsider, few groups in the world tral cities due to historic, still extant patterns looked as culturally homogeneous as the of racial segregation and economic entrap- various peoples—Serbs, Croats, Muslim—of ment. Bosnia. (The resurgence of Islam in Bosnia is a result of the conflict, not a cause of it.) . . . • Often touted as the most significant change in And the trouble with appeal to cultural dif- the United States as part of globalization is its ference it that it obscures rather than illumi- vulnerability to terrorism, and a war on terror- nates this situation. It is not black culture that ism has been declared. The drama and fear fol- the racist disdains, but blacks. There is no con- lowing September 11, 2001 (9-11), was power- flict of visions between black and white cul- ful. After that day, it has seemed that nothing tures that is the source of discord. No amount is the same. The popularity of war movies has of knowledge of the architectural achieve- increased. The United States has become the ments of Nubia or Kush guarantees respect Homeland, an appellation coined for political for African Americans. . . . Culture is not the purposes after September 11, 2001, and rarely problem, and it is not the solution. . . . So if ever used before. Flags and other patriotic 100 COMMUNITY PRACTICE

symbolism are everywhere: in office and home other communication equipment for informa- windows, on cars and lapels, and especially in tion access, data processing, and communica- commercial and political advertising. Politi- tion has decreased the virtual time and space cians wave flags at every opportunity. The po- between people, organizations, and commu- litical scientist Robert Putnam touted, based nities. As we balkanize, we are simultaneously on an October 2001 poll, that one positive conserved by national economic franchises, sequence of 9-11 was that “whites trust blacks shaped by national and global media, and con- more, Asians trust Latinos more, and so on, nected internationally by a high-tech informa- than did these very same people did a year tion superhighway. Use of computer and elec- ago” (as cited in Morin & Dean, 2002). The im- tronic technologies can allow human and pact, unfortunately, on the U.S. sense of com- social services to be more widely distributed. munity has been more jingoistic than pro- A single professional can serve more people, found in producing solidarity and cohesion. and fewer professionals can serve more peo- The increase in trust from 22% to 29%, a 7% ple. E-mails and Web pages provide more op- gain, was probably a function of social desir- portunity for public information distribution, ability responses brought on by a near-uni- marketing, and case coordination. Internet versal emphasis on united we stand. Even in the chat rooms are used for information sharing face of universal media efforts to create na- and emotional support groups (Finn, 1996). tional unity after 9-11, 71% indicated no in- Networks, Web sites, and online chat rooms crease in trust. Other polls and indicators are also can be used for community organizing. less optimistic than Putnam (Clymer, 2002). Since 9-11, hypersocial segregation has been maintained. Devolution of the welfare state PERSPECTIVES FOR PRACTICE with decreasing government general welfare As social workers become involved in devel- services and increasing privatization contin- oping new programs and services and re- ues unabated (Pear, 2002b). The affluent con- designing old ones, as they provide community tinue to receive disproportionate relief from education and client advocacy and help struc- taxes and public responsibility for the nation’s ture support networks, the models that follow welfare ( Johnston, 2002b). Corporate flag suggest the kinds of information, contacts, and waving is accompanied by relocations to off- activities we should consider in our practice.2 shore tax havens to avoid paying taxes in support of the war against terrorism and other assumed enemies of the homeland ( Johnston, The Community as People: 2002a, 2002c). Rules of secrecy are imposed A Sociodemographic View and due-process protections weakened in the name of homeland security, recalling a dark The U.S. Census Bureau collects, compiles, Vietnam War–era slogan of destroying the vil- and distributes a huge quantity of information lage to save it (Broad, 2002; Ignatieff, 2002). about the characteristics of the U.S. people and their activities. The annual Statistical Abstract of • The United States and the world are aging. the United States, for example, contains aggregate Americans are getting older and working information about the numbers of people, births, longer. The growth of an aging population be- deaths, homeownership, occupations, income tween 65 and 85 and a frail elderly population and expenditures, labor force, employment and over 85 is a significant factor in health and wel- earnings, health and nutrition, business enter- fare spending. The frail elderly, in particular, prise, manufacturing, and more. In addition, the require costly in-home and institutional sup- Census Bureau disaggregates information by port, as well as more complex and expensive census tract, its smallest spatial unit at the local medical care (Ginsberg, 1990). With a devolv- level. The local municipal or county planning de- ing welfare state and a privatization ideology, partment and local libraries usually have census despite the political power of the elderly, the tract information that reveals a good deal about security of Social Security and an improve- the composition and character of the local comment of elderly health care are at risk (Mitchell, munity. Thus one can learn about the ages, na- 2002). tionalities, average income, and educational lev- • The spiraling, totally pervasive, unbounded els of people in different local areas, for example, technological revolution in the United States and the data are available for comparative pur- and our love of it will continue. The wide- poses across census tracts and municipalities. spread increase in the use of computers and Comparisons can also be made for geographic THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 101 areas over time, so that community changes can (vertical patterns) institutions and organizations be examined. Social indicators of the relative to perform its locality-relevant functions (auton- well-being of a community can be developed, for omy), (b) the extent that the service areas of lo- example, by tracking crime statistics, infant mor- cal units (stores, churches, schools, manufactur- tality rates and various other health statistics, ing, and so on) coincide or fail to coincide, (c) and so on. The utility of sociodemographic in- the psychological identification with a common formation for social planning purposes and to locality, and (d) the relative strength of the rela- understand the community is readily apparent. tionships between local units (horizontal pattern And, as indicated above, how the U.S. Census Warren, 1978, pp. 12–13). Bureau chooses to divide people tells us some- Warren proposes five critical locality-relevant thing about the American community’s percep- social functions: (a) production-distribution- tion of itself. consumption, (b) socialization, (c) social control, (d) social participation, and (e) mutual support. These social functions are required for survival The Community as a Social System and perpetuation of a community and its members. A community fulfills the functions through The community as a social system essentially a pattern of formal and informal organizations views a community as a system of interrelated and groups. It should be kept in mind, however, subsystems that perform important functions for that while an organization or entity can be iden- their members. What differentiates the commu- tified with a primary social function and are dis- nity as a system from an organization that can cussed in terms of the primary function, such as also be construed as a system of systems is that a school system with the socialization function, a community’s subsystems are not rationally or- the same social units generally perform more ganized by a centralized authority and coordi- than one function. For example, a school pro- nated with each other to achieve a common goal. vides socialization but also provides jobs, op- Even if we think of the American community as portunities for social participation, and social a political jurisdiction, a city with a mayor and control. The units that provide these functions a city council, there are important subsystems may have local physical sites but may not nec- that are not subject to central control, such as the essarily be controlled by members of the com- nonprofit sector, the economic sector where mul- munity or be truly of a community. A super- tiple business firms produce and distribute nec- market can serve several different communities essary goods and services, or the underground and belong to a regional, national, or interna- economy. tional supermarket chain with interests adverse We use Warren’s (1978) conception of com- to the local community. A child protective ser- munity. It best serves our purposes of under- vice unit may serve several neighborhoods, but standing community for purposes of interven- the number of workers it can hire to meet the lo- tion on both micro- and macrolevels. Following cal needs and even its conception of child abuse Warren’s system analysis of the U.S. community, and neglect are controlled by state laws, the we may view the community as “that combina- state’s child welfare department, and federal tion of social units and systems that perform the grant-in-aid funding limits. major social functions having locality relevance” The community as a social system operates (p. 9). Warren conceived of community func- systemically, with its entities interacting and tionally as the organization of social activities to affecting one another. The entities and institu- afford people daily local access to those broad tional structures interact, shape, and contribute areas of activities and resources necessary in to shared purposes and support the capacity of day-to-day living. A community, in this defini- the others to accomplish their social functions. tion, has a locality but needs no well-defined ge- Each component of a system is necessary for the ographic boundaries. Social work is concerned system to achieve its purposes. All of the social with where people live and, more important, functions and social structures are interdepen- with the influences of where they live on how dent and impact on our well-being or welfare. A they live. Social work is immersed in people, school system’s capacity to educate, to socialize, families, social relationships and networks for is affected by its community’s economic viabil- education, jobs, and values, and how people ac- ity. In turn the school system contributes to the quire and maintain their social relationships and community’s economic and social viability. A networks. Communities can be compared on the poor community has greater demands for mu- dimensions of (a) the relative degree of depen- tual support, the welfare structures, but has less dence of the community on extracommunity capacity to provide mutual support. An affluent 102 COMMUNITY PRACTICE community has a capacity, but it may provide munity complexity and makes decision making mutual support only if its commonly socialized more remote from the individual. The local com- values support public welfare and voluntary munity and its welfare are unimportant to the giving. vertical entities. A particular local community is Before we consider each of the five functions simply one of many communities in its domain. in more detail, we need to lay a foundation by Interests are specialized by functions. Economic examining the concepts of vertical and horizontal entities are concerned with their economic in- integration, reciprocity, and social exclusion. These terest rather than with the local community’s are critical to understanding the great changes economic and social well-being. Vertically inte- within the functions and to community. grated communities have few definable geographic and social boundaries for functions, CHANGES IN COMMUNITIES FROM HORIZONTAL fragmented social relationships based on more TO VERTICAL SYSTEMS explicit social contracts, extensive divisions of Communities have undergone great changes labor, and secondary and tertiary modes of so- over the past half century, transforming from cial interaction. Individuals have a growing locality-focused and horizontally organized sense of isolation and increasing anomie with a communities emphasizing primary and holistic loss of community values to guide behavior. relationships and responsibilities to vertical in- With alienation and normlessness comes a loss tegrated communities. The terms vertical entity of local social control and a growth of splintered and horizontal entity describe the relationship be- life style and social identity with a growth of spe- tween the entity or organization and the local cial interests enclaves in an effort to recreate community, and not their internal structure. It is community within the amorphous national and important to determine whether an organization global social ecology (Bellah, Madsen, Sullivan, has a vertical or a horizontal relation to the com- & Tipton, 1985, 1991; Etzioni, 1993). munity. Horizontal organizations share the same Although our current political rhetoric is for geographic domain with a community and co- smaller, more local government and more indi- incide or fit within the community. Their ulti- vidual responsibility, our nongovernmental eco- mate locus of authority situs is within the com- nomic organizations are becoming larger; global; munity, and their relationship with community more remote from the individual; more intrusive is horizontal. They are on the same plane. The lo- on and dominant over the community; and more cality limited horizontal community was a commu- unregulated, controlled, and controllable. The nity where people lived and got their needs met community hospital and the independent fam- by structures and institutions that existed in the ily doctor have been supplanted by the propri- same community. Their hierarchical structure of etary and distant profit-driven national health authority and locus of decision making were at maintenance organization operating under man- a community level horizontal to one another and aged-cost principles. The mom-and-pop family their constituencies. The locality limited horizon- business has been replaced by the multinational tal community is becoming antiquated as the megacorporation. The global multimedia enter- community functions become global and in- tainment industrial conglomerate has deposed creasingly specialized in their divisions of labor, the local newspaper. Decision making for all complex and fragmented, and without congru- these structures is generally distant from the lo- ence with one another or for a locality. cal community of living and is based on nar- Vertical entities, organizations, and structures rowing economic self-interest rather than a con- are characterized by hierarchical levels of au- sideration of community well-being. We are thority and decision making beyond the local concerned with vertical and horizontal relation- community to regional, state, federal and na- ships because they influence the relationships tional, and international levels. The verticality of within and between communities: cohesion, the entity refers to its relationship with the local power, dependency and interdependency, com- community and the community’s capacity to in- munity commitment, and the capacity and will- fluence its decisional authority and rule making ingness of the organization to respond to local capacity. The decision making for a particular community change. Vertically related structures social function is beyond a local community and usually have less community interdependence has little interest in a particular horizontal local and cohesion. community. Decisions that affect one commu- As communities have become more vertically nity social function may not correspond geo- integrated, larger in terms of the base for fulfill- graphically or socially with decisions affecting ing the functions, the conception of locality has another social function. This creates greater com- expanded. Today the community for some of the THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 103 functions is national and often global. Not only States and Europe. Social exclusion “restrict[s] or is the economy global, but social welfare, so- den[ies] people participation within society. . . . cialization, and social control entities are also Individuals or groups are wholly or partially ex- global. With the expansion and complexity of cluded from full participation in the society in community, unfortunately, as Nisbet (1953, p. which they live . . . [and represent] a failure or 52) has stated, “For more and more individuals inability to participate in social and political ac- the primary social relationships [of community] tivities” (Berry & Hallett, 1998, p. 2). have lost much of their historic function of me- Social exclusion relates to individual social diation between man and the larger ends of our marginalization and alienation. Social exclusion civilization.” A primary criterion in assessing is the flip side of the French concept of social sol- whether an organization or agency has a verti- idarity. Social exclusion can affect others besides cal or horizontal relation is the ultimate locus of the poor if they are prevented from integrating authority and a local unit’s decision-making themselves within the community, but the poor ability to commit resources to local community tend to be the most structurally socially ex- interests. A practice task for the community cluded. Social exclusion appears to be a by-prod- practitioner, in addition to assessing whether the uct of the globalization by which most of us are entity is a vertically or horizontally related en- excluded from its economic and political deci- tity, is to develop a relationship with more hor- sional processes (Room, 1990; van Deth, 1997). izontal character with greater power equivalency and interdependence, with these vertically related entities. COMMUNITY FUNCTIONS Production-Consumption-Distribution RECIPROCITY Community cohesion requires reciprocity and Production-distribution-consumption (P-D-C) responsibility commensurate with individual is the system of organizing individuals and other rights and benefits. People need to give to the resources for the production and distribution of community on the basis of what they get from goods and services for their consumption. P-D-C the community. This extends beyond the sim- is the economy. It is the most basic community plistic, though important, notion that public wel- function. Heilbroner (1962, p. 5) has pointed out fare recipients should reciprocate for the assis- that societies and communities must meet only tance received from the community. It includes two fundamental and interrelated needs to sur- obligations of the affluent to reciprocate the vive in the short run: community for their prosperity. Global corporations have an obligation to all the communities 1. They must develop and maintain a system for where they operate at least equal to the gains producing the goods and services needed for they make. Adam Smith (1922), hardly a collec- perpetuation, and tivist, advocated proportionate reciprocal com- 2. They must arrange for the distribution of the munity responsibilities: fruits of production among their members, so that more production can take place. The expence [sic] for defending the society . . . are laid out for the general benefit of the whole A community must meet its current and the society. It is reasonable, therefore, that they next generation’s need for goods and services. If should be defrayed by the general contribution the next generation doesn’t have consumption of the whole society, all the different members con- needs met, there will be no succeeding genera- tributing, as nearly as possible, in proportion to their tion of producers and hence no continuation of respective abilities. The subjects of every state ought community. Without production and its distri- to contribute towards the support of the government, bution, there is no consumption. Without pro- as nearly as possible, in proportion to their respec- duction there is no mutual support. Without tive abilities; that is, in proportion to the revenue consumption there is no energy for socialization, which they respectively enjoy under the protection social control, social participation, or produc- of the state. [italics added] (pp. 300, 310) tion. P-D-C therefore is necessary for a community’s survival, but it is not sufficient. Commu- SOCIAL EXCLUSION nities are so much more than economic systems. The growth of the global turboeconomy and P-D-C doesn’t require a particular economic vertically structured communities is accompa- system or model. Economic systems are social nied by increasing social exclusion in the United inventions to support the production, distribu- 104 COMMUNITY PRACTICE tion, and consumption of goods and services by various social roles that the society provides” the community. P-D-C’s organization is highly (Warren, 1978, p. 177). Socialization is necessary flexible. The models can range from a wide va- for people to gain a shared set of values. It’s a riety of collectivist approaches ranging from the lifelong formal and informal process of learning family through to nation-state collectivism on social values, constructions, roles, and behav- one hand to individualistic laissez-faire and iors. It’s how we learn how and what to think wanton corporate capitalism on the other. The and do. The community is the primary arena that extremities and all the models in-between are so- instructs in the particular structures and stric- cial inventions. Any single model does not rep- tures of social behavior for that community. resent the natural order of things or a higher Socialization initially was the responsibility of progression of humankind. Laissez-faire and such primary and secondary social entities as the corporate capitalism are social inventions of family, religious bodies, informal peer groups, fairly recent historical vintage. Adam Smith’s and, historically more recent, the tertiary insti- classic and seminal work on capitalism, An In- tution of schools. However, these primary and quiry Into the Nature and Causes of the Wealth of secondary associations now have lost their grip Nations, was first published in 1776. In passing, on socialization. Control of socialization in the it must be noted that Dr. Smith’s concern was contemporary community has moved beyond the wealth of nations as communities, and not the local community and its structures to be- with individuals or corporate wealth. A P-D-C coming the province of vertical, privatized, and system is to serve a community’s needs, rather proprietary structures. Education, religion, en- than as it currently often appears, for a commu- tertainment, and information are no longer local nity to serve an economic system’s needs. This but national, global, and proprietary. The com- axiom is ignored by an unbridled market eco- mercial, monopolistic, and global media, the nomic system that fragments, if not destroys, Web, and the Internet are now significant in- community cohesion and values. struments of socialization. Young people spend P-D-C is becoming increasingly vertical with more time with television and video/computer a concurrent distancing of decision making from games than with family, religious groups, or the community and the individual. Decisions are schools. The values imparted are the values of made without much regard for the community’s the media’s proprietors and not necessarily a interests and needs. As we move more totally to community’s values. These values will become global, highly vertical, economic structures, we the community’s values as young and not-so- should keep in mind several propositions: young Americans learn them (Stein, 1993). Tele- vision and the other components of an increasingly monopolistic global media (“The Big 1. Economies are social creations and are not Media,” 2002) are most concerned with attract- created by nature. ing viewers for advertisers and with shaping 2. No economic system has greater inherent public opinion to support their sponsors’ ideol- morality than other systems. Its morality is ogy. Socializing to community values, educat- determined by how well it serves its commu- ing, or transmitting information has given way nities. to tactics for luring viewers. If ready random sex, 3. Economies serve communities rather than frontal nudity, frequent violence, reality televi- communities existing for economies. sion, and entertainment news attracts viewers, so 4. While the structures for production-distribu- be it regardless of their socializing implications. tion-consumption—the economic system— Schools sell information systems, use commer- are necessary for community viability, eco- cially sponsored closed circuit television for in- nomic systems alone are insufficient for a struction and fast food franchises for food ser- viable community. The other functions also vice, sell naming rights to national corporations, must be fulfilled. and buy commercially packaged teaching packages and tests (Metcalf, 2002). Privatized and proprietary profit-driven school systems are Socialization touted as educational reform. The goal of public education of creating community has been re- Socialization is a process “through which in- placed by pecuniary motives. dividuals, through learning, acquire the knowl- Without strong socialization to a congruent edge, values and behavior patterns of their so- and shared set of values, there is no internal con- ciety and learn behaviors appropriate to the trol of behavior based on these values. Without THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 105 internal behavioral control, there is a greater must be maintained for social order. These con- need for an imposition of external social control trols are most represented by the regulatory to regulate behavior. powers of the state’s legal system and extragov- ernmental groups usurping the power of the Social Control community. External social controls represent a failure of socialization. The growth of external Social control is those processes communities and imposed social controls is an argument for use to obtain compliance with their prescribed improving socialization to a common set of com- and proscribed social roles, norms, and behav- munity values. iors. Social control is inherent in the community But as we have seen, socialization by commu- and society. They enter every aspect of orga- nities has weakened and they have become more nized human activity. The concept is inherent in vertical, more sophisticated, more interdepen- the notion of social living. Without social con- dent, and more pluralistic. The rules of contract trols, there is chaos. The question is not whether and law have replaced the more informal means a community will regulate and control its mem- of social control through socialization. Tertiary bers’ behavior, but how it will regulate and con- and vertical social control systems have led to trol and for what reasons? formal limits on individual freedom and an ex- Behavioral control can be done in two ways: pansion of government and corporations into (a) by internal controls developed through so- people’s personal lives justified as a community cialization processes and (b) by external social good and security. Constraints on personal free- controls with a system of allocating rewards for doms and local community authority have been ascribed and acceptable behaviors and punish- constrained by a national government since ments for forbidden behaviors imposed by the 9-11, excused by and claiming that they are pro- community. Most social institutions perform tecting us from terrorism and preserving the some social control function. Trattner (1999) in- American way of life. Again, we are burning vil- cludes social work and social welfare as social lages to save them. The state too frequently re- control agents. Trattner sees social control as neges on its social responsibilities for the public “those processes in a society that supported a good and—as a creature of the community—is level of social cohesiveness sufficient for a soci- abandoning its socialization responsibilities. In- ety’s survival, including measures that enabled stead, it is using draconian social control ap- the needy and the helpless to survive and func- proaches such as the ineffectual “three-strikes- tion within the social order—the very things and-you’re-out” prison sentencing, a ready use we now call social work or social welfare” of capital punishment, imprisonment for mental (p. xxvii).3 illness and drug use, limiting constitutional pro- Etzioni’s (1993) communitarianism discourse tections, and commercializing social control with offers that when external social control is neces- the privatization of police and prisons. Law en- sary, it is done best by primary groups in the forcement and corrections are growth industries. community: SOCIAL PARTICIPATION We suggest that free individuals require a com- Social participation is the essential community munity, which backs them up against en- function that allows and requires its citizens to croachment by the state and sustains morality participate in the life and governance of the by drawing on the gentle prodding of kin, community if they and their community are to friends, neighbors and other community mem- be socially healthy and competent. Fellin (2001, bers rather than building on government con- pp. 70–71) defines community competence as trols or fear of authorities. . . . No society can func- “the capacity of the community to engage in tion well unless most of its members ‘behave’ most problem-solving in order to achieve its goals.” of the time because they voluntarily heed their moral Various parts of a community collaborate, share commitments and social responsibilities. (pp. 15, 30, decision making and power and work together italics original) to address community needs. Community competence is enhanced when there is community- If socialization and civic society are weakened, wide participation in decision making. Social more demands are placed on social control struc- participation is the core of community practice tures external to the individual in an extremely and the social component of social work prac- heterogeneous and differentiated community. tice. It is essential to participatory democracy. As solidarity wanes, external social controls Social participation is indispensable to amelio- 106 COMMUNITY PRACTICE rating possible adverse and arbitrary effects of a generally favor the economic interests of the community’s social control institutions and poli- elites who control both government and the eco- cies. It is the restorative to social marginaliza- nomic institutions.4 tion. The very concept of community entails Full social participation requires civic partici- direct and unbuffered social interaction and in- pation in the governance of local and national volvement by its members to develop commu- communities. The core and necessary trait or nal character and to transmit and implement concept is primary and secondary participation communal values. rather than just checkbook membership (Ladd, Social participation entails social structures 1999, p. 16; van Deth, 1997). that develop, maintain, and regulate communal Social and civic participation is especially crit- life and the other community functions of P-D-C, ical in democratic communities. Democracies, socialization, social control, and the next com- especially in a diverse megastate, depend on munity function of mutual support. It ranges their many organizations to influence policy. If from participation in informal primary and sec- people do not participate in this process, they ondary group activities to civic participation in are essentially excluded and not considered in the community’s more formal tertiary rule mak- the rule-making processes of government. In ing and governance. democracies, as Phillips (1990) has observed, the Civic participation has become more remote government’s interests and policies reflects the and fragmented with industrial society’s sepa- interests of those who select the government: ration of work from home, extension of the com- “Since the American Revolution the distribution munity’s physical-geographic boundaries, and of American wealth has depended significantly movement to a contract society. Social interac- on who controlled the federal government, for what tion and participation is more complex and dis- policies, and in behalf of which constituencies” tant, intricate, socially isolating, and detached. (p. xiv, italics original). Tertiary social structures of larger and more im- Democracies depend on multiple levels of or- personal communities have replaced direct, in- ganizations. An individual voter exerts very lit- tegrating, and bonding social interactions. Town tle political influence in the act of voting, al- meetings, informal face-to-face discussions and though an individual with great economic and debates as consensus-building modes of politi- social resources can have influence in other cal interacting have been replaced by political ways. The individual voter can share political in- parties, extensive media political advertising, fluence through mediating organizations. The political action committees (PACs), public opin- totalitarian danger of mass society, according to ion polls, impersonal media talk shows, and the McCollough (1991), lies less in a dictator’s seiz- virtual reality and chat rooms of the internet. ing control of the governmental apparatus than These allow politicians to bypass the mediating in atomizing effects of mass society arising from structures of associations, include grassroots po- the vacuum of community where nothing stands litical parties, and appeal directly to the voters. between the individual and the state. Social and The mass marketing approach reduces the me- civic groups are an important influence on gov- diating function, reciprocity, and community ac- ernment. These structures and interests compete countability mechanisms. Participation in these for resources. They differ in influence on a vari- more impersonal and technological modes may ety of factors, not the least being a willingness be virtual but contribute little to the social in- to develop and use influence. vestments, social capital, and reciprocity necessary for a community’s social cohesion. VOLUNTARY ASSOCIATIONS The current decline in social participation and A remedy against social atomization and so- engagement within communities and an impo- cial disintegration characteristic of mass societies tence of the political system are a cause of seri- is, of course, the active membership of individ- ous social problems. The decline of civic partic- uals, especially including our clients, in all kinds ipation, including voting, by the poor, the of voluntary associations (van Deth, 1997, p. 5). working class, the middle class, and the young Voluntary associations provide the opportunity is accompanied by a diminished government in- to meet and network with new people, learn to terest in and responsiveness to the interests of work with them, expand reciprocity that inte- these community strata. This decline enhances grates society, develop social and civic engage- their social marginalization and eventually so- ment skills, and expand social supports that re- cial exclusion. It also accompanies the relative duce the impact of mass society. Participation economic decline of these groups. Governments breeds participation. People who participate THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 107 tend to participate even more and have more so- sumers have no influence. A single, multina- cial and political participation opportunities. tional and multifunctional corporation has great Without participation on the level of association, influence. Without mediating structures, an in- an individual is limited in most forums of civic dividual is relatively powerless compared to the participation. Associations provide the individ- megainstitutional structures of government and ual with a network of contacts, whether or not commerce. With mediating structures, individu- the associations are overtly political. Van Deth’s als can aggregate influence. The organizations, metaresearch led him to conclude that social par- associations, and coalitions serve as mediators as ticipation and political behavior had a clear and well as action groups in dealing with megacor- direct relationship, “even when socioeconomic porations and the megastate. status or political orientation are taken into ac- Mediating structures need to be as continuous count” (1997, pp. 13–14). Political and social paras are the megastructures. They need to parallel ticipation reinforce one another (Dekker, Koop- the megastructures. However, there is a risk that mans, & van den Broek, 1997; Moyser, 1997, a continuous mediating structures will follow p. 44). a developmental course similar to that of the megastructures and become impersonal, impos- MEDIATING STRUCTURES ing megastructures themselves (Maloney & Jor- Increasing social participation is a critical so- dan, 1997). This seems to be the path of mediat- cial work task. It is vital to countering complex- ing structures such as labor unions, political ity and size. Community-based associations are parties, and large voluntary checkbook mem- mediating structures and act as buffers between bership associations such as the Red Cross. the individual and the uncongenial, complex Social participation’s relevance for social work megastructures. They are necessary to protect practice is explored more fully in the practice ar- the individual and democracy from the imposi- eas of community organization, networking and tion of the megastate and megacorporations of a coalition building, and community social case- global turboeconomy. They provide the indi- work. Clients need social participation and to be vidual with protective zones (P. L. Berger & brought into civic associations and coalitions. Neuhaus, 1977, p. 2; Nisbet, 1953; van Deth, 1997, Integrating clients into community-based social p. 6). Voluntary associations as mediating struc- support networks and organizations allows tures are an anodyne to the social fragmentation, clients to be in contact with a range of social sup- atomization, and social disintegration character- port resources, provides social structures for rec- istic of our mass societies. Ladd (1999) points out iprocity, and provides opportunities for social that “joining face-to-face groups to express and political empowerment. Grassroots com- shared interests is a key element of civic life. munity organizations need to coalesce and form Such groups help resist pressures toward ‘mass mediating structures for individuals to manage society.’ They teach citizenship skills and extend a global economy. Social workers need to pro- social life beyond the family” (p. 16). People who mote local and national participation of com- participate in voluntary organizations have munities/constituents as social and political ac- more civic trust (Moyser, 1997, p. 43). Examples tors rather than as customers or consumers. of mediating structures are family, churches, ad- Socially marginalized clients need linking to lo- vocacy groups, labor unions, support groups, cal and global networks of organizations (van and neighborhood associations. Deth, 1997, p. 3). Social welfare organizations and social welfare professionals hold some po- Individual Ǟ Mediating structure Ǟ tential as positive mediating forces if they can Society’s megastructures and institutions develop the fortitude and skills to intervene With a global turboeconomy populated and against the excesses of corporate and social dominated by megatransnational corporations, conservatism that has captured the state and individual, independent consumer competition community. becomes less relevant to market functioning. Just as an individual voter in a megademocracy is essentially powerless to influence the political Mutual Support marketplace, an individual consumer has little power to shape the marketplace. Competition in The mutual support function, the social wel- the classic sense of no single or few vendors or fare function, is the community’s provision of purchasers able to highly influence or control a help to its members when their individual and market is an archaic concept. Individuals as con- family needs are not met through family and 108 COMMUNITY PRACTICE personal resources. Mutual support is helping the poor and welfare clients. Civic participation one another in time of need. Primary and sec- creates networks and social bonding necessary ondary groups—family, neighbors, friends—tra- for social support. It provides an opportunity ditionally provide the first line of social support for reciprocity and gives them a claim and and protection. As communities have become mechanisms for exercising the claim based on more complex, more secondary groups and ter- reciprocity. tiary formal organizations have been developed Inherent in the development of cohesion nec- to perform these functions, such as governmen- essary for mutual support is trust and bonding tal agencies, for-profit and nonprofit health and between people. People need trust to avoid the welfare agencies, other proprietary organiza- free riders and the sucker’s challenge (de Jasay, tions such as insurance companies and day-care 1989). The 2001–2002 Northeastern United centers, and a host of voluntary, nonprofit orga- States drought illustrates a free riders and suckers nizations such as burial societies, credit unions, quandary. The drought was the area’s worst in and child care co-ops. The helping structures over 60 years. The region needed to conserve wa- may be temporary or permanent. Mutual sup- ter. Individuals were asked to sacrifice for the port helps to delineate a community from a sim- sake of the community and limit all water use. ple aggregation of people. Under this conception However, the logic of individualism versus of mutual support, social welfare is caring for community interest presented the following others by virtue of their membership in the quandary: It is in my individual interest to community. shower daily, water my yard, and wash my car. The functional and systemic questions of My use will only marginally decrease the re- membership are embedded in the construction gion’s supply. I am better off and no one else is of community and its cohesion. Fullinwider appreciably worse off, if all others follow the rules. (1988) argues, “We almost never encounter peo- I’m, however, a free rider. If they don’t follow ple, even strangers, whom we think of as ‘sim- the rules and I use the water, I did not make the ply humans’; we encounter fellow citizens, core- situation appreciably worse. I’m only following ligionists, neighbors, historic kinsmen, political the behavior of the collective, and the collective confederates, allies in war, guests. Our typical made it worse. I’m temporarily better off and the moral judgments and responses are almost al- collective no worse off. But if most others don’t ways made in the context of some connection be- follow the rules and conserve water and I do, tween us and others that goes beyond being I’m the worst off. They are better off in the short members of the same species” (p. 266). run, although probably worse off in the long run The community citizenship question for mu- than if they had conserved. Me, I’m worse off tual support is whether a membership require- both in the short and long run. I’m a sucker. ment is that one be a citizen of the political en- The free riders and suckers quandary is the tity such as the United States, Maryland, or tragedy of the commons argument made against Baltimore, or that a member of the community the welfare state (Schmidtz, 1991). The tragedy is someone identifying with and identified by of the commons argument, simply stated, is that the community as one of them. The question re- if we all can have our needs met by doing noth- lates to conception of community and the coming—the use of the commons or communally munity cohesion requirement for mutual sup- held resources such as the water—there is little port with minimum coercion. If membership is motivation for each of us to develop either indi- legal citizenship of a state and not simply func- vidual or collective property or exercise con- tional membership in a community, then coer- straint. We individually will be no better off. If cion probably plays a part in the process of the individual does not get his or her needs and mutual support. If functional citizenship in a preferences met from the commons, someone community is required of welfare recipients, else may use or consume the property, thus leav- then community responsibility and reciprocity is ing nothing for the first individual or for future inferred. California’s 1994 proposition and 1996 generations. Personal denial ensures that our federal welfare reform excluding illegal aliens, current needs will not be met, and it doesn’t en- and in some cases legal aliens, from public mu- sure that our future needs will be met or that fu- tual support and the Bush administration’s de- ture generations’ needs will be met. The com- nial of constitutional protections to aliens emmons can perpetuate itself only when all are in phasize the legal citizenship definition over harmony and act in common. In other words, functional citizenship conundrum. there must be strong community. We are back, again, to the importance of civic The fear of a tragedy of the commons is evi- participation by all in a community, especially dent in our public health and welfare policies THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 109 and programs. We do not feel responsible either This presents the issue of cohesion discussed as donors or as recipients. As donors, we resent above. We live in many communities and feel to- the intrusion of the state on our resources and tally a part of none. Barry Wellman’s (1999, pp. its making us share them with people who con- 97–100) analysis leads him to conclude that we tribute little to our well-being. We have little in the Western, largely urban world live in a new bonding with the recipients as individuals or type of world of loosely coupled communities. Its concern about them as fellow community mem- new community characteristics are as follows bers. If recipients have little sense of communal (Wellman, 1999, pp. 97–100): responsibility, they are marginalized and excluded. If mutual support recipients, whether 1. Community ties are narrow and relationships from welfare, education, health, or disaster re- are specialized and not broadly supportive; lief, fulfill no public or common good, if they 2. People float in sparsely knit, loosely bounded, demonstrate no communal responsibility and frequently changing networks and not make no contributions to the commons or pru- wrapped up in traditional cohesive, tightly dently use it, then they are free riders. And if bound communities; recipients are free riders, then donors—the taxpayers and those who are communally respon- 3. Communities are not neighborhood bound sible by not exploiting the commons—are suck- and have become dispersed networks that ers. If we as donors view recipients as free riders, continue to be supportive and sociable; then we must view ourselves as suckers. If we 4. Private intimacy has replaced public sociabil- do not wish to remain suckers or to view our- ity, for example, homes have replaced pubs selves as suckers, we must rid the community of as a place to see people; free riders. This is called welfare reform in cur- 5. Communities have become domesticated, for rent political rhetoric. example, women have replaced men at the Trust is imperative in avoiding the free riders/ center of community life. suckers dichotomy and tragedy of the commons. 6. Political, economic, and social milieus affect Trust and bonding are dependent on some mu- the nature of communities; and tual identity. Trust stems from community. It involves commitment to others (Haley, 1999). 7. Cyberspace supports globalized communi- Trust and mutual identity are diminishing fac- ties. tors in the relationship between U.S. citizens and people globally. The implications for societal changes is that as A welfare state exists where state or public ap- we lose the cohesive traditional community, new pliances provide mutual support. The welfare models of communities are being formed. Pro- state provides a public structure and resources ponents argue that rather than lament fewer for mutual support and community building in bowling leagues and a loss of a pub-culture ca- response to the impersonal social contract of an maraderie, we should appreciate coming to- industrial society. When there is a reliance on gether in new ways through the Web, use the In- state appliances for mutual support without an ternet to find each other, and recognize that we underlying sense of community, community co- participate differently in civic and community hesion, and trust, there is a general increase in life (Kirchhoff, 1999; Ladd, 1999: Oldenburg, using social control for and in implementing mu- 1999). Electronic linkage in a cyberspace com- tual support. Vertical approaches relying on munity reduces isolation (Uncapher, 1999). taxes and transfers instead of community cohe- Internet support groups whose members are sion are used. dispersed geographically but share narrow interests provide some of the functions of natural helpers and community face-to-face support Communities as Local, Global, groups (Wellman & Gulia, 1999). The propo- or Virtual Networks nents of the loosely coupled new community conception hearken back to Nisbet, who, over a Bennett Berger (1998) provides a contrast to half-century ago in The Quest for Community the traditional idea of integrated, broadly sup- (1953), argued that freedom came from multiple portive, tight-knit communities with our mod- associations and authorities. Thus, “while the ern sense that people have “limited, partial, seg- best life was to be found within community, peo- mented, even shallow, commitments to a variety ple should not limit themselves to one commu- of diverse collectivities—no one of which com- nity. They should experience many communi- mands an individual’s total loyalty” (p. 324). ties” (Brooks, 2000, pp. 244–245). 110 COMMUNITY PRACTICE

The Community as an Arena of Conflict is the capacity to produce intended and foreseen effects on others. Power has the intent of change Viewing the community as a social system has in a particular way with the expectation of par- some built-in biases that make it insufficient by ticular results (Willer, Lovaglia, & Markovsky, itself to serve as a framework for social work 1999, p. 231; Wrong, 1979). Some social scientists practice in the community. The systems per- use influence as a more inclusive and nuanced spective’s basic bias assumes a set of integrated concept than power. Willer, Lovaglia, and subsystems working together for the benefit of Markovsky (1999, p. 230–231) define influence as the whole. But what happens when there is dis- the socially induced modification of beliefs, atti- agreement between powerful groups in differ- tudes, or expectations without a use of sanctions ent subsystems or when the whole and some of and regardless of intent or effort to make change. its subsystems disagree? We know, for example, We can influence behavior in certain directions that it is often the case that minority groups’ even when it is not our intent to do so. fundamental interests are not acknowledged or Even for very powerful individuals and taken adequately into account by the majority groups, however, power is seldom unlimited. group. The good of the system as a whole—that Some authors therefore suggest that power can is, the inclusive community—does not necessar- be usefully viewed as a medium of exchange, a ily mean the good of all of its subsystems. How commodity that can be invested or consumed is the conflict perceived, and how should it be depending upon gains or losses (Banfield, 1961). resolved (Warren, 1978)? The perspective of Jean Baker Miller (1983) offers a more feminist community as an arena of conflict suggests that conception of power. She defines power, similar conflict and change are characteristic of U.S. to influence, as “the capacity to produce a communities and that the process of determin- change—that is, to move anything from point A ing the public interest therefore involves conflict or state A to point B or state B. This can include and negotiation as much as it does rational plan- even moving one’s own thoughts or emotions, ning, collaboration, and coordination. Issues of sometimes a very powerful act. It can also in- power do not seem to enter into the systems per- clude acting to create movement in an interper- spective, but viewing the community as an arena sonal field as well as acting in larger realms such of conflict brings power and politics to the fore. as economic, social, or political arenas” (p. 4). We are forced to ask a variety of questions. What In this view, fostering another’s growth or in- does it mean to say that the community has a creasing another’s resources, capabilities, and ef- collective identity? How do we take into account fectiveness to act exercises power. People who community differences in values and beliefs, nurture, socialize, and educate—parents, teach- goals, and interests? Does the community have ers, social workers—hold and can exercise a great an overriding public interest, and, if so, how is deal of power. This is quite different from a mas- that public interest determined? Who is influen- culine conception of power that often involves tial? Is the public interest synonymous with the limiting or controlling the behavior of others. interests of the most powerful people in the Most theorists distinguish power from author- community? To answer these questions, we must ity, defining authority as legitimated power that turn to conceptions of power and power structure. has been legally, traditionally, or voluntarily granted to the holder of a particular position, POWER AND COMMUNITY such as a corporate CEO, an elected govern- Most definitions of power stem from the mental official, or royalty in traditional societies. Weberian notion that power is “the chance of a In the U.S. form of democracy, authority is man or of a number of men to realize their own granted to various elected officials to enact laws; will in a communal action even against the re- to executives to carry out the business of the sistance of others who are participating in the ac- state; and to the courts to interpret, arbitrate, and tion” (Gerth & Mills, 1958, p. 180). In other enforce the laws in a tripartite system of bal- words, power is the ability to get what you want anced powers. In traditional societies with caste when you want it, despite the opposition of and class structures, higher classes and castes other people, and in this case the you is a decid- have authority over lower classes and castes by edly masculine pronoun. As Box 4.3 indicates, virtue of their positions. The distinction between power is varied. Generally people exercise power authority and power notes that, while authority to gain more and give less than those over whom is a form of power, not all persons in authority power is exercised. Power is about gaining and are powerful, and powerful persons exist apart losing, about control (Willer, 1999, p. 2). Power from authorities in any social system. Other than THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 111

BOX 4.3 FACETS OF POWER IN OUR WORK

Power is the ability to control one’s own destiny domain. [Inter]personal power is the ability to and the ability to form support systems that af- influence the human surround, and it is depen- fect one’s life. Power has three dimensions: per- dent upon social competence, on the ability to sonal, interpersonal, and political. The work of interact effectively with others. Political power psychologist Robert White [enhances] and un- is the ability to alter systems, to bring about some derstanding of personal power. . . . [He] has sug- change in social structure or organization, to re- gested that all human beings have a basic drive, distribute resources. which he calls the effectuance drive, a drive to Source: Excerpts from a speech by Ann Hartman, then editor experience oneself as a cause, to interact effec- of Social Work, at the Integrating Three Strategies of Family tively with the environment—in other words, to Empowerment, School of Social Work, University of Iowa, experience oneself as having power. 1990. Interpersonal power is closely related to personal power because it carries it into the social

formal authority, the sources of power are mul- trol public decision making in their own inter- tiple, including access to and control of strategic ests. Citizen participation, in this conception, is information, economic resources, connections to limited or ineffectual, or both. We cover this the- other powerful people, charisma, intelligence, ory more fully in Chapter 5. wisdom, age, and more. Mills (1956) contends that the structure of Finally, some theorists differentiate between power in the United States resembles a pyramid reputed or potential power and actual power. We with three levels (Kornhauser, 1968). At the top argue that power exists in its use. Potential is the power elite, a group composed of the lead- power is only powerful in the threat to exercise ers of (a) giant corporations, (b) the executive it. If a threat to use it serves to constrain the ac- branch of the federal government, and (c) the tions of others, it is power. The classic example military. This group controls large national is the labor union, which has the power to strike. and multinational corporations and their corre- The potential for a strike often acts as a stimu- sponding public organizations. They control the lus to negotiation and a resolution of differences. means of political power, production, and de- An actual strike, should it occur, is sometimes struction. Those who make the big decisions are difficult to sustain and is often costly, so in this almost exclusively male and white, especially in case a threat may be more potent than the real- economic and foreign policy. They have the ity. Or the capacity of bosses to fire can keep a power, through the control of dominant institu- workforce docile, even though workers may tions and the media, to manipulate public opin- rarely be fired. ion and ensure that the rest of society accepts their decisions. The 2000 presidential election POWER DISTRIBUTION with the U.S. Supreme Court intervention and Turning now to the matter of public interest, national politicians in the service of corporate the question of whether there is such a thing as and economic elites lends support to this version community decisions and who makes them is of elite theory. complicated. Communities can seldom express Although this group is not an economic class a clear and overwhelming pubic interest because in the traditional Marxist sense, it does share they are composed of competing interests and common values, interests, and experiences and because resources are limited. The public policy does comprise a U.S. and global ruling class. Sur- process invariably favors some interests, those rounding this power elite is a circle of syncopates of the elites, over others. The question, though, who are advisers, technical experts, powerful is “Does the process always favor the same politicians, regional and local upper classes, and interests?” celebrities. Some eventually may be elevated to The gist of elitist theory is that community life the top level. is dominated by a small group of people with The second tier of the pyramid, at a middle sufficient economic and political power to con- level of power, consists of a variety of special in- 112 COMMUNITY PRACTICE terest groups, such as labor unions, media, reli- sumption of a stable coalition or set of coalitions gious and professional associations, and farm or- in the community is inaccurate. Third, they con- ganizations that struggle with modest influence tend that the elitists wrongly equate reputed only within the parameters established by the (and positional) power with actual power. power elite. Power does not exist until it is actually exercised Unorganized mass society falls into the bot- successfully. tom level of the pyramid—the majority of the In contrast to the elitists, the pluralists propose populace—with little power over the decision that power is distributed among many different makers at the top; it is those in this level to whom organized groups, with control shifting depend- the top leaders send orders, information, and ining on the issues. Citizens participate in the pub- terpretations of events. This base is becoming lic policy process through a variety of interest more socially marginalized and excluded. From groups. Because individuals potentially have the an elitist perspective, top leaders determine the freedom to organize a group and compete in the fundamental direction of public policy and policy arena, differences can be resolved amica- shape the public interest to coincide with their bly. The political system therefore operates interests. much more democratically than the elitists A number of studies using reputational meth- would have us believe, the public interest being ods (Hunter, 1953) have found evidence of an whatever comes out of the pluralistic melting pot elitist power structure in both smaller and larger after the process is completed. communities, although the makeup of these David Riesman (1951) argued that the power structures does not strictly follow Mills’s con- structure pyramid has only two levels, corre- ception. Numerous studies have also found the sponding roughly to Mills’s bottom two tiers. members of this group to be related by social There is no power elite. “The upper level of the class (Domhoff, 1967, 1974, 1990). The reputa- Riesman’s pyramid consists of ‘veto groups’: a tional method essentially involves asking many diversified and balanced body of interest people (who are in a position to know) who they groups” (Kornhauser, 1968, pp. 39–40). Each think the top community leaders are. Names that group mainly wants to protect its own power frequently recur are selected as the top leaders. and prerogatives by blocking the efforts of other Then, through interviews and further commu- competing groups. There is no dominant ruling nity investigation, the researcher begins to sort group. Instead there are multiple power centers, out the extent of these leaders’ influence, how thereby creating a much more amorphous struc- they exercise power in the community, and their ture of power. The lowest level of the pyramid, patterns of interaction with each other. as with Mills, consists of an unorganized mass A variation of the reputational approach, the public, but in this case the public is pursued as positional method, has also been used in studying an ally rather than dominated by interest groups community power structures. This approach in their struggles for power (Kornhauser, 1968). identifies power in terms of the positions that Therefore pluralist power figures are potentially various people hold in the community. Essen- more responsive and accountable to the major- tially the researcher identifies the major organi- ity of citizens than are elitist power holders. zations active in the different sectors of commu- Elitist theories imply that democracy is at best nity life, then identifies the occupants of the top a weak institution or at worst a sham altogether, positions in these organizations, and finally because the public interest is basically deter- checks for overlap to pinpoint the most power- mined by a relatively small (though not neces- ful individuals (Meenaghan, Washington, & sarily conspiratorial) group of powerful leaders. Ryan, 1982). Pluralist theories suggest that the political pro- Pluralist theorists have strongly criticized the cess is complex and increasingly remote due to elitists along three lines. First, they argue that the the large number of interest groups protecting basic premise of an ordered system of power in their turf and struggling for power. Because it is every human institution is faulty. Researchers so hard to get anything done, leadership is weak- who begin their studies by inquiring, “Who runs ened and political alienation begins to set in. this community?” are asking a loaded question. Whether an issue involves the community (or The question assumes that there is a particular the country) as a whole, no individual or group structure of power, and therefore that the re- leadership is likely to be very effective due to the searchers are sure to find it. Second, it argues presence of entrenched veto groups. Consider, that the power structure is not stable over time, for example, the battles to enact health care leg- as elitists suggest, but rather is tied to issues that islation during the Clinton administration. For can be transitory or persistent. Therefore the as- Banfield (1961), this struggle leads to public de- THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 113 cision making that is seldom the result of delib- ganizations. As communities become larger, erate planning. For Lindblom (1959), it leads to more complex, and their institutions vertically “disjointed incrementalism.” integrated, power is exercised by a loose net- In order to demonstrate how power is exer- work of compatible interests rather than a small, cised in the community and by whom, pluralist tight cabal. Powerful corporations and their theorists turn to the analysis of concrete issues need to maintain a stable business market and under lively contention (issue analysis method). the growing power of government in American Thus the pluralist researcher goes about the in- life have led power structure theorists to focus vestigation by (a) selecting a number of key ison networks of organizations as sources of wide- sues, as opposed to routine political decisions, spread and enduring power (Perrucci & Pilisuk, to study; (b) identifying the people who took an 1970; Perrucci & Potter, 1989). Through such active part in the decision-making process; (c) arrangements as interlocking boards of direc- obtaining an account of their actual behavior tors and government-corporation executive ex- while the policy conflict was being settled; and changes, interorganizational (IO) leaders can (d) analyzing the outcomes of the conflict to de- mobilize the resources of a network of organi- termine who won. zations (including governmental-military-media) There are several lines of criticism of the plu- to influence public policy. With the vertical ralistic approach. One main criticism is that the structuring of society, these sorts of IO arrange- pluralists present a rather idealized version of ments operate on the local level as well as state, the political process. Since interest groups can- national, and global levels. In the final analysis, not be easily organized and sustained without it is not the specific people who occupy the or- many resources, a large part of the community ganizational linking roles that are critical. The cannot participate. Furthermore, the notion that people change. It is the elite interests that shape the pluralist process operates amicably and ef- the IO networks that represent the enduring fectively by a set of institutionalized political structuring of community power. rules does not conform to the experience of challenging groups who have succeeded primarily by using norm-violating, disruptive tactics Mediating Structures and Community- (Gamson, 1990). Sensitive Social Work Practice Another main line of criticism is that pluralist theory does not recognize a hidden face of power This chapter argues that there is value in (Bachrach & Baratz, 1962, 1963, 1970). That is, by strengthening the local community to meet the assuming that power is played out solely in re- onslaught from larger forces outside its control. lation to concrete issues, pluralists omit the pos- As discussed earlier, we agree with Berger and sibility that in any given community there may Neuhaus (1977) and propose a strengthening of be a group capable of preventing contests from mediating structures. They have great value for arising on issues that it considers important. linking and empowering ordinary people. They Power may well be at work in maintaining the stand between and protect individuals in their directions of current policy, limiting the param- private lives from the alliance of global meta- eters of public discourse to fairly safe issues— corporations and the state. Berger and Neuhaus in short with the power elite controlling an in- argue that “public policy should protect and fos- creasingly media prevents some items from ever ter mediating structures and wherever possible, reaching the community agenda and becoming public policy should utilize mediating structures issues. Moreover, as the pluralist methodology for the realization of social purposes” (p. 6). In offers no criteria for adequately distinguishing general, we support these propositions. But nei- between routine and key political decisions, by ther of them is simple to fulfill. As always, we accepting the idea that in any community there have to find a balance between individual rights are significant, visible issues, the researcher is and community rights and between the protec- only examining what are reputed to be issues. tive functions of the state and the defensive func- Hence the pluralists are guilty of the same criti- tions of the mediating structures. It is easy to cism they level at the elitists. Pluralism appears imagine, for example, that some public social to exist only on less vital issues than on funda- services might be better received and more ef- mental community welfare concerns. fectively utilized if local religious and volun- Although both elitist and pluralist theories tary associations were involved in the service de- talk about groups in the political policy process, livery. It is also harder to decide whether a most of the early theories tended to focus on neighborhood is right in preventing a church- powerful individuals rather than powerful or- sponsored homeless shelter from locating in its 114 COMMUNITY PRACTICE midst. We can say, though, that the community more clients who are HIV positive or who have has a legitimate claim to being involved in the AIDS. How should she deal with this problem? location decision. A fair process is at least a step Suppose that the church has strong antigay sen- toward democratic decision making. timents and sees AIDS as a gay problem. Sup- It is also not hard to imagine that mediating pose that the church reflects values that are structures themselves, due to size and patterns prevalent in the community. What kinds of ser- of decision making that are not truly participa- vices can be provided for these new clients? How tory, may have difficulty in building a strong do clients themselves feel about their circum- sense of community among their participants. In stances, given the community’s values? What a study of Baltimore’s black community, Harold kinds of services are needed in the community? McDougall (1993) made a potent argument for How might the social worker begin to address the need for even smaller, informal community that need? (Obviously many other kinds of prob- building blocks called base communities: lems, such as homelessness, substance abuse, and teenage pregnancy, might raise similar Mediating institutions, such as churches, questions.) schools, and community organizations, are es- To take another example, assume that, as a sential to this task [of community strengthen- school social worker, you have encountered a ing, institution building, and networking], but child who appears abused. You are obligated to small base communities of one or two dozen involve Child Protective Services (CPS). Do you people, spun off from mediating institutions or need to know how the community views CPS growing independently, are essential to coun- workers or the nature of the relationship be- terbalance the tendency of mediating institu- tween the school and the community? How will tions to mirror the hierarchical character of the the situation be handled if the police become in- public and private bureaucracies with which volved? How do the school authorities feel about they contend. (pp. 186–187) CPS and potential disruptions of the school day? How would you approach the family and the CONCLUSION child? How can you get CPS to work with you to manage the situation in the most helpful fash- The crucial premise of this chapter is that, for ion for all parties involved? social workers to be effective, we need to un- A third example supposes that you are a so- derstand how community affects our lives and cial worker in a large university hospital’s de- the lives of the people we work with. We live partment of family medicine. You suspect that and work and play in multiple, overlapping lo- the children in the family you are seeing have cal communities of different kinds. These com- been poisoned by lead paint from their substan- munities are often culturally diverse and poten- dard apartment house. How can you prevent tially quite different from the communities further damage? What about the children who where we ourselves grew up and now live. The live in other units in that building? Might there importance of community calls for a community- be legal or political issues that you should know based social work practice. Some examples of about? What are some of the different profes- how community may bear on practice will help sional roles you might have to play to help your clarify this idea. clients and their neighbors? Consider the social worker employed by a There are no simple answers to the questions church-sponsored nonprofit social work agency. posed in these illustrations. The answers require In her practice she has begun to see more and a sound understanding of community.

Discussion Exercises

1. How have vertical and horizontal changes in functions. How much do the organizations community functions affected social work prac- coincide in their service areas? What is the lo- tice? Give examples. cus of decision making for the organizations? Repeat the exercise for yourself. How many of 2. Select a client and describe the specific in- the specific structures are the same for yourself stitutions and organizations in the client’s life as for your client? Do any serve as mediating that are used to fulfill the five locality-relevant organizations? THE CONCEPT OF COMMUNITY IN SOCIAL WORK PRACTICE 115

3. In a small group discussion, consider the examples and questions posed in the “Conclusion” ficials, public agency representatives, leaders of section and try to answer them. Identify the me- voluntary associations, and corporation leaders in diating structures and their roles in your answer. the process? Is the process democratic? Who has power? Who is left out? Is there a hidden face of 4. Identify an issue in your community relevant power influencing the process? to the provision of social services, and try to follow it through a public policy process. Identify the 5. What is the best community you have even stakeholders for various sides and facets of the is- lived in? Why do you select it? What made it the sue. What are the roles of the media, elected of- best? List the characteristics of this place. How can that community be made even better?

Notes

1. Note that even an official definition of rural is stitutions and values (Warren, 1978), and as an lacking. It is generally defined as “not an urban ecology of games (Long, 1958). area.” For more information, see the U.S. De- 3. For a more sinister description of social con- partment of Agriculture Rural Information Center’s trol and public welfare, see Piven and Cloward Web site at http://www.nal.usda.gov/ric/faqs/ (1971, 1982). ruralfaq.htm (retrieved May 23, 2003). 4. For a review of the use of the state’s police 2. In proposing these approaches, we are mind- powers and policies to create wealth for particu- ful that the literature offers many other useful lar classes and community interests, see Barlett models, such as the community as a system of in- and Steele (1992, 1994) and Phillips (1990, 1993). teraction (Kaufman, 1959), as a system of human ecology (Fellin, 2001; Poplin, 1979), as shared in-

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Cynicism or hope. That’s the real question, the choice all of us face.

P. LOEB (1999, P. 340)

One goal of community practice is to expand the COMMUNITY UNDERTAKINGS circle so that more and more people will be embraced by others as an integral part of the hu- Current Burst of Activity man family. Chapter 4 presented environmental factors and the context of community After decades of pessimism about the quality practice. The purpose of this chapter is to con- of community life, phrases such as community re- vey a sense of what much of community work siliency and comeback cities suggest a new societal is like today, in terms of goals, approaches, and atmosphere. Community practice also has in- preoccupations. Through concrete examples, creased status in our profession and workplaces. this chapter will showcase contemporary com- U.S. News labels social work a “hot job” and says munity intervention modes and successes.1 It being a community practitioner is part of that will describe the kind of programs underway to hot track: “Elected officials are hiring these or- address some of the problems outlined in Chap- ganizers as a liaison to the community, tracking ters 3 and 4. It will show how direct service prac- problems facing constituents. Labor unions em- titioners can be part of activities such as build- ploy them to do fieldwork, and nonprofits bring ing capacity, identifying assets, creating caring them aboard for local issues, like organizing connections, and joining with others to promote low-income neighborhoods against hospital community cohesion and individual and group chains said to be unsympathetic to the poor. self-respect. Community intervention encom- More groups are bringing them on to do good passes the ability to tap community strengths work” (U.S. News & World Report, n.d.). and the skills of including, linking, engaging, Such positions involve working beside people and empowering citizens. (See Chapter 14 for of varied backgrounds to create a culture of advanced skills in connecting and organizing change, identify assets, and link groups. Thou- people and communities.) sands of neighborhood associations have been 120 COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 121 started in the United States in the last 20 years, facilitated it to have a flow of money from the and other nations such as Brazil seem to be ex- federal government to the man on the street.” periencing similar trends. Spirited organizations From his vantage point as a key player at the can make the crucial difference between a vital U.S. Department of Labor during this period, community and a stagnant one, between a com- Battle asserted that the War on Poverty “en- munity run for controlling corporations or the riched democracy” and gave “worth in the larger moneyed class and a community run for ordi- public mind to poor people” (Battle, n.d., para. nary people. Community workers are increas- 7, 15; also see Dellums & Halterman, 2000). ingly being celebrated as creators of social capi- When social work publications refer to commu- tal and sustainers of social infrastructure (Couto, nity programs in the 1960s, we are thinking of 1999). Social capital can be thought of as social the Peace Corps abroad and a range of domes- networks or connections; social infrastructure can tic programs, such as Mobilization for Youth in be thought of as institutions supportive to resi- New York, Great Society and War on Poverty dents and as underlying foundations of a com- programs (ranging from Community Action munity. See Box 5.1 for overview of community Agencies and Head Start to Job Corp and Neigh- change lingo and outpouring of activity. borhood Youth Corp), Model Cities, Volunteers in Service to America (VISTA), and federal public benefit programs. Head Start was not the only Earlier Burst of Activity program to survive; today there are 1,000 Com- munity Action Agencies across the nation (See Some view contemporary community inter- Ceraso article via National Housing Institute at vention strategies and programs as a rebirth of http://www.nhi.org/online/issues/100/caas.html). the community-focused efforts of the 1960s with Some of those agencies were created recently in new auspices, rhetoric, and without the federal places such as small farm towns. Concerns about encouragement and fiscal involvement provided the poor continue, given that in the U.S. more by the earlier Economic Opportunity Act. For- than 30 million people still live in poverty. mer executive director of the National Associa- Exciting and relevant jobs for social workers tion of Social Workers Mark Battle called it the were available then and are today. Contempo- “first substantive federal-to-community-to- rary intervention is more community based and people program. . . . Its design and operation had grounded.

BOX 5.1 CURRENT MODUS OPERANDI

Disparate groups are coming together to stir farm foreclosures. Without ignoring such prob- members of their communities. With mandates lems, hope and a new vitality are associated with requiring resident-driven planning, ordinary community improvement. No single ideology or folks are finally getting a voice in local and re- approach prevails. Web sites, media stories, and gional decision making. Successes associated professional articles are filled with write-ups of with grassroots efforts are crowding out somber community change success (or failure) based on talk of alienation and bleak pictures of slums and one or more of these concepts or topics:

action research citizen participation coalitions collaboratives community capacity development community organizing community revitalization comprehensive initiatives constituency building cultural strategies empowerment zones faith-based groups healthy cities holistic approach local regeneration interorganizational networks participatory planning neighborhood issues resident involvement partnerships sustainable development social entrepreneurship 122 COMMUNITY PRACTICE

WHAT IS COMMUNITY BUILDING? is a need for social cohesion, social infrastructure, and social capital (see Chapters 2 and 11, Definitions this volume). These have inherent civic and political repercussions. Much of the activity listed in Box 5.1 relates to Community capacity building often happens community building, engaging a community to through either established or new organizations. improve itself. Minkler (2002) defines commu- Chaskin et al. (2001) point out that organizations nity building as “an orientation to community in communities often that is strength based rather than need based and stresses the identification, nurturing, and cele- • produce needed goods and services, bration of community assets” (pp. 5–6). Chaskin, • provide access to resources and opportunities, Brown, Venkatesh, and Vidal (2001) define community building as “actions to strengthen the • leverage and broker external resources, capacity of communities to identify priorities • foster development of human capital, and opportunities and to foster and sustain pos- • create or reinforce community identity and itive neighborhood change” (p. 1). Fabricant and commitment, and Fisher (2002a, 2002b), who call community building the most significant social service work • support community advocacy and exertion of of the twenty-first century, view it as a process power. (pp. 63–64) based on principles of reciprocity, respect, inclusiveness, and accountability. Some authors Such roles are a functional starting place for the use the terms community building and community thousands of community projects being carried empowerment interchangeably. Perhaps it matters out today. (For a description of key efforts, see not what the process is called, so long as it fa- Appendixes A and B in Chaskin et al., 2001; for cilitates collective change (Checkoway, 1997) other case examples, see Murphy & Cunning- and empowers “disadvantaged citizens to more ham, 2003; Putnam & Feldstein, 2003.) effectively define and advance their own life chances” (Turner, 1998, p. ix). Cautions Two distinguishing features of community building are (a) collaboration, to tap strengths of It should be noted that community building both displaced and well-placed citizens (Mar- and regeneration is usually broader than com- tinez-Brawley, 2000), and (b) engagement by the munity organizing, which will be discussed in community itself, in contrast to the use of peri- more depth in Chapter 14. The now widely used patetic professional organizers (Minkler, 1997) community-building concept does not necessar- or remote social service providers. When pro- ily involve altering power relationships (Bricker- fessionals are involved, ideally they become Jenkins, 2001; Cart, 1997; Walter, 1997) or income partners with community groups. Many com- disparities (Phillips, 2002). There is less rhetori- munity building initiatives have four elements: cal emphasis on acquiring power or renting buses to go down to City Hall to demonstrate. • Focus on geographically defined target areas Fisher and Shragge (2000) argue emphatically • Planning based on a recognition of community that, “Social welfare programs are replaced by assets and available resources as well as needs poorly funded community-based activity, without a political agenda to challenge the growing • Community participation in the governance, disparities of income and wealth” (p. 9). Mark planning, and implementation of develop- Warren (2001), who is in favor of building social ment activities capital “at the level of local community institu- • Comprehensive development, including an at- tions,” does point out that tempt to integrate economic, physical, and human development activities (Chaskin, Joseph, building such social capital may not be suffi- & Chipenda-Dansokho, 1997, p. 435) cient, if those community institutions remain detached from our political system. What has This requires community practitioners to largely been overlooked in the debates about “work across multiple systems simultaneously” social capital is the growing disconnection be- (Mulroy & Matsuoka, 2000, p. 229). Community tween politics and what remains of American building helps traditional social work clients, community life. . . . The political efficacy of people who have fallen on hard times, by sur- turn-of-the-century political parties and twen- rounding them with the potent village that it tieth-century cross-class federations both pro- takes to nurture and sustain humankind. There moted civil participation and benefited from it. COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 123

. . . Revitalizing democracy, then, requires com- general or specialized and may be focused on a munity building, but also something more: cre- particular clientele or broad-based (p. 9). This re- ating institutional links between strong com- sponsive community intervention approach, munities and our political system. (p. 19) which has been experimented with in Iowa and Pennsylvania, has influenced community-based Johannesen (1997) would say that this is im- service delivery (see Chapter 15, this volume). portant because vital social development is not Two additional examples follow, showing how possible without political development and ac- linkages and collaboration are used in both ur- tion. Social development inherently involves a ban and rural settings to focus on the commu- redistribution of political control and capacity nity and develop services or policies. that is needed to accompany economic redistribution. These are the empowerment and social integration functions of social work. (See Chap- Focused Community Intervention ters 13 and 14 of this textbook for more on the One hundred residents live in a building inherently political nature of social action, orga- owned by the Colorado Coalition for the nizing, and social participation; van Deth, 1997.) Homeless. It took 2 years of intense collaboration to build the Forum Apartments build- RECENT COMMUNITY ing, which houses formerly homeless people INTERVENTIONS: EXAMPLES with their attendant substance abuse problems, mental illness, and disabilities. Coordi- Having celebrated a new climate of hope at nators had to get funding from seven sources the chapter beginning, we now back up and look or partners for the construction phase and more closely at this turn of events. Although had to repeat the process to fund a perma- professionals always have worked in and with nent program. Eventually, this enormous ef- communities as enablers, organizers, and con- fort won an award for community problem sultants (O’Neill & Trickett, 1982; Wenocur & solving. Soifer, 1997), increasingly the horizons of change agents are widening, and there is more stress on the community context of social services and Broad-Based Community Intervention institutions such as hospitals and schools. The focus is also on collaboration and linkages The Southern Rural Development Initiative within the community, identifying and using the works with Southern and Appalachian com- strengths of the community, and community munities, pulling together such resources as engagement. land-based centers, statewide community development corporations, comprehensive community development organizations, commu- Quiet Successes nity development financial institutions, and community-based philanthropies. It has an in- In the 1970s, Britain established a system of teresting project called Parables to Policy, sto- community assistance called the patch approach ries with a message that “prominently posi- that deploys teams of human service workers to tion the voices of rural people in the policy neighborhood-sized geographic catchment areas deliberations that influence their lives (South- or “patches.” Field-workers or case managers, ern Rural Development, n.d.).” Interviews who often live within their assigned patches, with average citizens from community-based support and build “on the resources of informal organizations and legislators can be heard in networks of kin and neighbors” and join with Real Audio clips at the program’s Web site other local organizations and institutions “to (http:www.srdi.org). That project is funded by solve both individual and community prob- the Kellogg Foundation’s Managing Informa- lems” (Adams & Krauth, 1995, p. 89). In other tion With Rural America (MIRA) program. words, a patch makes use of natural helpers and community networks. Creating a patch team is a decentralized but unified way of providing Successes seldom involve the entire rural or flexible personal social services to people in an metropolitan community. Community builders immediate geographic area, often with a single know how to focus on the community of solution, point of entry. However, a locality-based patch a concept that means boundaries can be estab- is not as small as it sounds, since it often includes lished by problem-definers, actors, and solvers. 4,000 to 20,000 people (Martinez-Brawley & A community of solution usually crosses juris- Delevan, 1993, pp. 171, 181). The patch can be dictional lines of governmental and voluntary 124 COMMUNITY PRACTICE agencies to resolve problems; it may function at ecosystem and be cognizant of the interface be- any level, even internationally. In health and so- tween it and larger societal institutions (Bowen cial services, a typical community of solution in- & Richman, 2002, p. 68). volves those organizations and people who want Many other communities, such as the em- to address an identified problem, perhaps an al- powered Dudley Street neighborhood 2 miles liance that gets together because the problem af- from downtown Boston (see the Dudley Street fects everyone in the group. As nursing profes- Neighborhood Initiation Web site at http:// sors Allender and Spradley (2001) elaborate, www.dsni.org), have taken a comprehensive ap- “Recently communities of solution have formed proach to development with good outcomes in many cities to attack the spread of HIV in- (Walljasper, 1997). Out of a shared community fection. Public health agencies, social service vision to end deteriorating neighborhoods, one groups, schools, and media personnel have community initiative, the Marshall Heights banded together to create public awareness of Community Development Organization (see its the dangers present and to promote preventive Web site at http://www.mhcdo.org) in Wash- behaviors” (p. 5). ington, D.C., has created affordable housing and shopping centers while simultaneously providing employment services, general equivalency A Well-Known Example of Comprehensive diploma (GED) programs, drug and alcohol Community Building treatment programs, and emergency assistance. Started in 1979, the group has received millions Infamous since the 1950s for widespread in the last decade from the Robert Wood John- blight, the South Bronx was a place that Presi- son and Annie E. Casey Foundations (Greene & dents Carter and Reagan visited to wring their Woodlee, 2002). Loretta Tate, president and CEO hands. Then, in 1977, some impoverished fami- of Marshall Heights, has been praised for good lies rehabbed three abandoned apartment build- management and results compared to other com- ings slated for demolition. “Following this munity development corporations in the District. restoration, each apartment was sold for $250 to According to the Washington Business Journal, the those who had invested 600 hours of labor in organization has “been lauded for its formula: restoring the building. . . . In addition, the fam- taking on fewer projects and relying less on gov- ilies created a grassroots self-help organization ernment dollars. One third of the nonprofit’s $4.5 known as the Banana Kelly Community Im- million operating budget comes from govern- provement Association” (Abatena, 1997, p. 28). ment grants” (Madigan, 2002, para. 4). Major resurrection started in 1986 with new These community undertakings demonstrate housing built by community development that, despite the shameful national neglect of the corporations (CDCs), which gave themselves poor and their hardscrabble neighborhoods, an monikers such as Mid-Bronx Desperadoes (Gro- array of professions has become involved in gan & Proscio, 2001). Still, the schools and other meaningful local work and partnerships (Borgs- services remained pathetic. Much of the later dorf, 1995). These undertakings also demonstrate progress is owed to Anita Miller, a leader who that community building is an antipoverty effort. convinced the Surdna Foundation to underwrite massive changes: “A one-time banker . . . Miller had been intimately involved with South Bronx CURRENT THEMES: ASSET-BASED CDCs as a program officer at the Ford Founda- COMMUNITY BUILDING tion and later as program director at the Local Initiatives Support Corporation. Well connected After years of disinvestment and disinterest in to everyone who mattered in both the public and low-income and inner-city neighborhoods (Na- private sectors, Anita Miller not only recognized parstek & Dooley, 1997), assets, resources, and the paradox [of physical renaissance with inad- strengths have become a central revitalization equate human supports] but was bursting to do focus. For instance, after banks and insurance something about it” (Schorr, 1997, pp. 329–330). companies refused to do business in desperately Collaborative community building does not poor neighborhoods, activists secured the pas- always go smoothly or solve every problem sage and enforcement of the Community Rein- (Meyer, 2002), but the South Bronx as an envi- vestment Act to stop this practice of “redlining.” ronment now has new resources (day care, se- The spectacular long-term results of the imple- nior services, retail services) and is more livable. mentation of this law led to more interest in tan- We can see that successful community builders gible personal and community assets. Beginning must function well in their local community with building tangible assets such as housing COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 125 and small businesses, activists and other change HABITAT FOR HUMANITY agents became equally intrigued by intangible This well-known nonprofit organization, assets (spiritual, character) and practical talents based in Georgia, is a self-help, sweat-equity pro- of people in impoverished neighborhoods. It be- gram in which volunteers help families build came clear that potential for political influence their own houses and houses for others like and the ability to build relationships also themselves. Each family usually puts 300 to 500 counted in community building. Not all asset hours of labor into their own house as it is being agendas involve public policy changes or grass- built in order to receive a no-interest mortgage. roots organizing; a variety of asset-related ac- The idea for Habitat for Humanity International tivities are available for the social worker to con- came from minister Clarence Jordan, but the or- sider. Both tangible and intangible assets are ganization was founded in 1976 by Millard discussed here. Fuller, a business partner of Morris Dees, who Asset assessment is part of good patch analy- started the Southern Poverty Law Center (Walls, sis. The British patch approach was explained 1993). Former President Jimmy Carter’s volun- above. As social workers focus on a particular teer work with this organization has given it in- geographic area, look for the social networks in valuable publicity. The Habitat for Humanity or- that area, and establish communication between ganization has built 150,000 simple but sound groups and between agencies, they are begin- homes in 3,000 communities (see http://www. ning to look for structural and personal assets. habitat.org). In some places, one house will be Full use of the opportunities and resources avail- built with the help of dozens of volunteers, while able to a community requires a broad, inclusive in another place 18 houses may be built with the understanding of the community’s assets. assistance of thousands of volunteers. The local The following are five ways in which assets play staff locate skilled construction supervisors and a role in urban and rural community practice:3 coordinate with many local organizations. The interaction that can occur between social classes 1. Asset building is one strength of the program. Former corporate executives work side by side with church groups 2. Asset claiming and low-income families. 3. Asset identifying and mobilizing 4. Individual leadership assets MICROENTERPRISE 5. Cultural assets Small loans and credit can foster microenterprise, and approximately 300 programs now exist in the United States (Jansen & Pippard, 1998), Many articles, if not entire books, are available where microentrepreneurship is sometimes inte- on each of the topics to be discussed. The ab- grated with programs stemming from national breviated discussion here is meant as an intro- welfare changes. However, the concept of using duction to a multifaceted practice approach and groups or centers to encourage financial inde- a chance to see what these efforts reveal about pendence started abroad. Economics professor community and community building. Given that Muhammad Yunus established the Grameen the most current information appears on the In- (rural) bank in Bangladesh and began making mi- ternet, numerous Internet cites and sites are nuscule loans to women who wanted to start or provided. expand local or home businesses such as refilling ballpoint pens or making bamboo stools. The Asset Building women repaid the money; most received second or third loans and are thriving, as are their chil- Asset-building programs focus on the devel- dren. By now, a million people have participated opment of tangible assets such as housing, small in the program (Papa, Auwal, & Singhal, 1997). business ventures, and savings accounts. They This concept is being tried in hundreds of varia- have the potential to change impoverished com- tions in the U.S. (Banerjee, 2001; Raheim, 1996). munities in many ways. In their positions as program developers and nonprofit managers, macropractitioners will want to be familiar with ACCION New York provides access to the range and success rates of programs in or- credit for people such as Carlos Aldana. When der to further broad progress. Those engaged in Aldana first emigrated from Columbia, he direct practice will want to be aware of oppor- worked three jobs, 7 days per week, to buy a tunities as they help families navigate the path used car to start a delivery service business. to dignity and economic security. 126 COMMUNITY PRACTICE

munities. When exploited people live in reduced After he brought his wife and children to New circumstances while others exhibit indifference, York, money was even tighter, but with an it is a social justice practice concern. The exam- ACCION loan of $1,000 Aldana was able to ples that follow involve campaigns and lawsuits slowly expand his business to include another rather than programs. car and driver. Today, with the help of several more loans from ACCION, Aldana has LIVING WAGE MOVEMENT also opened a small arepas restaurant busi- In the view of those in the living wage move- ness, while his delivery service business con- ment, big business not only fails to share re- tinues to thrive. Says Aldana, “My children sources with its labor counterpart but also see a dad who is happy and feels proud of fiercely fights attempts to promote economic himself—and that is good for them” (Acción democracy. Nevertheless, working people con- New York, n.d.). tinue to claim a right to fairness in their economic relationships with their employers. Build- INDIVIDUAL DEVELOPMENT ACCOUNTS ing custodians and contract workers argue Robert Friedman (2002) of the Corporation for strongly that local governments give businesses Enterprise Development puts it this way: “To huge public subsidies such as tax abatements work for, earn, and own an asset gives one a during development and downtown revival stake in one’s own future. The very process lead- projects, but those businesses never share finan- ing to ownership builds the capital, competence, cial assets with the low-income workers who and connections to keep people reaching toward run, clean, and maintain their buildings and sta- and building dynamic and promising futures” diums. They question what workers get in re- (p. 1). For years, Michael Sherraden of the Cen- turn for taxpayer investments. Such sentiments ter for Social Development and his colleagues have launched community organizing cam- have promoted individual development ac- paigns to secure this type of asset. Although a counts (IDA), an asset-based policy innovation. living wage benefits a smaller number of people The idea is to encourage the asset poor to get in than an increased minimum wage that would the habit of saving, even $25 to $30 a month, by cover all workers in a city, state, or our nation, matching savings for the first few years. The goal the federal government has been uncon- is usually to own a home or acquire an educa- scionably slow in raising the minimum wage, tion. Programs have been established in 500 and therefore organizers have looked for lever- communities, legislation has passed in 34 states, age to help workers who are paid under city con- and national facilitating legislation for IDA tax tracts or under large government contracts to credit and match money is possible (for infor- for-profit firms. mation see http://www.idanetwork.org/assets). The first policy agreement to pay a living wage Tangible wealth creation, such as property and was negotiated with Mayor Kurt Schmoke in financial holdings, and economic literacy can Baltimore, Maryland, by a coalition of labor (led jump-start individual and community engines of by the American Federation of State, County, opportunity (Page-Adams & Sherraden, 1997) and Municipal Employees) and community and tribal self-sufficiency in Indian Country. groups (led by Baltimoreans United in Leader- ship Development, the Industrial Areas Foun- Asset Claiming dation, and the Solidarity Sponsoring Commit- tee). It required city service contractors and Asset claiming can be for individuals, families, government suppliers to raise the pay of 4,000 categories of workers, or populations. Of course, low-wage workers (Uchitelle, 1996). The agree- social workers will want to help eligible house- ment resulted in resetting the starting wage for holds to obtain various forms of public assis- such workers to $2.65 above the minimum wage. tance and to identify sources of money such as Similar ordinances have been passed in St. Louis, the earned income tax credit and child tax cred- Boston, Los Angeles, Tucson, San Jose, Portland, its. Just as important, social workers can explain Milwaukee, Detroit, Minneapolis, and Oak- to the general public how such supplements and land—bringing the total to 83 living wage ordi- tax reductions lift people out of poverty. We can nances, a fact that inspired economist Robert also provide emotional support during the long Kuttner to describe the movement as “the most process of obtaining a very different type of as- interesting (and underreported) grassroots en- set to be discussed here. terprise to emerge since the civil rights move- Tangible wealth that has been withheld has ment . . . signaling a resurgence of local activism the potential to benefit place and nonplace com- around pocketbook issues” (as quoted by COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 127

ACORN, n.d., “The Living Wage Movement,” and a mule, but elected officials from top or bot- para. 1). Campaigns to help the working poor tom immediately ignored this promise. African have spread from city to city, led by a coalition American leaders argue that reparations are of progressive, labor, and mass-based organiza- due to slave descendants—whether in the form tions such as the Association of Community Or- of cash payouts for unpaid labor, a trust fund, ganizations for Reform Now (ACORN). Critics or another vehicle. This is an issue capable of have argued that living wage protections will galvanizing minority (and majority) communi- destroy jobs. However, a recent report by a con- ties. The possibility of compensation has also servative economist for the Public Policy Insti- been explored with local or state governments tute of California documented a net benefit, that in locations such as Tulsa, Oklahoma where race is, that more workers benefit from the higher riots destroyed people and property (for more wages that take them out of poverty than lose on reparations, see Magagnini, 2002). Now that from job reductions (Wood, 2002). Tactics such Japanese Americans who were interned in as organizing tenants in downtown buildings to camps during World War II have received fed- pressure their building owners and managers to eral compensation and European workers are back legislation or ordinances for living wages being reimbursed by corporations for forced have been used. For other tactics and advice on (slave) labor during the same war, there is prece- the nuts and bolts of these types of assets and dent for African Americans to receive promised organizing activities, see Reynolds and Kern but never-delivered assets. Lawsuits have been (2002). Also see Chapters 13 and 14 in this text. filed against two railroad companies, two insurance companies, and two financial institutions HISTORICAL FAIRNESS CLAIMS whose predecessors profited from slavery and Specific populations residing in the United its attendant horrors—forced breeding, torture, States are owed money by our government that and so on. A plaintiff in one suit, Deadria they have never received. As a first example, the Farmer-Paellmann, argues that it is wrong for U.S. government has been the worst kind of these companies to benefit monetarily from trustee, banker, and money manager for over stealing and raping human beings. In August half of a million American Indians, an abuse that 2002, there was a Millions for Reparations Mass was admitted but went unchecked until lawsuits Rally held in Washington, D.C.4 were filed. Due to “screwed-up records” and disinterest from officials, for over 100 years certain Native Americans suffered blatant loss and theft Asset Identifying and Mobilizing of assets belonging to generations of families. These assets, such as proceeds from grazing In their book The Art of Possibility, Zander and leases, timber sales, and royalties from oil, gas, Zander (2000) argue that those in leadership and and coal production, were generated in payment authority roles need a shift in attitude, need to for use of Indian lands and were held in trust in stop viewing others in terms of school grades— Individual Indian Money accounts. The Bureau as C or F types. The authors (an orchestra con- for Indian Affairs has received stinging criticism ductor and a family therapist) have discovered for gross mismanagement of Indian assets, in that giving an A early on allows individuals to part because documents have been lost on an un- realize themselves and allows their assets to be- precedented scale. Three cabinet secretaries have come manifest. Moreover, in a collective en- failed to produce results and have been held deavor such as an orchestra performance, the in contempt (Gehrke, 2002; Summers, 2003). “freely granted A expresses a vision of partner- About 500,000 trust fund beneficiaries are owed ship, teamwork, and relationship” (Zander & around 10 billion dollars, and the judge is sym- Zander, p. 36). pathetic to their class-action lawsuit, Cobell v. Many professionals find the emphasis on in- Norton (for more information, visit the Blackfeet tangible assets such as strengths and resiliency Reservation Development Fund, Inc., Web site to be a better way of working with communities at http://www.indiantrust.com/). The lead plain- than the deficits orientation emphasizing prob- tiff in the suit is Eloise Cobell of the Blackfeet lems and deficiencies (Ammerman & Parks, Tribe. This case has been an organizing catalyst 1998). The community builds on what is in its for indigenous peoples. midst already. Tangible assets such as housing, As a second example, most of us have heard financial resources, and living wages were dis- that, during Reconstruction, there were good in- cussed previously. The next three sections pres- tentions by a few Civil War leaders to see that ent ways of identifying and using intangible as- freedmen received something, such as 40 acres sets. Once identified, these assets become tools 128 COMMUNITY PRACTICE in community building. This approach is illus- lize individual and neighborhood assets—un- trated by a brief example of identifying and mo- derused social capital—such as choirs and soft- bilizing personal strengths and a brief example ball teams. Kretzmann tells the story about a ca- of identifying a community resource. pacity inventory conducted in a housing complex where others repeatedly named two women as the best cooks, yet these women had “The nurse was impressed with me because never met. The women were introduced, traded I was so young [17] but yet I had my shot recipes, and eventually started a soul-food cater- records and I had my children up to date. She ing business on the west side of Chicago, em- was so impressed with that that she would ploying 15 people.5 Utilizing community assets come to me and ask me if I would walk around in rural areas also requires the “ability of people to talk to the other mothers in the [migrant] to exchange information” (Fesenmaier & Con- camp.” tractor, 2001, p. 61). Social workers can network clients in this manner. An asset approach need not focus on indi- Kretzmann and McKnight (1993) suggest that, viduals or on money. For instance, community before starting to change any sector (e.g., li- radio stations in Africa and Latin America braries, police), we make an inventory of assets where “both the process of communications (e.g., empty space in library basements) already and the content of the messages are controlled available in that sector. For example, one team by the receiving communities” are community conducted an inventory in a 24-square-block assets (Gray-Felder & Deane, 1999). neighborhood and located 223 associations, including Toastmasters, La Leche League, a Golden Diners Club, and a Norwegian Women’s Social workers are well positioned to intuit in- Group. To create this long impressive list, the tangibles (reciprocity, trust, a sense of civic iden- team used newspapers, directories, and other tity), to notice those currently lacking the net- print sources; talked with people at local insti- works necessary for a social life, and to promote tutions; and conducted a telephone survey with active membership in voluntary associations a sample of residents (Kretzman & McKnight, (Onyx & Bullen, 2000). See Appendix A on skills. pp. 113–132). They found evidence of productive community life. Even more dramatically in pure EXISTING COMMUNITY ASSETS ASSOCIATION number terms, asset-oriented people in the Some communities such as the Boyle Heights Phillips neighborhood of Minneapolis, which is and Vernon Central neighborhoods of Los An- comprised of 17,000 people who speak 82 lan- geles have linked asset mapping with the Web, guages, have so far done 1,700 capacity inven- but most asset identification and mobilization is tories to create relationships and conversation face-to-face or face-to-organization in nature. Al- guides as part of community building (Mádii In- though cities and towns are composed of masses stitute, n.d.). According to observers Kingsley, of people, populations, and aggregates, the typ- McNeely, and Gibson (1997), “the act of jointly ical loosely coupled interactions between people inventorying assets is itself a powerful commu- can evolve into actual ties or bonds as community organizing device that, by evidencing op- nity members interact in clubs, leagues, support portunities to change things, motivates collabo- groups, or networks (see Chapter 11, this text). ration and commitment to action” (p. 7). The Existing associations and the relationships they next step of linking and mobilizing those dis- represent typify potential personal and commu- covered assets is, of course, a true organizing nity resources (Fuller, 2002). challenge. “We’re talking to local people about what skills they have,” write Jody Kretzmann and John McKnight (1993, p. 19), who endeavor to Individual Leadership Assets identify hidden assets and then mobilize those assets, including people’s time, energy, and will- Sparkplug individuals, “even idiosyncratic ingness to pitch in, for community improve- ones,” are more likely than plans or ideologies ment. They point to the Adopt-A-Highway to yield change, according to The Rensselaerville program—in which local associations take re- Institute (TRI, n.d.). Organizers certainly em- sponsibility for a stretch of road—as evidence phasize leadership development (Mondros & that groups are willing to take on more civic ac- Wilson, 1990). There are many ways to solicit tivity than we would expect. Their Asset-Based and refine individual assets (Lazarri, Ford, & Community Development Institute (ABCD) Haughey, 1996; Rodriquez, 1998). Among the helps organizations identify, nurture, and mobi- programs created for that purpose are Union COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 129

Summer, which develops new talent for the “I am a leader because my grandfather wore a labor movement, and a program that locates red tie and did exactly as he pleased” (p. 130). women who direct development organiza- A candid discussion follows, which Kahn finds tions—the idea being that “women’s contribu- is a better way to learn about resourcefulness tions have been neither widely acknowledged than writing ideas about leadership on a flip nor explicitly credited” (McAuley Institute, 1999, chart.6 p. 7). In other words, despite the wealth of personal assets in communities, most are not cur- Cultural Assets rently being applied to social goals, because people are scattered and not directed. An individual may embody valuable assets such as knowing Any culture—Armenian, Nigerian, Welsh— the community and being nurturing of others can give its members a sense of community, but may lack an asset such as confidence. Gath- identity, history, and ability. Culture can pro- ering and orienting are the key tasks. This is im- vide intangible and sometimes tangible assets. portant in terms of creating an effective team: Even though competence in dealing with those The social worker can either help nurture confi- from cultures different from our own has be- dence in an individual or can recruit a person come a professional social work goal, our un- with confidence. (For fascinating examples of re- derstanding of cultural processes and of infer- cruiting strengths and getting the best out of ence and implication in cross-cultural exchanges weak people, see Morrell and Capparell, 2001.) remains limited. Fortunately, with effort, we can Local action can pinpoint assets; for instance, quickly identify many positive factors in cultural spearheading civic initiatives can boost grass- worlds. roots leaders into local office (Saegert, Thomp- son, & Warren, 2001). This is not to say that only A historical example illustrates the poten- potential leaders count. Since each individual tial of a cultural asset. When immigrants came has strengths and weaknesses, practitioners can to Florida from Cuba, cigar makers brought “connect citizens through the exchange of their along an interesting institution: the lector. As talents and shared interests, and build lasting factory workers rolled cigars, an educated multiple associations capable of incorporating person with a loud voice sat on a stool and both the capacities and fallibilities of everyone” read to them from newspapers and novels. (Rice & Seibold, 2001). Some workers even went outside after their shifts and listened to the next chapter through DEVELOPING ORGANIZATIONAL LEADERSHIP the open windows. The lector’s choice of To identify potential leaders, community thinly disguised political materials often up- builders ask, Who cares about the issue? Who set management, but workers would strike if has had problems with the issue, if anyone? Who the lector were fired (National Public Radio, is known on the issue? What people have ideas 1999). Today’s community workers are eager to contribute? They keep track of the names of to locate comparable assets. Thus, people those mentioned most often and of any groups need to be linked with service assets but they with which the potential leader is associated. themselves can also be assets for others. Leadership assets include personal qualities (like being trustworthy, having emotional intelligence) and professional skills (like raising CELEBRATING GROUP STRENGTHS money). Organizer Si Kahn writes about culti- Melvin Delgado (1998) educates us about the vating, supporting, spotting community leaders: indigenous resources that exist in cultures and A leader is “someone who helps show us the di- institutions outside of social services and gov- rections we want to go and who helps us go in ernment sectors. He describes nontraditional as- those directions” (1991, p. 21). He designed a sets such as herbal shops, laundromats, and mu- workshop exercise to transform people’s sense rals; settings such as malls; and networks such of power and cohesion and to affirm that indi- as arts, humanities, and sports that can become vidual assets can make anyone a leader. Each part of the help-seeking and help-giving system. person stands up, states his or her name, and This method goes beyond providing culturally says, “I am a leader because . . .”—for example, specific services (Z. P. Henderson, 1992) and cul- “I am a leader because I’m a facilitator for other turally competent staff. For example, Delgado people to be in leadership positions” (Kahn, (1997) says “gender-based natural supports” 1997, p. 132). Then participants tell about elders such as beauty parlors can be used for outreach from their neighborhoods or families who or recruitment: “The Latina owners expressed helped them become the leaders they are today: willingness to involve themselves in leadership 130 COMMUNITY PRACTICE roles on social agency boards, advisory commit- Panthers, promoted the concept of the “healthy tees, task forces, and so forth. None of the own- block.” It makes sense for people to care about ers, however, had ever been approached. . . . All and watch after each other in times of crisis. If of the owners indicated a willingness to collab- neighbors would spare a little time to become fa- orate with local human services agencies in an miliar with the needs of those in the immediate effort to help the community in a variety of so- neighborhood, we could move beyond neigh- cial service areas, most notably alcoholism and borhood crime watch and into true community. family violence” (p. 449). Thus, natural helpers Similarly, Elma Holder, founder of the National and indigenous leaders are assets. By learning Citizens Coalition for Nursing Home Reform, the ins and outs of a Pentecostal church or a advocates the “total community approach” to botanical quasi-pharmacy shop (Delgado, 1996), connect nursing homes. Rather than once-a-year social workers become more at ease and effec- visits from Brownies, Boy Scouts, and women’s tive in nontraditional settings. clubs, many organizations and networks of people could work out permanent interactive Wrap-Up arrangements and caring relationships. Such community and institutional transformations require a “culture change” (E. Holder, personal Our extended discussion shows how assets of communication, November 2, 2002). many types are being utilized as part of community building, community organizing, and other change approaches. The wonderful pro- Solidarity Within a Community: The Ideal grams and projects just described did not spring up by chance. Skillful people nourished them. In THE CIRCLE OF INCLUSION additional, such programs are not a brand-new “Solidarity works” is a belief that has fueled phenomenon. In many ways, assets-based com- numerous successful social action interventions. munity work resembles traditional community This belief also has united people with different organization and development of the 1950s and characteristics toward common ends and unity. 1960s. While today’s community building ap- Underlying the sentiment is an imperative for proach is more rhetorically contemporary and in- citizens to unite rather than divide, to further terdisciplinary, its heritage has social work roots. one’s self-interest but not at the expense of other For example, Habitat for Humanity reflects the “little guys.” Similarly, community-building ini- rural self-help housing program of the U.S. De- tiatives try to solidify friendships and mutual partment of Agriculture (USDA) and the U.S. Of- trust. One goal is to bring out those facets of hu- fice of Economic Opportunity (OEO) of the 1960s. man beings that are accepting rather than re- jecting of others. But what furthers acceptance? CARING CONNECTIONS AND PRINCIPLES Robert Putnam (2000) describes an intriguing experiment about a stranger falling ill, to show As the previous sections have shown, to es- how even polite, beginning encounters can lead tablish a successful assets program, we must to communal caring: “Experimental social psy- make a regular practice of finding out who chologists have uncovered striking evidence that knows what and who knows whom. We must even the most casual social interaction can have be on the lookout for knowledge linkages (Fes- a powerful effect on reciprocity. When a con- enmaier & Contractor, 2001) and social-emo- federate ‘stranger’ speaks briefly to an unwitting tional linkages between individuals, groups, as- subject, the subject is quicker to provide help sociations, and social institutions. We also must when she subsequently ‘overhears’ the confed- be on the lookout for those who are not attached. erate having an apparent seizure than if there An important element of community building is had been no previous contact” (p. 93, footnote). the connection in and to a community. Even Much attention has been paid to incidents in work to secure tangible assets is usually done which people failed to come to the rescue of fel- through connections (Horwitt, 1989, Chapter 12). low citizens, but, on a more positive note, the re- We know that social and organizational con- search (conducted by Latane and Darley) cited nections are much more powerful when rein- by Putnam makes us think about why a person forced by emotional bonds. Faceless or neglected would be more apt or likely to give assistance to individuals need to be beheld by fellow human another individual. beings and to experience that connection. For Communal caring must be cultivated or the circle this reason along with practical considerations, of inclusion will not be expanded. See Box 5.2 for the late Maggie Kuhn, organizer of the Gray ways to grow communal caring. COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 131

BOX 5.2 CONNECTING AND DISSIMILARITY

As human service professionals, we support so- 4. Practicing care and assuming personal re- cial processes that create community and em- sponsibility brace differences. Altruism researchers believe that humans can have personal and group at- Promoting caring relationships with those out- tachments and still include others, that is, we side our immediate settings and groups: can extend the clan. According to Oliner and Oliner (1995), expressions of communal care 5. Diversifying grow out of eight processes: 6. Networking 7. Resolving conflicts Promoting attachments with those in our immediate settings: 8. Establishing global connections Source: Excerpts from Toward a Caring Society (pp. 6–7), by 1. Bonding Pearl M. Oliner and Samuel P. Oliner, 1995, Westport, CT: 2. Empathizing Praeger Publishers. Copyright 1995 by Pearl M. Oliner and Samuel P. Oliner. Reproduced with permission of Greenwood 3. Learning caring norms Publishing Group, Inc.

A classic ethics and altruism research question Philosopher and theorist Richard Rorty “em- has been why certain Europeans helped Jews phasizes that the burden of liberal political and Gypsies survive the Holocaust, while most morality is to extend the sense of community in or- did not? After all, everyone was afraid. The ander to include hitherto neglected or despised social swer illustrates one of the benefits of a con- groups [italics added]. ... This too proceeds nected, caring community. Examining the per- through radical redescription, the telling of sto- sonalities and situational factors of non-Jews ries which alter our self-understandings so that who took the risk, researchers learned they had we come to see ourselves as sharing a common expressed a bit more commitment to the broader predicament with strangers” (Festenstein, 2003, society before the war, such as showing more p. 236). Influential moral and political philoso- inclusiveness in their friendships. For some of pher John Rawls (1971) conceives of justice as them, their concern for specific individuals led fairness, an egalitarian approach to individual them to take more risks for other Jews (Batson, rights and community solidarity. Like Plato and Ahmad, & Tsang, 2002). Research also showed other philosophers, he is thinking in abstract that those who helped save Jewish people felt terms of the ideal as he designs justice principles more obligation toward groups besides their and a framework to evaluate specific behavior own. Moreover, in the crisis, a sense of futility or positions. The familiar statement “There but did not sidetrack them. for the grace of God go I” implies that “com- The concepts of caring connections and solidar- munity” partly is based upon empathy and com- ity, underlying community intervention enter- passion for the unlucky and less fortunate. prises, also have moral and political implica- Still—to complicate things even more—those tions. Organizer Arnie Graf puts it this way: who repeat the familiar statement know that in “There’s a drive in us to have a life of meaning fact they have been spared and are not the mur- that transcends the day in and day out of what dered Jews or the people across town whose we do.” He is drawn to the work of Victor house burned down. That may be one reason Frankel, who survived the Holocaust and de- why, above, Rorty speaks of mentally sharing veloped logotherapy to help people find meaning a common predicament with strangers. Rawls in their lives. Graf has worked for the Industrial goes further asking us to consider a situation Areas Foundation since 1971 to build the power, where we will enter a meta-ethical community organization, and economic security of low- where we will not know whether we will be the income people. He discerns the importance of one saying or triggering the phrase “There but organizing around something larger than our- for the grace of God go I.” selves for both organizers and constituencies: “The human being is more than economics, more THE CIRCLE OF JUSTICE, RIGHTS, AND DUTIES than the need to make money to survive out Rawls believes that if humans could choose to there.”7 start from scratch and delineate a fair system of 132 COMMUNITY PRACTICE justice for the world, then those establishing PRACTICES AND APPLICATIONS principles would need to have a “veil of ignorance.” This means that those in the group, the Joining with a Community—The Realities parties who are figuring out what principles would constitute fairness, should know nothing It is one thing to preach community and an- about their own race or nation. None of the par- other thing to build it against great odds. Prac- ties would know if they are Swiss or German or titioners quickly learn that there are as many Palestinian. Even if the parties think of themselves orientations to communities as counseling ap- as Caucasian Americans, they would not know proaches to individuals (Blank, 1998). Yet, for all whether they have the childhood, temperament, the variety and innovations, the keys to em- ability, and situation of Bill Gates, Bill Clinton, Bill powerment and success are the same: (a) treat- O’Reilly, Billy the Kid, or Billie Jean King. They ing community people as valued human beings, would not know whether they are the bedridden (b) getting to know them, and (c) establishing a neighbor who needs chores done or the fun-lov- bond. ing adolescent next door who is resisting addi- What does it mean to treat community people tional responsibilities, whether they are the owner as valued human beings? Social worker of the nursing home or the newest nursing assis- Nathaniel Branson, who grew up in Chat- tant hired. The initial situation is hypothetical. tanooga as the youngest of 11 children and later Rawls (1971) explains his idea this way: worked in poverty programs, puts it this way: “How do you bring about community and in- Among the essential features of this situation stitutional change? How do you work with peo- is that no one knows his place in society, his ple to help them take control of their own lives? class position or social status, nor does any one I approach things this way—you don’t talk know his fortune in the distribution of natural down to people, people are intelligent, poor peo- assets and abilities, his intelligence, strength, ple can size you up in 20 seconds. Because they and the like. I shall even assume that parties do are poor does not mean they are stupid. And a not know their conceptions of the good or their part of what happens in our [social work] train- special psychological propensities. . . . Since all ing, what happens in our development is in- are similarly situated and no one is able to devolving a sense of being authentic. Not phony, sign principles to favor his particular condition, you don’t have the social smile pasted on your the principles of justice are the result of a fair face. People will see through that. The connec- agreement or bargain. . . . For example, if a man tion that we make . . . through the feeling tone knew that he was wealthy, he might find it ra- as we communicate with each other . . . ‘Is this tional to advance the principle that various person really for real?’”9 taxes for welfare measures be counted unjust; What does it mean to get to know community if he knew that he was poor, he would most people? As Baltimore housing organizer Ralph likely propose the contrary principle. One ex- Moore recalls, “Down the line, I started to feel cludes the knowledge of those contingencies as if I was one of the family, that I had become which sets men at odds and allows them to be part of the fabric of the neighborhood. I had guided by their prejudices. (pp. 12, 18–19)8 knocked on most people’s doors and I knew by name all the children of a woman who had 15 By being totally ignorant of any self-interest, kids.”10 the public interest or the ideal would be created What does it mean to establish a bond? In the at an abstract level. In keeping with the desire civil rights movement, bonds began when the or- of contemporary community builders to en- ganizer would knock on the door of a house and hance all human capital, over 30 years ago Rawls ask for a glass of water. The transaction allowed stated that only the weakest in the community the resident to generously meet a human need, should be given advantages. To quote him, “Thus and provided the organizer with an opportunity the principle holds that in order to treat all per- to begin a conversation. Even at a distance, some sons equally, to provide genuine equality of op- Internet communities or peer networks have portunity, society must give more attention to started with shared personal tragedies, another those with fewer native assets and to those born humanizing context. It is important to clarify into the less favorable social positions” (Rawls, that caring connections are more than sentimen- 1971, p. 100). Social workers strive to keep ever tal connections. Organizer Bob Moses describes in mind this deeper level of connection discussed entering a small town this way: “The organizer by Graf, Rorty, and Rawls. becomes . . . aware of its strengths, resources, COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 133 concerns, and ways of doing business. The or- JOINING WHEN THERE ARE COMPETING DEMANDS ganizer does not have . . . comprehensive plans Joining with the larger community is harder for remedying a perceived problem. The orga- when that community is fragmented; but valu- nizer wants to construct a solution with the ing others, getting to know them, and bonding community. He or she understands that the com- through common tasks are still the keys. Com- munity’s everyday concerns can be transformed munity developer Allison Gilchrist’s (1992) anal- into broader questions of general import” ysis of her organization in Bristol, England, (Moses & Cobb, 2001, p. 112). shows the universality of this process. Partici- pants in the community association and its cen- JOINING WITHOUT TAKING OVER ter programs where she worked were white. For new practitioners, it can be hard to bond Most members of the over-60 club wanted things with people, build things together, construct so- to stay as they were, but others in the associa- lutions together, and then let committees or tion wanted to be more communally oriented, members of the community proceed on their to involve Afro-Caribbeans. Meanwhile, Asian own. Yet, almost as soon as the joining process neighbors asked for a parallel over-60 group for and the building of social capital begin, the trust- their parents. Even though the last idea sounded ing in people’s strengths must also begin. The simple, Gilchrist predicted that religious sectar- excerpts below, from a community worker’s di- ianism, cultural and language differences, sex- ary, make vivid such emotions. ism, and racism would complicate the building of connections and her organization’s transition. Tonight the first meeting of the neighbor- The community developer’s initial actions ad- hood action group (Operation Upgrade) is to dressed a mixture of task and process steps. take place at 8:00 P.M. in the Methodist Church. Gilchrist decided to I didn’t want the group to lean too heavily on me, or foster the idea that what they needed all 1. meet with representatives and establish the the time was a professional to rescue them. I program requested by the previously ex- told the [seven-person] Steering Committee two cluded Asian immigrants; weeks ago to decide if they wanted me to come 2. deal with the resentment this generated in the to the neighborhood meeting, and if they de- existing seniors group (in fact, to referee or cided, they would have to invite me. This has mediate disputes arising from any change); really been a troublesome, trying day for me. I 3. change the organization’s white image in out- kept hoping they would have strength and con- reach and publications and through diversity fidence enough to handle it without me. Each hiring; and time the phone rang today, I hoped it would be an invitation. At 4:30 P.M., Mr. Halley came to 4. start a new effort to involve black neighbors, tell me the Steering Committee had decided to including meetings for dialogue and dealing let me rest for tonight. They will invite me at a with old grievances. later date. He thanked me for my help and promised a report soon. Step 1 brought the challenges anticipated by the At home, I caught myself feeling a little re- community developer. According to Gilchrist sentful and trying to think through this thing. (1992), she had to “ensure that the group was for Who do these people think they are? I gave all Asian people (mainly Muslim and Sikh), and them the idea, coached them, and met with the that it would be welcoming and accessible to Steering Committee, and now they think they women. . . . It proved vital to implement posi- can handle a meeting without me. Have I let tive action measures, such as transport, separate them go too fast with this program? What if meeting space for women, equal representation something goes wrong at this crucial point? on the management committee, and vegetarian A week had gone by, and I had not had a re- refreshments acceptable to both religious com- port from Mr. Halley. At 11:30 A.M., he came in mittees” (p. 177). Gilchrist succeeded, but het- and he made a report that sent my enthusiasm erogeneous communities do tug professionals sky high. in many directions, as her complex situation There were at least 60 people at the meeting. illustrates. They chose to keep the Steering Committee intact. They talked about needing a recreation JOINING THROUGH THICK AND THIN center. One lady had a building she would do- Another point about joining with communi- nate. (Cohen, 1971, pp. 341–342) ties should be made here. When associations 134 COMMUNITY PRACTICE have been operating for decades, staff and neigh- drug corners cleared, do not want the police bors can be joined at the hip or can have worked coming into the neighborhood. together so long that they are sick of each other. A horrifying example from East Baltimore Even after many successes and a long time of makes the point. Seven members of the Dawson working together toward constructive change, it family were murdered when arsonists struck. can be challenging and demanding to attend to The row house fire was apparently in retaliation community people’s concerns. against 36-year-old Mrs. Angela Dawson. She re- Let us be more specific about this aspect of peatedly called the police about loitering and community intervention. Neighborhood associ- drug activity around her home. The neighbors ation employees often spend half their time deal- took differing approaches and did not unite to ing with government bureaucracies to make confront those they feared. If such a tragedy can things happen and half their time with difficul- have a lesson, it is to continue Angela’s cause ties of individuals in the organization (such as and our on-the-ground social work, but with when someone is ill or in jail). An association in caution. In deteriorating or gang-ridden neigh- Philadelphia with a budget of about $60,000 pro- borhoods, in buildings filled with drug dealers, vides a real-world example. It has long been lo- it may be too risky to intervene alone even with cated in a transitional neighborhood, a place the blessing of the police. It works better when with glass on the street, visibly vacant buildings, a cadre of community practitioners approach, and yet some houses selling for $300,000. Ten to work in, and join with a neighborhood group in twenty neighbors with political savvy are in- facing dangers and opportunities together. volved in a blight initiative, taking possession of city land and maintaining model people and dog Ongoing Challenges parks. Along with addressing such macrolevel concerns, the paid staffer receives many calls a Successful community-building projects have day from neighbors who are sobbing or scream- been completed in every state. Without a doubt, ing and whose concerns must be addressed. The such projects have contributed to citizen en- staffer and governing board members also me- gagement and to reinvigorated social capital diate disputes between valued neighborhood (Putnam, 2000, p. 22; Putnam & Feldstein, 2003). leaders who annoy each other. Social workers have used their perspectives and Patience becomes critical when distractions, talents to examine the macrosystem and to ben- tension, fatigue, or factionalism threaten to un- efit community members through this process. dermine problem solving and collective unity. In The heritage of community intervention suc- short, attention must be given to tasks and is- cesses from the 1960s and 1970s is being brought sues, such as tackling property abandonment to bear in a new century, with one essential dif- (Accordino & Johnson, 2000), but also to process ference. Projects today are more community mo- and people.11 tivated than stimulated by federal funding. The philosophy behind today’s projects is that building social cohesion is critical to economic ad- JOINING WITH ENDANGERED RESIDENTS vancement and civic transformation. Social There can be unintended consequences to workers involved in today’s and earlier ap- community intervention and community im- proaches share a belief in human “improvabil- provement. Despite community policing pro- ity” and a belief that “responsibility and initia- grams and other positive developments, the ad- tive are more readily acquired in the active vocate, the organizer, the community builder meeting and solving of problems together than cannot make things turn out right all the time. in verbal learning alone” (Biddle & Biddle, 1979, Safety must be considered—the safety of the pro- pp. 374–375). This chapter has discussed but a fessional and the safety of the community resi- few of the community programs and associa- dents involved in an improvement effort. Whose tions that are attempting to make life better for block is it? We tend to think of groups, popula- community residents. They are a hopeful sign tions, or aggregates in a geographic area as if but there is always more to do. they were a unified whole or, at least, of one mind about addressing problems. However, neighbors do not necessarily think alike about CONCLUSION: ON TO SKILL DEVELOPMENT disorder or want the same problems addressed. Many home owners and renters want local drug “Community Intervention and Programs” dealers off the porch, off the street corner, off the concludes Part I of our textbook, which is about block. But some area residents do not want the how to examine the current social environment COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 135 and social interaction. This chapter illustrates groups and in community affairs. Think of me- ways that community workers are expanding diation, conflict management, negotiation, and the circle and involving communities in achiev- facing authority figures. ing their own success. It anchors the chapters in • There is a set of interactive, responsive, and Part II by previewing how the methods and socially oriented skills with a focus on public skills to be taught will further program devel- information and on collaboration and interor- opment and associational life. ganizational tasks such as networking and The next chapters cover principles drawn out linking. Think of media skills and think of of practice. They show how to study, investigate, facilitation, coordination, coalition building, and assess communities; how to build capacity; outreach, and social marketing. how to help people mobilize, organize, and plan • Skills are used to hold government entities and (Arches, 1999); and how to advocate and “take service providers accountable for action or inaction for the benefit of a wider constituency” action, to reform systems to benefit users, and (P. Henderson & Thomas, 1987, p. 7, pp. 25–26). to augment the potential of needy or power- Most of the practice methods that community less people to act for themselves. There are workers need will be covered in these chapters, ways to let those marginalized by society along with an introduction to an array of skills. know that they are valued as persons and as To be competent is to be aware of the multiple sets of community members. Think of protecting skills that can be used. individuals, protecting categories or classes • Community practice involves a set of cogni- of people, relating, advocating, asserting, and tive, analytic, and sorting skills, plus the abil- empowering. ity of the worker to secure commitments and • Finally, there is a set of skills focused on bring- establish partnerships. Think of priority set- ing the plight of individuals, families, and pop- ting, delegation and problem sharing, problem ulations onto the social agenda and adminis- solving, assessment, and contracting. tering the programs that result from proposed • There is also the set of skills of looking, lis- reforms. Think of lobbying, institutional re- tening, finding, and proffering surmises (test- form, organizing and mobilizing, fund-raising, ing one’s hunches against another’s perspec- changing agencies, and management skills. tive). Think of issue identification and pattern recognition, investigation, documentation, in- Community intervention, like clinical inter- terviewing, and observation. vention, is complex in terms of the circumstances • Community practice entails a set of persua- of those needing help and in terms of profession, representation, and reframing skills that sional performance challenges or use of self. allow social workers to deal with different Appendix A shows a community worker in agendas as we work with individuals and action—listening, relating, facilitating.

APPENDIX A: COMMUNITY SKILLS EXAMPLE

I am a community worker hosting a meeting avoids my gaze and I leave her alone. At most in the basement of a neighborhood museum gatherings, at least two people arrive early. center. It is important to arrive early, put up Tonight, I use that time to determine their needs signs, and create a welcoming environment. In- and interests. Notably, one of them asks me for stead of standing at the door, though, I set up my story—why do I care about women’s health refreshments and let anyone help who wanders concerns (HIV/AIDS, abortion, pregnant teen- over. In this casual manner, I learn their names agers)? Usually several people arrive late after and how they heard about the meeting. Some things start; I ask someone seated near the door individuals sit by themselves. I go over, offer to greet them. them coffee, and introduce myself. They tell me My “crowd” turns out to be seven women. I their names; several share more information. As suggest forming a circle and talking. Several res- I put out nametags and written materials, I un- idents are uncomfortable with this; they have obtrusively jot down the names and where come to hear a lecture. So I say I will address everyone is seated in case I forget. One woman the group and lead a discussion afterwards. I cut 136 COMMUNITY PRACTICE

the presentation in half. As I speak, I look at or come by expressing disappointment about the refer to each person. Where possible (and re- turnout. I note who walked or drove together specting privacy), I use their stories to authenti- and which strangers hit it off with each other. I cate the message. ask myself questions: Was there a natural leader? Here is how that works. I say, “Access to ser- Who articulated her concerns well? To what as- vices is vital. By access, we mean getting med- sociations do they already belong? ical services easily. Yet, Mrs. Beaubrûn was Within a week, I telephone each woman— telling me earlier that the mobile health unit has another opportunity to listen and relate. I feel stopped coming to this area.” I look for heads confident. She cared enough to come to a meet- to nod and they do. “Access also means having ing. Her personal story connects with this issue. someone knowledgeable to answer questions. I make another call to ask about the original and Mrs. Paul, for example, had a good question. recent history of the neighborhood museum She wondered if a certain type of cancer was where our group met. catching because three people she works with have the same kind.” PRACTICE WISDOM I join the group before taking questions; this way people do not leave because the meeting During a group discussion, one intent is to un- is over. I let the group set the discussion agenda. derstand what community residents know and Since two dominate, after a while I go around to determine why they do not know some things the circle, which allows each person to speak, while knowing others. Do they understand the starting with the quiet late arrival. I remember issue, or has mythology, gossip, or misinterpre- to obtain all seven attendees’ names, addresses tation sprung up around the issue? Keep in mind and telephone numbers. Finally, I invite the people’s needs and respect their concerns. Ask group to teach me: “I have only lived here a them what they want and let their feedback year. Tell me about this museum. Were all of about the subject and agency priorities be a you born in this town?” The point is to gain a guide. Remember that few of your participants sense of each other. I ask a woman with burn- have experienced a sense of respect or empow- ing questions to stay afterward, so I can provide erment from local social and health agencies. concrete answers and find out what information When appropriate, use humor to project affable to mail. I make sure everyone leaves with our vibes and help reinterpret your status as the ex- agency brochure, my card, and leftover cookies. pert. Before the next meeting, review materials One insight: Never disrespect those who did on group work, organizations, and networks.

Discussion Exercises

1. After serving as U.S. Treasury Secretary, 3. Is your agency engaged in community build- Robert Rubin became chairman of the board of a ing? Does it give annual hero awards to those im- nonprofit giant with community building pro- proving community life, to make the work of such grams in 38 cities and 66 rural areas (Swope, people known to everyone? 2000). Since Rubin is one of the most respected 4. Who funds the change-oriented programs of players on Wall Street and in the federal govern- your organization? Who conducts training for ment, what does it say about the vitality and mo- staff, area denizens, and service users? mentum of community building that he decided to serve on that particular board? Using the bib- 5. Why are associations as important as indi- liography, determine what other professionals are viduals to social work practice? In your view, are involved in community building besides social communities “bowling alone” in the sense of dis- workers and bankers. engagement or “bowling along” in the sense of building anew and muddling through? Look up 2. Which way of creating or better using assets Robert Putnam on the Internet regarding civic par- (asset building, asset claiming, asset identification ticipation and association (try American Prospect at and mobilization, individual leadership assets, (http://www.movingideas.org/links/civiclinks.html). cultural assets) most interests you and why? Do you have personal or professional experience with 6. Using the Internet and other resources, re- any of the described programs? search government funding sources for commu- COMMUNITY INTERVENTION AND PROGRAMS: LET’S EXTEND THE CLAN 137 nity projects. Start with the U.S. Department of reclusive. This 45-year-old woman has come to Housing and Urban Development’s revitalization your community office wanting help with crime HOPE VI funds and the Community Outreach and in forming some type of action group. How Partnership Centers. can you learn more about Ms. Johnson as an in- 7. The epigraph at the beginning of the chapter dividual in relationship to the neighborhood? speaks of hope. Oral history author Studs Terkel How could she be an asset? A liability? What is says we should remember that note of hope and your obligation to her? focus on success. Folk singer Pete Seeger projects 9. Many people who die in storms live in man- hope about action and the future. List three social ufactured housing. A proposed solution is to re- workers you know who convey hope and describe quire owners of trailer parks to install huge storm how their hope is manifested. In contrast, certain cellars that can accommodate residents. places symbolize hopelessness; on the Internet, look up Pruit Igo in St. Louis and Davis Inlet, (a) Debate the issues (costs that will be passed Labrador, in Canada. How did the government try on to residents versus saving lives). to bring hope back to residents of the housing project and the village? (b) If the trailer park population is divided, how can the positions be reconciled, or can 8. Here is a community resident’s profile: She they? has a job. She has a home, five dogs, and one cat. Young men have beaten her up. She videotapes (c) Draft statements to give before a state leg- drug transactions and prostitution and has worked islative committee. How does it build commu- for years to get more law enforcement on the nity to consider the well-being of a portion of streets. Finally, an undercover officer came but the populace? If the trailer park residents must was killed—and she still feels guilty. Some see hire experts, what associations might help with Gina Johnson as bold, others as prickly, some as fund-raising?

Notes

1. This chapter gives examples of positive com- University of Michigan, “social workers comprise munities (the glass half full) and serves as a coun- the largest percentage of professionals working in terpoint to the negative political and societal the fields of mental health and family services. It trends addressed elsewhere in our text (the glass is estimated that by 2005, there will be about half empty). Acting as resources on community 650,000 social workers, more than a 30% in- intervention, several universities provide online crease over 10 years” (Reisch & Tannenbaum, information about skills, community projects, and 2001, conclusion, para. 1). justice vocations. Look up Community Toolbox 3. For a comprehensive glossary on assets and (http://ctb.ku.edu) and also the On-Line Confer- community capacity building terminology, see the ence on Community Organizing and Develop- Connecticut Assets Network’s Web site (http:// ment (http://comm-org.utoledo.edu/), a compre- www.ctassets.org/library/glossary.cfm). hensive set of examples, resources and syllabi. See, for example, on the Toledo site courses on 4. It should be noted by social workers that con community practice or organizing by Marshall artists are running scams by pretending that tax Ganz, Megan Meyer, Randy Stoecker, Moshe ben refunds, a reparation tax credit, and other poten- Asher, and Dick Schoech. tial restitution benefits already exist. Many African To browse the Library of Congress Web site for American taxpayers have filed claims that were publications on related topics, go to http://lcweb. not only rejected by the Internal Revenue Service loc.gov/. Also see studies on (a) organizing as an but could bring penalties to those who filed them. occupation (O’Donnell, 1995) or as part of social 5. Speech given by John Kretzmann at the National movements (Hyde, 2000; MacNair, Fowler, & Conference on Community Systems Building and Harris, 2000), (b) social workers with social Service Integration, U.S. Health and Human Ser- change careers (Mizrahi & Rosenthal, 1998; Mon- vices, September 4, 1997. For more examples, see dros & Wilson, 1994), and (c) teaching commu- Cheryl Bardoe’s article, “Asset Management: nity practice (Gardella, 2000; Hardina, 2000; Chicago Communities Find Hidden Strengths,” Johnson, 1998). See Walljasper (1997) for an im- which originally appeared in the January/February portant success story. 1996 issue of The Neighborhood Works and is now 2. Social work is a hot career. Today, according available in Urban Parks Online. For client-com- to Nili Tannenbaum and Michael Reisch from the munity linkages, see Gretz (1992). 138 COMMUNITY PRACTICE

6. Concerning risk and shared leadership, see 9. Dr. Nathaniel Branson was interviewed by Burghardt, 1982, chap. 5. For a comparison of Maria Luisa Tyree on March 27, 2001, for an oral three church leaders in Saul Alinsky’s Woodlawn history course taught by social work professor organization, see Horwitt (1989, pp. 415–420). Betsy Vourlekis, University of Maryland, Balti- more County campus. 7. Arnie Graf started BUILD, a Baltimore community action group. From an interview by Cathy 10. Ralph Moore in a 1992 University of Mary- Raab in Powers (1994). land at Baltimore School of Social Work videotape by Lesley Bell and Michael Garcia, “Action 8. G. Moore (1999) explains that Rawls’s most fa- Adventures in Our Own Backyard.” mous book, A Theory of Justice (1971), is a “seminal treatise of relevance to political scientists, 11. Janet Finegar of Northern Liberties Neigh- economists, philosophers, and legal theorists borhood Association (interviewed by Patricia alike,” and adds that critics oppose Rawls by ar- Powers on March 13, 2002) reminds us not to guing that “man is in reality intolerant and can- idealize neighborhood work. In other words, not be abstracted from his material circum- wacky individuals, that is, “crazy neighbors,” are stances” (Moore, 1999, pp. 397–399). Rawls died as difficult to tolerate as crazy coworkers and at age 81 in 2002. crazy clients.

References

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The “inner life” of communities is bubbling away all the time.

J. ARMSTRONG AND P. HENDERSON (1992, P. 189)

THE LANDSCAPE OF OUR LIVES port, 1995, p. 2077). On the other hand, we want details about how this rural place functions and Overview of Chapter affects people, and that entails probing. Ques- tion: What is the current concern of the local How enjoyable it is to learn what makes a planning board? Answer: Whether sidewalks town tick—whether a quiet town with one grain should be added downtown. Question: How elevator or a toddlin’ town like Chicago. The does local law enforcement plan to mount an an- process takes us into libraries (research) and tidrug program here? Answer: By asking resi- along thoroughfares (experience). dents to write down the names of suspected A library provides facts and analyses about ur- users and dealers and slide the paper under the ban areas. We can learn that the largest concen- town hall door (R. V. Demaree, personal com- tration of Filipinos in the United States is near munication, January 2, 1995). San Francisco (Eljera, 2000). We can analyze It is a professional obligation to understand what underlies changes in the urban neighbor- service consumers’ communities. The first rea- hood of Kibby Corners in Lima, Ohio (Li, 1996). son is responsibility. Knowing the whole picture However, conventional publications do not con- is mandatory, regardless of our intended level of vey daily life for new Hispanic residents along intervention. The second reason is credibility. the thoroughfares of Wisconsin and New Knowing a cross section of people and their his- Jersey—that entails footwork and a reading of tories gives us believability and access. The third ethnic newspapers. Similarly, libraries allow us reason is versatility. Knowing the players and to delve into rural areas (Homan, 1994, p. 100). systems provides us with more options. The For instance, nonmetropolitan areas can be clas- fourth reason is accountability. Knowing what sified; they can be manufacturing dependent, residents want gives us direction and makes us mining dependent, persistent poverty counties, answerable. We talk about these responsibilities retirement destinations, and so forth. Certainly, throughout this book. we want to identify a place’s economic base and Opportunities abound to experience commu- population characteristics (Davenport & Daven- nity life, indirectly through reading (Boyle, 1995; 145 146 COMMUNITY PRACTICE SKILLS

Cleage, 1997; Grisham, 1999; Kidder, 1999; Kot- mation for a broad audience. The last two vari- lowitz, 1997; Kozol, 1995) and directly through eties, which permit investigation of a place or fieldwork. As one example, Martin (1995) makes nonplace community, are most commonly used sure students experience Tampa’s ethnic make- by social workers. In fact, social workers some- up, which includes Seminole Indians, Viet- times move too swiftly into the fourth type of namese, Haitians, and Jewish people. Her stu- exploration. Readers may be more familiar with dents eat in those communities’ restaurants and problems and services studies than with the tour Spanish and African American newspaper other three types, but keeping an open mind and offices; Spanish, Cuban, and Italian clubs; and paying close attention to all four options permits cigar factories. Seasoned practitioners continue us to make more informed judgments about to familiarize themselves with community sec- applicability. tors. For example, Morales (1995) has coordi- Learning about community studies will as- nated with community groups in Bridgeport, suredly be helpful to macropractitioners and or- Connecticut, to find out why Puerto Rican ganizers, who will likely initiate comparable teenagers drop out of school. Similarly, to learn projects. Those in direct service are more likely about the world of 12 British working-class boys, to help with such studies, but they still need to Willis attended classes with them and worked be familiar with all the ways to learn more about alongside them; he also acquired a detailed who and what is out there in their localities. knowledge of their locality (Turner, 1992, p. 170). Practitioners should inquire as to whether such This how-to-do-it chapter delineates strategic community studies have been completed by oth- ways of unearthing facets of communities and ers and are available locally. Such knowledge gives detailed guidance on conducting or ac- can be useful in situations such as the following: quiring such studies. Learning about communities and engaging in a communitywide study (or • In the hospital outpatient clinic where he an in-depth study in one sector) are satisfying works, Jason notices that different health be- challenges. liefs create communication problems between staff and patients. He wonders if anyone has studied the culture of the immigrant patients Four Types of Community Studies or made meaningful contacts in the surrounding neighborhoods, and he decides to seek out This chapter presents four types of commu- field studies that can help to inform the work nity studies and the relevant history, values, of his department. variables, and methodologies associated with • Elsa heads an interagency project to recruit each. Since social workers may well end up con- and train spouses of local corporate leaders to ducting or contributing to one of these studies, be board members for service and advocacy we also cover the broad topic areas usually in- organizations ranging from mentoring pro- cluded, distinct knowledge sought, and avail- grams to food kitchens. She wonders how to able sources. attain the names of such people and hopes that From among many varieties of broad com- someone has already done a community munity studies, we will consider the (a) fieldwork power structure study. study (original research), (b) community power structure study (original research, compared with • Chandra is to supervise two AmeriCorps vol- a previous study of community power if avail- unteers, from another area and with no rural able), (c) community analysis study (secondary experience, assigned for a year to her outreach sources plus original data from informal interagency. She will find out if any type of com- views and observation), and (d) problems and ser- munity profile has been completed—say, for a vices study (secondary sources plus input from grant application. If not, she and the volun- meetings, interaction with service providers and teers might do a community analysis together users, and surveys). All of these studies help to give them an overview so that they can be us learn more about community settings, struc- of more use much sooner. tures, processes, and functions. • A church in a working-class neighborhood Sociologists, anthropologists, and political sci- proposes to start an after-school program. The entists favor the first two types of studies, which minister calls Charlie’s child welfare depart- focus on geographic area or place communities; ment for advice. Delegated to work with the elements of both are utilized by social workers church, Charlie wants to track down recent as well. Journalists appreciate the third type be- studies about current and needed neighbor- cause community analyses provide useful infor- hood services. DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 147

Since we believe students and practitioners helped him gain “a conception of the city, the benefit from experiential as well as intellectual community and the region, not as a geographi- understanding, we have also included a number cal phenomenon merely but as a kind of social of suggested ways to appraise your area first- organism” (as cited in Bulmer, 1984, p. 90).1 hand. There is an old expression about people The first such studies conducted in Chicago being from many walks of life. We want you to employed a multimethod approach, using news- come to appreciate your community in all the papers as a source to study certain types of pub- diversity that this phrase implies, not just as an lic behavior and using participant observation— abstract system, and to understand what holds ”following Park’s injunction to get the seat of it together. one’s pants dirty with real research” (Bulmer, 1984, p. 108). These sociologists valued the subjects or informants and their environment. They FIELD STUDIES also attempted to explain subgroups and their Definition environments to outsiders, which is one way social workers employ field studies today. Along with the Middletown study by Robert and He- A community field study is a case study with len Lynd (1929) and the Street Corner Society a holistic perspective that uses methods such as study in 1943 by William Foote Whyte (1943/ informal interviewing and observation to de- 1993), the Chicago studies set parameters for the scribe from firsthand acquaintance a particular in-depth study of a community, neighborhood, locality, culture, or network. Out of a concern or sector of the population (Abbott, 1997). While with society and with individual identity, the in- the Lynds studied people in general in Muncie, vestigator interacts face-to-face with a group of Indiana, plus the leading family in town, Whyte people (informants) over time in order to un- looked at particular people and situations and derstand life from their perspective (see Edger- the social structure of an Italian slum. (See Box 6.1 ton, 1967). Eventually, the field worker should for the types of questions asked in field studies.) be able to write up lived moments that help in- Traditionally, community organizers are re- troduce this group to the outside world. quired to get to know the neighborhood first off, not only families door-to-door but also com- History mercial establishments and hot spots, and to make connections before calling any meetings. Such studies are closely linked with an inter- For example, back in 1960, new organizer Bob est in being where the action is and a willing- Squires acquired knowledge as he scratched ness to meet people where they are in both the around the Woodlawn area of Chicago for a proj- geographic and cultural senses. To illustrate, the ect he had been hired to do with money from a purpose may be to record and interpret the foundation, the Presbyterian church, and the “lower class life of ordinary people, on their Catholic church. He recalls, “Sixty-third Street grounds and on their terms” (Liebow, 1967, p. from Stoney Island to Cottage Groove, I knew 10; see also Ramas, 1998). However, field stud- every son of a bitch in that area. I knew every ies can also be conducted of rich people. Field- bookie, every whore, every policy runner, every study trailblazer Robert Park’s broad back- cop, every bartender, waitress, store owner, ground familiarized him with many aspects of restaurant owner” (Horwitt, 1989, p. 398). Squires city life. He believed his “tramping about” was expected to synthesize his impressions of

BOX 6.1 REPRESENTATIVE QUESTIONS FOR FIELD STUDIES

Would you show me around your [town, neigh- If I needed a [passport, green card, box at the borhood, school]? opera, . . . ], what would I have to do to get Tell me about your typical day. one? What’s the best way around here to [rent a Describe the sorts of things I shouldn’t do at cheap room, get a free meal, get a truck, . . . ]? this meeting we are going to. What kind of neighborhood would you say What do you mean? [as a response] this is? 148 COMMUNITY PRACTICE SKILLS everyone he met, how they fit into the commu- verbalize but that provides them with a work- nity, their motivations and activities, and what ing knowledge of the world, for example, how issues they cared about. Squires’s field study of to treat sick animals and children. It requires a the neighborhood led to the formation of a deep understanding of a way of life. Mocking strong neighborhood association which, six the distance that many professionals keep from years later, was able to send 46 buses with more indigenous and common people, British anthro- than 2,500 African American passengers to City pologist Paul Sillitoe (1998) entitled one of his Hall for voter registration (pp. 398–408). articles “What, Know Natives?”

Terminology Methodology

The anthropological field study approach— Very occasionally, social workers hear for the which we connect with scholars like Margaret first time about the existence of a subgroup such Mead—has been of interest lately, in part be- as a gang or an immigrant group when an inci- cause of its effectiveness in making us aware of dent makes the news. Here is a pertinent exam- our own ethnocentrism and cognizant of the ple. A mother is caught on a surveillance cam- logic and wholeness of others’ cultural perspec- era videotape seemingly beating her child in a tives. This approach of experiencing another car parked in a Mishawaka, Indiana, department culture or racial/ethnic/age group from its own store lot. She reveals that she is affiliated with viewpoint is labeled ethnography (cultural de- the Irish Travelers, a nomadic group of people scription). It also uses participant observation unknown to most of us. Different and contra- methods. Elliot Liebow (1967, 1993) and James dictory descriptors begin floating around. Some Spradley and David McCurdy (1972) pioneered say that Irish Travelers are a large national band in applying methods originally used in places of people, but others say they are a small clan. outside our borders to groups within our nation. Some assert that the Travelers descend from The goal is to acquire exhaustive knowledge of potato-famine Irish immigrants and are of com- a group, including its inner experience. Recent mon ethnicity, while others argue that they are studies of relevance include one on the homeless of many nationalities. The stereotypes and de- as a community (Wagner, 1993) and another scriptors continue: scam artists with assumed on a continuing-care retirement community. names, isolated, family-oriented, secretive. It is Rachelle Dorfman (1994), for example, is a clin- suddenly incumbent upon Mishawaka child ical social worker specializing in gerontology welfare workers to find out more about these who included an examination of psychotherapy traveling people and to avoid rash judgments. with the elderly as part of her community study. Such an abrupt need for a ministudy is unusual. She moved into the retirement community she Fortunately, more accurate information from an- studied for 3 months (immersion). thropologists and others can be found on the In- Sometimes such qualitative work is referred to ternet (although not everything one reads online as naturalistic inquiry (Rodwell, 1987), and some- is reliable) and by contacting the Irish Associa- times grounded theory is used instead of ethno- tion of Social Workers. The Indiana caseworkers graphic theory (Brandriet, 1994). Regardless of put the child in foster care until trial, rather than the label, these approaches to field studies entail with another Traveler family as the mother a humanistic approach and an empathetic wanted, and then mother and daughter were re- stance, as advocated by Emilia Martinez-Braw- united. Community workers must be able to put ley (1990): “Practitioners need to understand the such a case into context—for judges, journalists, tangible and intangible factors that shape the and the general public. character of their communities. They need to be If we study traveling groups, such as migrant skilled applied ethnographers . . . able to see the workers, Gypsies, carnival personnel, and Irish world and assess its problems as members of Travelers, we discover that mobile groups are their constituencies would, not necessarily to negatively compared with settled societies. Alan agree with them, but to define clearly the prac- Katruska of the University of Pittsburgh did a titioner’s point of view in the sociocultural mo- field study in Ireland of Travellers (spelled there saic” (p. 13). with two ls) and learned about their culture, Anthropologists stress the need to incorporate their “unique identity, lifestyle and heritage.” local knowledge, also referred to as indigenous Katruska (2000) explains, “Based upon what I knowledge, into plans. In general terms, people have learned from Travellers in Ireland (if I am have tacit knowledge that they are barely able to permitted to speak for Travellers at all), life be- DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 149 comes very depressing if one stays in one place stances often require social workers to make a for too long. Looking at the same landscape or case for client or citizen participation in decision same furniture or same boots for too long is not making or for hiring a paraprofessional from the mentally healthy. It is better to be changing. It is community. The more we understand and can better to be crowded together in the constant convey the worldview of another class or cul- company of relatives and friends than to be iso- ture, the more logical it will seem to have that lated in a house with walls. When the first bee viewpoint represented. Social workers are also starts buzzing, it is time to move on. Travelling asked to explain the behavior of particular offers families and friends a chance to meet up groups of community residents. Since we want together, it lets people share news and work with to do so from their perspective as much as pos- each other.” sible, it is helpful if we learn to write what has Most of the time, social workers are aware that been called thick description “about a specific phe- there are groups in our geographic area that we nomenon and its surrounding environment” know only by reputation, which is to say not at (Karabanow, 1999).3 all. The field study gives us a chance to meet face-to-face and under better circumstances. Those who study the community in this way Examples have willingly shared their methods (e.g., listening, keeping careful notes on details of daily To illustrate field studies and give the flavor life, and forming relationships with insiders). of the study process, we look at the physical and While any member or resident is a potential in- social worlds of three groups as depicted by a formant, this method relies on those willing to planner, an anthropologist, and a sociologist. initiate us into their world. Green (1995) calls They describe their first looks at a place and a them “cultural guides” (p. 102). Key respondents people and the means they used to conduct their or informants are well-positioned insiders who studies. Joseph Howell, the planner, portrays life can and will act as interpreters for the outsider. on an urban block he calls Clay Street. His study They could be indigenous people, elected lead- of the blue-collar community opens with a long ers, or professional observers such as newspaper list of details he noticed, including “old cars reporters. They may be amateur historians, peo- jacked up on cinder blocks . . . the number of ple with connections, or networkers who do dogs and ‘beware of dogs’ signs . . . the chain everything from matchmaking to transporting link fences . . . the small gardens . . . old folks people to vote. If we can establish a working re- rocking on their porches . . . a few old, shabby lationship with key informants, they are poten- houses, with excessive amounts of debris and tially valuable because they can “act as . . . de junk out front—old toys, bedsprings, tires, and facto observer[s] for the investigator; provide a old cars. In one of these houses lived the Shack- unique inside perspective on events . . . serve as elfords” (Howell, 1973, p. 8). Later, document- a ‘sounding board’ for insights, propositions, ing lifestyles, Howell discusses this family’s re- and hypotheses developed by the investigator; lationship with helpers. He noted that “Bobbi open otherwise closed doors and avenues to sit- had her first visit from the caseworker. When she uations and persons” (Denzin, 1970, p. 202). had been notified that the caseworker was com- They sometimes read and comment on draft ing to visit, she became very excited. She spent study reports to help maintain insider input the preceding day cleaning and straightening the (Duneier, 1992, 1999). house, and when the caseworker arrived, Bobbi According to Whyte (1943/1993), the first was ready. Everything was picked up and the question his key informant Doc asked him was, house was very clean” (pp. 125–126). “Do you want to see the high life or the low life?” As these two excerpts show, behavior and val- (p. 291).2 Social workers familiarizing them- ues are revealed to be complex. We cannot pre- selves with a place should ask to see both facets sume or assume after seeing one piece of the of the community, for they need to understand picture, like the yard. Howell assesses coping both the X-rated moviegoer and the churchgoer. patterns and, eschewing stereotyping, distin- We need to keep in mind that one common in- guishes between “hard living” and “settled liv- sider reaction is to put a good face on things and ing” residents. He lets us hear directly from another is to try to deliberately freak out the those in the area through reconstructed scenes outsider. and dialogue, which makes us care about those If we begin to understand a culture well on the street. Such an orientation to a particular enough, we can interpret aspects of it for others place makes us curious, rather than judgmental, (Schwab, Drake, & Burghardt, 1988). Circum- about the Shackelford family and their “intense, 150 COMMUNITY PRACTICE SKILLS

episodic, and uninhibited” approach to life (How- words of encouragement on the signs say a good ell, 1973, p. 6). Thus, one purpose of a commu- deal about those being beckoned. Social work- nity study has been achieved—to highlight the ers can use this method too and learn by look- life ways and values of a group. Of special ining at details that accrue to become the physical terest to us, this study pinpoints how family environment and cultural life of those with events, crises and problems can “fall outside the whom they work. orbit of community service systems and how ser- Rebecca Adams, the sociologist, studied a vice systems are often insensitive to life situa- nonplace, affinity community. For over a decade, tions of those they seek to serve” (p. xi). This rep- she inquired into the lives of fans of the rock resents a different way of examining service band the Grateful Dead. Those “Deadheads” adequacy. Field studies demonstrate that know- who followed the band around the country coming more completely even a few families helps prised one element of a loose national commu- us better understand a community. nity; Adams observed by traveling with them. Barbara Myerhoff, the anthropologist, studied She reached the nontraveling element through a community within a community—a neighbor- questionnaires and dialogue in the Grateful hood in Venice, California, populated with East- Dead’s newsletter and magazines. Many Dead- ern European Jewish immigrants, many concen- heads stayed in touch with Adams by telephone, tration camp survivors of advanced age. The letter and e-mail; for example, after the death of focal point for the residents was the cultural Jerry Garcia (the Dead’s lead guitarist/singer), community connected with a senior citizen cen- 150 fans wrote to Adams. Local and nearby con- ter which she introduces by noting that “the certs provided a setting for studying the world front window was entirely covered by hand- of fans. Adams (1998) explains, “I began my field lettered signs in Yiddish and English announc- research project by standing in line at Ticket- ing current events” (Myerhoff, 1980, pp. 12–13). master and at the Greensboro Coliseum, by Rather than looking at a community in terms spending time in the parking lot before the of demographics or 5-year plans, we look shows, and by attending all the shows in the run. through the eyes of particular individuals. The I also interviewed police officers who were on DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 151 duty at the concerts, people cleaning up the Spinners. It was particularly important that I parking lot the morning after the run was over, gain the trust of these two groups, because they and staff members at nearby hotels and restau- tended to be the most orthodox of Deadheads. rants” (p. 10). . . . [One Spinner eventually] commented on Sometimes, field researchers act as inter- drafts of chapters, challenging my interpreta- preters for a community that is unknown to or tions of data and steadfastly reminding me that misunderstood by the public. In such a liaison Deadheads are not all affluent” (1998, pp. 18–19). role, Adams gave interviews to radio stations, To generalize, the right guide can explain to television stations, newspapers, magazines, and us how to enter a community and can coach us independent film companies. about community terminology. This holds true Regarding methodology, Howell (1973) be- for more than the three fieldwork examples de- lieves that participant observation consists of scribed in this section. In the world of tramps, making friends, being where the action is, writ- for example, there are variously named types ing it all down, and pulling it all together: “I had such as “bindle stiff,” “mission stiff,” and “box- three things going for me. I lived in the neigh- car tramp” (p. 76) that have favorite “flops” (p. borhood. I had a southern accent, and I had a 99) ( J. Spradley, 1970). In popular neighborhood family. . . . The approach I decided to follow con- hangouts or pubs, there is an order of welcome. sisted of . . . involvement with families on my Prodigal regulars who have been away are block and . . . with community groups and com- greeted most enthusiastically, then regulars, munity activities” (pp. 367, 372). then strangers who arrive with a regular, and Like Howell, Myerhoff (1980) worked with in- finally lone newcomers (Oldenburg, 1999). dividuals and an area. She knew 80 center mem- Awareness of such language, categories, social bers and spent time with 36. She describes her typing (Faircloth, 2001), and traditions allows us method, with the reminder that there is no de- to function more effectively within a locality or finitive way to “cut up the pie of social reality. an identity community (see Box 6.2). . . . I tape recorded extensive interviews . . . rang- We are learners, not experts coming in. We ing from two to sixteen hours, visited nearly all will share and our informants will share, affect- in their homes, took trips with them from time ing each other and the process, so there is em- to time outside the neighborhood—to doctors, phasis on interchange, “mutual learning,” and social workers, shopping, funerals, visiting their “respect” (Daley & Wong, 1994, p. 18). friends in old age homes and hospitals. . . . I concentrated on the Center and its external exten- sions, the benches, boardwalk, and hotel and Applications to Our Own Work apartment lobbies where they congregated” (p. 29). Inquiry conducted in a natural setting intro- Immersed in the lives of those who attended duces us to groups and individuals who help us the center, Myerhoff spent time in nursing see life in nonmainstream communities with homes and hospitals and at funerals or memor- new eyes. The experience teaches us how to ial services. She probed for their viewpoint, ask- avoid being irrelevant or condescending. Such ing questions such as “Do you think that being studies may assist us in speaking the same lan- a Jew makes the life of a retired person easier or guage as our involuntary clients or give us a harder in any way?” (p. 46). clearer sense of their worlds. They allow us to Some parts of any community are harder to see the lack of fit between one of our clients and reach than others. Like Howells and Myerhoff, his or her culture. Abbreviated versions of such Adams needed guides. But, prospective key in- studies may be appropriate in work with mar- formants viewed her as unsympathetic or as an ginalized populations or before doing outreach undercover police officer (a “narc”). She had to to new communities. Because social scientists are prove herself by mastering the community’s spe- more likely to conduct surveys to learn about cial language and grasping its value system. For community ideas, even modest face-to-face stud- instance, Deadheads felt that the federal gov- ies can be a valuable counterbalance. ernment was engaged in a “war on some drugs.” Few of us can move into a neighborhood or Adams writes about identifying a guide: “Two retirement community or spend years hanging groups that were particularly difficult for me to around a service center, but faster ways exist to approach were drug dealers and members of a enhance our understanding of neighbors, fellow Deadhead cult known variously as the Church citizens, and service users. We can seek out any- of Unlimited Devotion, the Family, or simply the one who has conducted such studies in our area 152 COMMUNITY PRACTICE SKILLS

BOX 6.2 TRAMPING ABOUT: A COMMUNITY WALK, DRIVE, JAUNT

The goals are to discover people, places, and rit- nity, spending time with many residents. Write- uals; to build relationships with informants; and ups of such outings (field notes) include partic- to talk with persons often avoided. Exploring al- ulars, observations, and inferences, and one leys and byways on foot or bicycle takes time, might start as follows: but main thoroughfares can be covered in several hours; stroll through an area again and I live in a popular neighborhood. When I take again. Learn via speaking with, sitting with, and my child to day care, I walk past Rafael’s accompanying those encountered: mail carriers, Cuban restaurant—supposedly owned by mil- shopkeepers, delivery drivers, individuals sitting itant exiles (scuttlebutt says its neon sign was on stoops. Ask them about their communities; used years ago to signal clandestine meetings), listen to the tales. What generalizations do res- the grocery store, the apartment building with idents make about themselves? Learn their the circular drive, and the park. When we names. Traffic court, public benefit office wait- walk home at 6, I always notice which par- ing rooms, and blood banks can be used for rest- ents and children are at the playground. In the ing and observing. Riding the subway in new di- mornings, I’ve noticed three men in the op- rections makes sense; riding a bus provides an posite corner of the park. Maybe I am seeing opportunity to ask passengers natural questions. in new ways, because recently I observed Someone in a wheelchair might take an excur- them washing in the fountain and today I re- sion through a barrier-free retirement commu- alized that they are living in the park.

and ask for a briefing. We can borrow from field work. As discussed in Chapter 4, this power may methods, such as observation, listening, and be exercised by a small circle or by different and ethnographic interviewing, and we can embrace sometimes competing blocs or interest groups. accepting attitudes. When we develop a deep understanding of communities, we bring fresh History and Terminology insights to counseling, case management, and other interactions. More important, engaging in such studies makes us want to keep working, to The beginning of the community power struc- do more, because the rich pastiche we discover ture study as a methodology is usually linked is so intriguing and the individuals we meet are to a 1953 book of that title by Floyd Hunter, a so reassuring. social worker in Atlanta. In 1961, critical of Hunter’s approach, Robert Dahl (a political scientist) did a famous study of the role of power COMMUNITY POWER STRUCTURE STUDIES in community decision making in New Haven. These pioneering studies came up with different Definition models of local power systems or types of power constellations: elite (business community) in If field studies give us the essence and variety Hunter’s study and pluralistic in Dahl’s study. of a community, power studies help us identify The current focus of attention is on how the those who exert influence, “can produce in- wealthy control elected officials through contri- tended effects,” and affect community decision butions (Bates, 2001; “The Mother Jones 400,”; making in the political, economic, or communi- Rothman & Black, 1998). cations sphere (Dye, 1993, p. 4; see for example The concepts of power and social class tend to Gaventa, 1980). A community power structure intermingle. One book suggests that the follow- study—using surveys, interviews, and library ining class groups exist in the United States: very vestigation methods—explores the configura- poor, poor, working class, middle class, upper- tion and dynamics of the system of influence at middle class, upper class, ruling class, and the local level and the characteristics of domi- mixed class (Mogil & Slepian, 1992, pp. 160–161). nant individuals; it results in a list of names and The very poor, poor, and working classes have rankings of persons who are perceived to exer- no power except in numbers; they have been cise power in the locality where they live or called everything from the underclass to the silent DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 153

BOX 6.3 REPRESENTATIVE QUESTIONS FOR POWER STUDIES

Who runs this city? Who are the most econom- Does anyone with connections at the county ically powerful persons? or state level live in your subdivision, neighbor- Who controls the resources? hood, or town? Who determines local taxes such as real es- Who is influential due to the high regard peo- tate taxes? Who benefits? ple have for him or her, or because of his or her Tell me about the power brokers in this county clout with politicians? that everyone knows about. Is there anyone op- Do you know any family that sends their chil- erating behind the scenes? dren to an excellent boarding school?

majority, depending on their income level. Nev- Examples ertheless, others in society are very interested in the leaders of these groups. Most individuals To illustrate how successful power structure and families who are in positions of power or studies are conducted and what they tell us, we who can exert power are currently upper- look at studies undertaken by a journalist, social middle, upper, or ruling class, regardless of their workers, and a human services fund-raising ex- original background and social standing. Who pert. We provide three examples, but the social do we want to locate? The terms the powerful, workers employed two different methodologies dominants, influentials, and elite are used fairly in- in the second example. terchangeably to describe individuals who exercise power or are widely regarded by perceptive JOURNALISM STUDY people as having that option (Ostrander, 1995). Our first example shows how a newspaper Admittedly, such questions as those in Box 6.3 study of local power can be useful to our field. may not elicit information about the power elite A journalist conducted a survey of 27 commu- in the community; the upper class is not neces- nity leaders, often called a panel in power struc- sarily the ruling class. To determine those who ture literature, to elicit names of “folks with real are at the core of the entire community power clout” in a large, mostly metropolitan county structure, we need access to formal power struc- (Sullivan, 1994, p. 1). The leaders were asked to ture reports. name “influential individuals . . . not necessarily those with the big jobs or titles, but the 10 peo- Methodology ple they would want on their side if they were trying to get something big accomplished” (p. 1). Different approaches for studying the power- The runaway winner in the survey turned out ful include reputational, positional, and deci- to be fairly similar to county influentials in other sional (sometimes called issue analysis or event informal studies (who are often concerned with analysis) studies. These studies ask, “Is this per- growth), because he was a developer. His fam- son perceived to be powerful, occupying a posi- ily connections also fit the picture—a father who tion that confers authority and power, or actu- had been acting governor and a grandfather who ally involved in specific decision making?” If all had run a political dynasty in the county. That three are employed, a social worker can feel as- the winner was also a political columnist and ca- sured that those leaders whose names reappear ble-TV talk-show host illustrates a newer route often are “likely to exert influence in an array of to influence. The school superintendent, county decisions and in a variety of areas” (Martinez- executive, and a U.S. representative ranked sec- Brawley, 1990, p. 75). ond through fourth. Public service does not Although full-blown studies using any ap- equate automatically with power; in this study, proach may take a year, modest exploratory or not one of 9 county council members was in the shortcut studies can be completed in 2 months, top 10 with real clout or sway. Influence can also especially if an earlier study is available. News- be wielded by those who serve the community paper offices and political science, economics, or outside of office; the former president of the Na- sociology departments at colleges or universities tional Association for the Advancement of Col- are starting places to unearth such a study. ored People (NAACP) ranked eighth. 154 COMMUNITY PRACTICE SKILLS

To the surprise of many, the person ranked profession. How did the students locate those fifth most influential in the county was not a significant to our field? household name and was active in social service Team 1, using a positional approach, sought to causes. He had involved 100 congregations in an identify decision makers in public affairs and the interfaith effort to feed and house low-income human services field. It searched for a list of city residents. The newspaper described him as “a and county boards, committees, and appointed Presbyterian minister who devotes his life to citizen panels; found out which members were outreach programs for the poor and hungry, appointed and which were volunteers; obtained through the Community Ministry.” As the re- the names of members on each board and com- porter quipped, “That’s hardly a Boss Tweed for- mittee; and compiled a comprehensive list. This mula for power and influence, but [he] makes step took longer than expected, about a month. the list hands down.”(Sullivan, 1994, p. 8) The By asking questions, Team 1 informally deter- reporter did not know the minister/executive mined which boards or committees were con- director but planned to call on him in the future sidered most important in city and county affairs for opinions, which had the unusual result of (e.g., those bodies dealing with zoning, the putting a social service type into the mass com- airport, land, water resources, and natural re- munications loop. Social work managers and sources were important to businesspeople). practitioners must also reach out to someone like Unlike investigators in other disciplines, these that minister, who is positioned to know the social work students also included the names of thinking of the least and most powerful, both as government service boards and committees af- a key informant and for help with needs assess- fecting social services and low-income citizens, ment and planning. such as the community planning and develop- Inclusion of one of us on the list of county in- ment committee, human services board, com- fluentials is astonishing to social service students munity action board, and law enforcement ad- or practitioners. Yet to our surprise, almost in- visory board. (Team 1 could also have added variably when the results of local power studies influential voluntary sector boards such as are in, we know, an acquaintance knows, or United Way’s board of directors.) Even if many someone in our family knows an individual on were not countywide influentials, they were the long list, if not the top 10 list, fairly well. power actors in the social service world. Reading community power studies makes it With the results in hand, Team 1 noted the clear that we have more access to influentials names of those who served on multiple com- than we realize. mittees and those with the same last names. Team 1 also talked with long-time residents, SOCIAL WORK STUDY who pointed out other family connections the Even if studies are already available, it may team would have missed. This method of look- still be worthwhile to do a study of one’s own. ing at those in authority can reveal an elite or Our second example illustrates steps in the process pluralistic power structure. and the payoffs for learners when they conduct power Throughout the 2-month process, students on studies themselves. Social workers need to figure this team learned about city and county gov- out who to go to for what, who to hold ac- ernment operations, the appointments process, countable on various issues, and who to ap- board volunteer possibilities, the types of citi- proach as decision makers in a community. Such zens who do and do not participate in civic ac- objectives were pursued as a class project by un- tivities, the individuals and families who are ex- dergraduate social work students located in a tremely involved in such activities, professionals low-density area encompassing a city of 25,000. in the social service community with govern- The students divided into two teams, each with ment connections, and finally, those in the client a graduate student mentor. Since the teams used community who serve on one or more boards. different approaches, both will be described, This represents quite an informational payoff, along with a brief report on the integrated re- apart from the way the findings may help. sults of the studies. These class project results Team 2 employed a modified reputational ap- were then compared and contrasted with an ex- proach, with the aim of identifying those in isting newspaper study. Some names were pre- power behind the scenes. This approach requires dictable; others on both lists evoked surprise. nominations and meeting with those nominated. The student findings and the daily newspaper The students wondered if anyone would talk findings overlapped for 21 people. In a medium- with them, but they learned that busy, powerful sized community, knowing the names of that people open their doors when they learn that many decision makers is extremely useful to our others consider them to be influential, perhaps DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 155 because they hope to discover who nominated sleuthing to find the moneyed families in a town them, if nothing else, although the students did where none were obvious. They did not conduct not disclose that information. As a starting point, library research; in a bigger locale, such research Team 2 asked their field supervisors for names might save time while making findings more re- of community influentials; since this was a town liable and would teach different skills (Warren of 25,000 with mostly local service providers, the & Warren, 1984). field instructors had more community knowl- To finish up, the names from Team 1 and edge than might be true elsewhere. Team 2 com- Team 2 were combined and compared with piled a list, and those persons mentioned most those appearing in a reputational study pub- frequently were interviewed and asked for ad- lished in the local newspaper of the 50 most in- ditional names. All of this was accomplished in fluential people in the city. Neither the student less than a month. city-and-county study nor the newspaper city As another way of seeking local elites, Team study was scientific, but they provided leads to 2 checked traditional places where those with influentials and to power actors with the poten- money and position might be identified, such tial to exert influence, who were certainly the as the university, for evidence of founders and right people to contact for many purposes. For large donors (e.g., names of buildings), and town social work purposes, the longer the list the better. banks, for the plaques that list the founders and Our purpose is not to prove who is on top but to in- the current directors. Team 2 noted any family volve as many influential people as possible in our names of local funds and charities and obtained work. the names of current chamber of commerce offi- Every student researcher turned out to know cers. There were no country clubs (however, someone who was considered influential. In one country club presidents could be used in stud- instance, such awareness proved useful for lob- ies elsewhere). In cities, the boards of prestigious bying purposes; at the request of an advocate, hospitals might be important (Ollove, 1991). Fi- an influential arranged and attended a meeting nally, Team 2 obtained the names of the largest with a state representative. Before the study, the employers (factory owners) in the city, county, advocate was unaware that this person, well- and region. Team 2 compiled a larger list from known to the advocate, had broad influence. its three sources: those nominated early on, those We profit from doing power studies, which in- suggested by influentials (who were interviewed troduce social workers to important community after they were nominated), and names culled figures and to people with resources who might from other places (see Box 6.4). help with community assessment and other Throughout this process, this second group tasks. We can use our studies for advocacy or of students (Team 2) interacted personally with exposé purposes, or for assessment or adminis- several people considered important in the area, trative purposes. Thus we benefit, and so do our and thus made contacts. The team also enjoyed constituents.

BOX 6.4 THE POWERS THAT BE: A COMMUNITY WALK, DRIVE, JAUNT

The goal is to identify old, moneyed, or revered who are likely to know about land holdings; ask families in the area. Drive around the oldest and the chamber of commerce about family enter- best-kept cemeteries, stopping by the mau- prises that have continued for more than 100 soleums and largest stones to record the names years. In a small town or suburban community, (this doesn’t work for all religions). Find the old- track down the town historian and see if any his- est building or the administration building at any torical or genealogical books have been pub- college or university, look for the wall that lists lished on the area. For a swift walk, go straight the institutional founders, and record names. See to the public or university library and seek help if there is a foundation center in town and find in identifying big law firms and banks in town. out which families, if any, have their own foun- In cities, look at the Social Register, if available. dations; otherwise, seek out planning offices or Review available telephone books and other multimillion-dollar real-estate sellers (often pro- directories. moted in newspapers and on office windows) 156 COMMUNITY PRACTICE SKILLS

FUND-RAISER STUDY Applications to Our Own Work Our final example suggests additional ways to use power studies to further an organization’s The type of decision making dominant in a self-interest. Learning the names of powerful community has implications for practice. If there persons behind the scenes and influentials at the is equilibrium among competing groups, then city and neighborhood levels can be useful for social workers want to become part of the field your own agency’s board of directors recruit- of exchange and to influence local policy ment process and for resource development through bargaining. If there is centralization of (Useem, 1995). If power studies are being un- power and local government responds to a set dertaken for direct, obvious agency purposes of elites with a shared set of interests, then work- such as fund-raising, they probably should be ers need to bargain with elites, get elites to pro- contracted out and conducted by a consulting pose policy alternatives, and keep elites from group or university—not directly by the controlling the public, which, after all, has dis- agency—to put some distance between the re- tinct and dissimilar interests from the elites. Fi- quests for information and the later use of that nally, workers can look for common interests in information. Advocacy groups could do the the community and try to link groups to expand studies themselves. their influence. Emenhiser (1991) writes convincingly about The type of decision maker dominant in a how we can make fund-raising approaches to the community also has implications for practice. A influential, spot long-term corporate mentors remote circle of people unknown to workers pre- who can assist nonprofit organizations, and link sents less of an opportunity than known influ- power structure members to a low-power popu- entials whom workers have direct or indirect lation in a mutually beneficial way. This is why means of contacting. Either way, specific names we need to identify the powerful by name. Emen- are helpful. If key decision makers turn out to hiser gives a clear explanation of how to do this. be generally hostile to social services, we can still Who is or is not an elite or influential contin- find out which influential has a personal situa- ues to be debated, but among those who are usu- tion that may open a door. According to Mar- ally not part of the power structure, according tinez-Brawley (1990), “a thorough knowledge of to Emenhiser (1991, p. 11), are politicians, plant people and structures that promote or interfere managers, women and minorities, professionals with community decision-making is essential to (except for lawyers from large firms), university [social workers’] understanding of community presidents, civic association executives, media units and to their professional functioning” executives, and ministers. Look at Box 6.5. (p. 52).

FUND-RAISERS HAD BETTER KNOW ABOUT ELITE POWER STRUCTURES: BOX 6.5 A REPUTATIONAL STUDY METHOD

Emenhiser (1991) describes a reputational 4. Interview the 30 to 40 on the final list, ask- method in simpler fashion than most authors. He ing these questions: conducted a study in Indianapolis to identify and a. If a project were before the community rank influentials by following these steps: that required decisions by a group of leaders, which 10 leaders could obtain its approval? b. Place in rank order, 1 through 10 with 1 1. Put together a base list of potential influ- being the most influential, those individuals who entials (from research on the corporate 5% club, in your opinion are the most influential in the banks, etc.). city—influential from the point of view of their 2. Ask seven or eight respected members of ability to lead others. the community to review the list, to rank order 5. Weight and compile the rankings by inter- the 30 most influential names on the base list, viewees to get the names of the 7 to 12 persons and to add names (these experts must be well at the top. connected or positioned to know). Source: Based on Emenhiser (1991), pp. 9–14. Copyright 3. Compile a new list, weight the names ac- 1991. NSFRE Journal. Used with permission; all rights recording to the ranks given, and reorder them. served. DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 157

It is imperative to know who is on the board ambitious, traditionally this type of analysis is of directors of the agency with which we are as- done in fleet fashion as a preliminary procedure. sociated, as well as any parent organization, “Neighborhoods are different,” assert Warren what each person’s background is, and why he and Warren (1984), who state, “Identifying the or she was chosen. Those working in a govern- sources of this uniqueness is the first step in de- ment agency should be similarly aware of citi- signing effective outreach programs and orga- zen advisory boards or other influentials who nizing for citizen action” (p. 27). And, we would might be swayed by staff concerns. add, a first step in determining whether your As in field studies, conducting and discussing agency does the job it is supposed to in aiding local power structure studies turns out to be an the community. Time must be set aside to reflect; antidote to burnout. Community power studies otherwise, says Cox (1977), “Practice is apt to be seem to heighten our desire to critique results governed entirely by preconceived ideas, expe- and methodology and to pursue new leads be- dience, past habits of work, stereotyped atti- cause they activate our juices and kindle our tudes, the insistent demands of a vocal minor- curiosity. ity, and accidental encounters with atypical situations. . . . There is no real substitute for firsthand knowledge of people and their problems, COMMUNITY ANALYSES their needs and hopes” (pp. 15–16).

Definition History, Terminology, and Purpose Community analysis can be a task, an orientation method, and a particular type of report This type of study has a less definite history. write-up. To illustrate, Haglund, Weisbrod, and Robert Lamb’s 1952 widely used shortcuts to Bracht (1990) look on analysis as a critical first gain a comprehensive picture of the life of one’s step before any intervention, and as a “profile hometown and Roland Warren’s book on study- [that] includes a community’s image of itself and ing the community may be the progenitors; their its goals, its past history and current civic suggestions have been employed by practition- changes and its current resources, readiness, and ers ranging from salespersons to organizers. capacity for [activity]” (p. 91). A community anal- Compared with the first two, this type of study ysis will be discussed here as a broad interpretive is less well defined, in part because of its many study based on factual documents, interviews names and descriptions. It is viewed alterna- with officials and natural leaders, observation, and tively as getting the pulse of community life, search methods; a once-over-lightly examination profiling one’s community setting, doing a first of many aspects of a particular area or group; approximation of an official community survey, and a process of refining initial impressions. gaining enough knowledge to allow one to func- A natural leader is a person respected and of- tion effectively in a community, and sizing up a ten listened to by others. The online Community situation. We believe community analysis is an ap- Tool Box provides an unalloyed example: “A propriate designator. community coalition had as a founding member Journalistic community profiles published a veteran who had been shot down as a fighter over many decades are the closest popular pilot in Vietnam. When he got home, the whole equivalent. These include in-depth examinations town watched for agonizing months as he of places published in the housing section or learned, through obvious pain, to walk and func- Sunday supplement of a large newspaper, city tion despite crippling injuries that were sup- magazines such as Pittsburgh, or national publi- posed to confine him to a wheelchair for life. He cations such as The New Yorker. Such pieces, his- was an ordinary guy without wealth or position torical or current, are worth reading, if available, but he had credibility in that town” (Who should because they provide names of centrally impor- be involved; influential people in the commu- tant individuals and thoughtful analysis of eco- nity, para 3). nomic ups and downs, of civic strengths and Community or neighborhood analyses have problems. Think of the Atlanta or Albuquerque many forms. While the analysis helps us differ- of 40 years ago compared with the Atlanta or Al- entiate, comprehend, and respond to a certain buquerque of today. Such articles help orient us population or neighborhood and determine who to changing communities, but it will be our task generally runs things in town, it is also designed to add assessments of a social work nature. For to grasp intangibles such as ethos, morale and example, a magazine featuring the fishing past town character. Although it may sound more and picturesque present of a small town will not 158 COMMUNITY PRACTICE SKILLS note a dearth of hospitals, clinics, and physicians also look at the names of the directors of the within its borders, which requires residents to largest service and information businesses); and drive 30 minutes to the next larger town. read census data and area studies by social Why do we, as professionals, begin such an workers detailing the citywide distribution of analysis? An analysis helps us get our bearings types of cases and social problems. To study a and avoid false starts in our practice. Warren and neighborhood, Warren and Warren (1984) sug- Warren (1984) put it extremely simply: “When gest the following process: The observer should you first arrive in a community, it’s a good idea first walk around city hall or central government to spend a short time getting a feel for the city buildings, pick up pamphlets on city services, as a whole [italics added]” (p. 27). Since we want and visit the central business district; obtain to root ourselves in the social fabric, we must go maps, the telephone book, and local newspapers; beyond the Welcome Wagon plane of informa- go by the library and chamber of commerce to tion for ourselves and those we serve—for ex- get a list of community organizations and their ample, by attending some city council or town contact persons; and then drive and walk around hall meetings or watching the cable television the neighborhood, chat with people on the street, channel that covers civic meetings. The next and ask them to define the boundaries of the steps in analyzing a community, even if easy, area. After getting more settled, the observer may not be as obvious or apparent as they first should precisely identify key informants and seem. various networks and generally figure out “how the neighborhood operates” (Warren & Warren, p. 34). Methodology Obtaining an introduction to a small town can be accomplished with brief stops at the most con- While a field study often starts with certain in- spicuous gas station and most noticeable church, dividuals and families, and through their lives the real estate office, pizza parlor, and elemen- and activities works up to the city level, analy- tary school. At this point, we do not need to ses start with countywide and citywide institu- speak with business owners, principals, or min- tions and then move down to the neighborhood, isters; anyone working in the establishment who suburban, or smaller unit level. Thus, one might has time will do fine. In fact, sometimes others start with city librarians and the census and later will be better initial guides to the area. Every interview the corner druggist and the head of place is different, so the social worker has to ex- the elementary school PTA. Among the reasons plore. In Carlinville, Illinois, a key person to con- for starting with a wide focus are that maps usu- tact would be a school janitor who has been ally portray a broad geographic area, many plan- around for 14 years and knows many families. ning studies look at a region, and histories are He is also “a city alderman . . . a volunteer fire- seldom written on small residential enclaves. man, deputy coroner, a member of the Macoupin Cook County and Chicago are too huge to ana- County Historical Society, American Legion, lyze, but if we want to put into perspective the and the Elks” (Browning, 1995). If one of our area around the University of Chicago, called stops is an elementary school, we might be lucky Hyde Park, then statistics and demographics for enough to run into him (or someone like him in the whole area can be used as a basis of com- another town) outside the building. Although parison for data on Hyde Park. Sometimes the the community itself will take a long time to opposite is true: A village is too small to study know, newcomers can quickly start familiariz- in a vacuum because data are collected at the ing themselves with the town. What does one county or consolidated school district level. say at such stops besides “I’m interested in this How do we begin such an analysis? Cab driv- area”? See Box 6.6 for typical questions asked at ers, ambulance drivers, fire fighters, and police this and later stages of the analysis. officers are expected to quickly become familiar Exactly what are we talking about here in with various areas and with names of places. terms of a community analysis process and Lamb (1977) recommends these first steps for an- product? A social work study of an inner-city alyzing a town: Buy a map, including a street di- area conducted one summer covered these top- rectory; look up local history; review Rand- ics: sociodemographics; history; political life; McNally’s Banker’s Register, Moody’s Banks, and drugs, crime, and law enforcement; the revital- Standard and Poor’s Directory of Directors at the li- ization process; community impressions; and brary to obtain the names of local bank and cor- notable community programs. Appendixes in porate manufacturing directors (today we might the report included a list of contacts, a commu- DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 159

BOX 6.6 REPRESENTATIVE QUESTIONS FOR A COMMUNITY ANALYSIS

What are the boundaries of this area or com- What special problems or central issues does munity? What do you call it? Do old-timers call your [network, area, neighborhood, community it something else? of common interest] have? Where do people stop to chat, hang out, or Who are important civic leaders in your com- relax around here? munity and why? Have you ever seen anything written up about Who are the chronic gripers in the area? What this area? Should I read it? is their complaint? What are the good and bad points about liv- What kind of games do children play around ing here? here?

nity survey by another university, a “commu- servation, Hirsch discovered the following gath- nity-building” report from another organization, ering places: census tract data, crime statistics, and descriptions of three social agencies involved with the Lockhorn’s community. Bob’s Spa The bottom line is that one should gather in- Costello’s formation on one’s neighborhood before it is El Charro needed. A sudden turn of events can make a The Midway prior study invaluable, as a Washington, D.C., 3M Market urban improvement group learned. Logan Cir- Old Stag Tavern cle was being transformed from a rundown area Eddy’s Market where prostitutes congregated into a family Rizzo’s Pizza neighborhood. Still, the place lacked basics such Fernandez Barber Shop as grocery and hardware stores. Then someone Franklin’s CD heard that an outstanding food company was J. P. Record Shop seeking a downtown location. Quickly, a cadre Cafe Cantata of neighbors prepared a pitch for locating it in Black Crow Caffe (pp. xiii–xiv) Logan Circle. The group had just 48 hours to (a) identify and contact local landowners who The variety on this list may spur us to think more might rent or sell to the store; (b) write and pol- broadly about hangouts in our own communities. ish a report containing demographics, crime sta- Details about community life are invaluable to tistics, and anecdotes meant to personalize and the social worker. Thus, besides reading and cre- market their neighborhood; and (c) recruit and ating social reports, we want to focus on those brief credible negotiators who could influence places (besides home and work) that nourish the store owners. A completed analysis would personal connections, that is, we want to look for make all three tasks easier. Fortunately, they core settings “where one is more likely than any- made the deadline and recruited the store. where else to encounter any given resident of the Kathleen Hirsch’s (1998) examination of a community” (Oldenburg, 1999, p. 112). Everette neighborhood outside Boston exemplifies other Dennis suggests that we observe gathering methodologies. Yes, she secured facts from the places and monitor other “touchstones” to keep Census and learned that a third of the house- tabs on community realities: “Learn how people holds in Jamaica Plain were below the poverty live and work by observing housing standards, line and 46% of households owned no car. And neighborhoods, and primary work places. Mon- she did her homework about the community’s itor such public gathering places as laundro- economy. Jamaica Plain, it turned out, had these mats, beauty parlors, restaurants, and bars. Use business sectors: “hardwares, bodegas, clothing, public transportation at various times during the used book, ice cream and thrift shops (small- day and night. Watch facilities such as emer- scale commercial); check cashing, real estate, gency rooms, jails, and shelters for the home- restaurants (service); beer making, pretzels (light less—action at these sites helps the observer un- industry); small-scale agriculture” (Hirsch, 1998, derstand the community’s pressure points” (as p. xii). But, going beyond fact gathering to ob- cited in Ward & Hansen, 1997, p. 70). 160 COMMUNITY PRACTICE SKILLS

Examples waiting for the bus but not any black people. I saw a handful of people, casually dressed, com- Perhaps our clients come from many different ing up out of the subway. neighborhoods; however, many may live in a Tuesday, 6 P.M. People with briefcases and few areas that we could visit, and we all meet in wearing running shoes pour out of subway ex- a certain place—where the office is located. its—in 5 minutes, at least 50—almost everyone Without much effort, we can walk to different white adults. Bumper-to-bumper traffic. places for lunch and use new routes to drive to Saturday, 2:30 P.M. From same vantage point, and from work until we have seen the 10-square- I saw large numbers of couples with small chil- block area surrounding our urban office or the dren, but very few older people. Again, almost 10-mile radius surrounding a rural office. If our everyone was white. The bus stop by the 7- agency has satellite offices or scattered service Eleven appeared to be a meeting place for delivery sites, we can visit each of them and, young people hanging out.4 where possible, again move out in concentric circles to get the lay of the land. A number of possibilities can be explored if We should pinpoint the central area of the sub- further observation reveals similar patterns. urbs or towns or neighborhoods, from which the Among these are (a) potential needs of the el- majority of our service users come, and pick a derly, and of house cleaners and baby-sitters central point, such as a key street corner, to make who come into the area, such as day care for their some instant but ongoing observations. These children (or for residents’ children); (b) whether may not be surprising snapshots but rather writ- play space is safe and adequate; and (c) possible ten observations that prove useful regarding such discrimination in housing in the area, which subjects as who might need what services. Here could be checked out by testers. are notes from one student who observed in a Observers can be surprised by what they see gentrified section of a large city: while observing more closely than usual. For example, students noticed a number of Asian Tuesday, 11 A.M. Many walking by are elderly American families grocery shopping in a subur- (counted nine older people in 5 minutes I stood ban area that was thought to have a totally ho- here). I also noted five women pushing baby mogeneous population (Box 6.7). Their finding carriages—a couple looked like young mothers; might have program development implications. the rest looked older and may have been (It is surprising how accurate such informal ob- babysitters. I saw a group of Hispanic women servations can be sometimes. Within 6 years,

BOX 6.7 ANALYZING: A COMMUNITY WALK, DRIVE, JAUNT

Speedily discover if an area is heterogeneous. people congregate in a locale. Explore neigh- Look through the telephone book (as many borhoods and walk in or around local centers of named Kim as Kelly, Nguyen as Nash?), stop by activity like these: pool hall, video arcade, unisex hair-cutting places in neighborhood casino, skating rink or good roller blading areas, shopping areas and by the motor vehicle center bingo hall, tattoo parlor, swimming pool, coffee in your immediate vicinity—and take the answer shop, jazz or other night spot, bowling alley, into consideration in planning a walk. The goal karaoke bar, the Royal Bakery downtown, Star- is to identify small worlds within the geographic bucks at the suburban mall, the Country Store area. at the crossroads, the small-town Dairy Queen. A walk just beyond an urban university cam- Look for other places where residents interact, pus and a few blocks around the environs might such as a central bus stop, the high school park- reveal multiple communities of a sort: the cam- ing lot, the lobby of the post office, the corner pus, ranging from professors to security guards, where day laborers are picked up, a storefront a yuppie neighborhood, a public housing proj- check-cashing place, or the farm implement ect, and an enclave of medical-related residen- store. Record who (in a demographic sense) is tial services flanking a hospital (e.g., a Ronald found where and at what time. How are you McDonald House). Find specific places where greeted along the way? DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 161 there were many new Asian American specialty To take the suburbs as an example, the inter- food stores and restaurants within a 2-mile ra- actional approach operates from the premise that dius of that grocery store.) place does not necessarily dominate the lives of Martinez-Brawley (2000) has figured out a those living in such communities (Meenaghan et rather easy way of identifying many kinds of al., 1982). In this interactional model, to look for linkages. To gain a “colloquial understanding” community isolates, who are not part of the of her hometown in Maine, she scrutinizes obit- community, we can note the person who drives uaries: “Here I find the heritage and connections alone to work in the city and goes to the same of families . . . the organizations, lodges, and ser- bar most nights, we can observe at the unem- vice groups that provided purpose and mem- ployment center, or we can inquire at beauty bership, the churches that offered spiritual shops about patrons who seldom venture out ex- respite, their favorite pets, and even the simple cept to get their hair done. To search out neigh- leisure activities that gave meaning to individ- bors, we can research car pools into the city, or ual lives” (p. xiii). to and from day care centers or schools or lessons Noticing newspaper stories about incidents in on weekends, or we can track down ongoing one’s community of interest is another way to be poker games; these may be the start of at least observant. The idea here is to check things out: “weak-tie” social networks (Flanagan, 1993, p. What does the community think about this inci- 22). To seek key actors in the suburbs, we can ob- dent? What is a problem for them? For example, tain the names of those who started the Neigh- one student read about a hate crime in which borhood Watch group, as well as those who two young white men doused an African Amer- serve as block captains and those who started ican woman with lighter fluid and tried to set the children’s soccer league or the adult softball her on fire. The student began interviews to learn league, along with current coaches. more about the suburban area where it hap- Robert Putnam (2000), an expert on social pened and to determine whether this event bonds and social capital, reminds us that indi- indicated that skinheads or other organized viduals can engage in formal and informal ways groups had moved into the neighborhood. Here in their communities: “In Yiddish, men and is part of her report: “According to police who women who invest lots of time in formal orga- attended a meeting to discuss the incident, this nizations are often termed machers—that is, peo- neighborhood does not have a greater propen- ple who make things happen in the community. sity for this type of violence than others, and By contrast, those who spend hours in informal every person I interviewed felt that this was an conversation are termed schmoozers” (p. 93). We isolated incident. However, I got an interesting can consider whether we and those around us perspective from G, a black man who works in are machers or schmoozers or both, but more im- the shopping center. He was not surprised and portant, we want to note what linkages if any felt that if the woman had been lit on fire, the are occurring. Inevitably, people exhibit varying whole area would have exploded. He feels rela- degrees of local involvement and leadership. tions between blacks and whites are strained. He How does a family or association fit into the added that there were more media at the neigh- community? Equally important, where do we as borhood rally than participants, and as far as he professionals fit—or do we? could see, there were no civic leaders in attendance.” It would be foolish to rely on scattered The Write-Up interviews for truth, but ordinarily we get only one version of reality, while a community analysis reports on multiple versions and percep- We began our community analysis by seeking tions. out logical resources. We finish by writing a re- Ways to dig deeper exist that can take us beyond port and having it double-checked by our key observations and a few interviews. The rural informants. method, which Meenaghan et al. (1982) recommend for large areas with scattered populations, 1. A sample of topics to cover in a community nicely fits our notion of a community analysis. analysis includes the following: We particularly like the emphasis of Meenaghan Geographic, corporate, jurisdictional bound- et al. on figuring out “smaller social worlds aries within the larger arbitrary unit” (p. 99) to be Demographics, statistics, subgroups served by entities such as multicounty commu- History, community strengths today nity mental health programs, hospital planning Political structure, governance boards, or rural legal services. Economic structure, major or key employers 162 COMMUNITY PRACTICE SKILLS

Social services structure mayor calls to ask our advice or the day we need Mutual aid, community action organizations a detailed understanding of several elements in Potential or actual civic and service problems our town or city or county. This type of study Power relations also generates many ideas that allow us to do 2. A sample of approaches to use in a commu- our jobs better and more easily (Cruz, 1997). nity analysis includes the following: At a more mundane level, we are wise to keep Interviewing, “hearing” the community in abreast of even simple community develop- new ways ments—if only to avoid embarrassment. Can we Observing, analyzing give accurate and easy directions to clients on Collecting illuminating anecdotes, stories how to reach the office and where to park? Will Following methods used by social scientists we be aware when clients may be late due to a Providing orientation materials (map, pho- parade, baseball traffic, or a political demon- tographs) stration (not to therapy resistance)? Do we real- Being aware of personal bias, limits of analy- ize when the buses or subway go on strike? Do sis we know when the school holidays occur? Do we know where clients with modest incomes can purchase cheaper medicine? The more specific Sometimes an innocuous topic such as trans- we can be about resources and the more knowl- portation or community boundaries, or a basic edgeable we are about how systems work, the step such as identifying those boundaries, turns easier we can make life for the users of our out to be difficult, rewarding to capture on pa- services. per, and quite helpful for practice purposes. One student determined which political ward his community was in and located the names and PROBLEMS AND SERVICES STUDIES telephone numbers of political block captains Definition and neighborhood advisory board members. As part of a study of an affluent subdivision, another student examined schools and the bound- Social problems and services/programs can aries that dictated which children went to what be studied separately or in combination. We will school. She learned that the influential subdivi- call a problems study the kind needed to deter- sion’s elementary school prevailed more often in mine the extent and severity of specific problems school politics than a buffeted-around elemen- or to give an overall diagnosis of the range of tary school (that received the children nobody problems; we will call a services/programs study wanted) located quite close by in a noninfluen- one that looks at provision and utilization of ser- tial neighborhood. The student said that seeing vices (affordability, suitability, effectiveness). how physically close to each other these schools Both fall under our umbrella term problems and were opened her eyes to power, influence, and services studies, the fourth type of community class. study. According to Siegel, Attkisson, and Carson (1987), anyone living or working in a commu- Applications to Our Own Work nity forms impressions about human service needs; thus, we want to obtain community resi- Agencies and organizations need the infor- dents’ perspectives on the accessibility, availabil- mation contained in a community analysis. At a ity, acceptability, and organization of services minimum, they must know community indica- because their reactions give us “indispensable tors in their own specialization (Mitchell, 1998). clues about the human service needs of the com- If we cannot conduct one ourselves, we should munity as a whole” (pp. 86–87). (See Box 6.8 for ask librarians and newspaper editors if they know questions that might be asked in such studies.) of a community profile that has been published When a problem of great magnitude has oc- recently; an economic development office might curred, a researcher may conduct a “social au- also be a place to check. By doing it ourselves, topsy” to see what factors contributed to the nat- we will learn more, target it more precisely to ural disaster or human failure. our concerns, and become known to significant people in the process. We will be on top of things History and in a position to make better judgments about social service and justice interventions. Power and influence studies look at one di- Once we have successfully conducted a com- mension of community—structure—while social munity analysis, we will be ready for the day the welfare studies emphasize the values facet of DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 163

BOX 6.8 REPRESENTATIVE QUESTIONS ASKED IN SERVICES STUDIES

How do you get here? How many buses or trans- Have you received mail, telephone calls, or fers does it take? in-person calls about [how you obtain dental What types of needs go unaddressed in your care, etc.]? community? Please answer the following about your child What are some differences between your care arrangements: [from a questionnaire with group and others in the community? Are those open- or closed-ended questions] differences a problem for any of you? Have any social or health indicator analyses Who are the various players who are trying to or surveys been conducted for this area? [asked solve these problems and meet these needs? If of planners or officials] the community is not being responsive, what do you think is the reason?

community; that is, meeting common needs, car- and public sector programs addressing probing for others (Morris, 1986). Sociologists are lems (that have been field tested) and other so- more likely to take a problem slant—what is lutions for these problems, and (c) implementa- breaking down society? And social workers usu- tion critiques (issues, cost/benefit analyses, ally take a services slant—what can reintegrate evidence of consumer satisfaction). society? Some of the earliest social work en- In many community-oriented versions of deavors involved this type of community study problems and services studies, such as general or social survey—obtaining necessary facts for population or target population surveys, the planning and for documenting the numbers of perspectives of potential and current partici- child laborers and other social conditions or pants in the service delivery system must be problems (Garvin & Cox, 1995). solicited and valued equally with the advice of peers, funders, professionals, and service Terminology providers (Meenaghan et al., 1982). Potential and actual service users have opinions on the types The most common approach used by helping of services they want and can suggest priorities professions when they undertake a community for skills they desire. inquiry is to spotlight a target population or targets for change or a population at risk. Also men- Methodology and Examples tioned are related service delivery problems, the responsiveness of the community to the target APPROACHES AND GOALS or at-risk population, and the community’s ca- The problem or service oriented community pacity to respond (Menolascino & Potter, 1989). study varies in subject matter, research method- Less common but connected are a concentration ologies, and purposes, as shown by these repre- on a “solution environment” (Rothman, 1984), a sentative examples: “human services system” (Netting, Kettner, & McMurtry, 1993), or even players, procedures, and linkages affecting human services (Hahn, • Bergman studied physical, sexual, and verbal 1994). These studies help bridge the gap between violence that occurs on dates by having stu- community and agency analysis. Such investi- dents fill out questionnaires. She selected high gations may be utilized when an organization schools from rural, suburban, and inner-city has to prove to others that a problem exists, locations and found that community setting believes some problems are unaddressed, or had more influence than, say, racial make-up, resolves to move toward community-based with “the percentage of white collar workers services. positively correlated with the incidence of vi- Our agency can originate a study, but first we olence” (Bergman, 1992, p. 26). That surpris- should locate relevant studies conducted in our locale ing result from this problem study might change or in similar communities—to discover the vari- the focus or location of youth programs. ables that define problems and their solutions. • Icard, Schilling, El-Bassel, and Young (1992) We are looking for multidimensional and sys- explored the “complex cultural, economic, and tematic studies of (a) social problems, (b) private social factors obstructing the reduction of the 164 COMMUNITY PRACTICE SKILLS

AIDS rate” in the African American commu- most problem-oriented studies are affordable, in nity (p. 440). In their problem and solution study, part because a study’s parameters can be limited they noted regional and subgroup differences by an agency’s specialization. The dislocated within a demographic group: “An effective worker study described above used volunteers AIDS prevention effort must respond to dif- and cost only $8,000. ferences among black gay men, black gay men Klinenberg’s study took 5 years; thus, prob- who are IV drug users, and black heterosex- lem-oriented community studies can—but need ual male IV drug users” (p. 444). not—require years to complete. Sometimes sim- • A services/programs study can aid disaster ply gathering and focusing on changing demo- preparation. To avoid chaos in the future re- graphic information helps those in human ser- quires coordination within the community vices understand new community dynamics and and with outside organizations. Murty’s study needs. To use another example from the Mid- (1999), in a rural county in Missouri, identified west, meat-packing jobs have lured sizable num- 75 formal and informal organizations that bers of immigrants to certain towns and small could comprise a system for planning and re- cities—a development that has created educa- sponding to disasters. This identification was tion, labor, intergroup, and service problems re- accomplished through network analysis and quiring attention (Wells & Bryne, 1999). As next interviewing. As a result, relevant but periph- steps, social workers could become better in- eral organizations could be better linked. formed by interviewing, participant observation, and contacting towns undergoing similar • Following up on the circumstances of workers changes. This immigration example illustrates who had lost their jobs, Wagner (1991) used a study that puts the focus on the solution en- union peer counselors to telephone 495 work- vironment and the community’s capacity to ers and conduct 20 minute interviews pertain- respond. ing to their job status and how they had coped. One goal of this problem and solution study was to learn more about the disruptions to mill NEW TOOLS workers and their communities; another was To start a community problem study, we want to follow up with appropriate service, orga- to check with geography, public administration, nizing, or advocacy options. and business departments at local universities • Following up on a horrendous death toll from and with police, transportation, health, recre- extreme heat, Klinenberg (2002) used ethno- ation, and other government offices. Profession- graphic fieldwork, in-depth interviewing, als there may have conducted research in rele- archival research, map-making, and statistical vant areas or have capacities to pinpoint analysis to, among other things, contrast areas problems such as domestic violence by neigh- of Chicago that were hard hit by a heat wave borhoods or wards that our organization lacks. with those that were not (some next door to Numerous offices such as city planning de- each other). Among his findings were that partments have acquired a technology called busy streets made safe neighborhoods, that Geographic Information Systems (GIS), a type of changes in social service delivery and privati- management information system that can pro- zation trends contributed to the calamitous ef- vide new insights for community situations fects, that the media treated the tragedy as a through sophisticated graphics and information social spectacle, and that the mayor was pre- maps (Elwood, 2001). For instance, human ser- disposed to blame the elderly victims rather vice workers and organizers can use GIS to link than Chicago’s social service agencies. data to the target group’s environment, e.g., to examine patterns of arson (McNutt, 2000). Tele- SCOPE AND COST phone complaints about rodents can be mapped Analyzing sectors of communities can be ex- so the neediest neighborhoods quickly and reg- pensive and citywide studies often require fed- ularly receive rat traps and other interventions eral or foundation support. For example, for his (Richards & Croner, 1999). Students in Raleigh, project on social characteristics of neighbor- North Carolina, created a school archive using hoods, Chow (1998) received grants from the GIS in combination with oral histories of its Rockefeller and Cleveland Foundations. He ex- graduates and discovered how the community amined 10 social problems and the level of so- surrounding the school changed over time (Ali- cial distress by census tract and used agency and brandi, Beal, Candy, & Wilson, 2000). Hoefer, census data to distinguish four types of neigh- Hoefer, and Tobias (1994) suggest several rea- borhoods for planning purposes. Fortunately, sons to use this study tool: DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 165

One of the key theoretical viewpoints of so- spective by looking at a community study on cial work is that the clients must be viewed in alcoholism, particularly among employed indi- the context of his or her environment. Yet, as viduals. If such a study does not exist, the social clients’ environments frequently differ from our worker can propose one and coordinate it with own, we may overlook or misunderstand the other agencies in the addictions field. effects of their environments on their problems. Keep in mind, though, that formulating sen- GIS can help us keep track of both the physical sitive study questions, gaining access to study and social aspects of those environments. . . . participants, interpreting results, and ensuring GIS easily addresses such questions as: reliable findings can be difficult. Even seemingly Where do our clients come from? Are we ac- cut-and-dried problems and services studies spon- cessible to our clients by public transportation? sored by human service agencies are affected by com- Are there geographic concentrations of partic- munity and cultural dynamics. If the agency has ular client problems? And, if we need to change conducted a prior field study or community location or add satellite offices, where are the analysis, these steps will be easier to take. Mem- best areas to be? (p. 117) bers of the target population—who may or may not know us already—often are affiliated with a number of subgroups, some of which are The Republican and Democratic parties are wary of us as researchers or service providers. additional sources of GIS technical expertise. “Disempowered consumers view providers They may have created digital maps on such through the prisms of history, contemporary in- subjects as values or attitudes, residential den- equities and their previous experiences with sity, and voting participation that could be of health and other human service providers— use. According to Novotny and Jacobs (1997), often negative. . . . Part of diversity competence “What makes GIS so appealing to political cam- with disempowered people is anticipating dis- paigns is that it allows a small group of people trust, accepting it, and knowing how to build to take a multitude of geographic and demo- trust” (Rauch, North, Rowe, & Risley-Curtis, graphic data, from marketing and consumer re- 1993, p. 23). search to property tax information and U.S. Bu- To address such multiple interwoven con- reau of the Census statistics, and render them all cerns, social workers may benefit from combin- on a colorful multilayered map that is far more ing qualitative research methods, ethnographic accessible to use than a mere spreadsheet of ta- approaches, and ethnocultural awareness with bles and numbers” (p. 268). Computer graphics the conventional quantitative methods usually can enhance community studies through the employed in problems and services studies. A generation of show-and-tell materials for politi- qualitative approach is especially useful in ex- cal meetings, fund-raising efforts, and so on. ploratory studies, in follow-up studies that bring to life existing data on the incidence and preva- NEW ROLES lence of a disease or social problem, and in stud- We can combine forces with professionals ies to design and promote services for special trained to use new technologies. They might populations (Delgado, 1979; Hughes, 1998; have statistical capacities or visual displays that Rounds, Weil, & Bishop, 1994). For example, will be effective with policymakers and philan- Rauch and her colleagues believe that learning thropists, while we on the other hand have the about genetic illnesses requires sensitive ques- case or environs examples that humanize their tioning about personal issues surrounding numbers and graphics. Or we can empower oth- health and genetic inheritance. Using open- ers by giving training in GIS and other systems ended kinds of questions, as in conducting a to resource-poor organizations (Ghose, 2001). careful social history, they find they can probe a family’s experiences with an inherited disorder much more deeply than with typical survey Quantitative Versus Qualitative Studies questions. Furthermore, the qualitative approach enables the researcher to enlist the coop- Some studies of problems and services have eration of the study participants who are coping an appropriately narrow focus. Suppose that with the illness (hence, the real authorities). someone working in the employee assistance Without this cooperation and without exploring program (EAP) of a huge corporation has deter- solutions acceptable to the consumers, research mined the annual number of cases of alcohol findings would be much less reliable and ser- abuse that come to the attention of his EAP of- vices designed to respond to the problem would fice; he now wants to put those numbers into per- be of little value (see Box 6.9). 166 COMMUNITY PRACTICE SKILLS

BOX 6.9 WALKING IN THEIR SHOES: A COMMUNITY WALK, DRIVE, FORAY

Choose a population (teenage parents, dually di- coaches, English-as-a-second-language tutors, agnosed adults in group homes, Haitian immi- and Head Start outreach workers. Better yet, on grants) in the area that is underserved. Arrange a weekend, take a walk with two clients or com- to spend the day with a member of that group. munity residents. This may be easier and more Someone who has work that takes him through natural for case managers and community-based the residential or place community of this pop- practitioners than for clinicians, but it would be ulation (if one exists), such as a pizza deliverer, useful for all in better understanding relation- meter reader, pest control employee, local tran- ships; obtaining basic information on errands, sit worker, or activities director, would be a good shopping, transportation, and missing resources; choice. If this is a scattered or nonplace com- and soliciting opinions informally about service munity, ferret out members of this population adequacy and other delivery dimensions. (Avoid whose work takes them on rounds involving this being intrusive, be humble, and make clear your group, such as public health workers, job desire to understand.)

Applications to Our Own Work computer analysis. Approaches are mixed and matched to fit the situation and available Many federal agencies collect data on social resources. problems and service utilization, and even on the quality of services, but by necessity most Illustrative Example such studies are quantitative. We social workers must be familiar with the ongoing studies con- Your Juneau office has been successful at ducted in our field of interest. We also have an community building and has received money to obligation to stay informed on events at the lo- open an office in Sitka, a town of 7,800 residents cal level, consulting with planners and intera- about 70 miles away by air. You know little gency task forces that prepare relevant reports. about Sitka except that it is a small coastal area If we are unable to do studies of our own, we that has lumber, salmon, and halibut fisheries; can seek them from hospitals, the United Way, tourism; a college; and a naval air base. You government planning departments, urban or know that much only because one of your rural centers that specialize in social demogra- friends (Mike S., who runs Juneau’s port) fre- phy, and universities or colleges that do social- quently talks about Sitka. problem or program-evaluation studies. Our Under terms of the grant, the first step is to special role is our commitment to involving conduct a community study. Your director asks clients, service users, and the general public. We you to move to Sitka early to start this study, seek input less for magnanimous reasons and which may provide guidance on hiring and pro- more because of our growing awareness that re- gramming. He gives you the names of three search alone is insufficient and that we need in- townspeople whom he has met: George P. of the put from consumers, other providers, demog- Alaska Marine Conservation Council, Nancy F. raphers, and other experts. As we shift our of the nonprofit Island Institute, and Lesley A., emphasis from broad study to focused assess- who runs day tours for cruise ships. The direc- ment, the problems and services theme will con- tor tells you to investigate the area in four ways tinue to be addressed in the next chapter. and report back in a month.

INTEGRATING METHODS TO SUIT THE PROJECT 1. Conduct a field study to learn more about the When practitioners wish to get to know their culture of any minority, low-income, fringe, clients’ worlds better, or when program devel- or disreputable groups in the area that might opment or another course of action is underway, be overlooked in the community building several of the studies discussed here can be com- process. Your first steps will be ______bined or elements of all four can be mixed to fit ______the situation. Community studies can be as personal as ethnography and as impersonal as ______DISCOVERING AND DOCUMENTING THE LIFE OF A COMMUNITY 167

2. Conduct a power structure study to find out • To be aware of local mores and clients’ as- who openly and who quietly controls the sumptions about reality, we must involve our- community. Your first steps will be ______selves as much as possible in their worlds with the aim of gaining cognitive and affective ______knowledge. ______• There are many ways to recognize and ana- 3. Conduct a community analysis to gain an lyze communities; therefore, one must decide overview and a sense of town character. Iden- on appropriate variables (you can’t find it if tify community strengths. Your first steps will you don’t look for it) and methodologies (how be ______to find it). • Practitioners can learn more about any of the ______four approaches described by exploring their ______particular areas. We suggest that readers review the suggestions for the four walks— 4. Find out who has recently conducted prob- designed to capture the flavor and other as- lem-oriented community studies. Try to pri- pects of each type of study (review Boxes 6.2, oritize community concerns. Your first steps 6.4, 6.7, and 6.9). If you are still not sure what will be ______to look for, think of yourself as a filmmaker ______depicting aspects of your community that you are discovering and want to document or ______share with your office. 5. Would you do the studies in this order or an- • We also suggest that readers review carefully other order? Explain your rationale. ______the possible questions to ask community resi- ______dents or clients. Those who anticipate conducting a study should think of additional rel- ______evant questions and then recruit a small focus group of individuals from the community to For a metropolitan, multicultural version of help refine suggested questions and additions. the exercise, focus on Raleigh, North Carolina; • Even if inexperienced practitioners use such Atlanta, Georgia; Greensboro, North Carolina; unpretentious methods as looking, asking Charlotte, Virginia; Orlando, Florida; Las Vegas, questions, and listening, they can be more rel- Nevada; or Nashville, Tennessee, all of which evant and helpful in their future work. have rapidly increasing Latino populations. For cultural background, see Rodriguez (2002). Ultimately, we must look beyond needs and differences to see what pulls a community to- Conclusion: Unpretentious But gether. Residents of rural Arcadia, Indiana, for Necessary Outings instance, came together to throw a farewell party for the United Parcel Service driver when he re- We conclude this overview, of how to study tired. Each store in town had handmade signs and size up communities and learn more about inviting the public to a potluck dinner held in the day-to-day realities of residents and mem- his honor. He had been a link between various bers, with these summarizing points: communities.

Discussion Exercises

1. Conduct a professional development work- this seem to be from a societal viewpoint? Do not shop for your agency addressing the question, anticipate or judge answers from anyone. What sort of community is this? Bring in service users. What kind of community does this seem to 2. Has your field agency conducted a neigh- be from a resident’s viewpoint? Bring in staff and borhood or community study? The community the board. What kind of community does this study might be of the larger metropolitan area or seem to be from your organization’s viewpoint? of a particular population (e.g., the gay commu- Bring in experts. What kind of community does nity or the drug community). If so, determine 168 COMMUNITY PRACTICE SKILLS whether it fits one of these types. (Needs assess- 5. After we learn about a place, we can play ments are covered in Chapter 6.) many roles. An example: Local enterprise facilitator Ernesto Sirolli (1999) sends out feelers to any- 3. It is incumbent on practitioners in small com- one in town who is thinking of setting up a busi- munities to know about the local, the person who ness. Many people want to improve their lot in has always resided in the town and is respected life and Sirolli has the expertise and advocacy as an authority or role model by other commu- skills to help make their dreams happen but he nity members. Martinez-Brawley (1990) puts it waits for them to ask for help (Chapter 6). What this way: “The community-oriented social worker is different if the dreamer initiates? needs to know a great deal about these residents and their unique claims, not only because they 6. Secure a large map of your county to the wall. are often part of the power structure, but because For each locale (neighborhood, town) depicted, they are also part of the community’s fibers” (p. using red pushpins, put up a name of someone 222). Referring to three of the methods presented who lives there; using blue pins, put up names of in the chapter, discuss how you would go about someone who works there; using yellow pins, put identifying such locals. up names of elected representatives. The project 4. Do you know the names of the newspapers may take awhile; in the meantime, enter the lo- in each community you serve, especially the cales and names in a database for your office. Ad- weekly ones? ditional relevant names will be added later.

Notes

1. The beginnings of the community study, as a 2. The appendix to the 1993 version of Street Cor- vehicle for firsthand inquiry and as a research ner Society (especially from p. 288 to the end) methodology, are linked to the Chicago school of gives a wonderful introduction to street work and sociology. The reports of that 1920s era, such as field work. That edition also includes materials on The Unadjusted Girl and The City, were descrip- controversies over the original portrait of Boston’s tive and ethnographic, utilized personal observa- North End. tion and documentary sources, and built on an 3. See Clifford Geertz, 1987; A. Hunter, 1993; urban ecology model. Researchers studied diverse Rodwell, 1987; and Spradley and McCurdy, 1972. and marginal groups such as homeless men, wait- resses, department store saleswomen, gangs, and 4. From a community analysis by Faith Little. African Americans. 5. From a community analysis by Michele Feder.

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Although it generally is understood that people live in complex social milieus that dramatically affect them, assessment rarely takes into account larger social variables.

A. WEICK, C. RAPP, W. P. SULLIVAN, AND W. KISTHARDT (1989, P. 351)

Some years ago in California, Erin desperately needed a job. Divorced, she had three children to support; a car accident had created even more severe financial difficulty for her. Somehow Erin wrangled work from the lawyer who represented her in the accident. Since she only had a high school education, it was an entry-level filing job. But this newest staffer at the law firm was a curious person, a thinking person, and she noticed incongruities in one obscure case. Her initial hypothesis was that something was wrong with the file itself. Erin showed initiative. Besides asking her boss about those irregularities, she left the office, drove to the Mojave Desert, and talked directly to the family involved. Their health and housing situation made her suspicious of a nearby corporation. She revised her assessment, deciding something was wrong in the community. Gathering facts, she investigated the Hinkley area, population 1,000, and Pacific Gas and Electric. She gradually introduced herself and made a point of meeting everyone in the neighborhood and hearing their stories. As she attended picnics and sat in homes, she compiled evidence and learned people’s strengths. She built trust because she knew that, before she could help, she and the community had to become allies. Erin rolled up her sleeves and dived in, and that was appreciated by residents and plant workers who slipped her secret documents. Even though she had no legal training, Erin refused to be intimidated by technical records, and she copied what seemed relevant. She insisted on her right to use public records and gathered soil and water samples. Eventually, this paralegal was able to document widespread medical problems caused by chromium 6 contamination in the drinking water. Erin’s investigation led to a $333 million settlement for 600 residents who sued the corporation with the help of her law firm. Erin Brockovich’s determination to secure justice for these folks became the subject of a popular movie starring Ju- 172 USING ASSESSMENT IN COMMUNITY PRACTICE 173

lia Roberts. All this, because Erin developed skills in assessing and aiding communities (Dawson, 1993; Denby, 2000; Rogge, 1995). This advocate moved from a micro- to a macrofocus when she discerned that the first family she contacted might be the tip of the iceberg. She proceeded beyond casework. Her story illustrates that community assessment can entail intensive examination or investigation of a community sector. By continually appraising the situation, the advocate assisted hundreds of families with serious ailments and medical disorders. Her hands-on, collaborative assessment brought success.

ASSESSMENT AS A BASIC SOCIAL Knight, 1993; Meyer, 1995; Rosenthal & Cairns, WORK PROCESS 1994; Sharpe, Greaney, Royce, & Lee, 2000). Most people are less accustomed to thinking of com- We must know how to include community petence and assets at a community level. For factors in any case assessment and how to ana- example, someone concerned with economic lyze the community itself. Assessment frame- development who walks through a dusty town works can serve as a means of planning or in- populated by American Indians—or that matter, quiry, as a vehicle for information exchange, as residents of India—will quickly note the lack of part of formal problem solving, and as a way to material goods. However, someone interested in determine which services are needed by whom. the arts might also spot sand painting in the U.S. This chapter includes types, philosophies, and Southwest and painted prayer decorations made methods of assessment; reflection on assess- by women in the villages in India. Social work- ment; and a look at the transition to action. It is ers are as capable as folklorists and art collectors meant to be a guide to preparation for client as- of seeing strengths in villages, towns, and cities. sistance, program development, and community- based services. Assessment Frameworks Assessment Before Strategy and Intervention It is valuable to understand the methods com- Assessment serves as an umbrella term for a monly used to assess service and advocacy figuring-out process that can have a wide or nar- needs (Moxley & Freddolino, 1994). Whether ex- row, general or targeted focus. Communitywide amining the situations of clients or of commu- study methodologies can be employed to un- nity residents, we first must identify relevant derstand and assess any community, anywhere, variables. Then assessment can serve as “a way anytime (see Chapter 6). Assessment also indi- to bring order out of the chaos of a melange of cates a cognitive process used with particular disconnected variables” (Meyer, 1993, p. 3). clients, situations, or problems that pays atten- Hepworth and Larsen (1993) refer to these dition to uniqueness (Meyer, 1993, p. 9; see also All, mensions of assessment: the nature of the prob- 1994; Stiffman & Davis, 1990). In line with this lems, the coping capacities of those involved, the thinking, Johnson (1995) views assessment in relevant systems involved, the available or needed broad terms, as including (a) social study anal- resources, and the motivation to resolve problems ysis and understanding and (b) resource- (p. 192). To know the best approach to commu- oriented needs assessment. More narrowly, nity work, Ann Jeffries (1996) from the United Johnson views it in the sense of (c) fitting the Kingdom maintains that practitioners want to be pieces together for particular individuals or sys- able tems. To Lauffer (1984), assessment focuses on “the examination of what is, on what is likely to • to size up the extent of change that is needed; be, or on what ought to be” (p. 60). • its feasibility given the resources likely to be Until recently, we spoke of diagnosing indi- available in the community; viduals and neighborhoods, that is, looking for what is amiss. Today we say assessment, what- • the likely resistance to or support for such ever the unit of attention. Thus, for insight into change both within the community and from a community, we shift from an emphasis on a powerful decision makers who could be in- need-deficiency-problem assessment to one on volved; asset-capacity-problem-solving, that is, to strength • and how much scope the community and the assessment (Cowger, 1994; Kretzmann & Mc- workers have to make decisions about actions 174 COMMUNITY PRACTICE SKILLS

needed to achieve that change, either through naires allow us to explore psychological and participation in organized decision-making practical attachments to the community. Appro- processes or through community organiza- priate questions also can be integrated into so- tions—in other words, the community’s state cial histories and focus groups. Like those used of empowerment. (p. 107) by Viswanath, Kosicki, Fredin, and Park (2000), the questions can be straightforward: Auspices and Context • How many years have you lived in the area? When we assess X (e.g., the adequacy and ef- • How likely do you think it is that you would fectiveness of a given program), the question move away in the next one or two years? becomes, from whose point of view? Are we a • Do you own or rent the housing unit you are consultant for the system in question, do we rep- living in? resent an advocacy group, or are we a disinter- ested party? Do we share affinities and perspec- • In how many community groups are you ac- tives with those who are being assessed? We tive? should keep in mind our predispositions toward • Have you registered to vote in the county? individual cases and programs. Basic decisions • Do you read the local newspaper? underlie any assessment. Who do we listen to? Who will we trust? How will we decide? Whose views count most? Answers can be influenced We can delineate ties through mutual explo- by the auspices under which we proceed—be it ration. For example, there are assessment tools a county government, a nonprofit organization, that can capture micro-macro linkages. If we a credentialing body, a university, or an agency. want to see lived geographies, all that is needed is We are also influenced by our education and a map, the client’s calendar, and a piece of pa- training (Robinson & Walsh, 1999; Worth, 2001). per to do an everyday environment analysis. We ask, “Where are the primary environments in her life located: her home, child care setting, place INDIVIDUAL IN SOCIETY ASSESSMENT of employment, church, the homes of extended family members and friends, or other key places Delineating an Individual’s and activities?” (Kemp, 2001, p. 25). Ties to the Community To learn who and what is part of a household’s environmental context, an ecomap can be drawn. Public health workers, community psycholo- The process involves asking families, partners, gists, teachers, community police officers, and or close friends to list resources and to describe social workers are expected to know how indi- energy exchanges. For instance, they designate viduals and families fit into their communities people to whom they can turn such as a brother- and if their communities accept them (see Box in-law who fixes cars or a former daughter-in- 7.1). The community provides resources to its law, as well as people by whom they are op- members and social workers. Discovering not pressed or drained such as a lonely widowed only the clients’ internal strengths but also their mother or a brother who is becoming addicted “external strengths”—networks, organizations, to Ecstasy (Cournoyer, 2000, pp. 40–43). The re- institutions with resources—is “central to as- sulting chart diagrams human relationships, for sessment” (Cowger, 1994, p. 266). There are instance, a family or friendship group, and may ways and tools to determine whether someone include formal and informal resources and nat- is isolated or attached to an area or a network. ural helpers (Miley, O’Melia, & DuBois, 1998, pp. We can delineate ties through conversation 243–244). and observation. Social work involves us with Another way of finding out about individual others in many ways: by e-mail or telephone, and family ties with community organizations is in person, at meetings, in the field. As we inter- to utilize a social network map. The end product act with community residents, professionals, here is another graphic, but one that lists social prospective and current service users, each point supports such as neighbors, businesses, churches, of contact is an opportunity to discover or assess self-help groups, or clubs that our individual or an aspect of the person’s community ties. family does or could access (Miley et al., 1998, pp. We can delineate ties through questioning. We 340–341). From it we may be able to see links to want to know the types of bonds clients and cit- social institutions. With immigrant families and izens have with their locality. Many people will others, we can use a culturagram to learn more have given this topic little thought. Question- about contact with cultural institutions, as well as USING ASSESSMENT IN COMMUNITY PRACTICE 175

BOX 7.1 WHAT IS OUT THERE?

School social worker Chris is aware of a child sponsible for the death of someone on the block) with a facial disfigurement who is teased cal- and the child is a scapegoat. How might this sit- lously by classmates and by neighborhood chil- uation be related to the values and traditions of dren whose parents apparently never intervene. the community? Perhaps the family or neighbors A practitioner must take account of the negative view deformities as punishment for religious or affects of this community and simultaneously ex- cultural reasons. To which neighborhood lead- plore it as a positive resource. Ponder how you ers do young people listen? would approach this if you were Chris. Regardless of the origin of the teasing, what might you do to stop it or, failing that, to bal- You will start with the child’s definition of the ance it? Besides talking to the teacher, finding problem so that you can mutually shape the as- out which children from the same neighborhood sessment. You will make factual inquiries. You might be reasoned with, and checking to see if will discover the history of the child’s family a priest, scout or band leader, or relative can be with the school. You will assess child and par- helpful, you can assess larger systems. Does the ent attitudes. However, before settling on disci- principal realize that individuals with disfigure- pline for the teasers, support for the teased, or ments are protected under disability discrimina- anything else, you must assess both the intensity tion laws? Are the parents part of an informal of the teasing and the neighborhood. Are other network (a food co-op, people who go fishing children being derisive or merely turning away together) or a formal organization (Masons or a from what makes them uncomfortable? Does this labor union) that can be useful? For instance, if child experience normal grade school teasing as the parents participate in folk dancing, the child torment due to unresolved feelings about the dis- could go with them and master a skill in a friend- figurement? Or are the playground, hallway, and lier environment. What talents does the child journey to and from home a living hell by any- possess? one’s estimate? A janitor or playground aide How can school and community assets be might shed light on this issue. Until you know used? What might the principal do to place the more about the situation, you do not know child in a more positive light? Is there a coveted whether strengthening the client will work. student role (e.g., making announcements over Is the child’s condition correctable? Could the the loudspeaker) that this child could assume, child’s appearance be improved by plastic sur- becoming known in a new way? What commu- gery? What are the family’s religious beliefs re- nity programs might fit? Are there individuals in garding medicine? Does the family have insur- town who could be role models? Do disability ance? If not, are you aware of public and private or veterans groups know of adults who have resources if the child wants medical interven- coped with similar problems, who might share tion? While we must always consider whether it their stories? is possible to eliminate a problem, practitioners Chris has been assessing individual and social who aim solely for a medical solution, even if factors and making inferences and can now successful, may not solve the problem. If the make a formal assessment. Let us assume that child is being scapegoated due to a neighbor- neighborhood conflict was apparent. A concise, hood situation, the harassment might be aimed focused individual assessment report should be at something else if the disfigurement disap- shared with the child, the family, and the peared. What resources within the child, family, teacher. The community assessment may be in and environment do we draw on in that even- the form of a memo to colleagues in the school tuality? Who might mediate? or to a neighborhood civic association. It should What information do you want about the share observations and recommendations while neighborhood before seeking allies there? Is the protecting confidentiality, although privacy is family out of step with the community? Perhaps admittedly difficult to maintain in this particular the family is hated for some reason (e.g., re- example. 176 COMMUNITY PRACTICE SKILLS family and ethnic history (Brownell, 1997; Con- fessional making an assessment might ask these gress, 1994). Finally, we should delve into our questions: What do his supervisors say—was client or group’s precise exposure to various this an isolated incident? Has Sergio frequently forms of mass communication, a mediagram if you been absent or late? Is his supervisor ready to will. Social workers often overlook the role that fire him? Is he having other problems such as media plays in connecting some residents with anger or credit management? Which addiction community events, happenings, issues, and es- resources (alcohol, drugs, gambling) should be sential information. At home, work, or in the car, explored? Has he sought help before? Or, a is your client an active user of local radio, televi- counselor unconnected with his work might ask sion, cable, newspapers? While local media tell us these questions: What is Sergio’s personal, mar- about community knowledge, national media ital, and psychiatric history? His ethnic back- shape people’s ideas on social behavior (Rosen- ground? His educational level? Does he have zweig, 1999). The goal of any of these five explo- community resources (church, buddies)? Such rations is to see the “full complexity of client sit- professionals are engaged in a practical assess- uations” (Mattaini, 1990, p. 237). Moreover, ment to help Sergio by seeing what he is doing identifying linkages leads to alliance building and to himself and what services are needed. community building. (For analysis of agency link- Kielhofner would have us shift the emphasis ages rather than individual ties to the community, so the assessment pays more attention to what see Appendix A.) Sergio is up against. This means considering variables such as worker alienation (Did Sergio want to escape his particular workplace?), occu- Problems in the Interface pational hazards (Was the machine that Sergio fell on a safe piece of equipment?), and whether Classification schemes associated with assess- work is good for blue-collar workers (Garson, ment, such as the Diagnostic and Statistical Man- 1994). Kielhofner thinks professionals seldom ual of Mental Disorders (DSM) series, often fail to ask broader questions: Can the person do the individualize people and to take into account work? Is the work environment a place in which their societal context. However, there are as- any reasonable person would want to work? sessment processes that balance and synthesize How do social-environmental conditions affect person-environment relations and avoid the trap Sergio? According to Kielhofner (1993), “Issues of assuming that the problem resides solely in of environment or workplace conditions and in- the individual. This is important because, as centives are largely ignored. In fact, the worker health professor Gary Kielhofner (1993) insists, who does not wish to work, or whose behavior “We must not only seek to make members good suggests disincentive to work, is socially identi- for the social collective, but also to make the so- fied as malingering. . . . We have as much re- cial collective good for individuals” (p. 251). sponsibility to be agents of social change and in- Let us explore the difference between a rou- stitutional transformation as we have to help tine assessment of an individual that takes the persons to change” (pp. 249, 251). environment into consideration and an assess- Kielhofner’s expertise is in functional assessment where individual and society are given ment. He analyzes situations where a determi- equal weight: Sergio is 40 years old and has nation is made about what a person is capable worked at a local plant for four years. Drinking of, that is, whether individuals can work or live beer and eating barbecue, Sergio and his bud- on their own, or have any quality of life left: dies gripe their way through lunch. Upon his rethink of those in nursing homes and institutions. turn to the floor of the factory, Sergio lurches Many of these transactions take place at a mezzo into some equipment and is injured. Ordinarily, or middle level. Kielhofner (1993) believes pro- the first goal would be to get him medical at- fessionals in such lines of work “sit at the polit- tention and rehabilitation, and the second would ically loaded juncture between the individual be to get him back on the job. and surrounding institutions” (p. 248). Whether Germaine and Gitterman (1995) say to look for they know it or not, they exercise social control interacting personal, environmental, and cul- and have the power to affect rights, lives, and tural factors. Bisman (1999) recommends build- how the public views the “moral worth” of ining a case theory to explain the case and create dividuals (p. 248), in part through the assess- a framework that will lead to the most appro- ments they write. This causes us to ask, do priate and mutually satisfying intervention for social workers gather information about mal- the case. Very likely, a conventional assessment adapted persons or maladaptive conditions? The will center on Sergio’s drinking. An EAP pro- interface focus would have us consider our angle of USING ASSESSMENT IN COMMUNITY PRACTICE 177 vision before we start an assessment. Perhaps this launches planning or development projects will result in gathering different data or con- (Guterman & Cameron, 1997; Murtagh, 1999). necting with different offices than usual, for ex- Many communities utilize the “civic index” to ample, the Occupational Health and Safety systematically identify strengths and take own- Administration rather than a consulting psy- ership of weaknesses. Designed by the National chiatrist. (Box 7.1 illustrates the interface be- Civic League, it facilitates self-assessment of civic tween a child and her school and neighborhood infrastructure, for example, how well does the environment.) community share information? how willing is it Two phrases are often invoked in the discus- to cross regional lines to find a solution? To il- sion of assessments: “consider community con- lustrate results, officials in Lee’s Summit, Mis- text” and “avoid hasty judgments.” As we eval- souri pulled together bickering interest groups to uate others, Kielhofner challenges us to work on growth issues. Afterwards, the commu- transcend preconceptions and pigeonholing. He nity stopped defeating tax initiatives and, feeling tells of a time when the renowned Carl Jung was part of the agenda, voted for a dozen straight bal- asked to examine the drawings of a 50-year-old lot initiatives (National Civic League, 1999). man. After making extensive negative comments, Jung concluded that the man was schiz- What reason would we have to assess some- ophrenic. It should give pause, to all who diag- thing as large as a community? Think of some- nose, to learn the drawings were by Picasso (see one who organizes migrant farm workers— Kielhofner, 1993, p. 248). someone who has many locations from which to choose to begin work, since the workers FORMS OF COMMUNITY ASSESSMENT need help wherever they live. An assessment would help the organizer to select a commu- Over the past decades, many localities were nity where townspeople and media outlets are asked by state planners to engage in futurist somewhat sympathetic, other occupations studies to prepare for the new century. That is have a history of collective bargaining, unem- one form of community assessment. Here four ployment is relatively low, interaction among different types of more immediate community minority groups is positive, and numerous res- assessments will be introduced and described idents speak the migrants’ language. briefly. Then attention will be given to what they require of professionals. Resource and collaborative assessments are also discussed in this FAMILIARIZATION ASSESSMENT section. Some community assessments, based on available data with some firsthand data added, entail One Assessment Typology a more cursory examination of the entire community, with the goal of achieving a general under- Barbara Spradley (1990) categorizes commu- standing. An abbreviated version of community nity assessments by their purview as analysis (see Chapter 6, this volume) falls into this category. The vignette about Chris, the school social worker, illustrates the start of a 1. comprehensive assessments; neighborhood familiarization process. Another 2. assessments of a familiarization nature; example could flow from acquainting oneself 3. problem-oriented assessments; and with community and client concerns, such as by 4. subsystem assessments. (p. 388) inviting those with similar problems to come together for a speak-out session. For instance, those from rural areas who must travel to receive COMPREHENSIVE ASSESSMENT radiation therapy or dialysis might share their Assessments can be comprehensive in the needs and frustrations about their care or trans- sense of encompassing the entire community, portation. These patients could provide a more being methodologically thorough, and generat- complete picture of the adequacy of their home- ing original data. To Martinez-Brawley (1990), town supports. Follow-up assessments of rural assessment starts with abstract questions of a towns could be of this type. high order such as “How does the community rate in terms of cohesiveness, engagement and interdependence among its members?” (p. 23). PROBLEM-ORIENTED ASSESSMENT Such questions require in-depth examination. Problem-oriented assessments involve the en- Typically, a comprehensive assessment or audit tire community but center on one problem, such as 178 COMMUNITY PRACTICE SKILLS the uninsured or child abuse. Here is one exam- homes are one of many subsystems on which ple. The town of Conne River in Canada decided clients rely. These care facilities are part of a mul- to assess family violence in their community tilevel provider–regulator subsystem (which is (Durst, MacDonald, & Parsons, 1999). Here is an- part of the long-term care system, which, in turn, other. In upstate New York, professionals as- is part of the health care system). The interests sessed poverty and social pathology in rural mo- and concerns of immigrant communities can be bile home parks—some of which function like assessed through analysis of print and electronic private, isolated low-income housing projects media outlets geared to ethnic groups, another (Fitchen, 1998). Kettner, Moroney, and Martin subsystem. Frederick Wiseman (1968, 1994), the (1990) astutely observe that problem analysis in- acclaimed documentary filmmaker, has cap- cludes “analysis of the political environment, an tured internal dynamics in portrayals of multi- assessment of a community’s readiness to deal ple subsystems. Twice he has filmed high with the problem, and a measure of the resources schools as a way of learning about communities. the community is willing to commit to its solu- He is famous for examining without judging. tion” (p. 41). We too must initially set aside preconceived ideas to become attuned to those affiliated with SUBSYSTEM ASSESSMENT whatever slice of the community we are exam- Assessing a subsystem means examining a sin- ining (Bloom & Habel, 1998; Weiner, 1996). This gle facet of community life, such as the business often requires wide reading. We want to be able sector, religious organizations, service agencies, to show the operations of a subsystem, such as non-English speaking populations, or the school the world of deaf Americans, from both the par- system (Spradley, 1990, p. 388). A subsystem has ticipants’ and our viewpoints (see Box 7.2). a structure that must be demarcated and should Eventually, if appropriate, we can make judg- be diagrammed. To illustrate, board and care ments (e.g., for advocacy purposes).

BOX 7.2 MULTIFACETED ASSESSMENT VIGNETTE

To comprehend a subcommunity or network, we • Examination of past change efforts and per- often must increase our knowledge of that en- ceptions of the problem by others significant tity. We may need to particularize our assess- in the arena or subsystem will be important ments as well. (Cox, 1995). A social worker in a speech and hearing clinic is about to meet with the deaf parents of a Many assessment variables exist at the soci- preschooler with a profound hearing loss, who etal level, where there are competing views. Talk are coming in to talk about the child’s school- of multiple perspectives may strike us merely as ing needs. We will use this vignette to look at a semantics or rhetoric until we apply the idea in subsystem. This is an opportunity to study a sys- this case and confront the huge, ongoing debate tem and, as a by-product, our preconceptions as to whether deafness is (a) a medical condi- (reflexive assessment). tion causing social isolation compensated for with signing, “a poor substitute for language,” or • Assessment of supportive service systems will with mainstreaming; or (b) a fact conveying one be influenced by how professionals concep- into a special culture that communicates with a tualize persons with differences. Assessment different but equally rich mode of language ex- of the educational needs of this child will be pressed by the hands and face instead of the influenced by whether the worker views a dis- tongue and throat (Dolnick, 1993, p. 40; see also ability as a personal tragedy, a variable to con- Sacks, 1989, p. ix). Some in the self-identified sider, something culturally produced by soci- Deaf community see themselves as “a linguistic ety, or a target of social oppression (Oliver, minority (speaking American Sign Language) 1990, Chapter 1; Reagan, 2002). and no more in need of a cure for their condi- • Cultural diversity (ethnic and other cultures tion than are Haitians or Hispanics” (Dolnick, p. viewed as existing at the periphery of our so- 37). Describing the controversy, Dolnick points ciety) must be factored into the design and im- out dissimilarities to such ethnic minorities, plementation of assessment. since “90 percent of all deaf children are born USING ASSESSMENT IN COMMUNITY PRACTICE 179

BOX 7.2 (CONTINUED)

to hearing parents” (p. 38). These various splits “social workers must look at the complicated illustrate why assessments must consider social and interrelated dimensions of hearing, lan- context, current theories (Cox, 1995, p. 155), guage, culture, and politics” (p. 178). Social and various tensions beneath the surface. workers may be dealing with the emotional up- Many challenges come to the fore in a subset of hearing parents who have a deaf child or system analysis. When we learn that our taken- the disappointment of deaf parents who have a for-granted assumptions are in question, we hearing child.1 Just as likely, they may need to have no easy answers, but we can list pros and gain acceptance for a particular child or for the cons. The implications of these differing per- Deaf community. Thus, this social worker must spectives for treatment, schooling, and living establish the family’s self-definitions, listen to the arrangements, for medical intervention with experiencer (Oliver Sacks’s word—the child in cochlear implants or nonintervention, for iden- this case), and weigh community and societal tity and reality, are heightened by the fact that factors. Practically, the community and the a decision about a baby’s first language needs world beyond must be assessed for resources; to be made very early. Having so much at stake the family may decide to move to a community in making the best decision makes the situation with a public school system featuring main- more pressing. One camp alleges that Deaf cul- streaming, may decide on a particular bilingual ture has an antibook bias and that without read- approach, or may find the local Deaf commu- ing skills, dead-end jobs are common; the other nity and move in a different direction. The camp argues that signing introduces children to worker also must figure out what the agency has language much earlier (see for example, Dol- to offer. Linking this family with community or- nick, 1993, pp. 46, 51; Sacks, 1989, p. x). ganizations may be as therapeutic as personal An educational assessment must take note of counseling. If the problem for the child is ac- these differing philosophies. What did the par- ceptance and the clinic does not engage in ad- ents decide to do with their baby? How far have vocacy, then the worker must join with those they gone down a certain path? Do they want who do on the family’s behalf (Harris & Bam- to turn back or continue? How do they view their ford, 2001). child’s degree of hearing loss: (a) as a personal An assessment process should attune us to the problem (e.g., child’s temperament), (b) as a so- realities of a given subsystem. Did the worker cial problem (e.g., child’s future), (c) as no prob- arrange for someone to sign or interpret when- lem at all (e.g., child can communicate satis- ever the deaf parents come in to talk over op- factorily), or (d) as affecting a decision to be tions? Is that service wanted by the consumer made? Luey, Glass, and Elliott (1995) warn that (McEntee, 1995)?

The Range and Flavor of Community questions from journalists and public officials. We Assessments might be asked, “Who will use public toilets if they are installed along sidewalks in our city, Community assessments and expectations and what is the prediction for nontraditional surrounding them will be further explicated use?” or “What is the capacity of our commu- through human service illustrations, for in- nity and its service network to absorb more stance, professional responses to official re- refugees?” Assessing the coping capacities of a quests, community responses to rape, and ser- client and of a social service network have much vice responses to public housing tenants during in common (see Box 7.1). Public officials like to relocation. involve those with firsthand experience. A group set up to assess the portable potty issue SCOPE, REQUEST INITIATOR, AND PRACTITIONER ROLE could be comprised of those providing direct Social workers ought to be able to conduct and services to the homeless; a Travelers Aid–type provide full-blown, long-term problem assess- organization; a Women, Infants, and Children ments such as health status documents and program representative; someone from a metha- neighborhood crime status reports, but also done clinic; and officials from the city’s tourist quick ones. We can expect to receive targeted bureau and police and sanitation departments. 180 COMMUNITY PRACTICE SKILLS

The refugee question could be addressed to housing officials to identify services and pro- church sponsors, job placement and housing lo- grams wanted by residents in their temporary cation groups, public welfare staff, civic leaders, location and in their remodeled housing com- and representatives of (and translators for) the plex. The degree of importance of each option— refugee/immigrant community already in the from mentoring programs to general equiva- area. lency diploma (GED) classes—was examined. We must organize our knowledge in a form An assessment of relevant service providers and that can be pulled together and used by others. other civic entities was also made to identify As Covey (1991) says, “Decision makers need to programs already in place at the new sites, ser- see a balanced picture and to receive information vices that could be transferred with the resi- in user-friendly ways” (p. 229). Journalists or dents, and gaps that existed. All of this involved politicians come to the front-line worker neither an elaborate assessment of organizations serving for statistics nor diatribes, but rather for cases and low-income people. insights that make sense of statistics. They also However, a separate survey of residents re- want easily remembered points on both sides of vealed worries not just about the continuity and the question. To illustrate: If refugee wives and predictability of services but also about the tran- parents can join men already here, there might sition itself—how they would be accepted in the be less crime and alcoholism, but because hous- receiving neighborhoods. This meant that (a) the ing in the community for large families is in short overall assessment needed to encompass resi- supply and there is a waiting list, tensions could dents as well as agencies, and (b) neighborhood be heightened if refugees are given preference. civic associations also needed to be contacted as While this may seem mere common sense, it is part of the assessment. our role to inject common sense, facts, and ethics into political decision making. Resource Assessments

A BEGINNING POINT FOR ANALYSIS A social problem can be a starting point to Looking at types of assessments from another learn more about community responsiveness angle, resources and collaboration are important. and how different systems interrelate. We can examine problems and responses to them (a) KNOWING COMMUNITY RESOURCES from a flowchart perspective, tracing those enti- There are “four realms of resources that are ties involved after the fact to those involved be- available in a community: power, expertise, fore the fact or vice versa, and (b) from an funding, and service” (Whitworth, Lanier, & overview of the “quality and comprehensiveness Haase, 1988, p. 574). In this section, we wish to of local services” for a problem (Koss & Harvey, focus on the realm of service resources. To grasp 1991, p. 115). a human service system, Netting, Kettner, and Box 7.3 illustrates resources a community may McMurtry (1993) would have us inspect three or may not have, to use in responding to rape. types of “service-delivery units”—informal, me- This simple resource inventory can be used to diating, and formal—and identify the sponsor- assess local services, give guidance on a range of ing organizations or auspices for each. (Self- or community actions that can be taken, and look mutual help groups and associations are exam- for gaps or problems. It provides a sample as- ples of mediating delivery units.) Netting et al. sessment form that could be adapted to the believe that an “astute practitioner will carefully reader’s own subject area. (However, each com- assess all avenues of service delivery to the tar- munity problem will require a different list.) As- get population” (p. 102). sessment helps with more than research, plan- We want to be aware of informal resources ning, and evaluation; it gives us a quick look at within particular communities that can be help- areas of difficulty within the system. ful. Melvin Delgado (1996) explains that bodegas (grocery stores) do more than sell native food in SERVICE PROVIDERS AND USERS their neighborhoods. They also provide seven Assessments often involve direct service prac- services: titioners. In one city, for example, a huge public housing complex was to be entirely rebuilt; 1. Credit therefore, residents had to relocate to other sites 2. Banking—cashing of checks in town for 2 to 3 years. Part of the overall analysis of residents’ needs included questionnaires 3. Community-related news and information and planning sessions with social workers and 4. Counseling customers in distress USING ASSESSMENT IN COMMUNITY PRACTICE 181

BOX 7.3 ASSESSING A COMMUNITY’S RESPONSE TO RAPE

Criteria Service Component Availability Accessibility Quantity Quality Legitimacy Victim Services Crisis 1. Hot line ______2. Counseling ______3. Hospital accompaniment ______Hospital care 1. Emergency ______2. Follow-up ______Police services 1. Rape unit ______2. Investigatory procedures ______District attorney’s office/ court procedures 1. Rape unit ______2. Victim advocacy ______3. Court accompaniment ______Mental health/social service 1. Short-term ______2. Long-term ______3. Special services ______

Offenders Police and district attorney 1. Investigation ______2. Arrest ______3. Prosecution ______Court systems 1. Trial practice ______2. Sentencing by judges ______Alternative treatment 1. Juvenile ______2. Adult ______

Community Intervention Social action 1. Victim advocacy ______2. Law and policy reform ______Community education 1. Avoidance ______2. Prevention ______

Note: For availability: Y ϭ Yes; N ϭ No. For other measures, use 1–5 rating scale (1 ϭ Excellent; 5 ϭ Poor) for individual services and categories of service. Source: Copyright © 1991 by Sage Publications, Inc. Reprinted by permission of Sage Publications, Inc. 182 COMMUNITY PRACTICE SKILLS

5. Assistance in filling out or interpreting gov- ence and advice that leads to the effective selec- ernment forms tion of community resources. 6. Information and referral to social service Most practitioners engage in brokerage or link- agencies age activities. When the focus is on the individual, tasks include “locating appropriate commu- 7. Cultural connectedness to homeland (Del- nity resources; connecting the consumer to the gado, p. 63) resource; and evaluating the effectiveness of the resource in relation to the consumer’s needs” ( J. Narrower resource assessments can be under- Anderson, 1981, p. 42). However, if the focus is taken before or at the time of need. We can con- less on “a clear statement of the consumer’s duct such assessments ourselves or stay aware need” and more on “an investigation of the na- of others who make them and learn to interpret ture, operations, and quality of available re- their conclusions. At any time, we may face a sit- sources” (pp. 42–43), then we are engaged in uation that requires knowledge of previously community assessment. Netting et al. (1993) unexplored facets of the community. would say that we must know not only what agencies are available but also how well they ENSURING GOOD REFERRAL MATCHES work together and if they make the linkages they In the future, the public may be able to reach should: “whether these interacting units truly a central telephone number, 211, to get informa- comprise a system that is responsive to multiple tion and assistance regarding social, medical, needs” (p. 110). housing and other services. Such a local or regional service could be a cooperative venture Tasks. Kettner et al. (1990, pp. 61–64) suggest between nonprofits, telephone companies, and developing resource inventories for a particular governments. To date, few states provide a uni- clientele or subpopulation. Social workers sur- fied or seamless system of assistance through vey other providers to obtain an understanding 211. Instead, there are dozens of unrelated ser- of “what actual services are available, which service directories that lead unsophisticated people vices are most often utilized and why (location, from one number to the next until they fall quality, staff attitudes?, and different uses of key through the cracks. terminology” (p. 63). The practitioner’s job in assessing resources Assessing service integration and utilization for a particular problem or referral starts with for a population, such as HIV/AIDS-related ser- the directories, references, and tools available in vices, can do more than ensure good matches; a community to locate a potential resource and it can lead to new agency directories, service then becomes one of understanding its nature, coordination, and community empowerment effectiveness, and the quality of its match to the (Mancoske & Hunzeker, 1994). To do such tasks, needs at hand. For a college student in crisis, a we must be organized (see Box 7.4). where-and-when pamphlet listing the Alcoholics Anonymous (AA) meetings in the area is probably available from AA’s local center. In most ar- Collaborative Assessments eas, the list is surprisingly long, and the meetings differ greatly in their format. Would this So far, we have looked at the scope, purpose, person benefit from a small discussion meeting and multidimensionality of assessment from the giving a strong sense of personal support? Or a perspective of professionals acting generally on less personal, lecture type of AA meeting that their own. In contrast, assessments can be made might not intimidate a shy newcomer? of the community or in the community in con- Schneider and Lester (2001, pp. 155–156) pro- junction with service users and community res- vide a detailed example of a resources directory, idents, or even by residents alone. (For real that is, an inventory of available services avail- world examples, see http://pps.org/topics/ able to meet identified needs. However, such community/engagecomm/). Rothman (1984) lists, directories, and other formal tools achieve reminds us that whatever the form or method, their value in combination with understanding one of the first decisions to make concerns who and experience. Good users of these resources will do the community assessment and where: work to develop their own skills and to develop “Assessment can be a fairly technical and soli- a network of persons who can help with selec- tary professional activity carried out in an office tion and interpretation of this information. It is surrounded by computer printouts and area the combination of information from documents maps. On the other hand, it can be conducted on and computers and understanding from experi- a collaborative basis in neighborhood clubs, and USING ASSESSMENT IN COMMUNITY PRACTICE 183

BOX 7.4 VALUABLE OFFICE RESOURCES

The information and referral directory lying frames. As the Rolodex grows, the professional around the office is invariably out-of-date, re- adds the names of individual and organizational quiring practitioners to supplement it. City, contacts (who can be contacted about the soup county, and neighborhood telephone directories kitchen, etc.). The practitioner should also ob- provide telephone numbers such as those of tain organization charts for state and city gov- housing inspectors, polling places, elected offi- ernments and for key agencies; without the pre- cials, blood banks, and police–community rela- cise name of the agency with jurisdiction, a tions offices. Some localities also have special- telephone book will be less useful. Some cities ized directories listing such organizations as and states maintain a list of key agencies and mutual help (e.g., grief) or neighborhood self- personnel on their Web sites. Big organizations help groups (e.g., recycling or mural painting) often have a (more or less) permanent chart with or resources for a particular population. Social division names and job titles and a parallel (con- workers with handheld Palm Pilots or other com- stantly changing) chart with the names of those puters can build their own database of names, who currently occupy those slots. They readily addresses, and numbers. Such technology is provide the general chart and often send out- convenient, not imperative. A resourceful prac- dated copies of the name-specific chart. Be per- titioner keeps a number of handy references and sistent. Call the governor’s office and ask for a lists. These include the basics—emergency num- list of constitutional or cabinet officers, depart- bers pasted on the telephone and a tickler file ment secretaries or agency directors, and staff of contact people and key deadlines or time cabinet attendees.

meeting halls, with the professional and the con- what needs to be changed” (p. 3, para 2). Such stituency taking joint responsibility as partners” a mutual learning experience can advance sound (p. 8). decision making and trust before action steps are Since the citizenry rarely initiates systematic taken (Abatena, 1977; Colby, 1997). assessment, such an assessment may begin with Apart from professionals, citizens must learn a professional, civic leader, or elected official. to deliberate with each other and express their Unfortunately, outsiders seldom get it right, so disagreements about problems and priorities: input from residents is needed and solicited. “People who can not choose together can not act Many residents want their preferences taken into together” (Mathews, 1994, p. 401). consideration, but naturally they resist tedious, unfathomable, time-consuming assessment ex- ASSESSMENTS OF, IN, AND BY THE COMMUNITY ercises. When the process is meaningful, the Community participants can be involved as community can be appreciative, even to the ex- full partners most easily when community as- tent of throwing a fiesta at the end of the expe- sessment is the first stage of a funded project, as rience (Elliot, Quinles, & Parietti, 2000). Typi- illustrated by a project in Richmond, California, cally, co-inquiry is modest and experimental; for where community members of an informal plan- example, 15 young people in Baltimore worked ning group not only helped plan surveys and closely with an assessment team to help define field observations but even hired the project co- youth health issues using photographs (Strack, ordinator (Hunkeler, Davis, McNeil, Powell, & Magill, & Klein, 2000). This Photovoice approach Polen, 1990). Participation continued from anal- encourages people to assess their own situations ysis through the design initiation and imple- and communities. Cameras are passed out to mentation phases. In Eagle Pass, Texas, program young, homeless, or mentally ill people—or to staff ran seven focus groups to learn about grass- illiterate villagers—who take photographs, talk roots health concerns. Five involved members of about them, look for themes, and make assess- the community and two were with “prominent ments and recommendations as a group. Pro- figures” who could influence the community gram creator Caroline Wang (1999; 2003) says, (Amezcua, McAlister, Ramirez, & Espinoza, “Photovoice is a method that enables people to 1990, p. 259). The political dynamics of commu- define for themselves and others, including pol- nities often surface during assessment and are icy makers, what is worth remembering and more easily integrated into the process when lo- 184 COMMUNITY PRACTICE SKILLS cal people rather than outside consultants are sented and flowers used to depict the living or running the show. the dead, or both. PRA has found a home in applied anthropology and sociology; in the natural resource and PARTICIPATORY RURAL APPRAISAL agriculture disciplines; in education, health, and Rapid rural appraisal and participatory rural ap- other fields. Social workers will want to make praisal (PRA) are used globally to solicit views more use of this assessment approach and pro- and to elicit local knowledge about cultural, so- gram. Multiple tools can be viewed at Participa- cial, and ecological resources. They are viewed tory Avenues, an electronic resource (http:// by some authors as collaborative assessments www.iapad.org/). and by others as research tools, project de- Community assessments can take many velopment methodologies, or implementation forms. Before launching one, we should consider strategies. PRA is increasingly used in urban and such elements as collaboration, scope, focus, and rural social development (Bar-on & Prinsen, purpose. 1999; Berardi, 1998) because of its stress on community ownership of both data and the project. Reporting on efforts to involve people in remote PHILOSOPHIES BEHIND ASSESSMENT areas of Australia who require rehabilitation and A listening, learning, exploring style and phi- disability services, Kuipers, Kendall, and Han- losophy should guide an initial assessment in- cock (2001) say that PRA was adopted because teraction with an individual or a community. it had “been reported to foster the participation and decision making of community members in Attitude of the Professional community projects” (p. 22). PRA epitomizes an assessment that is of, in, and by the community. However, as a process and program, it will fail Our philosophy of assessment matters be- if those adopting it just walk away when the cause assessment is a first step in establishing communal assessment is over. For such projects our relationship with a community. The stance to be successful, the problems identified and taken at the beginning will affect all of the op- ranked as most important by townspeople must erations that come later. Underpinning these ef- be those that can actually be changed at a comforts must be the belief that we have the capac- munity level (to avoid frustration and feelings of ity to assist individuals and groups (and that powerlessness). In addition, the PRA team must they, in turn, have the same capacity) and that get back to community participants not only we can solve social problems (Huber & Orlando, with results but to engage in active follow- 1993). Otherwise, there is little point—besides through with them on their stated priorities. complying with paperwork requirements—in Besides dialogue, PRA practitioners utilize in- doing assessments at any level. We also must be- teresting task-based methods. Community resi- lieve in the potential of the community as a liv- dents and an outside team (ideally multidis- ing system to nourish, to grow, and to change. ciplinary and gender balanced) hold group discussions and work together on tasks. In one ANALYZING A GROUP OR CLASS small village, a team worked with everyone and, Sullivan (1992) states that “the manner in in four days, inventoried social services, con- which assessment is conducted and the choice of ducted a household census and wealth ranking, data gathered set the tone for future interven- formulated a seasonal calendar, charted how tion” (p. 205). Using the mentally challenged as men and women spent their time, and com- an example, he stresses how workers describe, pleted a territory map and a transect (Gallardo, assess, and work for this population. He is quite Encena, & Bayona, 1995, p. 263). A village tran- persuasive about the negative ramifications of sect records what falls along a diagonal line an assessment process that requires clients “ex- drawn through the community and highlights clusively to recount previous hospitalizations natural resources or human activities, needs and [and] illness episodes” (p. 206). Even if it re- problems. Meitzner (2000) describes it as a quick quires modification of current assessment tools sketch, sometimes made during a “transect used by agencies, he believes, workers must also walk” in which the terrain is drawn by villagers ask about: as they take outsiders on a “guided tour” (pp. “abilities, interests and past accomplishments. 3–4). Other activities also encourage illiterate . . . Information should be gathered on client in- people to participate; for instance, a map can be terests and aspirations; resources currently or drawn in the dirt with each household repre- previously used; and needs in various life do- USING ASSESSMENT IN COMMUNITY PRACTICE 185 mains including living arrangements, employ- deficiency-oriented policies and programs re- ment, leisure-time activity, and health” (p. 206). sponses. Consequently: We want to avoid simply asking people if they “many lower income urban neighborhoods are taking their medicine. We establish a differ- are now environments of service where behav- ent relationship with a person if we ask: “What iors are affected because residents come to be- place were you born? Reared?” “Do you ever go lieve that their well-being depends upon being back there?” “What have been important events a client. They begin to see themselves as people during your life?” “Do you have any special in- with special needs that can only be met by out- terests, skills, hobbies, interesting possessions?” siders. . . . Consumers of services focus vast (Jackson, 1987, p. 35). amounts of creativity and intelligence on the sur- Rural expert Emilia Martinez-Brawley (2000) vival-motivated challenge of outwitting the ‘sys- gives an intriguing example of four families, tem,’ or on finding ways—in the informal or only distantly related, who “lived in rented trail- even illegal economy—to bypass the system en- ers but always moved together, even if only one tirely” (Kretzmann & McKnight, 1993, p. 2). family was dissatisfied or was experiencing This suggests that everyone is telling a “one- problems with housing arrangements” (p. 263). sided” story of the community (O’Looney, 1996, At first blush, a practitioner may consider this p. 232). Meyer (1993) would ask why assessment practice to be weird or simply unimportant be- is limited to “what is the matter,” in an individ- cause the practitioner would not view this as a ual or community situation, when it should also real relationship. And yet, the families have cho- include how people are doing with what is the mat- sen to intertwine their lives in a form of social ter (p. 36). glue which probably empowers them. An open- Practitioners are urged to identify the capaci- minded assessment could be very worthwhile. ties of local individuals, citizen associations, and institutions and to build connections and strong ANALYZING COMMUNITY NEEDS AND RESILIENCE ties with and among them. This method of as- We must avoid self-fulfilling prophecies. By sessment looks for problem solvers, not problems. focusing on weaknesses, social work and other Embodying affirmative community assessment, professions may inadvertently create a client Kretzmann and McKnight depict the same com- neighborhood. Human services, urban studies, munity as it looks on paper mapped by assets in and community development too often have had contrast to needs (see Figure 7.1).

ALTERNATIVE PERCEPTIONS Neighborhood Needs Map Community Assets Map

Local Institutions Unemployment Truancy Businesses Schools

Citizens' Block Broken families Slum housing Churches Associations clubs Gangs Parks Gifts of Grafitti Income Individuals Artists Child Crime Illiteracy Libraries abuse Labeled Mental Youth Elderly people disability

Welfare recipients Cultural groups

Lead poisoning Dropouts Hospitals Community colleges

Figure 7.1 Source: From Building Communities From the Inside Out: A Path Toward Finding and Mo- bilizing a Community’s (pp. 3, 7), by J. P. Kretzmann and J. L. McKnight, 1993, Evanston, IL: North- western University. Copyright 1993 by Neighborhood Innovations Network. Reprinted with permission of Neighborhood Innovations Network. 186 COMMUNITY PRACTICE SKILLS

Values, Preferences, and Mutuality of Interest in social science approaches as a means of understanding. Here we highlight tapping current AGENCY, COMMUNITY VALUE DIFFERENCES and potential service users and others in our Assessment involves more than points of view network as sources of information and insight. (e.g., a strengths perspective) and how we be- Along with doing or reading formal studies, we hold things. It involves values and variation. must integrate intelligence gathered from our Given differing perspectives, an agency and a environments into our operations. How might community may not share philosophies or opin- we do this? We must know who and what to ask. ions about behavior. Yet, as workers we easily As one form of inquiry, Mitroff and Linstone forget this fact because we take so much for (1993) urge us to list all stakeholders connected granted—things like what mental health is and with our organization, that is, “any individual, how it should be maintained. We value self- group, organization, institution that can affect as insight, facing up to adversity, and talking things well as be affected by [our] policy or policies” over, for instance. Atkinson, Morten, and Sue (p. 141). Then, after discovering through inter- (1993) provide good suggestions for clinicians on action all the assumptions each player has about how to “hear” clients with beliefs about mental the nature of the problem at hand, we mutually health different from their own. For example, analyze the fundamental differences in our as- some Asian Pacific Americans believe that men- sumptions. For more on stakeholders, see Mar- tal health is “maintained by the avoidance of ley & Rogge, 2000; Sacken, 1991. Moving further morbid thoughts” (p. 212). Clients who put off out in our environment, Greever (1983) defines treatment would not regard themselves—as intelligence as what we need to know in advance some workers might—as hiding their heads in of an action. He speaks of “gathering broad the sand, but rather as being appropriately stoic pieces of information (Military Intelligence calls about a family member’s condition. Thus, we them ‘EEIs—Essential Elements of Information’) note knowledge and philosophical differences and working with them until some sort of pat- that might affect outcomes, because being obliv- tern emerges” (p. 1). In our context, intelligence ious can lead to an unstated conflict that could can also involve keeping an ear to the ground hamper mutual assessment. regarding client concerns and colleague con- Awareness may not suffice. The hardest situ- cerns (Proenca, 1998). ations are those in which our professional val- We must circulate. Peters (1987) gives an ex- ues are in conflict with those of most commu- ample of a Lutheran minister in a small Penn- nity residents. Such situations require decisions sylvania town who built relationships through about when and where to substitute professional his philosophy of “Ministry by Wandering values for the values of the community, when to Around” and was the “first minister in over adhere to the community’s values, and when to twenty years to stop by the corner coffee shop to strive for compromise or consensus. A subcom- sit down and have coffee with the local farm- munity or the town as a whole may feel imposed ers” (p. 148). Peters believes that listening and on or affronted by our program, whether it dis- being receptive to customers are fundamental tributes condoms in schools or clean needles on guidelines. This philosophy underlies current the streets, arranges for birth control implants, business preoccupations with quality and man- or makes controversial recommendations re- agement innovation (Moore & Kelly, 1996). We garding releases from mental hospitals. We must could wander around our waiting rooms, check- develop means of finding out where residents ing out the ambience to see if we have human- and potential users of services stand and judg- ized our organizational presentation. We can ing the intensity of feelings, opposition, and re- ask those who have used our services: “How are sistance. Such facts could determine whether we we doing? What did you think?” We can reach would be better off going public (on talk shows, out to those in our vicinity: “Do you know who for instance) to educate and give our point of we are? Where we are located? Are our hours view, or lying low. convenient for you?” This is no public relations game. We must assess who we are serving well and who we are not because social workers are RESPECT AND RESPONSIVENESS accountable to community residents and clients We will follow this principle: Respect com- (Maluccio, 1979, p. 199) and can learn from them munity residents enough to seek and listen to in the same way that the minister in Peters’s their views on the subject at hand ( Julian, 1999). story learned from the farmers at the coffee In the previous chapter, we grounded ourselves shop. USING ASSESSMENT IN COMMUNITY PRACTICE 187

LISTENING TO FEEDBACK carefully heeded during strategic planning and Feedback will figure heavily in this learning at other times. We must welcome the presence process. Agencies can experiment with anony- of advocates—for example, for the mentally mous satisfaction-with-services evaluations, on- challenged and their families (who often have premise suggestion boxes, a newsletter written different viewpoints from each other)—and oth- and controlled by clients to be read by practi- ers who question our actions as a professional tioners, formal evaluation by users of services group or with particular clients. This question- through an outside evaluator, and serious anal- ing may be verbal or written. Our worries about ysis of any complaints received. Services is used accreditation, funding sources, and staying out here in a broad sense, because feedback can be of trouble with bureaucracies cause us to avoid given on training, group therapy, oversight of collecting potentially negative documents. There homemaker services, psychodrama, and many is a trend, however, toward the legitimacy of other activities. independent service user evaluation. Consumers Although we will concentrate on feedback can now complain to state occupational licens- from those outside our programs, we should not ing boards about practitioners such as physi- forget coworkers with community ties who re- cians and social workers; information about ceive few opportunities to give feedback. When physicians is gathered from malpractice insur- asked, staffers such as receptionists, cooks, house ance claims and disciplinary actions and fed into parents, drivers, aides, and work crew leaders can the National Practitioner Data Bank. Moreover, provide valuable information on service users. the government is beginning to require the in- They can also provide feedback on program func- put of users; for example, federal law requires tioning and community reactions—yet profession- nursing home inspectors to talk to residents, not als rarely ask them for such information. just staff and management. It is natural for us to People working in organizations of all types— be excited about citizen efforts to assess another businesses, government agencies, nonprofits— institution but threatened if the target is our own should “use every listening post [they] can find” agency. However, we should still listen (see Box (Peters, 1987, p. 152). We identify three possible 7.5). ones here. First, we should encourage case managers to give honest performance feedback— ADVOCACY RECOMMENDATIONS based on client statements with due regard to Our assessment philosophy must embrace confidentiality—to each office on quality of ser- openness and willingness to integrate input vices and responsiveness of personnel. They can from many sources because it is of critical im- tell us about desired new programs as well. Case portance to learn what people want from service managers focused on client strengths may be providers and their communities. particularly attuned to agency limitations (Sulli- van & Fisher, 1994). Second, since self-help and • We can encourage individuals and advocacy mutual support meetings are places where griev- groups to explain, face-to-face, how the envi- ances against professionals are aired regularly, ronment can become more responsive to their we should ask groups related to the work of needs. our office to give us summaries of common • complaints. Third, we should identify service We can use oral histories to solicit views of a providers, entrenched in the community and service, an association, or an organization. plugged into different networks, who will be • We can also seek out state and national publi- blunt with us. cations with relevant recommendations about our area of work. Advocacy publications may be sophisticated guides to citizen involvement Independent Assessments from Service Users or one-page flyers.

ACCEPTING FORMAL SERVICE CRITIQUES Consumer-oriented assessments of problems More surprising perhaps to wary agencies, we and their discussions of appropriate responses want to encourage formal critiques of us (Stoesz, deserve our attention. Such discussions may fo- 2002) and to legitimize the consumer’s voice cus on (a) how community life affects particular (Thompson, 1999), even if the critique is some- sectors or groups, (b) practical tips that might be times unrestrained or irritatingly insistent. Our implemented within a reasonable length of time, organizations should have consumer advisory and (c) citizen participation or rights. For in- boards, democratically selected, whose advice is stance, older people and their advocates have 188 COMMUNITY PRACTICE SKILLS

BOX 7.5 ASSESSMENTS TO ASSIST SERVICE USERS: TWO EXAMPLES

Brief descriptions of two consumer critiques will rious nursing home had been noncompliant). illustrate (a) how members of the public can be Facilities had preferred to keep such infor- informed about availability and quality of ser- mation hidden, but now the compliance in- vices in a form they can easily utilize, and (b) formation was public. how providers can get valuable input from independent assessors. Two different groups rated 2. In the statewide survey, an interdisciplinary long-term care facilities and made the results team, composed of a nurse and students of available to the public in simple formats. A met- social work and gerontology, asked questions ropolitan area and an entire (different) state were of administrators designed to help families studied. understand the variety of services available in different facilities. While in the facility, 1. The metropolitan advocacy group visited they also made careful note of such things as each facility but relied more on official re- odor, morale, and treatment of residents. In ports about nursing homes and board and the end, whether or not the administrators care homes. The group compiled the results agreed with the final guide, the facilities did of local fire, state health, and state social ser- learn how people representing service users vices reports and compared federal Medicare would compare them with their competitors. inspections over a period of time. Their cri- Detached consumer advocates had provided tique showed clearly which homes were alan assessment from which the providers ways, sometimes, or never in compliance could take suggestions. Such rare events with various regulations (e.g., the most luxu- should be welcomed rather than resisted.

suggested that communities assess their livability logical studies are common methods used to and make traveling easier. They argue for traf- carry out an assessment (Spradley, 1990, p. 382), fic lights to be set to allow sufficient time for just as needs identification and assessment pedestrians to cross the street. They point out methods, including surveys, are common in so- that bells or other sounds permit those with vi- cial work. In the view of organizer Makani sual impairments to know when it is safe to Themba (1999), community-focused methods cross. They also suggest the creation of large, of listening include surveys, canvassing, focus separate paths to accommodate safely those groups, one-on-one interviews with key players walking, along with those using conventional and walkabouts (p. 89). Having discussed non- two-wheeled bicycles and three-wheeled electric traditional ways to learn from and be more in- vehicles (Parker, Edmonds, & Robinson, 1989, p. teractive with the public, we now turn to estab- 8). This illustrates how community assessments lished methods used to assess community or by citizen advocates may differ in emphasis from client needs, launch program development, and those prepared by professionals. update strategic plans (Ross & Coleman, 2000). An assessment philosophy establishes our at- Focus groups, public meetings, needs assess- titudes, organizes our approach, and directs ment, and outreach methods can bring results many of our applications. It even dictates helpful to providers and to those who will ulti- whether assessment should be a two-way pro- mately be served. Since focus groups and pub- cess. Information gathering provides a founda- lic meetings are more narrowly defined than tion for more elaborate assessment and research. needs assessment and outreach, we will look at them first (Butterfoss, Houseman, Morrow, & Rosenthal, 1997). TRADITIONAL ASSESSMENT: INFORMATION-GATHERING METHODS Focus Group Methods Disciplines usually evolve a few specialized assessment methods but adapt most of their PROTOCOL AND PARTICIPANT SELECTION methods from sources such as sociology, politi- Agencies can conduct focus groups for as- cal science, or planning. In community health, sessment purposes on their own or with assis- for instance, surveys and descriptive epidemio- tance. A focus group is a qualitative data collec- USING ASSESSMENT IN COMMUNITY PRACTICE 189 tion process in which a small number of indi- limitations. (Older people have high mortality viduals meet together with a trained facilitator rates associated with fires involving apparel, es- to discuss a narrow topic in a detailed, guided pecially nightwear.) The meeting opened with way. Sometimes this is done with a written, pre- a videotape documenting a burn hazard. The determined agenda or set of questions. The point group then examined and discussed several pro- is not to reach a consensus but to air many ideas; posed wordings for a cautionary label in sleep- members of the group react to each other, and wear. Participants examined handouts of alter- the process builds to refinement of opinions. The native warnings, which were also printed on big session may be recorded for later study. Broad- signs and displayed at the front of the room. The cast and print media use this form of opinion discussion that followed made clear a common gathering during political campaigns; a hetero- misconception among the participants: that a la- geneous group of 8 to 12 people is generally beled product must be more dangerous than an shown reacting to a debate or commenting on is- unlabeled product. Without more education, sues. Any results must be qualified because we honesty might backfire in the marketplace. The cannot generalize from small samples. advocates involved had failed in many ways to We will describe focus groups made up of anticipate how members of the public would re- strangers, although social service personnel or act, which is precisely why focus groups can be acquaintances can be used (Martinez Brawley & helpful. Delevan, 1993, p. 177; also see Hopkins, Mu- drick, & Rudolph, 1999). A cross section of the PURPOSE: TO TEST THE WATERS community is sought in terms of income, race, This flexible methodology also can be applied education, and other factors unless a particular in clinical settings. A social worker at a sexual segment, such as women or teenagers, is tar- assault center wants to start a group for males geted. The more targeted the group, the more ex- who experienced sexual abuse as children. Un- pensive the process of finding a representative certain about how to reach prospective mem- sample through telephone solicitation. Ideally, bers, he sends letters to potential referral sources several groups are run in different parts of the and places free advertisements in community community. Most focus group sessions meet one newspapers. After receiving five responses, the time only for about 2 hours. Working people find worker asks if these individuals would be will- it hard to arrive early in the evening. Older peo- ing to come in and discuss perceived needs and ple prefer daytime hours and are more likely to how to reach others. Since this is not a randomly expect to have transportation money provided. selected group—which would have been im- Sometimes participants are given a modest sum; possible in this case—the worker has to note more often, they are provided with a meal or re- ways in which the group may be atypical (e.g., freshments because they are volunteering their race, sexual orientation). Instead of using an out- time. The goal of bringing people together in this side facilitator, the worker moderates the session way is to encourage them to give their candid himself and explores topics such as where and opinions. If we interrogate them or ask them how to reach out, wording of the invitation, ap- questions calling for a yes or no answer, we will propriateness of the agency location and hours, learn little. We are trying to create the atmo- and the most effective descriptors for a group. sphere of a study group, not a courtroom or re- Because the participants have experience with search laboratory. this problem, they can share (a) their personal states of mind about seeking help (embarrassed, PURPOSE: TO PROVIDE VALUABLE INFORMATION relieved), (b) what they had responded to and Individual and group reactions provide in- what others might want (opportunity to talk? get sights into issues of comprehension, suitability, help? pursue redress?), (c) how they regard and acceptable phrasing. (Thus, politicians test themselves or identifiers they find acceptable campaign themes on focus groups.) Let us ex- (incest victims? sexual assault victims? abused plore focus group methodology by understand- children? adults struggling with childhood trau- ing how a group can serve as a test audience. mas?), and (d) what type of outreach slogans In the recent past, federal regulators and the they might best respond to (“Angry today about apparel industry were considering voluntary what happened yesterday?” “Never talked warnings for sleepwear. A focus group of mid- about it before?”) During the focus group meet- dle-aged and older participants was asked their ing, the social worker listens for themes and key preferences regarding flame-resistant fabric, words that can be used in outreach and as a ba- warning labels, or both, to protect themselves or sis for the therapeutic group. Having taped the frail, older parents with cognitive or physical session with permission, he has a coworker lis- 190 COMMUNITY PRACTICE SKILLS ten, because he admits to himself that he already sons, individuals are allowed more say. A citi- has notions about the best means of reaching out zen could travel from forums about cable tele- to this group. The professionals then reassess the vision rate hikes to sound-off meetings about original plan for the group. animal control. The current competition for everyone’s time must be kept in mind as our agency plans opportunities for participation. PURPOSE: SPECIALIZED ASSESSMENT Community residents often take these meet- Our planning should take into account the ings more seriously than we do. Current and po- subject matter, the task to pursue, and the liter- tential service users envision something tangible acy level of the population. To assess what types coming out of such interchanges and expect their of sensory devices Deaf and Hard of Hearing recommendations to be taken seriously. To be (D/HH) people would like to have developed, credible and ethical, we must not falsely raise ex- Gallaudet University used focus groups “be- pectations, and we should want input if we ask cause both mail and telephone communication for it. (Regarding doing it right through planned would require reading and writing. A survey in- town meetings, see Alcorn & Morrison, 1994; volving prelingually D/HH would be biased to- Luckey, 1995.) Town meetings must be accessi- ward those who had excellent reading and writ- ble (transit, building, audio loops, interpreters, ing skills. Among D/HH persons with marginal etc.), too. literacy, it would be difficult to ascertain whether the questions were understood. . . . MEETING PROTOCOL [Also] the subjects were required to think creatively about communication problems and pos- Suggestions for running any meeting are cov- sible technological solutions. . . . Probing on the ered in Chapter 10. The warnings here involve part of the researcher is needed to bring out this only those matters that may color or cloud the thought process, something which would be ex- assessment process. The trend to give more say tremely difficult to do by mail or by telephone” to the community means that meetings can be (Harkins & Jensema, 1987, p. 2). taken over by a group with an especially obdu- Society’s increased use of intercoms was one rate agenda—such as those on either side of the communication problem that surfaced: “Re- abortion rights, capital punishment, gun control, peated mentions were made of difficulty in us- or immigration issues. One smooth-talking pering the drive-through service in fast-food restau- son can also take a group off the agenda. This rants. Secure buildings which require a visitor to requires being alert but open. For example, a use the security system’s phone also present meeting to discuss the perceived need for more problems” (Harkins & Jensema, 1987, p. 7). De- day care might be attended by parents who op- tails such as this, along with a process that al- pose day care, prefer after-school care, or want lows other participants to jump in and say “me, help in coordinating relief time for families too” (instant, albeit limited, confirmation), make teaching their children at home. Genuine needs focus groups with facilitators popular assess- may exist, making it inappropriate to tell these ment tools. parents that they came to the wrong meeting. We may not agree with or like everyone who comes to public meetings, but worthwhile information Methods of Data Gathering can often be found in the unexpected or the From Community Events unreasonable. To avoid disruption, some people who run PUBLIC PARTICIPATION meetings make a show of letting everyone take The title says it all: “Taking the Pulse: A Com- part but actually regulate the proceedings tightly munity Exchange to Gather Information About to ward off or reject unwanted input. We should ______Needs in ______County.” Our profession anticipate that community people will organize supports civic involvement, open government, and try to control meetings; this is part of the and public participation in decision making. We process. We want to be sure that in small gath- can learn through community meetings and erings each person present is offered equal time, events. Realistically, few participants at such an and that in big gatherings access to the micro- event will read the write-up of the recommen- phone is handled fairly. Moderators can set time dations, but they have the opportunity to talk, limits and establish ground rules (“Avoid argu- to hear the options, and (later) to read the report. ing with someone else’s statement; just make Today many open meetings are mandated pub- your own”) without squelching participants. It lic hearings (Kettner et al., 1990, p. 69). In vari- is common for sensible ideas to appear garbled ous fields, for obligatory and democratic rea- or self-serving in their delivery; therefore, input USING ASSESSMENT IN COMMUNITY PRACTICE 191 is properly measured by the usefulness of the information and exposure: Hispanic Interna- suggestion, not the speaking skills and de- tional Day, Strawberry Festival, Ice Carnival. We meanor of proponents or their stance on issues. must look for opportunities to interact with the public and other providers. For example, if it is FOLLOW-UP ANALYSIS AFTER THE MEETINGS our turn to oversee our office’s booth at the mall, During a forum, an agency staffer and some- then we should visit every other organization’s one who lives in the community should take table to gather information (to check service gaps notes on each point made and who said it. He and overlaps) and renew contacts. or she can then organize the notes, using tentative headings, and have the moderator check Informal Need Assessment Processes them for errors. We must sort out what we heard, using these notes and our own memories, Assessment occurs regularly as we discuss the or, better yet, listening to a tape and noting the needs of our locality. Informal problem solution intensity of feelings expressed on given topics— assessment takes place each time a vague if valid from represented groups in particular. Next, we concern is thrown at an agency—for example, must separate needs from preferences and “You must do something about fatherlessness!” gripes, not by how participants characterized Everyone has an immediate opinion about the what they were saying but by customary use of problem, the solution, and the perfect program, the following terms: but this is reaction, not need analysis. We must sort out the basics of a target problem or system 1. Need: Essential, necessity, requirement and an action system before we can say that we 2. Desire, wish, or preference: Want, choice, long- have identified a need (see Chapters 1 and 3, this ing volume). See Box 7.6 on the first steps in case 3. Complaint: Gripe, grievance, objection, protest sorting. Need assessment also happens informally be- Despite a focus on the need for day care, com- cause it is interwoven with the skills of iden- plaints may have poured out about a particular tification (size of the problem or population) caseworker or about how a current program is and intervention (Whitman, Graves, & Accardo, being run because constituents may mix needs, 1987). As Box 7.6 illustrates, need is an elastic desires, and gripes. Perhaps there should be a concept, so we must review each situation. period of time in which participants can air complaints and preferences before beginning con- Formal Need Assessment Processes structive discussion about agency mission and community needs. Program evaluation, needs assessment, community assessment, and research overlap in OTHER WAYS TO LISTEN TO THE COMMUNITY ways that may be confusing. For instance, Bayne To gather community impressions, practitioners Smith and Mason (1995) employ focus groups can go to those sectors believed to have the most and surveys to understand a Caribbean Ameri- intense needs—whether served, underserved, or can community that may need services for resi- unserved to date—interview key informants, dents with developmental disabilities; they use and use the target group to validate objective the terms need assessment, field study, and de- data (Siegel, Attkisson, & Carson, 1987, p. 93). scriptive research to describe their study. Need Newer possibilities involve electronic networks studies can be designed to show us the big pic- and interactive media. Those interested in needs ture of need in the community. For instance, com- and preferences can monitor sectors of a communities forced to undergo economic conversion munity via Web pages and e-mail mailing lists. from military to other economic endeavors must Although practitioners and managers must plan and reevaluate. Their need assessments know how to put on successful forums, they may provide an example of a big-picture look and be better off attending already scheduled com- macrolevel involvement (Mary, 1994). Here we munity events than holding their own. We may examine, instead, assessments undertaken to hear better from the back rather than the front provide tailored guidance to an agency or a mul- of the room when we do not have to be in charge. tiagency team whose scope of work is already Getting out into the swim of things is something fairly well determined but could change in the we know we should do, but we often lack time. future (Marley & Rogge, 2000; Soriano, 1995; Professionals neglect communitywide celebra- Whitworth et al., 1988; Witkin & Altschuld, tions and specialized events where they can gain 1995). 192 COMMUNITY PRACTICE SKILLS

BOX 7.6 CONSTRUING THE SITUATION

When a problem or case is brought to your of- • As a class complaint: Does the government ficial notice, you must decide how narrowly or agency discriminate against all persons in cer- broadly to interpret it. For example, Rosenthal tain categories? and Levine (1980, p. 401) point out that an in- • As a broadly construed class complaint: Does dividual complaint about discrimination in a lo- the entire government discriminate against all cal government’s handling of a job promotion persons in certain categories? might be investigated in one of the following ways:

• As an individual complaint only: Did the government agency discriminate against this person?

COMMUNICATION ABOUT NEED determine in which locality there will be a pos- To oversimplify, if a neighborhood group itive fit and where her plan will most likely says, “We need better housing,” a worker might succeed. hypothesize that members of that group live in substandard housing, and the worker would want to know whether that is true. If we look up Multiple Approaches census figures to learn how many homes in the area lack running water or indoor toilets and Assessment processes involve compiling find that the answer is none, that information available information, developing new informa- redirects our assessment. Are there multiple tion, or integrating relevant new information housing violations in apartments? What is the with the old. Neuber and associates urge us to average rent people are paying, and what per- obtain data from demographic-statistical profiles, centage of their income does that represent? Is key informants, and random community members the problem housing or security? The worker rein order to define needed services, develop pro- turns to the group with questions that show in- grams, enhance interagency cooperation, and terest, concern, and some knowledge. improve accountability. Among the traditional Neuber (1980) defines need assessment as “a methods used to do this are indicator approaches, communication medium between consumers social area survey approaches, and community and service providers,” which can affect “the group approaches (Siegel et al., 1987, pp. 76–77). planning and evaluation of the various services While it is beyond the scope of this book to ex- to be delivered to the community and con- plain all these methods fully, in general, social sumers” (pp. 62–63). Need assessment is also an indicator approaches are oriented to available ongoing process that involves the community in data, while surveys gather new data. Both are a form of continuous quality improvement (D. quantitative in nature ( Jacob & Willits, 1994), Menefee, personal communication, June 1995). whereas the community approaches are more Need assessments may be client oriented (popu- qualitative. The community approaches include lation at risk) or service oriented (addressing gaps forums and community impressions, the Delphi and fit). To give an example of the latter, a grad- method (Raskin, 1994), and the nominal group uate student thinks she has identified a need. technique (Alcorn & Morrison, 1994; Wiatrowski Her dream is to start her own agency after she & Campoverde, 1996). leaves school to provide housing for post-high- As we have seen, need assessment methods school-age youth. She wishes to find a niche in involving the community are used to obtain the transitional housing market and has several ideas from current and potential service users. communities in mind, but she wants to find out Social service practitioners may attend forums, but if such a service is essential, in the opinion of lo- the community approaches focus primarily on cal practitioners, and desired by decision mak- people with a direct stake in any outcome(s) of ers in the area. The student believes a service- the information-gathering, planning, and prior- oriented need assessment will help her to ity-setting process. Community representatives USING ASSESSMENT IN COMMUNITY PRACTICE 193 are asked what is and is not working, and what courage our use of any of these formats, but we they are satisfied with, proud of, and afraid of can learn to use and interpret others’ surveys. A concerning the future of their community. practitioner wanting to supplement a huge sur- In contrast, the Delphi method involves input vey with some special questions or to do a lim- from experts—more detached and not usually ited survey should contact a trained researcher, directly affected by the outcomes of the pro- survey expert, or pollster. Such people can usu- cess—who refine and synthesize ideas on a topic. ally be found in a city or county planning office “It is axiomatic with the Delphi method that the or a local college. Some public service agencies respondents need not be a random sample of the have such experts in-house. population” (Molnar & Kammerud, 1977, p. Our information needs may be simple and our tar- 325). When an environmental impact study is done, get easy to reach. Suppose that an adolescent unit for instance, decision makers want to hear from wanted to find out the literacy level of parents those who study similar situations, have in- of adolescent clients, that is, the families of cur- formed judgments, and can suggest new op- rent service users. Case records could be exam- tions, rather than merely supporting or oppos- ined to discover how long adults currently in the ing what is on the table. Johnson (1995) describes household attended school, but that does not a parallel social impact assessment (p. 275).2 Typ- necessarily reflect literacy. We would need to de- ically, with this method, a question is put to a termine whether a telephone or face-to-face sur- panel. The Delphi process involves several vey of parents would get the fullest results at the rounds in which anonymous experts look at each least cost. Alternatively, our information goals may other’s ideas (or the range as summarized) in be less clear and our target harder to reach. We may writing (Nartz & Schoech, 2000). It is an “inquiry start with service providers to reach potential system” for moving toward “agreement or con- service users. For example, one study wanted to sensus” (Mitroff & Linstone, 1993, p. 29). determine the needs of mentally challenged A nominal group is a structured exercise in adults and their children. The directors used an which each participant works silently alongside agency informant method to identify individuals in other individuals and then answers questions the target group and then interviewed a subset when called on until the meeting is opened to of them. Since the “actual prevalence of intellec- free discussion. A moderator might pose a ques- tually limited parents is unknown,” Whitman et tion and ask each participant to list ideas. Each al. (1987) instead “attempted to identify those re- would give one answer from these lists when it tarded parents in a large metropolitan area who is her or his turn until each participant has re- had come to agency attention and to survey a ported each response. Thus, 8 to 10 people sit in sample of these parents in order to determine a group but talk in rotation as a facilitator their perceived service needs” (p. 636). records all ideas; eventually these will be dis- We may decide that we can benefit from any in- cussed and may be ranked. The initial round- formation about certain potential service users’ robin sharing format prevents individuals from needs/preferences or their knowledge of available ser- taking over the brainstorming session (Siegel et vices. Let us say that the target group is women al., pp. 88–90) and gives equal voice to usually whose lives are threatened by their weight—a reticent members (Alcorn & Morrison, 1994, p. small number compared to the many women 36). This technique can help to avoid disrup- who would potentially be noticed or experience tion—for example, when groups holding differ- rejection due to their size (Wiley, 1994). A physi- ent stakes in a particular question, such as rent cian survey will run into confidentiality issues control reforms, are together. Nominal group and miss women who avoid doctors. A ques- meetings can also be held consecutively; land- tionnaire can be designed to be administered on lords could give their opinions in one group and a given Saturday in front of department stores, tenants in another at an earlier or later time. factory outlets, and shops selling large-size women’s fashions. The challenge would be to get the stores’ cooperation; they may want to screen Survey Options the questions for potential offensiveness. Sur- veyors would have to be trained. Results could Common types of social or community sur- serve as a pretest, since responses would help us veys include citizen surveys (Murtagh, 1999; design a more relevant (and perhaps less fat- Siegel et al., 1987) or general population surveys, phobic) questionnaire that could be adminis- target population surveys, and service provider tered outside diet stores, the clothing stores surveys (Meenaghan, Washington, & Ryan, again, and so on. Shoppers are not a random 1982). The time and expense involved can dis- group, and obese women who stay at home (of 194 COMMUNITY PRACTICE SKILLS whom there are probably many) will be missed, After they completed 118 face-to-face interviews, which is one reason why such a survey would the data were processed and the frequency dis- be unscientific. tributions, along with anecdotal information, However, surveys can have a value that goes were reported to the director of the association. far beyond their scientific validity. For assess- The results gave direction for action. Elderly res- ment purposes, they are often revealing no mat- idents were afraid to go out and were trapped ter how limited they are in sophistication, sub- in houses they could not sell because the market ject, or sample, as the following letter (sent to the value was going down. Drug dealers were mov- Gray Panthers) shows: ing into the area; residents identified particular crack houses. Sir/Madam: My name is Troy Moore. I am in the fourth Outreach Methods grade. I am doing a project on older people. I recorded some answers on older people. I Outreach and assessment intertwine in two got some answers from children in my school. ways. Community assessment may help deter- My results were that old people have gray hair mine the best means of outreach. Assessment can and wrinkle skin, are mean, are unhealthy and be made possible through outreach to less well- are smart. We want to know if they are true. Do known segments of the population. you have information about old people? Would you please send me information? Sincerely, A BROAD DEFINITION Troy Moore Typically, outreach involves systematically c/o Mrs. Beeson contacting isolated people in their homes or 1415 29th Street East wherever they reside (institutions, streets), or in Palmetto, FL 34221 the neighborhoods where they congregate, and linking them to services and financial programs One group of graduate students practiced the for which they are believed to be eligible. For skills listed in Box 7.7 and may have benefited example, in Nogales, Arizona, the community the community by conducting a quick survey for health center hires promotoras, lay health educa- an urban community association. The goal or tors and outreach workers who can translate larger objective was to find out about problems, both language and cultural issues (Slack & use of public services (e.g., the local recreation McEwen, 1997). Outreach involves efforts to in- center), and so on. The study population conclude those often left out (such as absent fathers). sisted of residents of an older, racially and eth- Directories can be part of outreach, as can 800 or nically mixed area of about 1,000 households in 888 telephone numbers. Outreach is also used to the north-central and western part of the city. expand an agency’s program (a) into new set- The immediate objective was to complete 100 tings and communities, thus making a service or household interviews in order to provide infor- resource immediately and more widely avail- mation on concerns and some sociodemograph- able; (b) into new time periods to reach a target ics. The students designed the survey instrument group, as has been done with midnight basket- and cleared it with the association. Using a large ball; and (c) into client “linkage” with institu- city planning map, they randomly divided the tions, the community, or other clients to enhance neighborhood into quadrants, then streets, and “peer support” (Wells, Schachter, Little, Whylie, then select houses. They organized into teams. & Balogh, 1993).

BOX 7.7 HOW TO RUN A SMALL SURVEY

1. Determine the objectives. 7. Organize and conduct the survey. 2. Define the study population. 8. Process and analyze the data. 3. Determine data to be collected. 9. Report the results.

4. Select the sampling unit. Source: Based on G.E.A. Dever, in Community Health Nurs- 5. Select the contact method. ing: Concepts and Practice (pp. 382–383), by B. W. Spradley, 1990 (3rd ed.), Glenview, IL: Scott, Foresman. Based on G.E.A. 6. Develop the instrument. Dever in Spradley (1990, pp. 382-383.) USING ASSESSMENT IN COMMUNITY PRACTICE 195

Sometimes we fail to recognize the information- liquor stores, on yo-yos and toothbrushes. The gathering and assessment potential of outreach ef- creative lengths to which state and local offi- forts or programs because we think of them as cials go in publicizing the Maryland Children’s a satellite operation, a customer recruitment Health Program know few bounds. At the local strategy, or an obligation. Takoma Park, Mary- bowling alley? On a Frisbee? Why not? land hired organizers to canvass wards full of Their work has paid off by the tens of thou- newcomers—to register people to vote in city sands since the program began in 1998. Nearly elections but also to learn about immigrant con- 95,000 previously uninsured children have cerns; for instance, to learn whether illegal im- health coverage—a yield more than 50 percent migrants were being taken advantage of in their greater than officials originally predicted and everyday transactions (Becker, 2001). We should success that these days draws applause from be aware that outreach involves an interesting outside policy experts. (pp. 3, 6, reprinted with mix of giving and getting knowledge (Glogoff & permission of the Washington Post) Glogoff, 1998). Methods of outreach can be expected or un- VARIETIES AND METHODS expected: If skywriting in Spanish were the best Outreach methods vary. Some government way to identify a service and encourage its use agencies are mandated to alert potential service for a particular target group, and resources were users or beneficiaries—for instance, regarding not at issue, then it would be an appropriate food stamps or Supplemental Security Income. mechanism. Direct, personal outreach . . . must, They often perform outreach through public ser- of course, be made as non-threatening and non- vice announcements. In contrast, around 10 P.M., disruptive as possible. homeless shelter director Mitch Snyder used to Successful outreach through direct contacts take hamburgers and blankets out to individu- in a Texas program revealed some specific, als who chose to stay on the streets rather than nonthreatening steps that can be taken to serve come in from the cold. While distributing the a previously unserved group (Watkins & Gon- food and blankets, he gained intelligence from zales, 1982). The plan sounded easy enough: a those on heat grates about specific fears people Mexican American counselor was hired to had about coming indoors and who on the spend time in an isolated neighborhood and in streets were the sickest or most violent. A con- homes, gaining trust, and later to provide men- tinuing education program on mental health, on tal health counseling. However, much assess- the other hand, employed more conventional but ment of, and with, the community went on con- equally important ways of reaching out to older currently with hiring and initial outreach. people: selecting accessible community sites, al- Research was studied and community leaders lowing registration at the first class so that frail and referral sources were contacted regarding people did not have to make an extra trip, and the perceived need for services by the target printing materials in large type (Blackwell & group, the compatibility between counselor Hunt, 1980). Telephone hotlines offering legal as- and client regarding culture and decision mak- sistance to the poor or elderly have been tried in ing, and the best site for services. Initially, several localities as a way to make information counseling was done in homes. Later, it was more available, as well as a means of collecting done at a community center in the barrio. In information on the types of requests received addition, an original play in Spanish was per- over time. The University of Maryland at Balti- formed to facilitate discussion of pressing is- more has a Social Work Community Outreach sues. Interaction was key to assessment and ac- Service that links university resources with tion. The agency saw more of a need for community groups and residents (Cook, Bond, marriage counseling services than did militant Jones, & Greif, 2002). Support groups can be ini- community leaders, who wanted economically tiated, in either a public or a circumspect man- oriented help. The leaders ended up being ner (D. B. Anderson & Shaw, 1994), as a form of more accepting of the services than they antic- outreach. ipated, and the services rendered were more As shown in a newspaper story by Susan resource and advocacy oriented than the Levine (2002) entitled “Word Gets Out on Chil- agency had anticipated. This variety of out- dren’s Insurance,” methods of outreach can be reach can overlap with case finding. Auer- direct or indirect: swald (1968) describes case recruitment—in contrast to acceptance of referrals—as part of It is advertised during back-to-school nights an integrated service approach to a “so-called and baseball games, in beauty parlors and disadvantaged community” (p. 206). 196 COMMUNITY PRACTICE SKILLS

The philosophy is to meet people where they willingness to face complexity, an ability to con- are in every way we can—through their own lan- template that which is not seen or heard yet still guage or their own stores (e.g., botanical shops applies, and an awareness of our own mental in Puerto Rican communities), accommodating processes. A task so nuanced, yet so audacious, them in their own environment and in ours (get- is hard to describe. Therefore, we draw on the ting rid of barriers such as stairs), providing ser- imagery of Edward Bellamy’s Looking Backward vices or programs in a way and at a time that is (1960), and on Ursula K. Le Guin’s short story convenient, and conveying messages at an ap- “The Ones Who Walk Away From Omelas” with propriate level of comprehension. It is important its description of an imaginary place (1975). For to assess the informational requirements of the the latter, see Box 7.8. public. We can be creative in community edu- Bellamy and Le Guin provide us with societal cation: comic books, for instance, are part of extremes to consider. Bellamy, writing a novel adult education and advocacy efforts. (See the in 1888 about the year 2000, made no pretense discussion of readability in Chapter 12). The Mi- about neutral observation. He wrote about his grant Clinicians Network and other organiza- vision of the perfect society of the future, con- tions that serve non-English speakers use graph- trasting it with the war and poverty of his era. ics to reach out to women dealing with such In a famous comparison, Bellamy likened our so- problems as domestic violence. The women can ciety to a “prodigious coach which the masses point to a picture of a face with comic strip stars of humanity were harnessed to,” with hunger as rising from the jaw. A mental health handbook the driver, while the rich had the seats up on top, could use pictorial graphics to direct less edu- where they could “critically describe the merits cated readers to the right services. It could of the straining team.” He continued: “Naturally contain pertinent information on emergency such places were in great demand and the com- psychiatric evaluation, designated government petition for them was keen, every one seeking as agencies, community rehabilitation services, res- the first end in life to secure a seat on the coach ident grievance systems in psychiatric hospitals, for himself and to leave it to his child after him. and related assistance such as pharmacy pro- . . . For all that they were so easy, the seats were grams. Sullivan (1992) believes that personal very insecure, and at every sudden jolt of the commitment also is required: “Helpers can best coach persons were slipping out of them and assist mentally challenged individuals in re- falling to the ground, where they were instantly claiming the community through daily work on compelled to take hold of the rope. . . . Com- the street and in the community” (p. 208). The miseration was frequently expressed by those idea behind the methods discussed is to look for who rode for those who had to pull the coach. practical ways to facilitate our discovery of who . . . It was a pity but it could not be helped” (pp. and what is out there and to identify what we 27–28). Various explanations were developed to may have to offer that others in the community explain why society had to operate the way it can use. did (the innate abilities of the pullers and the pulled, etc.).3 Most notions of better societies are built on the THOUGHTFUL ASSESSMENT idea that we know what is right but must take the next steps to do it. Bellamy’s assessment was The act of assessment covers an astonishingly that inhumanity grew out of failure to even com- wide range of activities, from technical analyses, prehend what could be. Le Guin helps us look to preparation for massive programmatic inter- at the constant trade-offs. In her story, Le Guin vention in a community, to judgments about a paints a related but prettier picture than Bel- society itself. We must be familiar with methods lamy. No class of people in the fictional town of and prescriptive rules. However, it would be a Omelas struggles in the dust and mud, pulling pity if the purposes of our profession were sub- the rich up on a coach. merged by the practical. We must also heed the Sometimes when the macrolevel and the col- evocative in the assessment process—that is, lective good are stressed, practitioners worry what is indicative of what—and consider values. that the individual will get lost. Le Guin’s story is one reason that social work must never lose An Allegorical Aside sight of the good of the individual. Bellamy’s coach metaphor reminds us, though, that if we How do we include self-reflection in commu- look only at individuals pulling the coach or at nity-based research (Murphy & Pilotta, 1983)? those inside it or those on top of it, we may miss We will benefit from imaginative exploration, a the big picture, the connections. We hope social USING ASSESSMENT IN COMMUNITY PRACTICE 197

BOX 7.8 A FANTASTIC FICTION?

Someone arriving to do an assessment of Ome- The citizens of Omelas understand the terms of las, would find a picturesque world without our this world. Moreover, theirs is “no vapid, irre- woes—a land of bright towers and bells, mead- sponsible happiness. . . . It is because of the child ows and dance, and “faint sweetness of the air”. that they are so gentle with children” (p.355– If the visitor looked for social problems, he or 356). she would find that the people lead full lives of What does this have to do with assessment? prosperity, beauty, and delight. If the residents If positives are focused on exclusively, the dis- were analyzed, they would be found to be not tress will never be revealed. If positives are ig- simple but happy, content. The residents are ap- nored in the search for negatives, then the story preciative of what they have. The visitor would ends with the discovery that the community is realize how rare it is elsewhere to observe “ma- letting a child suffer. Instead, a full assessment ture, intelligent, passionate adults whose lives might compare this imperfect community with [are] not wretched” Author Ursula K. Le Guin other imperfect communities. The unusually lim- (1975) asks, “Do you believe? Do you accept ited amount of suffering would be remarked on, the festival, the city, the joy?”. as well as the fact that every single citizen ac- An observer would soon learn about a small knowledges human suffering. Even when we are locked room in which a “feeble-minded” child most horrified during an assessment, we do not of about 10 is kept, fed but uncared for, miser- ignore positives; we persevere, trying to under- able, whining but unanswered, alone most of the stand more. Le Guin ends her story with a ref- time. A professional doing a diagnosis would erence to exceptions. “At times one of the ado- say, “Aha, the negative side of the community lescent girls or boys who go to see the child does finally shows through.” And it is true that the not go home to weep or rage. . . . Sometimes child is a scapegoat or sacrifice, for if this piti- also a man or woman much older falls silent for ful being receives as much as one kind word, a day of two, and then leaves home. . . . They then all the ordinary woes of mortal life— leave Omelas, they walk ahead into the dark- infirmity, fatal disease, and cruelty—will be in- ness, and they do not come back” (p. 356). They flicted on all the citizens and the beauty, wis- will not agree to the terms, those who walk away dom, and abundance of the harvest will disap- from Omelas; each one goes alone. An assess- pear from Omelas. Is the child hidden? No, all ment of this community will include what keeps children are brought to encounter the child the system in place, what permits individuals to when they are between 8 and 12. The knowl- fortify their resolve and give up their community edge of this child’s existence rips into each cit- ties to adhere to different values, and what keeps izen who experiences feelings of outrage and collective protest from taking place. This mate- impotence, who weighs the suffering of the rial gives us a warning: If we come to assess- many against the suffering of the one, and who ment with a single view of what we will mea- fears throwing away the “happiness of thousands sure, we prejudge the question and miss for the chance of the happiness of one” (p. 335). complex meanings.4

workers can believe in happiness and festivals states of existence of persons and classes of per- and not look compulsively for what is in the sons. Despite this concern, we seldom take a closet or cellar, but that they will do something planetary perspective when we assess dire hu- when misery is found. Our ethics tell us that the man needs. happiness of the many must never come at the expense of even one, but if we blithely condemn MOVING FROM ASSESSMENT TO ACTION the people of Omelas for their Faustian bargain, we condemn ourselves. Finally, it is to our ben- What will be the outcome of all this self- efit that the “narratives of humanists discuss a scrutiny, community examination, and assess- variety of communal, social, and psychological ment? Using the data, insights, and community dilemmas” (Martinez-Brawley, 1990, p. xxiv). contacts gained from study and assessment, ap- We not only assess at the individual and propriate steps become more apparent. Possible communal levels, but we also care about the action plans include 198 COMMUNITY PRACTICE SKILLS

• finding community connections for service 4. Specification of types of action outcome (e.g., users, alleviate condition, control, rehabilitate, pre- • mobilizing community resources for clients, vent, innovate) • selecting appropriate community interven- 5. Analysis of the facets of the anticipated in- tions (development, problem reduction, edu- tervention cation, sector mobilization, prevention, pro- 6. Inventory and evaluation of resources motion), and 7. Specification of means/actions to attain • organizing sectors of the community around goals an issue. 8. Selection of priorities (among problems, needs, and services) Look back to the beginning of the chapter to 9. Implementation of decisions made to reach see a prime example of mobilizing legal resolutions (allocation of resources) sources and organizing a community around an 10. Evaluation (ongoing and feedback) issue. Erin Brockovich’s story depicts the progression from assessment to action quite well. We will collect data for our organization’s own use to learn what should be done and, later, 5 Problem Solving and Intervention after a decision is made about how to proceed, we will collect additional data to support what MANAGING COMPLEXITY we want from third parties who can effect solu- Activation of citizens and amelioration of tions. During this process, we look to agency problems can be an outgrowth of the commu- stakeholders for insight intelligence and look to nity assessment process. The overriding task of community people who have a stake in a prob- the community practitioner is to help groups re- lem and its solution for action intelligence. spond to the vicissitudes of life while keeping Community problems, public concern for long-term community welfare on the agenda. A those problems, and the authority to do some- need for community problem solving usually ex- thing about them cross institutional, geographic, ists when (a) there are many individuals or a and special interest boundaries (Turner, 1963a). class of people involved, with problems that are This makes community work and problem solv- viewed as being large or serious enough to pose ing interesting and challenging. There are no some threat, real or imagined, to the well-being clearly detailed road maps; worse, there is an ab- of the community; or (b) the community experi- sence of well-marked roads and the existence of ences pressure due to problems in the operation many potholes. Any guide simply specifies the of a system, such as problems in communication points of the compass that we need to chart our or socialization (see Chapter 4, this volume). daily practice excursions. The practitioner intervenes, on behalf of an Based on community problem-solving steps agency or organization or as part of a coalition, (see Chapters 1 and 3, this text), the emphasis in the workings of the community system and may seem to be on all head and no heart. How- its parts. Since the magnitude, complexity, and ever, that view overlooks the emphasis on spirit responsibility of the task of addressing either found in actual practice. Belief in a cause and type of problem are almost overwhelming, what commitment are necessary because, in the final is needed is a way to think about the job. A guide analysis, we must recognize that disturbances of that points up difficulties and charts ways of the status quo are inherent in community orga- overcoming obstacles is helpful. nizing and planning. Resistance is to be ex- Here are 10 ideal steps that seek to explicate pected. A second aspect of spirit requires that the thinking and behavior of a community prac- the practitioner learn to be comfortable with un- titioner engaging in problem solving: certainty. This is the companion of change and development. A third requirement is for the practitioner to master feasibility management. 1. Problem intake (identification, delineation of Practitioners must work with what is feasible at a social problem) the moment they need to take action. Thus, the 2. Selection of potential problem-solving actors task of the community problem-solving practi- (construction, location of the action group or tioner is to constantly stretch the parameters of system) what is feasible and determine the moment for 3. Determination of desired goals and poten- action. This, then, is the spirit of purpose and tial consensus determination. USING ASSESSMENT IN COMMUNITY PRACTICE 199

TAKING INFORMED ACTION Box 7.9 illustrates the cycle of assessment, in- The knowledge gained from the activities de- tervention, and reassessment. It provides an ex- scribed so far helps us to better understand all ample of the use of a community-oriented view- sectors and to comprehend the stated and un- point in planning a specific program. Note how stated needs of our community; enables us to be closely the steps correspond to the fundamentals better “curbstone caseworkers” (Ecklein & Lauf- emphasized in this chapter. fer, 1972, p. 133); and allows us to do a better job This section has sketched the later phases of in handling our regular tasks. It helps us deter- the assessment process. Additional forms of mine how much and how well our organization intervention will be addressed in subsequent is in touch with the community (see Appendix chapters. A). This is essential if community-based programs are to be established. For example: Are Community Reengagement materials available in each language extensively used in the area? Is the agency supposedly In Chapters 6 and 7, we have urged commit- knowledgeable about issues concerning diver- ment to community study, analysis, and inter- sity yet still requiring adoptive mothers to stay action. We end this unit with hopeful signs that home for the baby’s first 2 years in a working- activation of residents and professionals is in- or middle-class area? Martinez-Brawley (1990) creasing, as discussed in Chapter 5, which may reminds us that community-oriented services result in more widespread use of community as- are “as much an attitude as a collection of tech- sessment and community social work. niques” (p. 239). Decisions must be made about whether to gear HITTING THE BRICKS projects to a target audience or area or to the community at large. Some believe that it is mis- Certain trends are appearing, such as home leading for an agency to say it has a community- visits by some physicians and a requirement of based program unless it has a large reach community service or service-learning at pub- (Rakowski, 1992). A satellite office does not nec- lic and private high schools. Bloomfield College essarily mean a community emphasis. in New Jersey requires students to take “a course called Social Responsibility and another called Society and Culture, as well as complete A CONTINUOUS CYCLE at least 30 hours of community service” Assessment, problem solving, and interven- (Sanchez, 1995). Nationwide, professors and tion processes flow together. As a prime exam- students are being urged to become more en- ple, Bracht and Kingsbury (1990) conceive of gaged in the community around the campus, community organizing in five overlapping whether through work in new empowerment stages: “community analysis, design and initia- zones, outreach, or new partnerships (Ruffolo tion, implementation, maintenance and consoli- & Miller, 1994; Intercom, 2002). Political and dation, and dissemination and reassessment” community pressures drive some administra- (p. 74). tors in that direction. A sense of obligation to

STEPS TO ESTABLISHING SUCCESSFUL WORK SITE BOX 7.9 HEALTH PROMOTION PROGRAMS

1. Build community support. 4. Use employee input in planning. a. Assess community norms, culture, and ac- a. Conduct employee surveys. tivities. b. Appoint employee steering committee. b. Establish community advisory board. c. Appoint work-site liaison. 2. Assess work-site culture and social norms. 5. Provide ongoing programming with environ- a. Capitalize on opportunities to facilitate the mental and social supports. program. 6. Conduct periodic program evaluation. b. Identify and modify existing barriers. Source: Sorensen, Glasgow, and Corbett (1990, p. 160). Copy- 3. Solicit top management and union support. right © 1990 by Sage Publications, Inc. Reprinted by permission of Sage Publications, Inc. 200 COMMUNITY PRACTICE SKILLS assist and interact with have-nots motivates ulations rather than on individual psyches or some professors. This hitting-the-bricks philos- ailments. Since social work has already had com- ophy tries to ensure that the real listening and munity programs, this trend may not seem rel- responsiveness, which can be by-products of evant, except that we know that we, like the po- concrete experience, will inform future assess- lice, had begun spending more and more time ments made by sensitized citizens as well as indoors, in relative calm and safety, avoiding present assessments made by professionals. “bad weather” on the “beat.” Now we need to Fields from library science to engineering are join hands with those in social ministry and taking a second look at their relationship with other fields that care about community. the communities they serve and at new modes Professions such as dentistry and psychology of assessment. As one facet of an aging-in-place add a community component to the individual community support program in California, Cul- component in order to further the goal of pro- linane (1993) notes that: “a social worker walks moting the common welfare or to express their a ‘beat’ in an inner city neighborhood. Through fundamental concern for the collective good. her contacts with merchants, bankers, pharma- Current providers of community-based services cists, and barbers, the social worker and the re- and community care are already out on the front sources she represents become known to the lines, as is now being advocated for others. How- community. In turn, she gains the confidence of ever, some are struggling to make a niche for the merchants, who refer their customers who themselves, so they are working more closely need her assistance in maintaining indepen- with community associations. dence” (p. 135). Domestic and international programs can pro- Community policing requires officers who usu- vide models for our engagement and service de- ally react to individual incidents and complaints livery efforts in this direction. England has com- to become “proactive in resolving community munity-based programs that make legal and problems,” to use a problem-and-prevention ap- counseling help and review more readily avail- proach, and to work more closely with commu- able through the use of volunteers. Social bene- nity residents (Greene & Mastrofski, 1988, p. xii). fit tribunals, dominated by lay people, are one The idea is to get out from behind a desk, even example. Citizen Advice Bureaus, which are lay if on a part-time basis, and interact with citizens, advisory agencies, are another. Rural and iso- update one’s sense of the place, and experience lated areas are less well served by these mecha- the area’s problems and struggles but also its nisms (M. L. Levine, 1990), but England’s pro- strong points and vitality. In community or pub- grams point up that social work can tune in to lic health nursing, the focus is on the needs of pop- the community.

APPENDIX A ASSESSING OUR LINKS AS PROFESSIONALS WITH THE COMMUNITY

HOW ENGAGED AM I IN THIS sight, and funding bodies and a task environ- COMMUNITY? WHAT IS MY/OUR ment analysis (see Chapters 2 and 11) can de- PLACE IN THIS COMMUNITY? lineate our professional linkages with parallel and competing agencies. This process will help Professionals need to make and use contacts. identify informal community partnerships. We To analyze contacts we already have and to find can trace formal linkages, but personal ties are out the degree of our engagement as human ser- equally noteworthy; after all, social movements vice workers in our community, we can start by and other change efforts are built on networks listing who knows us, and who we know. For of friends. Since a variety of people are con- example, our agency Web page or annual re- nected with an agency, from fund-raisers to sec- port should reveal part of the local and regional retaries, multiple informal local networks of re- professional network that we maintain. In whose lationships exist. One way to tap such links and newsletter is our agency mentioned? The orga- explore relationships among social actors is with nization chart (see Chapter 9) sketches our a social network survey (Cross, Borgatti, & agency’s organizational ties to governing, over- Parker, 2002).6 USING ASSESSMENT IN COMMUNITY PRACTICE 201

Capturing factual information about commu- • If staffers are willing to do a collective exer- nity links is a matter of becoming more system- cise, Mattaini (1993) suggests an ecomap, sub- atic in identifying ties: stituting your agency for the family at the center of the graphic. • Another group exercise has everyone who is • Inventory community groups and organizations with which agency staffers are affiliated part of the agency draw individual sociograms, a picture of who is connected to whom. These personally and professionally. Which of these will graphically display the relationships and could you call upon for assistance? For ex- interactions within the group of agency em- ample, one social worker may have links with ployees and volunteers (Johnson, 1995). Re- the National Guard, an Alzheimer’s support sults can be revealing; weak linkages or ac- group, and a youth gang, plus the usual mem- tive dislike among subgroups within the berships in professional associations. agency may reflect weak ties and subgroup • Look at a list of social institutions and mark tensions within the community. See Chapters those where you have some type of in due to 9 and 11 of this volume and Valdis Krebs’s knowledge, connection to staff, and so on. “An Introduction to Social Network Analysis” • Have members of the agency’s client and Web site (http://www.orgnet.com/sna.html). community boards also engage in this exercise; you may see different ties. Ultimately, we seek to be in right relationship with our community collaborators. We want to • List the organizational representatives in each coalition to which your agency or organiza- be accountable to the public and to truly involve tion belongs. service users in decision-making: that means actual input, not just ratification of staff plans (see • Do a media audit: Write down each media out- Chapter 14). In summary, determining whether let that you rely on for information and star agencies are effectively and strategically in- the ones you could tap for coverage. volved in community and have a community ori- • In the above evaluations, state whether the entation requires many mechanisms and must nexus is significant or superficial. be an ongoing assessment procedure.

Discussion Exercises

1. Despite the many different parts of your com- 5. What role, if any, do you think IQ plays in munity, what are the ties that bind? (a sports team, justifying who pulls the coach of society (a la Bel- a widespread love of the outdoors, or a tendency lamy)? How do values and assessment fit together? to be stoical)? 6. Discuss program accountability and assess- 2. Who or what do you view as the best source ment. of information about community needs and why? 7. Construct a graphic of a subsystem relevant 3. How might we give something back to a com- to your agency. This will require many telephone munity (written observations, volunteer help, etc.) calls and much consultation with old-timers in the as part of any study in which we take the time of field. residents and leaders? 8. Using Box 7.3 as a model, draw up a similar chart to evaluate the quality and comprehensive- 4. Compare Le Guin’s “wretched one” (Box 7.8) ness of social services for a social problem of your with the Sudanese child described in critical the- choice. ory in Chapter 2. Obtain a copy of the 2002 St. Louis Past-Dispatch week-long series “Neglected 9. Using Figure 7.1 as an example, evaluate the to Death” and compare the pictures of abused and needs and strengths of the area where you cur- neglected nursing home residents with Le Guin’s rently reside or where a parent or grandparent redescription of the child. sides. 202 COMMUNITY PRACTICE SKILLS

Notes

1. In the documentary The Land of the Deaf, a the poor (the have-nots) who sit on top of the sign language teacher and deaf rights crusader coach snapping the whip—because of all the pro- refers to his hearing daughter and sighs, “I had grams designed for them—while rich tax payers dreamt of having a deaf child—communication and hard-working capitalists (the haves) strain to would be easier. But I love her all the same” (re- pay their benefits and pull them along. For in- view by Richard Harrington, The Washington stance, radio talk show host Rush Limbaugh Post, October 7, 1994, p. B7). (1992) has said, “The poor in this country are the biggest piglets at the mother pig and her nipples. 2. Johnson (1995) gives an example of a social The poor feed off the largess of this government impact statement: The local office of the human and they give nothing back. Nothing.” (p. 40) services department is closing, so a social worker decides to “determine the impact of such a 4. “The Ones Who Walk Away From Omelas,” change” (p. 276). National Park Service staffers use copyright 1973 by Ursula K. Le Guin; from the Rapid Ethnographic Assessment Procedures (REAP) author’s collection, The Wind’s Twelve Quarters to conduct social impact assessments, including (1975); first appeared in New Dimensions 3 the solicitation of community views about alter- (1973); Quotes are used by permission of the au- native courses of action. An excellent study on so- thor and the author’s agent, Virginia Kidd. For a cial impact and outreach in the case of epidemics different version of this theme of benefits to the or bioterrorism, commissioned by the Colorado many at the expense of the few, see Steven Spiel- Department of Public Health and Environment, berg’s 2002 film Minority Report (Twentieth Cen- lists many at-risk groups that should be consid- tury Fox Film Corporation and DreamWorks Pro- ered. In alphabetical order, the outreach target ductions, LLC, based on a story by Philip K. Dick). population categories are African-Americans, The film is set in the year 2054, when three hu- Blind, Deaf, Developmentally Disabled, Elderly, mans called “precognitives” are exploited by the Homeless, Isolated Rural Residents, Latchkey precrime unit to prevent murders. Leading politi- Children, Low income/Single Parent/Low Literacy, cal philosopher John Rawls (1971) sums up the Mentally Ill, Migrant Farm Workers, Native Amer- principle in these words, “Each person possesses icans, Non-English Speaking, Physically Disabled, an inviolability founded on justice that even the Tourists, and Undocumented Immigrants. Judith welfare of society as a whole cannot override” Cohen (2003) who has a background in social (p. 3). work prepared this study on emergency communications. See the Susskind profile in Kolb (1994, 5. This section is based on work by Hardcastle p. 317) on the impact of assessment, citizen par- (1992) and Turner (1963b). Also see Cox (1995). ticipation, and public disputes. Also see Goldman (2000) and Barrow (2000). 6. See Chapter 11 in our text, plus Valdis Krebs’s 3. Ironically, in our own era, conservatives often InFlow Software Web site (http://www.orgnet. succeed in convincing the middle class that it is com/).

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When people see that you can get things done, they line up behind you.

D. KESSLER (AS CITED IN L. THOMPSON, 1990, P. 1)

Tiny steps . . . contribute to the making of the “hardy spirit.”

S. PHELPS AND N. AUSTIN (1987, P. 227)

USE OF SELF ily transferred to quite different employment settings, such as community organizations. Inter- This chapter discusses competency and cog- viewing and information gathering, for example, nition in social work and then focuses on as- are used in innumerable types of social work. Di- sertiveness as a pivotal skill. rect service workers might use these skills to elicit knowledge to improve a client’s condition Effective Use of Self or to run a group more effectively, while community practitioners might synthesize informa- CORRESPONDING SKILLS tion from interviews to undergird an exposé as Consider how dancers and social workers are part of social justice work. Dealing with an up- alike. Both respect highly developed use-of-self1 set patient or community resident by telephone abilities that contribute to professional accom- requires corresponding skills. plishments and benefits for others. Initiative and Social workers develop competence in relat- persistence also are basic to any success. While ing to a variety of people and build on that com- ballet and modern dance both require the same petence in different aspects of practice. Coordi- mastery over the body and an ability to relate to nation and advocacy are as basic to community an audience, each requires specialized abilities; practice as active listening and counseling are to similarly, clinical work and community work clinical practice; assertiveness is vital to both. All draw on the same aptitudes while requiring the five of those skills—coordination, advocacy, ac- refinement of specific proficiencies. tive listening, counseling, and assertiveness— The fact that we can draw on the same core involve communication. Social workers also at- skills means that elements of practice learned in tempt to heighten their self-awareness, that is, to one social work job, such as casework, are eas- become aware of skills and limitations in shift- 208 USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 209

BOX 8.1 DRAWING ON RESOURCES, INCLUDING OURSELVES

At a respite center for parents of totally depen- on the basis of her observation and assessment, dent children, one child was deaf, mute, men- that a special education tutor be found for Rick. tally challenged, and in a wheelchair because Her advice was followed. Within a year, the “re- of cerebral palsy. Rick’s mother communicated tarded” child was reading. with him through story boards. He communi- The worker found other ways to open up cated with others through squeals and jerky arm Rick’s world. At home, he often sat on the porch movements. A social worker drawn to this ea- and waved to the traffic. He was particularly ger youth attempted to find ways in which Rick pleased when a driver for Pepsi began waving could play and express himself. Wooden puz- back. The mother and worker contacted the zles were tried successfully. As Rick mastered company to thank the driver and ask if he would difficult ones, the worker began to suspect that be allowed to stop and see Rick. The driver not he had more cognitive ability than had been de- only came to call but also brought a miniature tected during years of testing and residential pro- company truck and tiny cases of bottles that fit grams. She contacted the hospital school, which on the wheelchair tray. Thereafter, Rick he had attended, and the public schools for whooped and waved his truck whenever the guidance—but to no avail. She spoke to the Pepsi truck passed his corner. founder of the respite center and recommended,

ing settings (Burghardt, 1982, p. 51). Direct ser- and of the interventions needed to address them. vice practitioners can apply their interpersonal The decision to consider the community and to skills (e.g., awareness of others’ feelings, body draw on all facets of our field does not mean a language, and attentiveness) in their community lessening of interest in or commitment to indi- work. They can tap into their feelings (Weick, viduals. After all, all good social work must con- 2000). nect the personal to the social, and vice versa More basically, use of self implies that a social (Weiss, 1993). Considering community does worker must be able to perform solo, because he mean getting a better sense of who we are serv- or she may be the only person on the scene who ing and which of their needs we have not ad- can and will act. Principal dancers are thrown dressed, as well as discovering who we are not roses or presented with bouquets at the end of serving and why and forming new partnerships performances. Nobody brings roses to social for service delivery and advocacy. It requires a workers at the end of a job; even so, we know set of skills, which will be covered in this and when we have used our minds, hearts, and train- subsequent chapters, ranging from assertiveness ing to change lives. See Box 8.1. to case management. We want to be able to follow a concern rising SKILLS FOR CLIENTS AND COMMUNITIES out of our work wherever it leads us, confident We integrate our abilities and experiences that our skills are flexible enough to meet most and apply them as needed. This is not just self- of the challenges of venturing into new profes- knowledge and development for its own sake. sional territory. We want to be able to follow Social workers are engaged with individuals and clients and community residents into facets of with the larger community. Would a ballet be their lives outside social services. We need to meaningful if the dancers simply performed the hear their pride: “It was me and Jack that steps without regard to creative interpretation or stopped the train.” See Box 8.2. audience appeal? Community connections are integral to our practice, as is making the com- Expansion of Self munity itself a better place. To do this effectively, practitioners need certain attitudes and a broad NEW ROUTINES—POLITICAL ASPECTS array of abilities. Attitudinally, community so- Problems call us into the community if we cial work practice calls for a vision of commu- allow ourselves to hear them. Ann Hartman nal life and the collective good. It also requires (1990), former editor of Social Work, worries that knowledge of human and social problems, of the we will use “psychic numbing to protect our- social forces that keep many of them in place, selves from the pain of seeing what is going on 210 COMMUNITY PRACTICE SKILLS

BOX 8.2 WANTED: MORE THAN REHABILITATION

Jack lost his legs from a slate fall in the mines. folks say. . . . We had a sign with us that said . . . [At the hospital] they were trying to reha- Hospital and Pension Card on it. And we just bilitate him. . . . When the disabled miners first held it up. We was beside the tracks, over on went out on strike with the active miners, Jack the edge, we didn’t really block the train. But was out there in his wheelchair on the picket they saw our sign and they stopped the [coal] line. The disabled miners was out to get their train. They pulled it back into the company’s hospital cards and their pensions. . . . It was me yard. and Jack that stopped the train during the strike. Source: Della Mae Smith, as quoted in Hillbilly Women (pp. We didn’t have a 12-gauge shotgun like some 40–43), by K. Kahn, 1973, New York: Avon.

around us” (p. 4). She is concerned that we can cesses. Barber lists “features of talking and lis- tune in to one youth like Rick (see Box 8.1) but tening in public,” that is, an inventory of civic cannot deal with a junior high school where interactions and obligations: many students are on drugs. Yet, to tune out is to tune out the community, and we have trained our emotions, minds, and beings for a public 1. The articulation of interests purpose. 2. Bargaining and exchange Dancers who have mastered floor work must 3. Persuasion still learn to jump and soar to be professionals. 4. Agenda setting To some social workers, becoming proficient in larger systems may seem like leaps into the 5. Exploring mutuality stratosphere; for them, a fear of falling or failing 6. Affiliation and affection hampers their ability to address more complex 7. Maintaining autonomy problems head on. However, the transition for many social workers should be uncomplicated. 8. Witness and self-expression Building on superior skills in relating, interact- 9. Reformulation and reconceptualization ing, and listening, we can move on readily to col- 10. Community building as the creation of pub- lective interaction, political talk, and citizen lic interests, common goods, and active citi- action. zens (pp. 178–179) Social workers must enter the political world of civic and community participation, of self- governance and responsiveness to larger prob- Strong democratic talk, according to Barber, lems.2 In this regard, Barber (1984) urges uni- involves “deliberation, agenda setting, listening, versal participation in public action, politics, and [and] empathy,” while strong democratic action the “realm of we.” He believes that most U.S. cit- involves “common work, community action, izens see “politics as a thing or a place or a set [and] citizen service” (p. 266). of institutions—as, at best, something done by We single out Barber’s basic community ac- others,” which means that we undervalue “the tivities and political talk because they seem more degree to which action entails activity, energy, within our reach than legislative advocacy or work, and participation” (pp. 122–123). getting an initiative on a ballot, but also because Achieving true community and strong democ- such civic engagement is a moral imperative. If racy requires a kind of talking and listening to we do not have the confidence and willingness which social workers can uniquely contribute. to engage as citizens, then it is more difficult for Barber (1984) believes that the talk on which any course of training to transform us into strong democracy builds “involves listening as well as professionals. speaking, feeling as well as thinking, and acting Neither dancers nor social workers can stay in as well as reflecting” (p. 178)—principles totally the wings and watch. To develop one’s capaci- compatible with social work. He wants us to ties and yet be afraid to get out on the stage of understand the political functions of talk for life would be a sad waste of ability, which—for- democratic and community-strengthening pro- tunately—seldom happens. However, some so- USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 211 cial workers are reluctant to go on tour (to per- ENHANCED AWARENESS form away from their home base). Cognition and Intuition

NEW ROUTINES—PERSONAL ASPECTS Some practitioners have not yet experienced Social workers can become “pathfinders,” to using themselves in a way other than that de- employ Leavitt’s (1989) word. He compares and manded by the direct service part of their jobs, contrasts, “While effective problem solving reso they are untested in macropractice tasks. Too quires mental rigor and hard analysis of the en- often, apprehension or inexperience restrains vironment, and while effective implementing re- them from making the contributions they are quires competence in getting things done capable of making at the board, association, through and with other people, effective path- service delivery system, neighborhood, or city finding requires soul, imagination, personal level. commitment, and deep belief” (Leavitt, p. 40). Since social workers have core aptitudes and Social workers must be visionaries and risk tak- solid competence in skills that are transferable, ers, able to formulate fresh approaches and chal- why are some of them uneasy about moving out- lenge the status quo. Walz and Uematsu (1997) side their current sphere of work? Like the bal- describe how some people, unfortunately, cir- let dancer who joins a modern dance troupe, a cumscribe themselves: “A fearful person may clinician faces discomforts when easing into col- shut off many important interior messages and lective endeavors. Confidence was established thus refrain from pursuing certain questions. . . . within a particular niche, and new proficiencies Or the person may lack the will or the energy to will have to be developed. To make the best use venture. In maintaining their carefully bounded of one’s professional self is difficult at any time, existence, they will inevitably limit the range but especially when engaging in new aspects of and volume of ideas, concepts, and metaphors social work. that they would need to draw upon” (p. 24). In addition, the clinician may be uncomfort- Such professionals miss the freedom to experi- able utilizing new types of assessment or with ence the calling, the science, and the art of social the manner in which work in the community work. Social workers who meld courage with commonly is discussed. For example, a person creativity, on the other hand, can escape bore- accustomed to determining diagnoses using a dom and make valuable contributions to their manual or intuition and experience may be un- profession and community. comfortable switching to weighing and calculat- ing variables. Some persons making such a tran- Critical Thinking sition in practice express discomfort with the analytical language of trade-offs, bottom lines, bar- Use of self includes use of one’s mind—for gaining chips, and best practices because they say example, self-examination, making judgments, they value openness, empathy, and doing the taking actions beneficial to service consumers right thing for its own sake. Yet social work’s and community members (Berkman & Zinberg, very emphasis on genuineness, authenticity, and 1997). The ability to think clearly is basic to ef- getting in touch with feelings may lead us to sim- fective community practice, service or advocacy plify ideas and follow impulses too easily at the endeavors, and public policy initiatives. Yet, too community level (O’Neill, 1989). Mastering a full often promising projects are halted or misdi- repertoire of skills will make us more thought- rected by conventional wisdom and slipshod or ful and confident practitioners. slippery justifications—within our own agencies Although we often have an uneven sense of and from our adversaries. our power and competence as practitioners, we According to Gibbs and Gambrill (1999), who see ourselves as capable of effective action. The describe reasoning errors that everyone con- question is “What action?” We may stick closely fronts, the logical fallacies include the following: to what we have done—the familiar—and resist areas where we anticipate failure. Yet, by analyzing our anxieties and watching our behavior, 1. Ad hominem (at the person): Attacking (or we can deal with our attitudes and improve our praising) the person, or feeling attacked (or performance (Drucker, 1999). “Knowing how to praised) as a person, rather than examining work with one’s personal and emotional capac- the substance of an argument ities is a fundamental skill in social work prac- 2. Appeal to authority (ad verecundium): An at- tice,” states Burghardt (1982, p. 49). tempt to buffalo an opponent into accepting 212 COMMUNITY PRACTICE SKILLS

a conclusion by playing on the opponent’s re- worked through feelings about authority (Falck, luctance to question the conclusion of some- 1988); how will this influence community prac- one who has a high status or who is viewed tice? We react to others and others react to us. If the as the expert social worker is known by a nickname such as 3. Diversion (red herring): An attempt to side- “Uncle Roy,” as Royal Morales of Los Angeles track people from one argument to another so was, how could that effect community practice? as to never deal effectively with the first More factors come into play than we usually discern. Consider how universally, even if sublim- 4. Stereotyping: Oversimplifying about a class inally, humans react to hairstyles (e.g., pigtails, 5. Manner or style: Believing an argument be- dreadlocks, “old-lady blue hair”) and to hair cause of the apparent sincerity, speaking coverings (e.g., stocking caps, yarmulkes, voice, attractiveness, stage presence, likabil- babushkas) that differ from their own. ity, or other stylistic traits of an argument’s Reactions may have nothing to do with per- presenter sonality or appearance. Mulroy and Cragin 6. Groupthink: The tendency for group members (1994) describe an incident in which several stu- (e.g., of interdisciplinary teams, task groups, dents were given a field placement with a city service-coordination groups, staff) to avoid agency where there were new supervisors who sharing useful opinions or data with the had not been part of the planning. Moreover, group because they fear they might be put tensions in the agency were running high be- down, hurt the feelings of other group mem- cause of financial and top management prob- bers, or cause disunity lems. Two students, one Hispanic, did not feel 7. Bandwagon [going with the crowd] welcomed or part of the team. According to Mul- roy and Cragin, the other social work student 8. Either-or (false dilemma): Stating or implying “pulled out a notebook to take notes at a staff that there are only two alternatives open to meeting, a behavior he considered routine and the group, which denies the chance to think benign. . . . [He later reported,] ‘Staff members of other options jumped all over me. They asked me why I was 9. Straw man argument: Misrepresenting a per- taking notes. They accused me of being a spy for son’s argument and then attacking the mis- central office. Was I sent to take notes in order representation (pp. 116–119)3 to report back to the Executive Director? They never trusted me’” (p. 28). Advocates who encounter these logical fallacies Use of self includes awareness and positive for the first time during meetings or debates can use of one’s experiences, background, and char- be waylaid. Even national experts can be thrown acteristics (Christensen, 2002; Lee, McGrath, off track. The nation’s best chance for compre- Moffatt, & George, 2002). To explain more fully, hensive health reform was scuttled by television we will examine ideas from Alvarez (2001) and commercials paid for by self-interested insurers. Gilson (2000) about critical reflection and at- Several fallacies were used by the typical cou- tending to oneself as well as to the other party. ple, Harry and Louise, who bemoaned the overly Gilson suggests that we consider what will hap- complex bureaucracy and limited choice of doc- pen if we do or do not speak about our person tors they said the Clinton plan would engender and life. Alvarez suggests that we systematically (West, Heith, & Goodwin, 1996). Reasoning er- explore—in a process-recording mode—how rors and propaganda must be rebutted quickly others perceive even our nonverbal communi- because have-nots, in this case the uninsured, are cation. See Table 8.1. hurt by misrepresentation. PERCEPTIONS: HOW OTHERS SEE US Alvarez stresses the “centrality of personal at- Praxis: Self and Others tributes and the perceptions of other actors, and the need to understand interactions in order to Whether engaged in clinical, community, or maximize personal and professional effective- management work, social workers can be even ness” (2001, p. 197). Why are attributes and more effective when they combine the creative demographic characteristics so consequential, and critical thinking just discussed with moni- according to Alvarez? Because “class, use of lan- toring of their cognitive and affective reactions guage, sexual orientation, religion, and physical to others. Suppose the social worker is intense and mental abilities influence interactions, per- or unable to accept grumpy people or has not ceptions and results” (p. 199). The way we view USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 213

TABLE 8.1 PRACSIS Grid

CHARACTERISTICS Perceived by Perceived Implications of Practitioner: Practitioner by Others Effects of for Strategy (evidence?) (describe, ϩ or Ϫ) and Practice

— Mental Abilities

— Sexual Orientation

— Religion

— Ethnicity

— Other (specify)

—

ACTIONS Perceived by Perceived Implications (of practitioner): Practitioner by Others Effects of for Strategy (evidence?) (describe, ϩ or Ϫ) and Practice

—

Reprinted with permission of Haworth Press. Source: From “Enhancing Praxis Through PRACSIS: A Framework for Developing Critical Consciousness and Implications for Strategy,” by A. R. Alvarez, 2001, Journal of Teaching in Social Work, 21(1/2), pp. 216–218. Copyright 2001, Journal of Teaching in So- cial Work. Reprinted with permission of Haworth Press. 214 COMMUNITY PRACTICE SKILLS ourselves will not always be the same as how occur in a less direct relationship, but are able to others view us, so proceeding can be tricky, and view a disabled person as a source of power and differences of many types may influence rela- knowledge. This phenomenon is very unusual for tionships with service consumers and/or our people with disabilities since we are most com- ability to deliver services. Think of the many monly studied as in need of services” (p. 127). meanings of wearing sunglasses (being old, hav- Nevertheless, Gilson maintains that there are ing just had post-cataract surgery, being cool, be- multiple issues to consider in relationships. ing criminal). Should a social worker discuss a hidden condi- Alvarez (2001) has developed a framework tion (such as epilepsy or cancer) or a family sit- called PRACSIS, which stands for Practitioner uation (such as having suicide losses in one’s Reflection on Actions, Characteristics, and Situ- family or having family members of different ation, by Impact and Strategies (see Table 8.1 for races)? What about some professionals’ desire parts of her grid). She urges us to pause and re- for privacy? Or conversely, what about someone flect. The method involves taking a hypotheti- from a marginalized group’s desire to model a cal, historical, or actual situation and applying struggle with injustice? Is the professional over- impact analysis. For example, suppose you have stepping boundaries or burdening others if he been working in an Arab American neighbor- stresses his circumstances to a captive client or hood (situation). Is your religion or skin color audience? What if others want to understand the more of a factor since the start of the wars in professional’s experience? Can venting or keep- Afghanistan and Iraq (community perceptions, ing the attention on oneself be detrimental to a evidence of this)? What might be the effects of client, a community group? Are we self-indul- such factors? What are the implications for strat- gently taking someone else’s time with our egy and practice? Alvarez’s framework is an in- story? There is much to mull over. vitation to think about how others perceive us. It can be used to anticipate or to analyze an in- BECOMING MORE MINDFUL teraction with clients or community members. We must manage ourselves in every situation After writing a succinct scenario, an exploration in every venue. This includes being aware of our begins of how specific practitioner actions were public behavior. Since we are connected to and perceived and affected the situation and how observed by the larger world, how we come particular characteristics of the practitioner across matters. A highly successful human ser- (race, gender, age, class, physical abilities, pro- vice professional once offered this canny advice, fessionalism, facial hair) were perceived and af- “Never say anything negative on the elevator. fected the situation. Don’t grouse or whine. When people ask how your work is going, respond briefly and posi- DISCLOSURES: WHAT WE REVEAL tively.” In other words, put the best face on Gilson (2000) counsels professionals to think things because one never knows who is listen- broadly about self-disclosure and sense of pur- ing. Social workers are taught, rightfully, to be pose. Given specific circumstances, there are pos- genuine about their feelings. Still, there is a time itives and negatives to letting others learn more and place for candid expression about one’s job, about us. There needs to be general conscious- bosses, colleagues, and community spokesper- ness of others and of one’s options, as opposed sons. It is especially important for professionals to automatically divulging or screening facts. to be affirmative about the group they are serv- Practitioners might ask themselves the following ing, regardless of any frustrations. Others rarely types of questions. If we are involved in com- embrace the mission, cause, or projects of prac- munity or advocacy organizations, do we share titioners who undermine their operation’s repu- our experiences in a professional situation? What tation. Therefore, affirm what can be affirmed if our involvement stems from something of a and be aware of the public impression one is cre- personal nature such as having been a battered ating. The self-discipline to be composed and up- spouse? Should a professional share that she is a beat in public is part of effective use of self. lesbian or that he is a religious minority? As a person who has used forearm crutches and a wheelchair himself, Professor Gilson discusses BELIEFS THAT SHAPE BEHAVIOR the pros and cons of personal sharing. Gilson finds, in his experience, that through “effective Background use of self, I am able to address and mediate against negative biases directly and by example. Use of self also involves understanding belief Students do not study me as an object, as might systems, including those about professional re- USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 215 lationships (Locust, 1995). As we use the phrase, do reject limiting beliefs about inability and em- belief systems means deep-seated convictions brace beliefs about capability. about what is true and what can happen. Beliefs may involve ideology or expectations. For ex- Beliefs and Outcomes ample, medical researchers discuss a placebo effect in which people improve after treatment that Declarations such as “I’m okay, you’re okay” they believe helps them, and a nocebo effect in and slogans such as “we can make a difference” which people presume the worse and their are belief statements. It is hard to function with expectations becomes self-fulfilling prophecies. doubts about ourselves and the efficacy of our Change agents should become aware of limiting actions. Similarly, we must trust others. Let us beliefs and myths and seek empowering insights explore the topic of beliefs and outcomes in more (Lappé & Du Bois, 1994, Chapter 2). One limit- depth. ing community belief is this: Society is in sad shape and there is not one blessed thing anyone can do about it. Much of the pessimism in the OTHERS’ BELIEF IN PRACTITIONER United States about its youth, schools, or inner Belief bonding is a shared belief by a social cities stems from citizens’ sense of powerless- worker and a client, community cadre, or other ness. Anyone who pays attention and cares will action system that “the worker is competent, can feel overwhelmed at times, but societal cynicism practice social work, and has knowledge about and personal beliefs such as “I can’t stand to deal the problems presented” (Bisman, 1994, p. 79). with it” limit others and us. Belief bonding appears essential to effective so- When we read about a declining town or a cial work and community practice. It is a neces- dysfunctional foster care system, it is hard to sary, although not sufficient, condition for psy- imagine making a dent in the causal conditions, chological, social, and political interventions let alone the accompanying societal defeatism that require active participation by service con- and the inertia that stops reorganization. How- sumers or community members. It is a critical ever, we can face facts and still engage in men- component of compliance and of systematic, ex- tal processes that help us shift to considering tended intervention. The social worker must not what can be done. Sometimes to see the way only be regarded as an expert but must also clear involves reframing the problem. Sociolo- actually possess expertise and commitment. As gist Brenda Eheart reframed a problem and cre- Schilling (1990) asserts, most people prefer to be ated a village for approximately 50 “unadopt- helped by someone who believes in the efficacy able” children. She obtained money from the of his or her intervention (p. 256; see also Pat- Illinois legislature for a comprehensive approach terson, 1985, p. 205). When a client has the ex- to foster care (Smith, 2001), with results that have pectation that a worker is competent and the been reported in Mother Jones and Parade maga- worker communicates self-confidence and ful- zines. In 1994, according to Walker (2002), “af- fills a client’s expectations, the client is more ter 2,000 calls and a fax to the White House, likely to fully engage with the worker in an in- Eheart received permission to buy part of a de- tervention (Patterson, pp. 202–203). There is a commissioned Air Force base in Rantoul. She correspondence at the group or community named the town-within-a-town Hope Meadows level: Confidence in a leader and a leader’s meth- and set about placing newspaper ads for older ods and programs is critical. Yeich and Levine people willing to work as volunteers with foster (1994) state that “high perceived personal com- children in exchange for roomy, attractive homes petence and a high degree of political awareness at reduced rents. She also advertised for families can be seen as an important dimension in un- who would take in foster kids with the goal of derstanding mobilization of people” (p. 266). providing adoptive homes. Then she contacted Whether a client, group, or community asso- the Illinois Department of Children and Family ciation likes the worker is not at issue and may Services and requested hard-to-place kids— be important only to the extent that it initially those who were older, more troubled, or in sib- allows for the formation of bonding and a rela- ling groups” (p. 10). tionship. The bonding also is more than a Successful use of self includes a belief in one’s worker’s empathy with a client. It is an active ability to affect positive outcomes. Those with and shared belief by a client and worker in the such confidence have no illusions about easy worker’s efficacy, the rightness of goals and ac- victories against foster care bureaucracy nations, the proper division of responsibility for tionwide, against terrorism, against recession, tasks, and that accomplishing tasks will achieve against AIDS in Africa. Those with confidence the goals (Johnson, 1995, p. 37; Kirst-Ashman & 216 COMMUNITY PRACTICE SKILLS

Table 8.2 Relation Between Successful Outcome and Worker/Client Belief That Intervention Will Be Successful

High Worker Belief Low Worker Belief

High Client Belief Best probability of success. Success only if intervention can be mechanistically implemented Low Client Belief Success only if client involvement Least probability of success in intervention is unnecessary

Hull, 1997, p. 33). Clearly, it is hard to proceed selfishly motivated, his influence is not likely to in an adversarial process between supposed al- awaken generous initiative. . . . The beliefs he lies. A joining of intent, if not affection, is re- holds about human beings and his intentions, quired. Thus, workers must develop compe- stated or implied, are important to the outcome tency, believe that interventions will work, and in people’s lives” (p. 365). convey a belief to their individual and group partners of the efficacy of the change process and PRACTITIONER’S BELIEF IN SELF the client’s capacity to engage in it. Belief bond- Moving to action. Anyone can be overconfi- ing also implies a shared belief by worker and dent and act when he or she should not, but just client that the client has the capacity and as frequently, people are timid about acting, strength to change and achieve the objectives which they regret later. Gambrill (1997) suggests (see Table 8.2). filling out the following form as a way to reflect on a previous failure to act (p. 47). PRACTITIONER’S BELIEF IN OTHERS Similarly, the professional must have a belief that the group with which he or she works Failing to Act (whether drug addicts or people on probation) Just as we may act when we should not . . . , is worth the attention and capable of achieving we may fail to act when this results in more goals. In social work, some professionals op- harm than good. Research suggests that we posed welfare reform because they believed that often overlook ethical concerns related to not recipients about whom they cared very much acting (omissions) (Baron, 1994). This exer- had little capacity to obtain or hold jobs. There cise provides an opportunity for you to con- is growing evidence that expectations influence sider the consequences of an omission. outcomes. Absent teacher anticipation that their inner city or Indian reservation students will Situation: succeed, most such students will not. Research ______suggests that those who are served by teachers Omission (what was not done): and other professionals achieve results only ______when the professionals believe the consumers of Consequences: their services have potential (Furstenberg & ______Rounds, 1995). A teacher’s beliefs can make him Discussion: or her more effective—regardless of buildings, ______equipment, and other supports (Agne, Green- wood, & Miller, 1994). Recovering the notion Suggestions for discussion: that a teacher has the capacity to affect student performance has been an empowering insight 1. Would you act differently in the future? If (Greenwood, Olejnik, & Parkay, 1990). In com- so, what would you do and why? parison with belief bonding, there is less emphasis in this conceptual framework on the stu- 2. What factors influenced your decision (e.g., dent, client, or recipient buying into the change agency policy, feared risks)? process. Biddle and Biddle (1979), who write 3. Can you think of other examples of failing about the “encourager role,” make this state- to act when you think you should have ment: “People respond to their perception of at- acted? titudes as these are expressed in gesture, word, 4. What could be done to prevent omissions and deed. If the worker acts as though he be- that limit opportunities to help clients? lieves people are unworthy, not to be trusted, or USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 217

Barriers to action. Belief in oneself is not con- Become aware of the soles of your feet . . . ceit but knowing one’s strengths. It is requisite aware of the sensation of contact with the for belief bonding. You may make friends easily ground. . . . Imagine yourself growing roots or you may be known for your persistence or down into the earth from the soles of your feet. physical stamina. Such talents or character traits . . . Imagine these roots drawing strength from can be pivotal as you take action. For instance, the earth. . . . Now let that sense of strength social work pioneer Vida Scudder founded the travel right up your spine. . . . Be aware of your College Settlements Association but lost heart as backbone, feel its strength and also its flexibil- family and social problems repeated generation ity. . . . after generation. Historian Spain states, “It may Now think of those people you are repre- have been Jane Addams’ prodigious staying senting here whom you care for; think of their power in the face of such adversity that pro- faces, names . . . perhaps also beings of the fu- pelled her, rather than Scudder to the forefront ture generations. . . . Feel the presence of all of the settlement movement” (2001, p. 118). Be- these standing firmly behind you, lending lief in oneself often grows with experience. A strength and conviction to what you need to ex- professional learns when it is helpful to be au- press. . . . Be aware that you may be their only thoritative, such as during fund-raising func- advocate in this situation. . . . tions and when testifying in court, and when it Open your eyes and keep that feeling in your is harmful to be authoritative, such as during body. . . . Now you are ready to face what comes community feedback forums. from a calm and strong position. (Shields, 1994, Discussions about overcoming fearfulness and pp. 64–65) negative thoughts about self usually are handled in counseling contexts, and yet getting stuck is Belief in Community just as relevant in macrosettings. At the community level, such insecurity translates as “So- Every community, every narrative needs a ciety is in sad shape and someone else more ca- note of hope. In our own fields and our own pable than I am should do something.” Another ways, we must convey hope, as Rudy Giuliani limiting belief is that we or others are so defi- did after 3,000 people were killed. Terrified cit- cient that nothing can change: “I would just izens needed to believe in their mayor and them- make things worse.” Social workers have to selves. No matter what he expressed at home, recharge their batteries and then turn to ener- the citizens needed their leader in public to be gizing others. Only those who have kindled authentic about pain and affirmative about themselves can kindle others. A first step for ig- courage. A columnist impressed by New York niting one’s own fires is to remember what en- City’s “spunk and soul” in the attack aftermath ergized us before—perhaps music, a newspaper put it this way: “Leadership is a mystical qual- story, or looking at photographs of street people. ity, a combination of personal skills, innate mag- netism and a heavy dose of circumstance. In this Experiential Pointers on Moral Courage time of need and grief, the New York mayor— through personal presence, an overflowing heart Try these queries: and just the right words—has stepped forward to lead his city from despair to determination” • “What words best describe the emotions you (Fisher, 2001). Believing that it can be done, that feel when hit with all of today’s negative we can move forward, that people will care, and news?” (Lappé & Du Bois, 1994, p. 4) that we will turn things around is contagious. • “If I were feeling strong and powerful, what I’d like to speak out about is . . .” ASSERTIVENESS OVERVIEW • “Where do you feel most capable of acting on this issue?” (Shields, 1994, pp. 8–11) Background and Orientation

Try this visualization exercise from Katrina How does assertion fit into social work? Shields (1994), who designed it for “those who Wakefield (1988) views it as “properly within so- want to act but are anxious or afraid of giving cial work’s natural domain” (p. 361). A psycho- way under pressure” (p. 64). “The purpose is to logical or professional trait—like self-respect, give yourself a bodily sense of calm, grounded- confidence, problem-solving and social skills— ness and determination,” (p. 64), says Shields. assertion facilitates the fulfillment of our “inten- Here is the exercise: tions” (p. 361). Obstacles are external as well as 218 COMMUNITY PRACTICE SKILLS internal: “Clearly, not all obstacles to minimally social work enterprise, begins with articulation, effective goal-oriented activity originate within with the overcoming of apprehension, with as- the person. Environmental obstacles, especially sertion. Assertion “is the act of standing up for in difficult environments where a person does one’s own basic human rights without violating not possess great power or social connections, the basic human rights of others” (Kelly, 1979) can be a constant source of frustration and de- in an “interpersonal context in which there is spair. Some degree of assertiveness is necessary some risk of a negative reaction by the recipient” in dealing with these obstacles, or actions would (Rakos, 1991, p.10). rarely be carried to completion” (p. 365). From childhood, human beings engage in a The history, theory, and practice of assertive- process of sorting out the right to refuse from ness are linked with the human potential move- stubborn resistance, the desire to please from ment, encounter groups, and sensitivity training; passive acquiescence, tact from timidity, cir- the women’s movement and consciousness raising cumspection from cowardice, and assertion from (Enns, 1992); business success ideas (Siress, 1994); aggression. They learn to understand their mo- and behavior therapy and social learning theory tivations and behavior in this realm and to in- (see Chapter 2, this volume). Although different terpret signals and signs from family, acquain- terms—taking charge, sticking up for yourself tances, and strangers. With difficulty, people (Kaufman & Raphael, 1990), or empowering one- learn to stand up for themselves and others and self (Harris & Harris, 1993)—may now be uti- to deal with the consequences. To be a mature, lized, ideas about assertiveness have entered assertive person means taking risks. The story in into both the popular culture and the specialized Box 8.3 speaks to a universal challenge: stand- training of professionals. ing up to adults as a child (Sears, 1990, 1993). Assertiveness is a learned social skill and a A related predicament for adults is standing communication style frequently discussed in up when one feels like a child. In adulthood, terms of three response patterns: passive/ Bower and Bower (1991) say, “lack of assertive- nonassertive, aggressive, and assertive. Before ness makes millions of people feel uneasy and discussing these frameworks, we will examine inadequate” (p. 2). Thus, assertiveness has been assertiveness in a more personalized way. recommended for anxiety reduction (Cotler & Guerra, 1976, p. 3). Although circumstances may The Psychology of Assertion require anything from saying no to curbing abuse, the essence is similar: “When you assert ASSERTIVENESS STARTS WITH US yourself, you communicate your positive or neg- Competent involvement in the processes of ative feelings honestly and directly” (Zuker, conflict and change, which lie at the heart of the 1983, p. 12). See Box 8.4.

BOX 8.3 WORKING UP NERVE: CHILD

Grace said we had to go get a chicken for din- till nobody could see me and stayed real quiet. ner. [She] walked around in the yard, looking at I sucked in air and didn’t give it back. Grace all the birds, and finally spied one she liked. She came and called out, “Jodi, I’m sorry if I scared chased it until she caught both the wings flat, you. It’s all right if you don’t want to help. Jodi? with the chicken squawking the whole time. . . . You don’t have to hide. It’s all right.” I didn’t never think on killing nothing to eat But I was thinking on how I told a grown-up and didn’t want to do it. . . . Now Grace wanted no and didn’t do what she said [emphasis me to kill the chicken and I didn’t want to, so I added]. I knew I was going to get whipped. Paul tried to back away, only she said, “I know you and Grace would send me and Brother back be- are strong enough to do this, Jodi.” cause I was bad. . . . She stuck out the handle to the hatchet, but I I watched Grace real good the rest of the time couldn’t take it. I shook my head no and said, before bed, but she never said nothing about the real quiet, “I don’t want to, ma’am” [emphasis chicken or me not being good. She never said added]. . . . nothing about it ever again. I ran into the barn. I climbed the ladder and Source: Vickie Sears, “Grace” in Simple Songs Firebrand went behind some hay and pulled it all over me Books, Ithaca, NY. Copyright © 1990 by Vickie Sears. USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 219

BOX 8.4 WORKING UP NERVE: ADULT

Midnight. You sit in a hospital waiting room with after all, the woman’s advocate. You try to make someone who called you in a suicidal state and sense of the situation. You consider waiting needs a consult and probably a prescription. The things out, covering the woman up with your police arrive with a woman, high on drugs, who jacket, pointing out to the policeman that she is twists to get away. They handcuff her to a leg of defenseless even though behaving obnoxiously, the couch near you. She shrieks and tries to free going outdoors with your client, telling off the herself. One officer slaps and kicks her. “Shut brutal cop, appealing to the receptionist, and up,” he yells. She makes a scene—cursing and asking the other officer to simmer things down. ripping off her blouse—as the receptionist rou- “There are five key steps in assessing a situa- tinely goes over paperwork with the other offi- tion and becoming aware of what you intend to cer. As the policeman stands over her, you are do: your sensations, interpretations, feelings, de- silent, sickened. You are concerned for the sires, and intentions,” says Zuker (1983, p. 56). woman but also about the effects of all this on Thus, I see Ǟ I think Ǟ I feel Ǟ I want Ǟ I will. your client. You know things like this go on but However, we need not act on everything we be- a part of you wants out of there—you are not, come aware of.

FACING THE DRAGON quire reevaluating a lifelong stance (e.g., martyr, What should we do? Such elemental emotions warrior) or simply learning new scripts for spe- and basic quandaries remind us of archetypes cific situations. Ordinarily assertion, even asser- for stances people take in such situations. Pear- tion involving potential conflict, as in Box 8.4, is son (1989) writes about six archetypes or ways not as “dangerously risky” as nonassertive peo- of seeing the world that we live by: the innocent, ple are prone to think (Rakos, 1991, p. 66). We orphan, wanderer, warrior, martyr, and magi- tend to make the other person into a dragon, as cian. Each is appropriate sometimes as part of shown in Box 8.3. Training allows us to face re- human development and life’s quests. In pro- alistic “negative consequences” while knowing fessional life, we are no longer innocents, but the that the probability is that “appropriate” asser- other archetypes remind us of states of assertion tion will actually lessen risks (Rakos, p. 66). and nonassertion. In response to a dragon, the orphan “denies it exists or waits for rescue”; the martyr “appeases or sacrifices self to save oth- The Boundaries of Assertion ers”; the wanderer “flees”; the warrior “slays”; and the magician “incorporates and affirms” COMMUNICATION RESPONSE STYLES (Pearson, 1989, p. 20). Alberti and Emmons (1990) believe that as- Each of these reactions makes sense as we sertive behavior “promotes equality in human rethink about the varying responses one could lationships” (p. 26). Those acting assertively, ac- have to the chaotic scene in the waiting room. cording to Drury (1984), “make clear, direct, Looking at archetypes (in simplified fashion) purely nonapologetic statements” about expectations from the dimension of how threats are met, we sug- and feelings and criticize in “a descriptive rather gest that the passive person approaches life as than a judgmental way” (p. 3)—for example, “I’d an orphan, martyr, or wanderer; the aggressive like you to hear me out.” They describe their person approaches life as a warrior; and the as- own reactions to a situation. We can see that this sertive person approaches life as a magician. (A would be important to act effectively in the wait- wanderer’s independence also might allow as- ing room incident. Assertiveness is a strong, sertion.) The assertive person, the magician, vi- steady style, not a formula for automatic success. sualizes what he or she wants, develops tools, When assertive people meet resistance, Drury and takes action to make it happen while keep- (1984) says they persist in “following through on ing all elements in balance. issues”; they also negotiate, compromise, and An increase in assertiveness involves a more listen to others respectfully (p. 3). They are ac- rational approach to occurrences previously countable and responsible for their behavior. dominated by uneasiness, if not fear. Depending Such a style is illustrated by The One-Minute on the person, becoming more assertive may re- Manager, which urges truth telling rather than 220 COMMUNITY PRACTICE SKILLS wounding, not using feedback as an excuse to match or speaking to the police officers as vil- tell someone off, and getting to the point (Blan- lains without acknowledging the drug reaction chard & Johnson, 1982). with which they are contending. Aggressive Basic assertiveness includes such nonverbal people, interested in winning and dominating, behaviors as animation, maintaining appropri- may want to prove themselves to the client and ate eye contact and an upright stance, and ver- fail to check out the client’s feelings in this situ- bal behaviors such as using “I” rather than “you” ation. Aggressive behavior can go so far as to messages (e.g., “I am uncomfortable that we injure, demean, or diminish another person have not reached a decision”). This does not through words with an implied threat such as mean that the word “you” is forbidden but “you’d better” and through behavior such as us- rather that the response is not an attack. Phelps ing a raised, haughty, snickering, or snarling and Austin (1987) illustrate a request for infor- tone of voice or pointing. Some white-collar ag- mation as follows: gression is layered under propriety or disguised by parliamentary procedure. Such “indirect ag- Boss: I want those reports to be more effi- gressiveness” or passive aggressiveness is often cient and better looking next time. mentioned as another communication style You: What specifically do you mean . . . ? (Phelps & Austin, 1987, p. 25) or “flavor” (“Life Can you show me an example or describe Would Be Easy,” 1995). a report? (p. 227)

More advanced assertiveness might include ACTORS AND APPLICATIONS working a room during a huge meeting recep- Situations calling for assertion permeate all tion (RoAne, 1988). facets of practice and intimate life. We need as- Nonassertive or passive behavior can result from sertion skills, and so do those with whom we being overly deferential to authorities or those work (e.g., welfare recipients who are seeking established and well positioned in society. In the jobs). The prospective uses of assertiveness will waiting room incident, nonassertion could in- differ greatly. volve doing nothing. Or a comment could be prefaced by “I know none of this is any of my business, but . . . “ Eberhardt (1994) provides two Assertiveness and Behavior examples of this style: ACTING ASSERTIVELY “I’m sorry to take up so much of your time.” The basics of assertiveness, to Phelps and “It doesn’t matter, whatever you want to Austin (1987), are “saying no, expressing anger, do.” (p. 133) recognizing the Compassion Trap, shedding the need for approval, giving up excessive apology” A person’s real position may be hidden by (pp. 1–2). (For example, we may, out of com- nonassertive behavior when expressions such as passion, feel that we must always be on call or “I guess,” “I wonder if you could maybe . . . ,” helpful.) Even though conflict is more commonly “It’s not really important,” and “Maybe I’m discussed, Rakos (1991) points out that “as- wrong” are used. Such expressions aim to dis- sertiveness comprises interpersonal expressive- arm the recipient by presenting a weakened pic- ness in both positive and negative contexts.” A ture of the speaker or writer. Tannen (1994) literature review by Schroeder, Rakos, and Moe gives another motive: “Many people (especially (as cited in Rakos, 1991, p. 15) delineated seven women) try to avoid seeming presumptuous [italics categories of assertive responses: admitting added] by prefacing their statements with a dis- shortcomings, giving and receiving compli- claimer such as, ‘I don’t know if this will work, ments, initiating and maintaining interactions, but . . .’” (p. 279). Nonverbal passive responses expressing positive feelings, expressing unpop- resulting in the same effect include don’t-hurt- ular or different opinions, requesting behavior me stances, downcast eyes, shifting of weight, a changes by other people, and refusing unrea- slouched body, whining, hand wringing, a child- sonable requests. For many people, the first hur- ish tone of voice, and the poor-me seduction of dle is handling praise and criticism, not conflict. others. Both passive and aggressive responses Therefore, in assertiveness groups—as in en- can be manipulative. counter groups—individuals learn to accept Aggression appears in many forms. In the wait- strokes and to give positive and negative opin- ing room, it could take the form of a shouting ions or reactions. USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 221

An assertive act may be quite simple: can lower subordinates’ morale. You need to draft forceful comments about the positives and • You ask questions of a lecturer. give convincing specifics regarding what works • A colleague says you are good with protective in your unit, such as “We present technically service clients, and you respond with a “thank complex information, that is easily understood you” instead of disclaimers, false modesty, or by nonexperts and the media, in interviews and a return compliment. through fact sheets and issue briefs.” Taking the lead or spelling out capabilities may be hard for • Your coordinator asks you to review a paper. people who have been conditioned not to boast You thoughtfully mark up the draft to suggest (Tannen, 1990, pp. 218–224; 1994, pp. 38–39), but reorganization. internal agency success can have benefits for the community. Or an assertive act may be tricky to perform: Par- ents of a medically fragile infant feel that they are not getting straight answers on home care Assertiveness and Gender options and risks, and they want you to force the doctor to spend time with them. There is no formula for assertiveness. Still, some people are listened to more than others— TAKING THE LEAD and it is important to be heard.5 Two people can Assertiveness is not, at heart, simply a matter say the same thing quite differently, according of demeanor, accepting praise, or adroit han- to Tannen (1994): “They may speak with or with- dling of social predicaments. It is self-advocacy: out a disclaimer, loudly or softly, in a self- deprecating or declamatory way, briefly or at • A social worker with seniority on an interdis- length, and tentatively or with apparent cer- ciplinary team suggests that team leadership tainty. They may initiate ideas or support or ar- rotate, rather than having only the psychiatric gue against ideas raised by others. When dis- staff be leaders. senting, they may adopt a conciliatory tone, • Parents of seriously emotionally disturbed mitigating the disagreement, or an adversarial children raise the point that they need respite one, emphasizing it” (p. 280). Tannen’s com- care, not a proposed party, during the holidays. ments are descriptive, not prescriptive. Asser- • A frail person says to a volunteer, “Let me hold tion experts would call those whose behavior on to you instead of you holding on to me,” consistently and noticeably fits an extreme form thus asserting a modicum of control over her of those patterns passive or aggressive. life. More than communication skill can be involved. Tannen’s communication research re- Assertiveness is a tool to use in our work lives veals differences by gender, race, culture, and (Ryan, Oestreich, & Orr, 1996). It enables a quiet context. Rakos, summarizing assertiveness re- staffer to ask a vocal colleague to stop talking search, concurs that content and style of com- over him at staff meetings. It helps a social munication will vary “according to situational, worker to sell her project to the rest of the staff social, and cultural norms and values” (1991, p. at a meeting. It helps supervisors. Drury (1984) 18). Regarding context, our behavior as individ- asks what an appropriate assertive statement uals varies according to the situation (e.g., are would be under these circumstances: “The we at the office picnic or a meeting?). Regarding group has just spent 15 minutes of a 1-hour staff diversity, there will be a continuum of assertive meeting complaining about clients, the agency, behavior for those of similar background or and the newspapers. Four items need to be dis- those of the same gender and striking differences cussed at the meeting.” Drury suggests saying, between various groups. For example, one small “I’m concerned because we have four items we study of faculty meetings found that men speak need to discuss at this meeting. I would like to more often and longer than women. Tannen says move on” (pp. 171–172). that women are more likely to “speak at a lower Assertiveness can be expected of us. Suppose volume, and try to be succinct so as not to take that the head of your section asks you, as a lower up more meeting time than necessary.” In the level manager, to arrive at a staff retreat pre- study, the “longest contribution by a woman pared to discuss your unit’s strengths and weak- was still shorter than the shortest contribution nesses. Modesty and rigorous self-scrutiny sel- by a man” (1994, pp. 279–280). There is no ideal dom carry the day in a public forum; they also length of time to talk, so long as everyone is get- 222 COMMUNITY PRACTICE SKILLS ting a turn. “There is no a priori correct assertive response, though there are general behavioral When a request or demand must be guidelines for effective expression of feelings made of a friend, Hispanics in the study and desires,” explains Rakos (1991, p. 24; were more likely to preface their Stevens, Baretta, & Gist, 1993). assertiveness with a positive affirmation of In another study, personnel officers listened to the friendship. tapes of prospective female employees—half with “unassertive speech features.” Those without such features were “described as more likely to succeed in the workplace, more likely to be chosen for management positions, and more studied differences in styles and values associ- likely to be respected by coworkers” (Knotts, ated with assertiveness in African American, 1991). Examples of powerless language that Caucasian, and Hispanic (mostly Mexican) low- makes speakers seem indecisive, tentative, and income women living in north Florida. (Contrary lacking in authority are tag questions (“John is to expectations, the Hispanic women were found here, isn’t he?”), hedges (“I’d kind of like to go”), to be the most assertive by conventional and His- hesitations (“Well . . .”), and intensifiers (“Re- panic criteria.) ally . . .”). Men also are perceived negatively Yoshioka (1995) makes a number of useful when they use unassertive speech features. observations: Drawing from other studies, Knotts states that “men use speech to report, to compete, to gain attention, and to maintain their position in a so- 1. Besides linguistic differences, there may be cial hierarchy,” while “women use speech to value differences between cultures. “Main- gain rapport, maintain relationships, and reflect stream” assertiveness rests on rights, in- a sense of community” (pp. 1–32). dividualism, personal control, and self- Tannen (1990) makes an intriguing, contro- reliance—values not necessarily equally versial contention along these lines: “Sensitivity endorsed by other cultural communities. training [and therapy] judges men by women’s There are differences regarding an individ- standards, trying to get them to talk more like ual’s connections and obligations to others. women. Assertiveness training judges women 2. The basic message of a response must be iden- by men’s standards and tries to get them to talk tified apart from the language chosen to con- more like men” (p. 297). She believes that learn- vey it. Responses may differ in word con- ing each other’s strategies and habits increases struction and intensity of language from the our flexibility as communicators. The authors of way a practitioner speaks but may still be this text take the position that both men and considered a culturally appropriate, assertive women in social work can benefit from increas- response within the community. ing their assertiveness. Assertiveness in its basic 3. There are differences within a population, just form, Phelps and Austin (1987) remind us, was as there are between racial and ethnic groups. never gender specific but rather a way of push- 4. People from varied backgrounds differ in ing past blocks or “confronting the unpleasant where they place the boundaries between or difficult without getting squashed (or squash- passivity, assertiveness, and aggressiveness. ing others) in the process” (p. 80). Mele (1999) tells the true story of women in public housing who had felt squashed but mastered the Inter- net in order to push on past their local housing authority. Language such as “Any time you push on me, I’m going to push you right on back” is viewed as assertive, not Assertiveness and Class or Minority Status aggressive, by African Americans in the study. Hispanics placed more emphasis on Analysis or assessment of assertive behavior correctly addressing the other party and requires an awareness of individual, gender, and using good manners. Caucasians and cultural differences (Lordan, 2000; Ohbuchi & African Americans more often referred to Takahashi, 1994; Zane, Sue, & Kwon, 1991). Dif- consequences or obligations to elicit ferences in what constitutes assertiveness speak to compliance from the other party. the emic (culturally specific) nature of assertion, according to Marianne Yoshioka (1995). She USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 223

• Do what needs to be done: Put your energy Individual Caucasian reactions in one into developing and using the skills needed to role-play in the study went from inability deal with a situation, not avoiding or being to formulate a response to threats to kill. anxious over it. Actively choose the strategy Individual African Americans had fewer for managing the situation. (Morita, as cited in types of aggressive acts but used behaviors Clifton & Dahms, 1993, pp. 164–165) that other groups defined as aggressive. They were more direct and forthright in their strategies than were Caucasians and PURPOSES AND BENEFITS OF ASSERTIVENESS Hispanics. IN SOCIAL WORK Human service professionals must be able to communicate forcefully with clients and other providers, advocate their point of view, and obtain what they need from authorities. They can Even if other studies find different particulars learn to be emphatic and avoid being wimpy. about these cultures, Yoshioka’s conclusion is germane: Understanding specific ways a cultur- Philosophy and Character ally different client may approach a given situation could enhance social work effectiveness. Assertion can be based in (a) security about ourselves; (b) confidence about our facts, re- Assertiveness and Being search and homework; and (c) our knowledge that we have examined the situation carefully Regardless of our background, for assertive- and have much to offer. While there are many ness or self-advocacy to be effective, we must points of view to which we should listen, ulti- learn to manage situations and ourselves (Lee, mately we should share our perspective. 1983; Lerner, 1991; Rivera, 1990; Zunz, 1998). Shoma Morita posits three principles (developed ASSERTION: A FLEXIBLE VEHICLE from Zen Buddhism) that appear relevant to ef- To Hartman (1990), “there is no effective way fective assertive behavior: of intervention that does not cut across all levels of possible resources and possible places • Know your purpose: Know what you want to of intervention” (p. 4). She envisions a social accomplish, as (perhaps) distinct from what worker as “one who moves with competence others want you to accomplish or what you across system boundaries and who follows the want others to believe (i.e., you simply want problem wherever it leads” (p. 1). Assertiveness to get through the meeting or encounter look- is a particularly useful skill for such integrated ing as though you care, not communicating in- practice, since it is applicable in expressive ther- formation or having others adopt your posi- apies, casework, group work, administration, tion). community work, and social reform. It also re- • Accept your feelings: Accept being angry, lates to other key concepts—empowerment, per- scared, and so on, but recognize that while you sonal power, advocacy, client self-determina- are not responsible for feelings, you are re- tion, behavior modification, personal comfort sponsible for how you manage them and your level, and ethics. Those in human services see behavior. applications in specialized areas ranging from corrections to rehabilitation (Lange & Jakubow- ski, 1976, p. 241) and in the community. Alberti and Emmons (1974) discuss helping youth leaders apply assertiveness principles in working Each group of women in the study could with young people in camp programs and as stand up for themselves, but they acted part of leadership training for community orga- according to different notions of nizations (p. 87). appropriate personal conduct. This was Social workers have a reason to acquire as- particularly true when the other party in sertiveness skills, too (Butler & Coleman, 1997). the role-play mistreated them. Would they Sometimes sticking up for our own place of work accept an apology? Shove back? (e.g., family planning center) requires assertion due to the opposition’s force. It is fairly common today for social service agencies to be rebuked 224 COMMUNITY PRACTICE SKILLS publicly in front of elected officials by neighbors somewhat) trusted to behave responsibly, not to resistant to group homes. Assertive comebacks retaliate, and to remain open to a closer rela- may need to be practiced for such moments. tionship. Lange and Jakubowski (1976) add two Equally important, we want to be able to pro- other aspects: respect for oneself and for the mote public interests as well. A social worker other person’s needs and rights (pp. 7–8). The may feel an obligation to argue for a teen center more difficult implementation of this philoso- in an isolated hamlet even during a time of phy focuses on interactions with involuntary budget cutbacks. In such situations, though, as clients, where respect and an awareness of Rakos (1991) says, “assertive behavior is only clients’ strengths are important but where issues one option for coping with difficult or problem- of control and structure play a part in most com- atic circumstances” (p. 5). munication transactions (Cowger, 1994, p. 263). Professions that countenance tougher behav- A MEANS TO IMPORTANT ENDS ior, such as law and journalism, do not discuss Assertiveness may well be a prerequisite for assertive behaviors by that designation, with the working in the community, an experience that exception of business management. Assertive, almost immediately requires us to interact with persistent business people are expected to “raise strangers, officials, and competitive organiza- the muscle level when necessary” (Drury, 1984, tions. Assertiveness is an umbrella term for many p. 76). Moreover, few occupations outside hu- positive attributes: initiative, persistence, poise, man services emphasize respect as part of as- spunk, alertness, responsiveness, the ability to sertiveness. Good will does not necessarily un- defend oneself or being at the top of one’s form. derlie assertive transactions as they are defined The development of assertiveness is meant to en- and practiced in business. Other professions able the social worker to deemphasize authenticity and use assertiveness to obtain clients, information, or tactical advantages. Trial lawyers must be persuasive (Si- • identify, be in command of, and be comfort- mons, 1976) and assertive—but not “boorish” able with personal power and the assertion of (Magladry & Macpherson, 1994). For our pro- basic human rights; fession, service users, and community residents, • provide a model for and teach assertiveness to we are looking for “hardiness” (Lee, 1983). the client and the client/citizen system, and help them realize and use their power; and Why Are Assertiveness Skills Important for • use personal power appropriately in advocacy Social Workers? and other interpersonal, organizational, and political situations. The query “What is the point of learning to be more assertive?” must be addressed before the Although the emphasis is usually on personal practical problem of how to learn this mind-set assertion, the importance of examining political and skill is outlined. We have just seen one assertion (i.e., being the squeaky wheel that gets reason—we have to be able to deal effectively greased) has been urged as well. Alberti and Em- with persons from other fields. There are even mons (1990) believe that if we become “expres- more important reasons. Assertiveness em- sive enough, governments usually respond. . . . ployed by those in our field can contribute to the The growth and successes of assertive citizen interests of clients and citizens, the social lobbies—minority/homeless/children’s/gay worker’s mental health, the social worker’s and other rights movements, Common Cause physical safety, the social worker’s success rate, (for political reform), AARP and Grey Panthers and the voicing of social work values. (for older Americans), the various tax reform movements—are powerful evidence: assertion CLIENTS AND CITIZENS does work! And there may be no more impor- Increased assertiveness benefits more than tant arena for its application than overcoming individual social workers. Those with whom we the sense of ‘What’s the use? I can’t make a dif- interact and those we assist (directly or indi- ference’ ” (p. 15). rectly) also benefit. When we are stronger, there is a valuable ripple effect. In addition, assertive DISTINCTIVE NATURE OF ASSERTION IN SOCIAL WORK people are more likely to speak up to govern- Being personally or professionally assertive is ment and nongovernment operations that have viewed in human services as a respectful act, one an obligation to serve citizens. After mastering implying that the other person can be (at least assertiveness principles and skills themselves, USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 225 some clinicians will engage in training with com- Maryland Chapter, 1995) and the Encyclopedia of munity groups, as well as assertiveness therapy Social Work includes an entry on “Social Worker with individuals and groups with special needs. and Agency Safety” (Griffin, 1995). A recent study found that social work students are more SAYING NOTOPROTECT STAFF AND SERVICE USERS likely to be exposed to verbal or physical vio- Angel and Petronko (1983) discuss such con- lence within the agency than outside (Tully, sequences as danger, “inferior patient care and Kropf, & Price, 1993, p. 195). As more students consumer complaints” when nurses fail to say come from suburbia, with little experience of ur- no (p. 142). Sherman and Wenocur (1983) relate ban life, their sense of danger in field placements the social worker’s ability to say no to high- and on the job may be heightened. Increased quality casework. One reason, then, to increase confidence and competence will help quell irra- our assertiveness involves our concern for tional fears and prevent injuries in times of ac- clients; our workload and our professional au- tual danger (Weisman & Lamberti, 2002). See tonomy affect them. Another reason, pure and Box 8.5. simple, is mental self-preservation, managing our From the District of Columbia to Hawaii, peo- own attitude and stress level by establishing fair ple feel or are in peril; therefore, professionals but firm limits. must develop “peacemaking” skills to deal with The following example of saying “No, you potential violence (Colburn, 1994, p. 399). Social can’t” to an employee illustrates how we need work training allows us to help protect others to be assertive to protect service users behind the from danger—for example, in the workplace, scenes. Sharon Bower created a system for being where we can plan ahead using threat assess- assertive by describing, expressing, specifying, ment teams (Masi, 1994, p. 23). Assertiveness is and spelling out consequences (Bower & Bower, needed to implement precautions, as well as to 1991, Chapter 5). Using a modified version of continue working effectively when precautions Bower’s format, Jonathan Smith (1991) gives an are not possible. example of what a supervisor might say to a new professional: INCREASING SUCCESSES Becoming more assertive in our outreach to DESCRIBE: “Bill, patient record files are the community includes believing that we are confidential. When you are finished writ- worth listening to, as the following experience ing a report, please return the file to the reveals: cabinet and lock it. Last Tuesday and “I was invited to a dinner of the Board of the Wednesday I found three of your pa- Department of Social Services, and I was the last tients’ files on the work table. I had to re- agenda item. The president announced that we file them.” would be finished in time for the football game. EXPRESS/INTERPRET: “I was a little star- I thought by the time they got to me I’d have 10 tled and concerned when I noticed you minutes. I spoke about the local jurisdiction weren’t doing this.” putting an extra fee on the cost of issuing a mar- REQUEST: “Starting this week, please refile riage license and using that fee to help fund do- a file immediately after you are finished mestic violence programs. By providing them with it.” with this information, I got their attention. They CONSEQUENCES: “This way I can be sure stayed past 9:00 and that was the vehicle they it gets done and you won’t have to worry ended up using. . . . That was the beginning of about a possible reprimand . . . if a file a community effort and we also established a gets lost.” (p. 231) rape crisis center, so it all worked out well” (Heisner in Powers, 1994). Because she resisted BALANCING SAFETY AND SERVICE the impulse to cut short her remarks, this social Learning to be more assertive can also con- worker helped create a new funding stream to tribute to physical self-preservation. Self-defense support two additional community services. calls for decisive acts—running out into the Success may follow the discomfort associated street, for instance, or stopping a passing with being invited to speak to a large or impor- stranger. Practitioners are becoming increas- tant group. Advocates can be asked to speak on ingly worried about their safety in dealing with their area of expertise and still be unnerved by clients and the community. In response to this short notice, the type of audience (highly visible concern, there are workshops on “Street Smarts leaders or unfriendly participants), or fear of fail- for Social Workers” and “The Intimate Terror- ure. Many individuals dread being the center of ist” (National Association of Social Workers— attention. To overcome stage fright, we need to 226 COMMUNITY PRACTICE SKILLS

BOX 8.5 PERSONAL SAFETY IN THE FIELD

A thoughtful student responded to the dilemma • if possible, having the client or another known of serving the neediest while exercising caution person watch for my arrival and even come by taking hold of the situation; the following is out to escort me into the apartment/house; her advice. • limiting visits to daytime hours, preferably “I feel strongly that social workers (and doc- mornings; and tors and lawyers and . . . ) have an obligation to • driving to appointments, so I can park close work where our clients are. If I am unwilling to to the place I’m going and control when I visit an elderly, homebound woman because I leave. (I went through a period without a car fear her neighborhood, how can I be comfort- and felt more vulnerable, although nothing ac- able, as her social worker, if she continues to tually happened.) live in such a dangerous place? For home visiting, I take several commonsense, precautionary There is recognition in the surrounding area steps. These include that we are a place worth having around. Our clients are a part of the overall organization, and • bringing a second person along when I feel a they are also our neighbors. My sense is that we need for additional support (One older woman are protected by our reputation and our role in took her labrador retriever along for the ride); the community.” • always telling someone exactly where I’m going, how to reach me (if there is a phone), who Source: Sara Cartmill, social worker. I’ll be meeting, and when I’ll be back;

go beyond mere speaking to assertively making worked with planners to write a grant and suc- a case for action—or inaction. cessfully crusaded to get county officials to For those of us who help with charity auctions, approve the development of a mental health cen- annual and capital-giving campaigns, and phone- ter. Once underway, that center served hun- a-thons, a third difficult area could be asking dreds of local people, through the services of so- others to volunteer or to give money; yet, suc- cial workers with bachelor’s and master’s cess is vital to our organizational survival. Re- degrees, among others. source development requires networking and Operationalizing our values continues to re- meeting with contacts and is highly reliant on quire assertive stances. A church decides to feed using assertiveness skills (Klein, 1996, Chapter the hungry, and neighbors object vigorously. To 12). match the voting power of objectors, social workers associated with shelters and subsidized housing have had to learn to articulate the needs IMPLEMENTING VALUES and reasons for their work. “Not in my back- Being assertive allows us to implement values yard!” or “We have enough of those here alin many spheres—from how our office should ready!” must be met with caring but persuasive operate to how society should operate. We think counterarguments that property values are not of organizers as being assertive on behalf of a negatively affected by nonprofit and community community; however, psychiatric social work- projects. We must protect individual citizens ers, group workers, and other direct service who are being humiliated and programs that are practitioners do this too. A few years ago, in a being discredited while dealing fairly with conservative western state, community mental neighbors and listening to them (Gilbert, 1993; health services were being denied to the popu- Plotkin, 1990). Assertiveness can be a resource for lace of one county because a few individuals did building collective and community endeavors. not want “crazy people to move to Happy Val- ley.” Thus, although millions of federal dollars were available, the region had only two private BROADER CONCEPTIONS OF ASSERTIVENESS psychiatrists and no services for low- or moderate-income people until the local National Asso- Assertiveness is competent communication ciation of Social Workers (NASW) chapter and more. Beyond learning new techniques, we USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 227 want to increase our own competence and that ill or as a simplistic way to achieve personal of those we serve, as well as elevating our aspi- strength and self-worth. Real problems are rations and theirs. stubborn and significant change requires patience and power. Speaking out on a subject you Becoming More Hopeful believe in will invite criticism or even censure— it is not easy. (p. 244) Jansson (1990) links assertiveness with power and winning. He argues that assertiveness is Becoming a Client Ally “undermined” by fatalism and a victim mentality, which deny individual potency. These ideas While empowering ourselves, we can work are similar to the irrational beliefs that as- together with service users to increase their op- sertiveness training (AT) tries to overcome, such tions. Within health care settings, for instance, as that “one’s past dictates one’s future” (Lange assertive people will “perform a valuable func- & Jakubowski, 1976, p. 135). Fatalism contrib- tion” if they acknowledge, support, and protect utes to societal cynicism and to our own pas- patients’ rights (Angel & Petronko, 1983, p. 94; sivity and submission. Jansson (1990) says it Knee & Vourlekis, 1995). Providers such as so- well: “The effective use of power requires peo- cial workers can actively aid and abet patients ple to decide in the first instance that they pos- in getting their rights in the concrete ways out- sess power resources, that they can use them ef- lined by Angel and Petronko (1983), who note fectively, and that they want to use them. The that providers can word assertiveness describes this proclivity to test the waters rather than to be excessively fa- talistic” (p. 154). • educate patients in the knowledge that they To illustrate an assertive orientation to power have both basic human rights and more spe- within an agency, Jansson (1990) gives the exam- cific rights as health care consumers. ple of a hospital social work administrator who • provide written information. learned to make successive requests for increased • help patients to evaluate the advantages and funds, even though a number of her entreaties disadvantages of asserting their rights. were fruitless. Her justifications educated the decision makers and sent a signal of confidence. • assist patients in planning for successful as- “Unlike departments with more timid executives, sertion. her department gained in size and stature as she • promise and deliver support if patients decide assertively sought resources for her department,” to exercise their rights. points out Jansson (p. 155). Expectancy can re- • if required, help the patient to navigate place fatalism, a sense of potency can replace a through the complaint process. sense of victimization, and hopefulness can re- • when necessary, assist the patient in enlisting place helplessness (see Chapter 2). An assertive the help of an ombudsman or consumer orientation to power outside an agency might in- group. (p. 95) volve governmental funding. Social workers must make regular personal contact with policymakers and test the waters by assertively stating Becoming Open to Challenge what problems should receive priority attention, what services should receive full funding, and Another arena for assertiveness involves the what cuts should be made in other sectors of the relationship of service users to the experts in economy to protect social service resources. Here, their lives. Angel and Petronko (1983), for ex- as elsewhere, we must guard against fatalism, ample, suggest that nurses should apply their as- that is, thinking that our efforts are useless. sertiveness to patients’ rights, organizational Phelps and Austin (1987) believe that “broad- and societal change, and new directions to in- scale social issues . . . [cruelty to animals, drunk fluence the future. According to these authors, driving] can be influenced with assertive atten- assertive skills can be part of “changing nurs- tion” (p. 243). They encourage such action but ing’s public image, influencing legislation, and add a realistic caution: influencing the health care system” (p. 233). During the last few decades, advocates have Public and social issues are amenable to change worked to demystify law and medicine and to through assertive action. It’s also important not highlight the right to challenge lawyers, psychi- to regard assertion as a cure-all for every social atrists, and other traditional authority figures in 228 COMMUNITY PRACTICE SKILLS a respectful, polite, and cordial manner. At a be- sertive.7 A social worker cannot function effec- havioral level, if a patient-consumer goes to an- tively as a client advocate, a legislative advocate, other physician to get a second opinion without or a community advocate without standing up telling the first, that shows independence of for what is necessary in the circumstance. Most mind and constitutes an indirect challenge (Haug books emphasize an individual’s right to be assertive & Lavin, 1983), but patient-consumers who are without discussing the responsibility to be assertive, able to tell the original physician they are seek- although integrity and responsibility while being a second opinion are assertive and capable ing assertive have been discussed (Angel & of direct challenge. Assertiveness comes into play Petronko, 1983; Rakos, 1991, p. 8). See Box 8.6 on because the patient has a goal or agenda that sticking one’s neck out. should not have to be subordinated to the physi- Communities often hide the existence as well cian’s personality or expectations. Those who be- as the nature of problems. Close examination is come preoccupied with the doctor’s feelings or necessary to deal with this and to find out what get trapped by timidity may never get that sec- actions can be taken to eliminate the problems. ond opinion; here nonassertiveness can have Social workers may have a duty to be impolite life-and-death consequences. when politeness is keeping a social misery in This trend has relevance in our field for three place. Politeness can be a tool used by the pow- reasons. First, social workers are the beneficia- erful to evade challenges or hide venal purposes. ries of a new relationship between professions, An investigative reporting text by Williams in- and between consumers and professionals, that cludes skills to overcome secrecy and hostility. supports us as equal players on an intervention The author calls for guts and warns against gulli- team. Second, however, we must stay alert to bility. (He does not discuss psychological barri- ways in which our service users are “consumers” ers or behavior modification techniques—com- and treat them the way we like to be treated mon subjects in human services.) The focus is on by the professionals in our lives (Tower, 1994). will and willingness. Williams gives permission Third and most important, we should encourage to go against societal norms to accomplish pro- service users and citizens with whom we work fessional goals: “If you are afraid to argue, if you to be assertive with us, not just with others; we dread being shoved around, if you hate to go need to be strong enough to engage in mutual back after your polite requests for information participation, with initiative coming from either have been refused—then you probably will not party (Gutierrez, 1990; Simon, 1990; M. J. Smith, be a successful investigative reporter. If you be- 1975, Chapter 7, on prompting criticism). As a lieve something is true simply because a person logical outgrowth, some social workers encour- in authority says it is true, you are in trouble” age the formation of client, resident, or user (Williams, 1978, p. 8). You probably will not be groups to play a watchdog role. successful in our field either, although we may too easily permit passiveness in providers, consumers, and citizens. Then, when advocacy is re- Becoming Bolder quired, not even the first step—assertiveness— has been mastered. Even popular magazines are Those who care about professional ethics may beginning to reflect a broader view of bold as- face situations that precipitate voicing or exiting. sertiveness. Box 8.7 gives pointers on having Voicing is another term or vehicle for being as- “moxie.”

BOX 8.6 IN PRAISE OF GIRAFFES

Chancing rejection and embarrassment, a staffer and misery (Harden, 1995). Many individuals for World Vision went up to a conservative risk far more, and their valor is honored by ac- member of Congress from Virginia who was tivists of different types. Senator Paul Wellstone making a campaign stop in a shopping mall. She of Minnesota risked his political career to stay recruited him, on the spot, to take a trip to a true to his principles. Corporate and FBI whis- famine site across the globe. This trip perma- tle-blowers have risked their jobs to tell the pub- nently committed him to eradication of hunger lic about covert practices of their organizations. USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 229

BOX 8.7 IT IS NOT ALL RIGHT WITH ME!

• Stating your needs unequivocally, with the • Pick your fights carefully. sense that you have a right to state them, is • Being assertive with people who can’t fight half the battle. back isn’t being assertive, it’s being a bully. • Sometimes, the truth hurts. Get used to it. • If you’re trying to make a stand just for the • You can be blunt without being a tactless sake of making a stand, it’ll be particularly ob- cretin. vious. • When necessary, be just as ballsy on behalf of Source: From “Assertiveness Training,” by comedian Rosie others as you are [on behalf] of yourself. O’Donnell (Know How, 1995, p. 62) • Standing up for what you believe in isn’t convenient? Sorry, you gotta do it anyway.

THE CONTEXT AND THE SETTING FOR to have our way through conspicuous assertion, ASSERTIVE BEHAVIOR particularly if the other person is going to feel disrespected or manipulated. We have to con- Immediate Situation sider how our behavior will be interpreted and what other people’s life experiences teach them A professional considers the immediate con- to expect. As one advocate put it: “There is the ditions. The necessity of stepping up to the plate risk of being misunderstood by people with occurs in varied ways. What would be consid- whom you’re trying to be in partnership. A lot ered aggressive physical behavior in ordinary of bruised and hurting people don’t have the ad- circumstances could be quite appropriate in an vantage of meeting, what we call, ‘authentic per- emergency. Suppose that a social worker ac- sons.’ So, the first shot they get, they’re gonna companies an adolescent to a medical appoint- take you because they have to react to some- ment and the individual suddenly blacks out in body, and they react many times with violence. the waiting room. This is hardly the time to wait Or they not only act out on you all of these la- one’s turn or to be assertive with the reception- tent pains, but seek to beguile you . . . test you ist—but it is a time for calling out. Overcoming out. They’ve got a street keenness. They deal one’s hesitancy is a type of assertiveness that goes with you from their learnings, and their learn- beyond expressing one’s opinion and desires, as this ings are always ‘people do you in, so you do and the next example show. A mental hospital them in before they do you’” (Dobson in Pow- in St. Louis had a fire requiring the evacuation ers, 1994). of all patients to the auditorium, even those unwilling to leave their rooms. Social workers Limitations Rather Than Universality helped attendants and nurses to get downstairs individuals who, up to that time, had not left A professional distinguishes legal rights from their floor in years and did not want to go. Hold- preferences. Although assertive rights can and ing the hands of the terrified patients and whis- have been stated, these do not have the force of pering consolation, the assertive social workers law, as do the rights of airline passengers in our pushed and tugged dozens of hysterical resi- country to smoke-free flights. Our “rights” are dents to a safe location. culture and nation bound, (e.g., a visitor from the United States can request, but not require, The Other Party someone in Spain to stop smoking in a restaurant). Typical AT stresses rights as if they should A professional is alert to potential misunder- be available everywhere, but it may not ac- standings. Is assertiveness appropriate to the cir- knowledge that our assertive requests will be de- cumstances? Forgoing assertive expression can nied more frequently, the further we get from our be a matter of safety. Think about the protective own social circles. A related criticism is that even service worker who is overseeing an office visit within our own networks, some AT profession- between a child and the parent who did not get als do not caution trainees and fail to “alert them custody. There are times when we should not try to and/or prepare them for the possibility of re- 230 COMMUNITY PRACTICE SKILLS taliation or other highly negative reactions from like power, which could be described similarly. others” (Alberti & Emmons, 1990, Appendix C). Transactions with persons from different backgrounds require us to be adaptable, considerate Internal Reactions to Situation of the way their preferences are expressed, and aware of power differentials between us. For practical reasons, Rakos (1991) suggests, A professional considers interpersonal fac- many minorities will need and want to be bi- tors. The willingness to use assertion, and the culturally assertive. They will benefit from resulting success of having used it, are usually knowing (a) what is considered assertive in two situation or person specific. Think back to the distinct worlds, (b) how to function effectively child trying to stand up to her foster mother, in the dominant system, and (c) what norms will Grace, over killing a chicken (Box 8.3). One probe violated in their (sub)culture if standard as- fessional can be appropriately directive with the sertiveness is applied without adaptation. Rakos cranky office receptionist but not with the also exhorts trainers to plan and “consider rele- kindly consulting psychologist. A support group vant cultural, ethnic, and religious variables” facilitator handles the most difficult group when they train people with distinctive back- members but turns obsequious around the grounds or work with special populations church officials who grant the group free space. (p. 89). Social workers who have mastered most aspects of their life successfully may nevertheless doubt their ability to handle particular difficulties or Cultural Nuances to Consider demands: insurance companies refusing to honor certain bills, conflicts with suitemates A professional considers the uniqueness of over the use of space, negotiations with a client’s those with whom he or she will work. This topic landlord, responding to an angry community was discussed more narrowly earlier, but it is improvement association, or appearing on tele- worth reiterating that while we are all one ex- vision to explain the death of someone in their tended community, unless differences are ac- agency’s care. Those from outside a community commodated, true communication and bond- will differ from the inside practitioners (Lee et ing rarely happen. For example, if members of al., 2002). Some of us appear totally unassertive Group A speak in a subdued way and empha- with peers yet are fearless on behalf of clients size correct enunciation, and members of Group and causes. Because of human and cultural vari- B speak with force and emotion and incorporate ation, we will be more successful in some cir- more slang, then B language may be perceived cumstances than others and should be comfort- as inappropriate by listeners from the A group able with this fact in advance. We can continue (Yoshioka, 1995). Certain religious, ethnic, racial, to expand our competency. or urban subcultures are freer in expression, and their members may argue, interrupt, criticize, or Power Nuances to Consider laugh loudly. They are viewed as aggressive by those from other regions or backgrounds in our A professional considers political and socio- society. Conceivably, it may be more difficult to logical factors. Success in assertiveness does not tone down to be acceptable—if that is desired— depend solely on personality characteristics; than to speak up. gender, race, and social status play a role, too. Salcido (1993) describes culturally insensitive Assertiveness is more likely to be “accepted from behavior that will alienate many who reside in those who have traditionally had power, while Latino barrios, such as violations of preferred it may not be accepted from those who have not protocol; interviews with Mexican American so- had power” (Drury, 1984, p. 133). Thus, those cial workers suggest that an emphasis “towards who are part of the dominant culture more eas- a task orientation, urgency, and lack of courte- ily master assertiveness. In fact, Yoshioka (1995) sies can lead toward cultural misunderstand- argues, “Assertiveness as it has been defined is ings.” The act of cutting off someone is fraught reflective only of the dominant sociocultural with possible misunderstanding, anger, and group.” Put another way, assertive behavior— withdrawal in many cultures. An Anglo feminist as usually described—is largely a white, upper- who has finally learned to speak up to men may class, well-educated mode of expressing one’s have to readjust once more in a home visit in- preferences (Rakos, 1991, p. 78). Still, assertive- volving Latino or Muslim men, at least in an ini- ness is something that is readily acquired, un- tial interview. Part of the bicultural challenge USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 231

MODES OF ASSERTIVE COMMUNICATION Since assertiveness can take many forms and people speak in their accustomed Human service professionals can be direct ways, it is better to focus on intent, not and straightforward in various modes of communication rules. One evening in New communication. York City, two passersby—“ordinary working stiffs en route to dinner and the Being Assertive in Writing tube”—see a policeman on Eighth Avenue manhandling and hurting a druggie or Assertive writing is simple, to the point, com- dealer already in handcuffs. munication. Even if it must be formal, it has no . . . a man in a gray suit, briefcase in hint of obsequiousness. The advocate appropri- hand, obviously no friend of the street drug ately uses forceful or powerful words but the culture, calls out: “Hey! Hey!” He hollers tone stays pleasant, not bullying. angrily. “Is that necessary?”

Then another voice rings out. WRITTEN EXAMPLES: INFLUENCING LEGISLATORS “You’ve got witnesses here,” says a man Letters to allies and opponents—whom we who, in his manner and dress, could have want to support or kill a bill—can be expressed been the first one’s twin. in a positive but potent manner. Below are ac- Spectators begin to gather and “getting tual letters sent by an influential social worker the message, the cop finally lets up” to a U.S. representative and a senator. Very civil (Springer, 1999, pp. 230–232). and succinct, they contain powerful words such as abandoned. Words and phrases that establish their assertive tone are italicized.

Part of a sample letter to an ally. I am aware that involves negotiating new conceptual and be- you are in favor of this amendment and that you havioral parameters for assertiveness in any bi- are working to have it included in the bill. As cultural interchange. [title of professional position], I wish to add my The physically challenged and other differ- support to the fight to ensure that people with ently abled individuals frequently are assumed mental illness are not abandoned. Please include to be passive; therefore, they are ignored in con- my name in the list of people who call for a halt versations or decision making as if they were to the separation between mental and physical invisible. Or they may be condescended to, illness. whether they are service users, citizens, or peers. Busy professionals trying to be expeditious may not take time to listen to a slow-speaking person Part of a sample letter to an opponent. We can- with cerebral palsy or a developmental disabil- not truly say we are a country “for the people” ity who is making an assertive point. unless we act on behalf of the entire nation . . . Age, gender, and other factors affect the per- [statistics and argument]. You play a pivotal role ceptions of those served by social workers, so we with respect to the inclusion of this option in the must be alert to what will be considered appro- bill. As [title of professional position], I urge you priate assertiveness. An older service user or vol- to include this option in the final bill. We must unteer may respond more to a commanding stop separating mental and physical illnesses in presence or be more attuned to civil but declar- our patient population. ative sentences than to direct, firm “I” messages. We need to pay attention to how others com- WRITTEN EXAMPLES: TESTIMONY municate as we observe service users, volun- Written or public testimony, in legislative and teers, community residents, and institutional regulatory forums, provides a notable instance residents. Apologizing is especially common in which assertiveness is structurally built into among older women who grew up in another the form of the communication and is less de- era—tentativeness, overreliance on experts, and pendent on the writer’s attitudes and skills. A meekness may mask a strong personality un- shortened version of testimony is often read, and derneath—and older men may feel expected or a longer version is submitted for the record. obligated to steer the conversation. Assertive at- Those reading testimony stick to the script: “On titudes and skills of our own allow us to be more behalf of Consumers Union, AARP-Texas, proficient and mindful practitioners. ACORN, the Texas Association of Community 232 COMMUNITY PRACTICE SKILLS

Development Corporations and the Texas Low decades to get a United Nations treaty ratified Income Housing Information Service, I appreci- by the United States, as 169 countries had done ate the opportunity to provide testimony to the before us: Senate Business and Commerce Committee . . .” No matter how timid the writer or deliverer, by Good morning. I am Jane Smith, Chief Exe- tradition the opening and closing paragraphs of cutive Officer of Business and Professional testimony are strong. Women/USA. . . . I applaud Senator Biden for Testimony usually starts with an introduction holding this hearing and Senator Boxer for of the group being represented and its organi- chairing it. I welcome the opportunity to rep- zational position on the issue at hand, such as resent the working women who are members this: of my organization to discuss the importance of ratifying the Convention on the Elimination of Mr. Chairman and members of the commit- All Forms of Discrimination Against Women, tee, I am Mrs. Alice Willer, President of L. R. often called the Treaty for the Rights of Women. Vincent Homes for Children, Inc. The L. R. Vin- [testimony June 5, 2002] cent Homes is a nonprofit service offering substitute care for children, organized by a statewide federation of local agencies, each of Being Assertive in Speaking which is guided by a citizens’ board of directors. We thank you for giving us this opportu- SOME ARE ALREADY ASSERTIVE nity to present our views on House Bill 5293. By the time we train for a professional career, The member agencies of L. R. Vincent Homes we have had many life experiences and have at- across the state strongly oppose in principle the tended many workshops, perhaps even ones on practice of surrogate parenthood and strongly assertiveness, so it is not surprising that a high oppose the Surrogate Parenthood Bill. (Flynn, percentage of workshop attendees or students 1985, p. 270) are good with people and often able to stand their ground professionally. While some leaders- Because testimony is time limited, those testi- or professionals-in-training are aware of their fying are compelled to make a point and to skip shyness or timidity, others view themselves as unassertive asides. Weasel words and phrases “mouthy” or quite professional already. The lat- and tentative or wishy-washy opinions are out ter sometime believe they are as assertive as they of place in public testimony. Testimony does not will ever need to be. However, confidence in at- hedge or bully. The tone and the choice of words titude is not always matched by competence in are expected to be assertive, as the following ex- skills. cerpt illustrates: OTHERS CAN LEARN THROUGH ROLE-PLAYING Thank you for this opportunity to offer our Role-playing can highlight assertion strengths recommendations regarding reauthorization of and weaknesses. Directions frequently stipulate the Low Income Home Energy Assistance Pro- that one person must present a claim or request gram (LIHEAP). LIHEAP is extremely impor- an action for the other person to perform. Lange tant to low-income older persons who are ex- and Jakubowski (1976) emphasize that it is “OK ceptionally vulnerable to extremes in weather for people to make reasonable requests and it is conditions. The Association strongly supports also OK to refuse them” (p. 102). Asking for a both LIHEAP reauthorization and certain mod- pay raise is a simulation with universal rele- ifications that we believe will improve program vance and appeal. (In real life, a busy employer administration and funding security.” [testi- often appreciates directness.) mony March 25, 1990] Employee: Thanks for seeing me. Aggressive language might be tucked into the Boss: Now what do you want? longer version, but the oral version is careful; the Employee: I am here to ask for a $2,000 raise. cameras may be on. No matter how angry the Boss: No one is getting one. Money is tight. testimony writer or presenter, the language is Employee: I am entitled to more money next civil and respectful, in part because those calling year because of my recent contributions hearings are often allies. One would never know to the company. from the following opening that women’s Boss: We applaud your efforts. Maybe we groups had been endeavoring for over two can talk about salary in the future. USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 233

Employee: That’s your call, but I’d like to talk preservation is the way to go—not that I about it now. know the research.” Boss: You still fall asleep at your desk. On the other hand, your suggestion did save AGGRESSIVE RESPONSE the firm thousands of dollars. “That shows how little you’ve read about it.” Employee: Yes, that’s correct. Boss: OK, I’ll take it under advisement. Example 3 Employee: That’s great. I appreciate your considering the raise. When might you make a decision or contact me for further You’ll find this example more demanding. discussion? Read the two questions and four types of responses. Assertiveness is a skill available to micro- and macropractitioners. A switch-hitter in baseball is • The head of your community advisory board able to adapt batting skills to match left- or right- says, “How do you people [meaning “you handed pitchers. We may not think about it, but African Americans,” “you Jews,” “you Asian as was discussed earlier, social workers also ac- Americans,” or whatever is applicable to you] quire skills that can be adapted to most levels celebrate this holiday, anyhow?” and places of intervention. However, it takes practice. • An exasperated person says: “Why is it that you people [meaning “you men,” “you women,” “you secretaries,” “you members of PUTTING ONESELF TO THE TEST: ILLUSTRATIVE the cleaning staff,” or whatever is applicable] EXAMPLES OF ASSERTIVE COMMENTS always mess up our lunchroom?” Example 1 ASSERTIVE RESPONSES Introducing oneself can reveal any of the three 1. Spoken deliberately, in response to the ques- basic communication styles. Imagine yourself tion about holidays: “Well, first, let’s find a knocking on the door of the building manager better phrase than you people. I’d suggest to resolve a problem for a member of your or- ______.” ganization. Imagine walking in, shaking hands, 2. Spoken pleasantly, in response to the com- and saying: “My name is ______. I am from ment about the lunchroom: “I won’t respond ______agency. I am Mrs. Brown’s advocate. She to that.” lives in your building.” Your knock, walk, hand- 3. You decide that the person is naive or sincere, shake, voice, and demeanor will convey passive, not hostile, and you answer the question in aggressive, or assertive attitudes. that spirit.

Example 2 NONASSERTIVE OR PASSIVE RESPONSES

Here are varying responses to the comment, 1. Smilingly changing the subject: “Don’t gen- “I don’t think family preservation programs eralize, now . . .” work. Earlier positive research findings haven’t 2. Answering content of question while ignor- held up.” Read them all and then devise your ing its form or tone: “It strikes me that the im- own assertive response. portant thing about what you are asking is ...” ASSERTIVE RESPONSES 3. “Not that I care about political correctness, 1. “I think the results are mixed but tell me your but don’t you think some people might react thoughts on the subject.” negatively to ‘you ______are always’? I ad- mit that it bothers me.” 2. Write one of your own: ______AGGRESSIVE RESPONSES NONASSERTIVE OR PASSIVE RESPONSES 1. Coldly: “I don’t appreciate your tone.” 1. Disagreeing, but not saying so. 2. “Some people around here think they can ask 2. “Usually we agree, but not this time. I don’t anything [or control everything].” mean to make you mad, but I think family 3. “Well, you people are worse, [swear word].” 234 COMMUNITY PRACTICE SKILLS

PASSIVE-AGGRESSIVE RESPONSES raised inflection when the person is not asking a 1. “What’s with you? Did you have burned toast question makes it even more challenging to for breakfast?” speak in a manner that does not sound tentative. We can learn to make declarative statements and 2. Turning your back on the questioner and to make statements said without explanation or muttering to a peer: “I get so frustrated with justifications. Both the first illustrative example this song and dance.” given previously and Example 4 below provide samples of this form of assertive communication. A young assembly-plant worker who considers himself hip places a call to obtain an Example 4: Declarative Statements appointment with his assigned employee assistance counselor. However, the counselor’s Advocate: I want to look at the campaign fi- next 2 weeks are already fully scheduled, ac- nance records for the mayor’s race. cording to the rather stuffy receptionist. Here City hall employee: Who are you? Why do are four possible responses to that news. you want to see them?

A nonassertive response would be: “I’m just a 1. “Say what? I’m serious. This here appointment student. But can’t I see them anyway? I’m writ- is important. Don’t give me grief. Check that ing a paper.” But use of declarative statements book again. Then make him come to the would sound like the following: phone. I ain’t got all day, though. What, you’ll call back?” Advocate: The report of contributions to each 2. “Yo, girl, whass hapnin? Already booked! If the candidate’s campaign is to be filed here. brother has a cancellation, my telephone num- Are the reports kept in this office? ber is. . . . Look, I’m not tryin’ to give you at- City hall employee: Yes, but we can’t show titude. I can only go to work again after I’ve them to just anyone. seen the counselor.” Advocate: As you know, it is public infor- 3. “I need to see. . . . Sorry, sorry . . . my English. mation. I would like to see the reports. Maybe I not explain right. Tiempo is money. I City hall employee: Are you with the media? can’t get paid—and my family needs money— Advocate: Please direct me to a place where until the counselor sees. . . . How you say? I I can read the reports or bring them to me. beg. Por favor.” Thank you. 4. “Tell the dude I need to bend his ear. You’re The advocate could cite a law that gives the pub- damn right I’m raising my voice. Don’t dog me.” lic access, if necessary. AT has specialized techniques. One of these, Distinguish assertion from politeness and called the “broken record” (M. J. Smith, 1975), is other factors in these telephone conversa- an accepted and easily understood idea of per- tions. Note that assertiveness does not require sistent, calm repetition so that one’s point can- a formal communication style. The same prin- not be ignored. Sometimes people feel odd prac- ciples apply with slang, Spanglish, African ticing it because they normally do not talk that American Vernacular English (AAVE), un- way, but exaggeration and repetition allows grammatical English, and exaggerated exam- them to internalize this technique. The script in ples such as those above. Which response is Example 5 can be read aloud by two individu- assertive? Passive? Aggressive? Why? als while a third critiques how assertive the “advocate” role-player is, with regard to tone of voice and ability to convey resolve. Gamble and Gamble (1990) suggest that we stop “automatically asking permission to speak, Example 5: Broken Record Technique think or behave” and “substitute declarative statements for permission requests.” They Advocate: I need to speak to the principal would say, “I’d like to know” such and such in- about the Jones brothers he dismissed stead of asking, “Do you mind if I ask to have from school on Friday morning. this point clarified?” (p. 222). As social workers, Receptionist: Mr. Markman is busy right we need to be able to state our case firmly. Yet, now. Why don’t you go down the hall and a recent trend toward ending sentences with a speak to those boys’ classroom teachers? USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 235

Advocate: Thank you, but it is the principal goal to be overridden by intimidating signals (in- I need to see. Here is my card. I represent ternal or as received from another person). the Department of Children and Family Selective ignoring means that we do not have Services. to respond to every element or nuance of a re- Receptionist: Maybe the guidance counselor mark made to us. Fogging is another technique. is around this morning. She is usually “Like a fog bank, you remain impenetrable. You pretty busy on Mondays, but I can try to offer no resistance or hard striking surfaces” find her for you. (Zuker, 1983, pp. 134–135). If those in Ian’s car Advocate: Thank you for your offer. How- pool tease him about losing his hair, he may tell ever, I must speak to Mr. Markman him- them to knock it off. But there are times when self. we must listen calmly to annoying comments Receptionist: You should have made an ap- and criticism—say, from a state trooper giving pointment. He never sees anyone off the us a ticket. Lange and Jakubowski (1976) call fog- street. ging and selective ignoring “protective skills” to Advocate: I can appreciate that policy. I did use in response to “nagging” (p. 115). A fogging call repeatedly Friday afternoon and was rejoinder to a crack such as “Ian, you’re about as never put through to him. I’ll wait until bald as they get, aren’t you?” is designed to he has a break in his schedule. dampen potential confrontation. Ian can say Receptionist: Those boys were causing every- lightly, without affect, “I probably am” or “You one headaches. I know why they were could say that.” Assertion is about self-control suspended indefinitely. more than controlling others. See Example 6. An- Advocate: Would you please call the princi- other fogging response would be “You have a pal and let him know their caseworker is point.” here? Mentioned by M. J. Smith (1975), fogging is Receptionist: I couldn’t bother him during a criticized by Cotler and Guerra (1976), who view staff meeting. it as passive-aggressive in psychological situa- Advocate: When will it be over? tions. Drury (1984) uses it at work to prevent ar- Receptionist: In about five minutes, but he guments: “You [agree] with the criticism in prin- has other things after that. ciple without necessarily agreeing with the Advocate: Please give him my card. I will implied judgment” (p. 227). But she limits its use: wait over here until I can get 10 minutes “The technique stops communication and inter- of his time. action rather than uncovering and solving problems. Humor, ignoring, and fogging are all techniques that should be used only for responding Left to their own devices, some would change to teasing or attempts to start an argument, not the tone drastically. They would make friends for cases in which someone is criticizing to solve with the receptionist and say something like this: a problem” (Drury, p. 227). Advocate: Aren’t you nice to suggest that? I’ll bet you’ve been with the school for years and Example 6: Selective Ignoring and Fogging have seen everything. So you are probably familiar with our agency and what we need. Maybe I can sit with you and wait. Client’s boss: You are wearing an earring. An ingratiating approach feels right but (a) Client: Yes, I am. [not “So what?”] risks getting caught in stalling, (b) drops the bro- Boss: Why would you do that? You know ken record strategy, and (c) loses the high what people are going to think. I’ll bet ground—the emphasis on the right of the chil- your parents are upset. dren to be in school and of the worker to deal Client: It’s possible they are. directly with the decision maker. Boss: I don’t think men should pierce their Assertiveness comes into play when we have a ears. goal or agenda, such as getting the boys back Client: ______[Act as a coach. What should into school, and we adapt our behavior to that your client say here?] goal rather than to another person’s personality or expectations. Aggressiveness arises when we What was selectively ignored? What was subordinate the goal to a desire to respond force- fogged? fully to another person, such as the receptionist Two people can read the script below, with a or principal. Passivity occurs when we allow the third person giving feedback. Notice that the so- 236 COMMUNITY PRACTICE SKILLS cial worker does not give in and does not make that contain explanations, acknowledgment of matters worse. feelings, compromises and praise have been termed empathic assertions” (Rakos 1991, p. 31; Example 7: When Fogging May Be Useful Lange & Jakubowski, 1976, pp. 14–15).

Advocate: Hello. This is Community Action. Example 8: Handling a Power Hostile caller: Is this Erin/Aaron ______? Imbalance Situation Advocate: Speaking. Hostile caller: Are you the person who has The head of your interdisciplinary health team been out looking for housing deficiencies? says, “You social workers always think you Advocate: Who is calling, please? know better than physicians when the patient is Hostile caller: I happen to be a property ready to leave the hospital. Where did you study owner in this community. medicine?” Possible responses include the Advocate: And your name, sir? following: Hostile caller: Name’s Ross Gibson. But never mind that. I wanted you to know • Empathic assertion—contains an explanation: that we landlords don’t appreciate your “There’s more than a medical dimension to actions. knowing when a patient is ready to leave.” Advocate: I see. Do you care to be more specific? [Taking the call seriously; not sure • Standard assertion: “You seem to like giving me what the problem is] a hard time, Dr. ______.” Hostile caller: You’re stirring up trouble with • Fogging response: “It’s true that social workers the county for no reason without talking have professional opinions about diagnostic with me first. related groups and the length-of-stay issue.” Advocate: I could have contacted you per- • Timid response: “Doctor, I don’t know what to sonally. [Starts fogging because the caller say. Maybe my supervisor should explain so- wants to ventilate, not communicate] cial work’s concern to you.” Hostile caller: That group of yours is against • Hostile response: Looking up from your notes, free enterprise, you’re trying to help a you ask, “How do you spell anal-retentive?” bunch of lowlifes, and you’re going about (Clever, but say goodbye to your social work it all wrong. internship.) Advocate: Perhaps you’re right. Hostile caller: I checked up on you and found • Your response: ______out you’re just a student. I bet that school of yours does not even realize what you Example 9: Another Role-Play are up to. Advocate: I am a graduate student; you’re You work as a development director for a re- correct. ligious group that sponsors nonprofit institu- Hostile caller: I have been checking with my tions. You have been asked to be on the board lawyer, and I think we can get you jailed of one retirement center. At the first meeting, for disturbing the peace with some of you notice that there are no residents on the your activities. board and are told that there is no interest on Advocate: ______their part. Later, you learn that the residents ______council of the retirement center has no real decision-making powers and functions as a social Read the script to the end and then invent a club. What will you say at the next board meet- fogging-style response (one that does not ining? Remember, if you voice your concerns, you volve your supervisor, who is working under a are being assertive—even if you cannot phrase deadline). The caller is not a client and need not everything in perfect assertive fashion. be treated in the same way that a client would be treated. The idea is to avoid taking the bait, to let Mr. Gibson run down, and to get off the APPENDIX A: ASSERTIVENESS TRAINING phone without getting an immediate return call from him. Beliefs concerning who will benefit from as- Assertive Response Options sertiveness training (AT) and who should be- Standard assertiveness is a firm comeback come assertive vary according to the type of without explanation or apology. “Assertions practice. In community organizing, much of AT USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 237 is part of leadership training. In direct practice, helps us focus on the behaviors and words, not assertiveness is viewed primarily as a social skill imputed motives, of the other party; one exam- tool to be taught to service users, often in a group ines what, not why. For this to work, we must context. There is less focus on a professional examine behavior concretely in terms of the spe- need for assertiveness or on serving as models cific time, place, frequency, and situation. for service users. In management and conflict The popular literature stresses remedies for resolution, emphasis is placed on the profes- specific weaknesses—for example, learning sional’s ability to use assertiveness. “how to avoid speech patterns that make you seem like a lightweight” (Siress, 1994, p. 49). A Working With or Being an AT Instructor telling example is “This may be a dumb question, but . . . “ The increasingly assertive person, this literature suggests, masters specific behav- AT instructors commonly review spurs and iors, such as making requests and eliminating blocks to assertion—inhibitors and other psy- mannerisms (Bower & Bower, 1991, p. 176); chological and sociological factors (Angel & gives up particular behaviors, such as “gunny- Petronko, 1983; Phelps & Austin, 1987). Much of sacking,” that is, saving up anger and frustration the discussion of inhibitors focuses on perceptual (Drury, 1984, p. 24); overcomes inhibitions and cognitive obstacles (Alberti & Emmons, 1990, (Phelps & Austin, 1987, p. 229); and gains inner p. 13; Rakos, 1991). Hepworth and Larsen (1986) strength and hopeful attitudes toward life’s suggest that feeling overly obligated to others, possibilities. overly concerned with pleasing or impressing others, and overly fearful about negative reactions to being assertive are ways in which our AT for Clients and the General Population irrational beliefs stymie action ( p. 445). Cognitive restructuring involves changing In seeking to enhance social functioning and misconceptions and stopping self-defeating self-esteem, AT may be combined with problem thoughts. Exercises are designed and used to solving, communication, stress reduction, coping, re- laxation, and changing thought patterns (Hardy, • change cognition (e.g., modify thoughts—end- 1989; Hawkins, Catalano, & Wells, 1986; J. C. ing patterns of always expecting the worst— Smith, 1991) and, less often, with a social skill and attitudes), such as networking or a personal release skill such • pinpoint areas in need of upgrading (e.g., deal- as improvisation (Spolin, 1983) or humor (Ventis, ing with difficult people or handling put- 1987). Persons in many different age, income, downs), and and cultural groups have had AT (Hsu, 1992; Planells-Bloom, 1992; Sue, Sue, & Ino, 1990; • practice new behaviors (e.g., refuse an unrea- Wood & Mallinckrodt, 1990). sonable request or respond to criticism). The diversity of groups with which AT has been tried is striking. A distinction is sometimes Following an exercise, coaches give positive or made between standard training for a general constructive feedback to participants. Lange and population concerned primarily with self- Jakubowski (1976) say that coaches presentation and AT for those with clinical disorders, adjustment problems, or special needs. • describe the behavior, Professionals often view AT as a resource that can benefit clients. For instance, groups dealing • offer a possible way of improvement (in a tentative manner), and with the aftermath of sexual abuse, sexual assault and rape trauma, incest, and spousal abuse • ask for a reaction to the suggestions. (p. 195) often employ skill-focused activities, including assertiveness. It is interesting that assertiveness For examples, see Alberti and Emmons (1990), is recommended for both victims of abuse and Hepworth and Larsen (1993, Chapters 14 and abusers. Some would argue that batterers can 15), and Spolin (1983, p. 28). learn to handle the outside world better through One methodology for change involves keep- AT and hence take frustrations out less often on ing a log of situations and recording the types their partners. Other client groups that have re- of behavior usually employed (Bower & Bower, ceived benefits include chronic pain patients 1991, pp. 64–65), then practicing the recom- (Subramanian & Rose, 1988), developmentally mended assertive behavior until it becomes an disabled adults (Bregman, 1985), mothers (Wayne available response for the situation. Logging & Fine, 1986), pregnant teenagers (Vardi, 1992), 238 COMMUNITY PRACTICE SKILLS maltreated children (Howing, Wodarski, Kurtz, fessionals is that “the positive nature of asser- & Gaudin, 1990), and alcoholics (Orosz, 1982). tion training and its focus on maintaining per- Many clients face daunting challenges. Kay- sonal strengths and improving less effective sen (1993) tells of steps she took in leaving a qualities leaves many participants with a greater mental hospital after 2 years: The hospital had sense of self-worth” (p. 241). an address . . . to provide some cover. . . . It gave Assertiveness in practitioners is often pre- about as much protection as 1600 Pennsylvania sumed but not mentioned in social work. In Avenue would have. . . . Applying for a job, leas- counseling sessions, practitioners must be able ing an apartment, getting a driver’s license: all to say no, to set limits, and to relate assertively problematic. The driver’s-license application to clients by making requests and giving direc- even asked, Have you ever been hospitalized for tives (“Will you please turn your chair . . . ?”), mental illness? “You’re living at One-fifteen Mill maintaining focus and managing interruptions, Street?” asked a . . . person who ran a sewing- interrupting dysfunctional processes, and “lean- notions shop in Harvard Square where I was trying into” clients’ anger (Hepworth & Larsen, ing to get a job. . . . “I guess you haven’t been 1993, pp. 131–135). The parallels with commu- working for a while?” (p. 123). nity work, where representatives must be able Vague or sarcastic responses do not work in to make requests and talk precisely with county such circumstances. An assertiveness technique officials, are evident. Angel and Petronko (1983) called fogging (M. J. Smith, 1975)—agreeing with and Drury (1984) provide useful discussions on what we can without letting the jab get to us implementing assertiveness on the job after com- emotionally—may protect the client emotionally pleting AT. while she summons a firm response about her qualifications for the job. A fogging response would be “You are correct,” followed by the as- AT for Students sertion, “I would do well at this job, however, because I have had time to practice many sewing Standard social work education alone appar- techniques that I could teach to others.” AT at- ently does not guarantee increased assertiveness tempts to strengthen coping skills for those at a (Pardeck et al., 1991), which is our rationale for disadvantage in society (Glueckhauf & Quittner, including this topic. Several authors address the 1992). need for students to receive AT (Healey, Havens, A few authors caution (a) that AT was evalu- & Chin, 1990; Richan, 1989). Cournoyer (1983) ated as only moderately effective in a particular argues that “professional social work practice re- case (Nezu, Nezu, & Arean, 1991; Pfost, Stevens, quires assertive self-expression skills of a high & Parker, 1992); (b) that when overdone, AT has order” (p. 24). Hardina (1995) provides ratio- some negative associations in the public’s mind nales for expanded skills in this realm: “Social that must be addressed (Ruben & Ruben, 1989); workers may not be adequately prepared either and (c) that AT can sometimes be faked by com- to advocate on their own behalf or to improve pliant individuals who go along by acting as- access to services for consumers. . . . Without sertive (Kern & Karten, 1991). confrontation, it may not be possible to develop the power resources necessary to fight for social change that will benefit members of oppressed AT for Professionals groups. Assertiveness training for social work students is an essential component of such edu- Assertiveness also is targeted to service cation” (p. 13). providers, who must be able to confront and Advocacy, administrative, and community speak to the point (Castle, 1995). Police and cor- applications highlight the theme of breaking rectional staff and counselors—pastoral, youth free of conventionality and can’t-do thinking. group, and crisis types—are among those who Cummerton (1980) works with students to have been trained in assertiveness. Providers establish positive expectations because “an as- may want to enhance their professional skills, sumption of a negative response from the tar- but in some cases they are learning it to help get system undermines our confidence: “Ex- their client groups. For instance, rehabilitation pecting a ‘no’ we act on this assumption and get counselors have led groups for the differently the response we expect. . . . To get practice in abled, focusing on how to “deal assertively with reversing this negative chain of events, students persons who treat them in an overly protective were asked to reach out in a positive way to peo- or solicitous manner” (Lange & Jakubowski, ple they ordinarily viewed in a negative way, in 1976, p. 241). A consensus among helping pro- order to create a ‘yes’ climate and develop abil- USING SELF IN COMMUNITY PRACTICE: ASSERTIVENESS 239 ity to deal positively with a potential adversary” position in either an overly aggressive or timid (pp. 4–5). manner” (p. 5). They describe an exercise in Cummerton asks students to think about a which students involved in community orga- coworker they have been avoiding and then nizing “identify organizing situations in which arrange a meeting or encounter with that per- they experienced difficulty in expressing their son. Similarly, Garvin and Gruber (1978) note positions” (p. 10) and role-play these many times that as students enter a community, they are until they feel able to handle them in the field. “quite concerned about rejection of themselves This type of training teaches students to think and their ideas: This can lead to presenting one’s on their feet, according to Hardina (1995).

Discussion Exercises

1. Assume that you will be working temporar- reality regarding assertion beliefs for Native peo- ily with a health service delivery system on Na- ple or members of any other culture unfamiliar tive American land. Besides learning about tribal to us? and federal leadership systems, you want to know this tribe’s customs before you challenge anyone 2. Our work lives are saturated with phrases in your standard assertive manner. You once read about impotence, such as falling through the a parable about a Native American who wanted cracks, bogged down in the bureaucracy, and a to be on equal terms with every person he en- half loaf is better than none. What is our field’s countered, so he either brought individuals up to equivalent to going for the gold (sports), the cure or down to his level, depending on their station (medicine), the scoop ( journalism), or the Nobel in life. How can outsiders learn what is myth or Prize (science)?

Notes

1. Conscious use of self refers to honing and max- 4. From Social Work Practice: A Critical Thinker’s imizing practice skills and being aware of matters Guide by Eileen Gambrill, 1997. Copyright 1997, that could cloud judgment. As one social worker Oxford University Press, Inc. Used by permission put it, “Probably the most important thing they of Oxford University Press, Inc. teach you in social work school is the conscious use of self; that will serve you extremely well as 5. Attitudes of the sender and receiver influence an administrator and as a community organizer. whether someone is listened to, but we focus on Whether it’s with your staff, your community sup- the sender. Status differences and differences be- port, or with policymakers, you have to pose your tween social work and other professions echo language in ways to bring about the outcome that gender differences. Some have no desire to move you want. . . . If you can put what you want them toward their opposite and defend noncompetitive to know in ways that they are able to hear, you stances. Similarly, no matter how assertive some- have a much better chance of getting them to do one is, some hearers will experience him or her what you want them to do.” (Judith Vaughan as aggressive or passive because of their own Prather, executive director of the Montgomery mind-sets or because they do not even bother to county Women’s Commission) interviewed by tune in. Barbara Bikoff for Challenging in Powers, 1994. 6. Linda Heisner, director of the Maryland Office Regarding women’s use of self in leadership roles, of Family and Children Services, interviewed by see Healey, Havens, and Chin (1990). Spolin Cathy Raab for Challenging, in Powers, 1994. (1983) described how to use oneself (e.g., “phys- icalization,” p. 15). 7. Voice and exit are terms used by Albert 2. A full skill repertoire includes the ability not Hirschman to illustrate two responses to a per- only to perform but also to sustain our perfor- ceived wrong. Laura Nader (1980, p. 41) applies mance by securing needed resources. Those in the them to the way we deal with complaints and arts and in social welfare have to be concerned small injustices. with national politics in regard to government 8. The Reverend Vernon Dobson discussing peo- funding. ple in and out of the justice system, in an inter- 3. Reprinted with permission of Sage Publica- view by Paul Collinson Streng for Challenging, in tions, Inc. Powers, 1994. 240 COMMUNITY PRACTICE SKILLS

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Organizations are necessary and important because they enable people to accomplish collectively what cannot be accomplished by individuals acting on their own. The maintenance of complex industrial societies is inconceivable without the existence of large-scale organizations, together with a great number of very small organizations.

H. E. ALDRICH (1979, P. 3)

As social workers, we will likely spend most formal and informal aspects of organizational of our professional lives practicing in human life that workers should know about to under- service organizations—governmental (public), stand the forces that impinge on them and the nongovernmental nonprofit agencies, and pro- opportunities for intervention. We also remind prietary organizations. These organizations pro- the reader of the interorganizational context of foundly affect our personal and professional organizational life because external economic, well-being. Regardless of our talents and skills, political, and institutional forces strongly affect organizational structure, culture, and manage- intraorganizational behavior. Throughout the ment strongly influence how well and in what chapter, we try to regard workers as organiza- manner we are able to deliver services, that is, tional actors intervening on their own behalf and how well we are able to do the professional work on behalf of their clients. As a prelude to this for which we were trained. At the same time, our chapter, we encourage the reader to review the work organizations affect our self-image, our material on systems theory, exchange theory, livelihoods, and our sense of accomplishment and interorganizational theory in Chapter 2. and worth as human beings. For these reasons, understanding how organizations operate is critical. We need organizational knowledge to cre- ATTRIBUTES OF HUMAN SERVICE AGENCIES ate a personally and professionally more satisfying and capable work environment. Social workers practice in a very broad array This chapter is written from the perspective of of human service organizations (HSOs). Al- the direct service worker rather than the super- though these agencies vary in such characteris- visor or manager. It deals with human service tics as size, complexity, auspices, domain, and organizations in general first, and then with the whether or not social work is the dominant pro- 244 USING YOUR AGENCY 245 fession in the agency—and more, as a class of relationship is critical and should be under- organizations—they are also alike in many ways. stood by the worker and client. The agency These similarities help to explain the organiza- frames the attachment of social worker and tional problems and opportunities that human client. It constricts such relationship compo- service workers and service users often en- nents as client privacy and worker confiden- counter. In briefly reviewing these shared at- tiality. The organization’s managerlist control tributes, we shall draw on Hasenfeld’s (1992b) of the working relationship between workers work on the nature of HSOs. and clients is a growing characteristic of con- HSOs are people-processing and people-changing temporary agency-based social work practice agencies in that “the core activities of the orga- (Thompson, 2000; Walker, 2001; Webb, 2001). nization are structured to process, sustain, or This relationship is vulnerable to deliberate or change people who come under its jurisdiction” unwitting abuse, since HSOs typically control (Hasenfeld, 1992b, pp. 4–5). An HSO’s primary some of the resources clients need. Moreover, purpose is to provide effective programs and control and standardization of the services that services, now and in the future, to clients and are delivered are difficult to achieve because the community. To provide services in the fu- services, the products of professional interven- ture, the HSO must persist. Organization and tion, are intangible and “inextricably bound to agency management activities—such as resource the person and personality of the producer” gathering, controlling and coordinating, report- (Larson, 1977, p. 14; see also Wenocur & Reisch, ing and accountability—ideally serve the ends of 1989, pp. 9–11). Since human service “tech- current and future service. nologies” (modes of intervention) are variable Organizations accomplish what an individual and hard to reproduce (though greater reliabil- or an aggregation of individuals working alone ity is the object of professional training), and cannot. If organizations simply do as well as since the outcomes of intervention are hard to people working alone can do, then organizations measure and not clearly visible, HSOs, not sur- make no significant social contribution. HSO are prisingly, have difficulty gaining support for systems. As systems, HSOs can be viewed as their work. means-ends chains. Generally, as Figure 9.1 in- In a market economy, HSOs are unique in that dicates, they are transforming systems. HSOs their primary funding sources are largely gov- tend toward open systems with resources or in- ernmental tax dollars and philanthropic contri- puts from their ecologies (people, material, butions, although proprietaries are becoming ideas, knowledge, and technology) and trans- more numerous. If the current trend toward pri- form or process them in some way into outputs vatization continues, the human services pro- to reach organizational objectives. Some organi- prietary sector will expand. One implication of zational examples are job placement, informa- this is that often service users are not the same tion, and referral (processing); Social Security, people as the service funders. An increase in the long-term nursing home care (sustaining); coun- numbers of clients and corresponding services seling, school (changing). does not automatically result in increased rev- To maximize compliance and hence control, enues. In addition, since service users are not HSOs must win their clients’ cooperation and funders, they lack a major source of power over trust. Social workers employed by HSOs are the operations of the organizations that serve agents of the HSO. Clients are first clients of the them. Nevertheless, service users are valuable HSO and only then clients of the HSO’s social assets for HSOs—no clients, no organization. workers. The HSO is the significant party in the Agencies compete for clients and other resources relationship with the client. The nature of this (Greenley & Kirk, 1973).

InputsProcessing of Inputs by Outputs Technologies Based on Feedback

Feedback

Figure 9.1 The general systems model. 246 COMMUNITY PRACTICE SKILLS

The sources of funding for HSOs make them burn out and leave or stay and find a functional dependent on an uncertain, competitive, often or dysfunctional mode of accommodation. In turbulent political and institutional environment public welfare agencies, such accommodations for legitimacy and resources. Consequently, the may include (a) finding a special niche in the or- legitimacy of and funding for human service ganization that removes the worker from the fir- agencies wax and wane with changes in politi- ing line, (b) capitulating to agency demands to cal administrations and the currency of new serve only “deserving” clients, (c) openly resist- ideas that happen to be in vogue. Currently pri- ing agency demands, and (d) adopting a victim vatization, market models, and faith-based ser- mentality by overidentifying with the clients vices are trendy. (Sherman & Wenocur, 1983). Human service managers are managers of es- Human service work is gendered work. Women sentially political entities and need to have their make up the majority of direct service workers political antennae up with their political hats in HSOs, while men tend to hold positions of au- close at hand. The political character of their thority. Although this pattern is slowly chang- work and public dependency for fiscal resources ing, a study of members of the NASW (Gibel- engender many challenges. HSOs’, as well as so- man & Schervish, 1996) and other recent NASW cial work’s, emphasis on the social environment, surveys indicate that most social workers are social interactions, and social functioning make women and largely work in direct practice and them inherently political. This does not imply for private organizations. Some 74% of NASW necessarily a limited partisan profession consis- respondents work at nongovernmental employ- tently aligned with a particular political party, ment agencies, with 36% in proprietaries. Some although they may reasonably align with parti- 17% are solo practitioners. Only 23% work for san positions congruent with a profession’s and state and local governments, with another 14% an organization’s mission and aims. A political employed by the federal government or military profession and organization are concerned with (O’Neill, 2003, p. 8). This skewed gender distri- influencing social policy or the rules that regu- bution potentially generates stressful dissonance late social behavior and social relations. A polit- between the workers’ feminine value orientation ical organization is attentive to public and civic of altruism, caring, and nurturing that requires affairs and the public or community’s distribu- nonroutine activities and the formal organization of social statuses, privileges, and other re- tion’s masculine value orientation that requires sources that constitute the elements for the or- formal procedures and standardization for effi- ganization’s well being. Political professions and ciency’s sake (Dressel, 1992; Hasenfeld, 1992b). organizations are innately ideological and moral This conflict, coupled with the lower pay at- beyond the growing ideology of economic mar- tached to female-dominated occupations and in- ket models. They use values and ethics in se- dustries and the fact that many of the clients of lecting social theories to develop social con- human service agencies are poor women and structions of how things ought to be as well as how other “undeserving” poor, devalues human ser- things are to guide their policy behavior. Politi- vice work and demeans all human service work- cal awareness is a necessary counterbalance to ers. And since devalued human services attract escalating managerialism. inadequate financial resources, it is difficult to Human service work is often stressful, not have the impact on complex social problems that only because of inadequate resources, but also might change the pattern of allocations signifi- because it is both “moral work” and “gendered cantly in the future (Hasenfeld, 1992, pp. 8–9). work” (Hasenfeld, 1992b). It is moral work in the sense that workers inevitably are involved in making value-laden decisions, often painful Organizational Auspices ones, that render moral judgments about the social worth of an individual or a family—for ex- Having discussed some of the similarities ample, whether or not to make one more attempt among HSOs, we should also attend to some of to reach a difficult client, whether or not to cut the differences, as these also will have a strong off a service or separate a child from a family, or bearing on service delivery and worker satisfac- what kind of diagnostic label to attach. In the all tion. HSOs have three general auspices: (a) pub- too common situation where resources are scarce lic, (b) voluntary not-for-profit, and (c) propri- and clients’ needs are strong, if not overwhelm- etary and for-profit. Auspice reflects to the ing, workers often agonize over requirements to organization’s sponsorship, control, and funda- ration services. In organizational settings where mental purpose. Social welfare agencies and stress levels are constant and high, workers may HSOs are moving toward proprietary, vertically USING YOUR AGENCY 247 integrated and extracommunity auspices along board, or the board of regents of a state univer- with a managerial emphasis. The proprietary or sity, which is appointed by the governor and for-profit sector has an almost 36% share of the which, in turn, appoints the university president social services market, with a 50% growth pro- or chancellor. Some public organizations utilize jected over the next few years. Mammoth, verti- advisory boards to assist with guiding policy cally integrated companies, such as Lockheed and making top-level appointments and deci- Martin, Xerox, and HCA, have entered and may sions, but advisory boards do not have the legal eventually control the market. Faith-based agen- authority to make the final decisions. cies in the not-for-profit sector also are expanding and serve as an exception to the commer- VOLUNTARY NOT-FOR-PROFIT AUSPICE cialization trend. In this text, voluntary not-for-profit auspice refers to HSOs that are legally incorporated in PUBLIC AUSPICE their state as nonprofit corporations and thereby Public or governmental HSOs are established by subject to state charitable laws. Their primary federal, state, or local governmental regulations function and fiduciary responsibility is service and supported by tax revenues. Examples in- to the community. In addition, these nonprofit clude the Department of Health and Human Ser- organizations usually have been granted tax ex- vices, a county department of public welfare, a emption by the Internal Revenue Service (IRS) city mental health center, and a local high school. under section 501(C)(3) or one of the other sec- The fundamental intent of agencies with a pub- tions of the Internal Revenue Code reserved for lic auspice is to govern. As Gortner, Mahler, and religious, charitable, and educational organiza- Nicholson (1987) state, “It is the business of pub- tions. This means they do not have to pay fed- lic bureaus to administer the law. Their function is eral taxes on their corporate income. Usually authoritarian in the deepest and most formal nonprofit organizations also are exempt from sense. Their role is as active and pervasive as the state and local taxes as well, although some fi- reach of law and government” (p. 19). Public nancially strapped local governments are chal- agency accountability is broad and general and lenging this policy. Clearly this auspice covers a not just to a particular group of shareholders or very broad range of organizations, from huge sponsors. While claiming community account- multifunctional corporations such as the Johns ability, public agency accountability is to the Hopkins conglomerate and the Salvation Army public at large as exercised by elected officials. USA, to regional family service associations, to Public agencies are neither market driven nor re- small church-sponsored soup kitchens and sponsive to economic forces. They are politically everything in between. driven and respond to political forces. Their Nonprofit organizations receive significant marketplace is a political marketplace, and they funding from private philanthropy (individual, respond to political actors and forces in that mar- corporate, and foundation donations and grants). ket place (Gortner et al., pp. 27–30). They may also receive substantial governmental Since public organizations are established by funding through purchase of service contracts, government, the top of the public sector HSO’s grants, and governmental insurance payments governance structure is often a politically ap- such from as Medicaid. Nonprofits frequently pointed executive officer (titles may vary), such earn revenue from fees for its services of various as the secretary of a department of health and kinds, including third-party private insurance mental hygiene, appointed by the governor, or payments, direct fees for a service or product, the executive director of the local department of and income from other related business activi- public welfare, appointed by the mayor or ties, such as the operation of a health spa by a county executive. Other top-level administrators YMCA or a blood testing lab by a medical school. may also be political appointees. Below the top Fees for service are the fastest growing funding echelons, federal, state, and local governmental source for social welfare (Johnston, 1997; Sala- employees are hired and fired in accordance mon, 1997). Private giving as a share of nonprofit with civil service regulations that provide job revenue dropped by some 20% during the 1980s classifications, salary levels, criteria, and proce- and early 90s. This deterioration of giving is ex- dures for meritorious appointments and promo- pected to continue as changes in the national in- tions and procedures for termination. come distribution concentrates income at the top Some public agencies have governing boards of the income distribution and the tax code that make major policy decisions and hire the or- makes philanthropic giving less financially at- ganization’s chief executive officer(s). Examples tractive. The very wealthy donate proportion- include an elected local school board, a library ately less of their income to social welfare ser- 248 COMMUNITY PRACTICE SKILLS vices than do the middle class (Freudenheim, oma, 1990). Even when they are large, nonprof- 1996, p. B8; Phillips, 1993, p. 143). Hence the its have the capacity to make decisions more source of funding does not clearly distinguish quickly and to operate more flexibly than their nonprofit agencies from governmental and for- governmental counterparts. In part, this is a profit organizations. function of their system of self-governance; the The key feature distinguishing nonprofit auspices executive, with the approval of the board, has from public agencies and from for profit is that non- great leeway to make program and policy profits have the primary mission of service to the com- changes. In part, it is also a function of their abil- munity rather than governance or profit. They are ity to choose whom they will serve and the na- self-governed. Their governing boards are an all- ture of the services they will provide. If the mar- volunteer board of directors accountable neither ket is there, a nonprofit agency could decide to to nonexistent owners or to government. They provide therapy only to people with three nos- are accountable to the community. The boards trils. If the market is too large, they can decide are stewards for the community. The executive to limit their services even further or expand if officer is responsible to the boards and ulti- they want. Governmental organizations lack this mately to the community. The voluntary board flexibility. Legally they are mandated to serve all is a legal requirement of incorporation as a char- who are eligible according to the legislation that itable organization. Although nonprofits can established the organization, regardless of num- earn a profit, called a fund balance, it can’t be bers. For example, a child welfare agency must distributed to shareholders and board members. serve all abused and neglected children in its ge- It is saved for a rainy day and reinvested in ographic service area, ultimately an indetermi- agency programs. Neither profit nor politics nate number, and additional staffing is subject should be a core part of the agency’s calculus. to political competition for scarce resources. The presence of a large nonprofit sector sup- Faith-based agencies are a particular form of ports pluralistic democratic values. Nonprofits nonprofit organization. They are agencies spon- represent the essence of voluntary action by cit- sored or operated by a religious faith. While izens to provide the services they need and want, sharing with secular nonprofits the service mis- services that government and private corpora- sion, they are constrained by obligations to the tions cannot provide legally or fail to provide be- tenets and dogma of the religion, whether those cause they are not politically or economically include admonitions against abortion and ho- viable. So, for example, many nonprofits are mosexuality (as sins) or requirements for race sponsored by sectarian and culturally distinct and family relationships and child rearing. Dis- groups, such as a Korean Community Center, a crimination and inequity in hiring and services Jewish Family Services agency, a Black Mental to nonadherents and persons with traits that go Health Alliance, an Associated Catholic Chari- against dogma—such as gays and lesbians, abor- ties, or a Hispanic Community Council. More- tion choice, “race mixing,” gender role limita- over, because nonprofits are voluntary, self-gov- tions—are often present in faith-based service erning bodies, they can challenge the policies agencies. Hiring discrimination is explicitly al- and practices of private corporations and gov- lowed in the Charitable Choice section, section ernmental agencies. Most of our important 104 of the federal Personal Responsibility and Work social reforms came about through nonprofit Opportunity Reconciliation Act of 1996 (PRWOR). activities—child welfare, civil rights, environ- Service giving by faith-based agencies is often a mental protection, women’s rights, workplace means to proselytize and strengthen the reli- safety (Salamon, 1992). gion’s community. Nonprofit organizations usually provide a very different work environment from govern- PROPRIETARY FOR-PROFIT AGENCIES mental agencies, one that is potentially less for- Proprietary for-profit auspices share the trait of mal and more flexible and varied. When large having a defined ownership or proprietors— and complex, both types of organizations can op- whether a single owner, a partnership of practi- erate quite bureaucratically, with many policies tioners, a group of investor owners, or stock- and rules to follow, a hierarchical system of de- holders—and operate under the auspice of the cision making, and a clearly differentiated divi- owner(s) rather than under public or voluntary sion of labor. However, many nonprofit HSOs auspices. Proprietaries’ fundamental intent is are not very large. A study of the Baltimore area profit rather than service. Service provision is a nonprofit sector, for example, found that in 1987, means to profit. Proprietaries can provide a ser- 72% of the nonprofits had expenditures of less vice only insofar as it is profitable. Someone than $500,000 (Salamon, Altschuler, & Myllylu- must be willing to pay a profit margin for any USING YOUR AGENCY 249 services. They are a rapidly growing segment of The most intrinsic disadvantage of for-profit the social work arena and social welfare field. social welfare services is that they are inherently According to a 2002 survey of a sample of NASW unresponsive to the needs of poor and working- members, 36% of all respondents were em- class people. Currently government through ployed by proprietary for-profits, with 17% contracts and other third-party vendor arrange- working primarily as solo proprietary practi- ments pay and allow proprietaries a profit mar- tioners (O’Neill, 2003). Social work’s private gin when serving the poor. Functionally, funders practitioners are proprietary practitioners. Pro- are the proprietary’s most important clients. If— prietary practice also includes practice in the or perhaps more when and as—the public sector, megacorporations that own hospitals, home insurance companies, and other third-party pay- health care agencies, counseling services, resi- ees reduce their market participation on behalf dential treatment facilities, and nursing homes. of the poor, proprietaries (including solo pro- These organizations are incorporated in a state prietary social workers) inevitably will corre- as businesses, and they pay local, state, and fed- spondingly reduce their services to the poor if eral corporate income taxes. If corporations, each the poor are unwilling and unable to directly pay is required to have a board of directors with a for the services. The poor by definition have lim- minimum of three members. These are the main ited capacity to purchase services. The propri- administrative officers of the company. Other etary for-profits, to survive, have and will con- board members may be added because of stock tinue to gravitate to clients with a capacity to ownership or special connections and expertise pay. When the economy is good, affluent people they bring. The chairperson is frequently the buy more personal services, including social chief executive officer of the corporation. For- work’s services (Berman & Pfleeger, 1997). The profit board members, unlike not-for-profit poor, however, are unable to buy services even boards, expect to be paid for their services when the economy is good, let alone when it is (Houle, 1989). Proprietary organizations sell not. Some observers claim that profit-seeking their services or products at a price sufficient to human services ignore social work’s advocacy cover the cost of production plus an amount for and social reform responsibilities. profit. The profit that is not reinvested in the organization is divided among the owners. For-profit organizations must be extremely PERSPECTIVES ON HOW ORGANIZATIONS sensitive to the marketplace. Services often are FUNCTION: A BRIEF REVIEW more flexible, client-friendly and market responsive. The claim is that proprietaries because Intraorganizational Systems they are profit-driven are more performance- oriented and in tune with the latest trends and The whole point of establishing an organiza- knowledge than are public and not-for-profits. tion such as a social work agency or a private As yet research has not supported these claims. business is to do what an individual or a group Competition will produce advantages for clients of people cannot do as efficiently and effectively. only if there is truly competition for clients and The aim might be to deliver an intangible prod- client choice vendors exists. uct, such as mental health services, to a needy The proprietary’s disadvantages are that pro- population or to produce a tangible product, fessionals in solo or group practices must oper- such as the all-famous widget, for an enormous ate as entrepreneurs and generate business. Flex- market of widgetarians. In any event, the orga- ibility gained in one aspect of practice may be nizational founders logically set up systematic offset by the time requirements of marketing and rules for organizing the work in order to ac- business management in another. Profit rather complish their aims and then put their plans into than service or client welfare takes priority. action. In a word, they create an organization. Large for-profit HSOs, like their counterparts in Frequently, if the founders know what they are other fields of business or government, are com- doing, these plans work out fairly well—but sel- plex bureaucratic organizations with a highly dom exactly as intended, because there are too differentiated division of labor and specialized many variables and unknowns to contend with. work roles, such as marketing and public rela- Organizational rationality breaks down. Some tions departments, various departments of pro- clients do not neatly fit the image projected; fessional services, a governmental affairs de- some staff members do not get along with each partment, and so on. Individual professional other; some sources of funding are unexpectedly authority and autonomy is lost. As businesses, cut off; and so on. All of this is to say, as we did the proprietaries are organized to pursue profit. in Chapter 2, that organizations are open sys- 250 COMMUNITY PRACTICE SKILLS tems striving for closure. That is, by definition, ciety? How about a client who is both alcoholic organizations always try to operate rationally, and mentally ill? How about the low-income, but they never can do so completely because of multiproblem family? In addition, many differ- multiple uncertainties deriving from internal or- ent technologies and belief systems may exist si- ganizational sources and the external political multaneously in the same organization. A psy- and institutional environments that they are part chiatric hospital employs nurses, psychiatrists, of and must relate to (Thompson, 1967). psychologists, social workers, recreational ther- Internally, uncertainty creeps into organiza- apists, and so on, each of whom may approach tions through at least three different paths: the patients quite differently. And even within structural complexity, technological indetermi- the individual disciplines, professionals may nateness, and human variability. When organi- have contrary intervention practices—for exam- zations are set up to serve a large, heterogeneous ple, behaviorists versus psychodynamically ori- population that has many complicated needs, ented psychologists. Second, to provide assis- these agencies themselves necessarily become tance effectively, we often have to rely on the complex systems. As mentioned previously, or- cooperation of other agencies and service ganizational directors and managers will usually providers over whom we have little control. And divide the work of running the organization and finally, since our service users are reactive, indi- producing its products or services into smaller vidual human beings, not inert physical materi- subdivisions, some of which may become quite als, our interventions depend on feedback from specialized. For example, a nonprofit antihunger our clients, and we cannot always predict their organization with a $3 million budget might responses. In effect, we have to use individually have an emergency services department; a feed- customized rather than standardized technolo- ing program; a public policy unit; a community gies (Thompson, 1967) in situations, incidentally, organizing and advocacy division; a resource where the external world often seems to be de- development unit that includes fund-raising and manding mass solutions to widespread prob- public relations; a general administration unit lems, such as crime or substance abuse. that includes building maintenance, purchasing, Human variability, of course, also enters the and bookkeeping; and a management division organization through its employees, managers, that includes planning, personnel, volunteer and directors. While organizations seek ratio- oversight, and training. Even small nonprofits nality, all the people who make up the organi- are likely to have subdivisions; large govern- zation differ in personalities, beliefs and values, mental or for-profit organizations can be infi- needs, goals, ideas, knowledge and skills, life ex- nitely more complex. The more differentiated periences, cultural identity, and so on. They also the organization, the greater the difficulty in co- tend to form informal groups and subgroups ordinating the work of the various subsystems and develop organizational culture that strongly to produce products and services efficiently and influence employee and managerial behavior. effectively. It is interesting that, at various times, The groups and subgroups can differ greatly, for both greater organizational centralization and example, on goals, status, and expectations as greater decentralization have been proposed as can the culture from the official organizational ways to improve coordination in the interests governance. As various interest groups form of organizational efficiency and effectiveness. based on shared values, norms, and predilec- However, there is no simple answer. The structions, some authors view the process of reach- tural solution that works best depends on the ing agreements on goals and activities as an goals, needs, and managerial capacities of the ongoing negotiation and the organization in particular organization (Webber, 1979), as well essence as a “negotiated order,” constantly in as the organization’s technology and conditions flux, rather than fixed and determinate (Cyert & in the external environment. An organization’s March, 1963; Strauss, Schatzman, Ehrlich, & technology is the things an organization inten- Bucher, 1963). tionally does with and to the raw materials, the One consequence of the unique characteristics inputs and clients, to produce its outcomes and of HSOs is that they tend to be structured inter- final products. nally as loosely coupled systems (as opposed to Technological uncertainty in HSOs comes tightly coupled systems). In essence, this means from several sources. First, we are not always that the hierarchical structure of authority and sure about how best to intervene to help deal clear lines of communication that one might as- with certain problems. What is the best approach sociate with a strictly rational system of organi- to deal with the alcoholic, for example, or with zation do not work well in HSOs. Instead, (a) the high incidence of alcoholism in the larger so- strict top-down authority is likely to be weak USING YOUR AGENCY 251 and dispersed in multiple authority units; (b) lution, a state of domain consensus, where the dif- various subunits are likely to maintain a con- ferent actors have basically worked out agree- siderable degree of autonomy and identity, and ments about boundaries and overlaps and ex- their tasks and activities tend to be weakly co- pectations about what each actor will and will ordinated; and (c) there is “a weak system of con- not do (Thompson, 1967). The second point is trol over staff activities” (Hasenfeld, 1983, p. that an organization’s domain determines what 150). Imagine a school system with administra- other organizations and individuals it will have tors (principals), teachers, social workers, guid- to relate to or pay attention to in order to fulfill ance counselors, psychologists, and various its mission. This network of organizations, or- other specialists. Despite directives from above, ganizational subunits, and individuals forms the ultimately the teacher runs the classroom au- focal organization’s task environment. tonomously, and necessarily so, because of the The task environment is a convenient way of great variations among students and teaching conceptualizing the immediate external envi- styles. Evaluation of effective teaching perfor- ronment with which an organization must trans- mance is difficult. Evaluation of successful coun- act business. It consists of the following cate- seling and social work intervention is even more gories of actors: (a) suppliers of fiscal resources, difficult, since these activities are carried out (b) suppliers of nonfiscal resources, (c) con- even more autonomously than teaching. More- sumers and clients and their suppliers, (d) com- over, while the principal exerts authority over petitors, (e) collaborators or complementary ser- the social workers, the social workers also report vice providers, and (f) suppliers of legitimation to the head of the school’s social work depart- and authority. These are not necessarily exclu- ment, so the principal’s authority is dissipated. sive categories; organizations may be repre- A similar pattern exists with guidance and psy- sented in more than one category at the same chology, adding to coordination problems be- time. For example, a prestigious foundation that tween all of the different units. Without the supplies funds in the form of a grant also sup- ability to hold staff accountable for their perfor- plies legitimacy by lending its name to the work mance through monitoring and evaluation—and of the organization. Competitors are the other unionization and civil service requirements may agencies and organizations seeking the same re- add to these difficulties—the administrator’s au- sources from the task environment, whether the thority is further weakened. One result of loose resources are fiscal or nonfiscal. Competitors are coupling is a potentially fragmented, disjointed not clones of the service agency nor are they even service delivery system. At the same time, this limited to other service providers. There is al- arrangement may serve important functions for ways competition when a resource holder has the organization, such as creating more poten- choice as to use of a resource. Competition will tial for a flexible response to changes in the en- be discussed again in the chapters on network- vironment and buffering the organization from ing and marketing. failures in any particular unit (Hasenfeld, 1983). An organization’s external environment inevitably poses uncertainty for the organization because it contains needed resources and infor- Interorganizational Systems mation that the organization cannot fully control or even, in some cases, perceive. HSOs, for ex- In Chapter 2 we discussed two concepts cen- ample, depend on having clients or members in tral to understanding interorganizational rela- order to obtain resources and legitimacy. While tions, domain and task environment. For social ser- this is usually not a problem in public agencies, vice agencies and community organizations, we it can be a severe problem in nonprofit and for- said that organizational domain represents the profit organizations as needs change, popula- territory that an organization has carved out in tions shift, or new competitors enter the field. In- terms of social problems it will address, popu- terorganizational systems will be explored more lations it will serve, and types of advocacy or fully in the networking chapter. services it will provide. Two points relevant to For any given organization, not only its task interorganizational relations flow from this con- environment but also the structure and dynam- cept. The first is that since every other organi- ics of the larger environment surrounding the zation also makes domain claims, turf battles task environment may affect organizational and competition often crop up, particularly functioning. Structurally, the larger environ- when resources are scarce, a condition some- ment may be relatively simple or complex, or re- times referred to as domain dissensus. Over time, source rich or poor, for example. Therefore the conflict and negotiation may lead to some reso- options and opportunities for finding clients and 252 COMMUNITY PRACTICE SKILLS funds are quite different for rural as opposed to stem from internal or external environmental urban or suburban agencies. Dynamically the sources. Thus, in a HSO that needs the capacity larger environment may be relatively stable or to process a great deal of information rapidly, constantly changing and therefore highly un- employees with computer-based information- predictable. Organizations providing health care management skills may have a great deal of in- seem to be in a rapidly changing, uncertain en- fluence and command high salaries. The em- vironment due to political, economic, organiza- ployee who can get the system up when it tional, and technological developments. Changes crashes may be the most powerful of all. in health care, in turn, may have a ripple effect In view of the pervasive uncertainty that per- on many other HSOs. Health care trends may be meates modern organizational life, administra- still easier to anticipate than other distant polit- tion involves an ongoing struggle to manage in- ical or economic changes that can have local ternal and external environmental uncertainty short- and long-term ramifications. Foreign pol- while keeping the organization on the path to icy in relation to Southeast Asia, for example, has accomplishing its goals. To succeed at this com- led to an influx of Asians from many different plex task, administrators and professional staff nations and their dispersal to U.S. communities members must be able to obtain and process often totally unprepared to serve persons with strategic information about every aspect of such diverse backgrounds and languages. organizational life, particularly environmental trends and opportunities. A recent study by Menefee and Thompson (1994, p. 14) comparing Uncertainty and Power management competencies of the early 1980s with requirements for the 1990s found a dra- In the section on exchange and power in Chap- matic shift from roles and skills, such as super- ter 2, we noted that the ability to control re- vising and direct practice, “focused primarily on sources that another party needs is a major internal operations to one(s) that (are) strategi- source of power in an interdependent relation- cally oriented,” such as boundary spanning and ship. Since any organization depends on satis- futuring, aimed at managing a complex external factory exchanges with the members of its task environment. Thompson (1967) likens this idea environment in order to accomplish its goals, at of opportunistic surveillance to natural curiosity in various points members of the task environment the individual, defining this search activity as may hold a certain amount of power over the or- “monitoring behavior which scans the environ- ganization. This idea is most clearly illustrated ment for opportunities—which does not have to with funding sources. Grant-making organiza- be activated by a problem and which does not tions usually stipulate the requirements that an therefore stop when a problem solution has been organization must meet in order to receive found” (p. 151). funds. In market-based organizations, individ- Opportunistic search roles take many differ- ual customers have power because the organi- ent forms and involve both regular staff mem- zation needs them to purchase its products or bers and managers. Because they help the orga- services. Customers who form a consumer or- nization manage environmental uncertainties, ganization can wield even greater influence over they may also carry special status and influence. a target organization. Similarly, since organiza- One important role set focuses on strategic plan- tions need workers to produce products or ning. Strategic planning activities engage the or- provide services, when workers form labor organization in (a) systematically scanning its ganizations, they, too, gain power over their em- internal and external environments to identify ploying organization. organizational strengths and weaknesses in re- Relating the concept of uncertainty to power lation to short- and long-range trends, opportu- and exchange, we could say that the inability to nities, and threats and (b) formulating strategies control the elements that an organization needs to manage the issues confronting the organiza- to accomplish its goals creates organizational tion and developing a vision for the future uncertainty. In today’s much more competitive (Bryson, 1989, p. 48). Management, staff, and climate for charitable dollars, for example, volunteers may all carry out strategic planning nonprofit HSOs experience increasingly greater activities. In some larger organizations, strategic uncertainty about their funding sources. In this planning is the ongoing business of an organi- formulation, then, within an organization, zational planning department. Boundary-span- power accrues to those individuals or groups ning roles encompass a large range of activities that can resolve uncertainties for the organiza- carried out by managers and staff persons, some- tion (Crozier, 1964). These uncertainties may times alone and often as parts of specialized de- USING YOUR AGENCY 253 partments, such as a public relations division, bring influence and high compensation. In a government affairs office, an admissions de- homogeneous and more stable environments partment, and a discharge-planning unit. where boundary-spanning roles can be rou- The strategic planning activities mentioned tinized, influence will be correspondingly less. above are also boundary-spanning functions. Boundary spanning refers to transactions that enable the organization to manage (environmen- EXAMINING THE FORMAL STRUCTURE tal) “constraints and contingencies not con- AND OPERATIONS trolled by the organization” (Thompson, 1967, p. 67). Boundary-spanning roles typically involve Organizational Mandates, Mission, and Goals networking skills, the ability to develop relationships with a broad array of individuals and In order to understand the workings of an or- groups in order to exchange resources and in- ganization, we need to examine both the ratio- formation of value to the organization. The sonal and nonrational aspects of organizational cial worker in a hospital doing discharge plan- life. On the rational side, we can begin by trying ning is performing a boundary-spanning role. to understand the purpose for which the orga- She enables the organization to respond to the nization was formed, the mandates under which constraints placed on it by the insurance com- it is operating, and its operative goals. Straight- panies for length of inpatient stay. She must forward as this may sound, such an examination learn about and develop relationships with a va- usually moves us quickly onto the road of orga- riety of external organizations, such as home nizational complexity. health care agencies and different types of nurs- Organizational mandates indicate what the or- ing homes, in order to help patients continue ganization is required to do according to its char- their recovery after hospitalization. The job is a ter or articles of incorporation or, in the case of sensitive one, and a powerful one if no one else a public agency, as codified in laws and ordi- can perform this function effectively, because the nances (Bryson, 1989). A department of child hospital is under pressure to discharge patients protective services, for example, may be re- but, at the same time, to ensure that the plan- quired by statute to investigate all cases reported ning is sound so that patients recover appropri- to it of child abuse and neglect in a particular lo- ately and are satisfied with the services they cality. A nonprofit agency may require, in its ar- have received. In one hospital where the num- ticles of incorporation, that the organization ber of non-English-speaking patients increased, serve the poorest families in the county. Orga- a social worker developed a network of inter- nizations may exceed their mandates and pro- preters by scanning the community and reach- vide additional services, so any search for or- ing out to a host of immigrant groups, who were ganizational purposes should not stop with then linked to the hospital to lend their special mandates. assistance. An agency’s government relations An organization’s mission usually flows from department speaks to an organizationally rec- the organization’s mandate. An organization’s ognized need to be able to identify, promulgate, mission statement “delineates the organization’s and influence legislation that affects the organi- reason for existing, usually in a short paragraph zation’s ability to fulfill its mission. Boundary capturing the essence of what the organization spanners may develop a good deal of power in is attempting to do” (Fisher, Schoenfeldt, & their organizations if they help the organization Shaw, 1990, p. 691). Two examples of mission manage environmental contingencies that are statements are presented in Box 9.1. Such state- important to it and if others cannot easily do the ments often appear in annual reports, agency job (Thompson, 1967). Organizational fund-rais- brochures, and newsletters and provide a basis ers or resource developers, for example, can of- for the organization to acquire needed legiti- ten bargain for much higher salaries than other macy and support in the community. Mandates staff members. In the growing culturally diverse and mission statements represent the official goals environment of many social agencies, social of an organization. These are relatively easy to workers who have skills in working with diverse discover and may be essential to understand populations will potentially gain leverage. for purposes of evaluating agency effectiveness, Boundary-spanning roles in organizations fac- holding it accountable, and comprehending the ing complex, competitive, and highly dynamic underlying beliefs and values about human na- external environments are likely to require the ture guiding the organization (Hasenfeld, 1983). exercise of a great deal of personal discretion. However, they also tend to be rather general or If handled well, these positions are likely to vague and do not really tell us what the organi- 254 COMMUNITY PRACTICE SKILLS

BOX 9.1 TWO MISSION STATEMENTS

THE CHESAPEAKE FOUNDATION FOR THE DOOR HUMAN DEVELOPMENT, INC. The Baltimore Urban Leadership Foundation The purpose of the Chesapeake Foundation for trading as The Door is organized and shall be Human Development is to provide education operated exclusively for social, economic, edu- and training opportunities for youth in an effort cational, physical, spiritual, and charitable pur- to foster positive relationships and the personal poses by providing resource services and fund development that leads to satisfying and appro- raising support to urban and multi-cultural com- priate ways of living. Of particular interest to the munity-based organizations and ministries for Foundation are those youngsters at risk who the purpose of promoting racial reconciliation, have the greatest needs—those youth who are urban leadership development and community growing up without the benefit of adequate su- renewal in neighborhoods with minority and pervision and guidance and without a nurturing poverty concentrations. family and healthy neighborhood environment.

zation spends its energy and resources actually of what he did to learn about the goals of com- doing in the face of multiple or competing in- munity action centers. His data-gathering strat- terests and pressures generated from both inter- egy included participant observation, analysis of nal and external environmental sources. Instead, a sample of client case files, observations of to really understand an organization, according client–staff transactions, and formal interviews to Perrow (1961), we need to try to uncover the with numerous staff members. Perrow (1961) in- organization’s operative goals. “Operative goals dicates that if we know something about how designate the ends sought through the actual op- the organization accomplishes its major tasks of erating policies of the organization; they tell us acquiring resources and legitimacy, the skills what the organization is actually trying to do re- that it marshals to deliver its services, and how gardless of what the official goals say are the the staff and clients and other external agencies aims” (p. 856). A corrections unit may include are coordinated, and if we learn about the char- rehabilitation as one of its main aims, but if lit- acteristics of the organization’s “controlling tle of its budget goes into staff to provide reha- elites,” we can develop a pretty fair idea of an bilitative services, we would have to conclude organization’s operative goals. First, this means that its primary function is custodial. Hasen- observations and interviews with key people in feld’s (1983) report of his study of community the organization, those in high positions of for- action agencies found that whereas the official mal authority as well as powerful informal lead- goals stressed aims such as “linking low-income ers. To this we would add analysis of the people to critical resources” and “developing in agency’s budget to see where resources are al- and among the poor the capacity for leadership,” located. Much of this information is available to the centers actually functioned more like welfare organizational insiders, namely, staff members, departments and seemed to primarily serve “to if pursued thoughtfully and systematically. provide jobs to the poverty workers themselves rather than to their clients” (pp. 86–87). Operative goals are much more difficult to dis- Authority and Structure cern than official goals. First, any complex organization is likely to have multiple and sometimes Organizations are used to do what individu- conflicting goals. Second, organizations are dy- als and informal groups alone can’t do. This namic systems. Therefore, goals are not neces- gives rise to the defining characteristics and for- sarily fixed for all time; they shift as the organi- mal structure of organizations. They are rooted zation loses and gains staff and board members in the need for efficiency and effectiveness in and as the environment produces new threats or production, coordination of organization units, opportunities. How, then, might we determine and control of behavior. The central feature of what an organization’s goals are? Hasenfeld complex organizations is the scalar principle. The (1983) provides one approach in his description scalar principle, illustrated by Figure 9.2, is the USING YOUR AGENCY 255

Board of Directors

Executive Director

Administrative * Assistant

Resource Associate Director Development Director Director General Administration

Public Fund Bookeeping, Maintenance Purchasing, relations raising office contracts management

Community Policy and Volunteers Feeding Emergency organization planning and training programs services

*Advisory position

Figure 9.2 Organization Chart of a Statewide Antihunger Agency. principle of the pyramid or a hierarchy. The flow span of control for all of the organization’s par- and delegation of authority is downward from ticipants. This formal organizational structure can the apex and accountability and responsibility be depicted graphically in an organization chart, is owed upward to the apex. Authority is dele- as shown in Figure 9.2. Its logic is that “it estab- gated and decentralization (diffusion) occurs lishes clear lines of responsibility and account- downward and centralization or putting the or- ability” for decision making, “it provides for a ganization into a whole occurs upward (Fayol, system of controls to ensure staff compliance,” 1987). The other significant features of complex and “it enables the coordination of various tasks organizations are outlined in Box 9.2. by means of hierarchical centers of responsibil- Organizational authority is an important form ity” (Hasenfeld, 1983, p. 161). Under the organi- of organizational power, though not the only zational rationality of the scalar principle, higher form, as we have seen. It derives from the for- positions in a hierarchy have greater authority mal rules and charter of the organization legiti- and correspondingly greater organizational mate the power ascribed to positions of author- knowledge and competence. ity by its laws. It may be supported as well by Organizational authority is an important form tradition, expertise, and the charismatic leader- of organizational power, though not its only ship of the authority holders. The exercise of au- form. It derives from the rational or legal rules thority depends partly on the strength of the of the organization. The rules confer the author- sanctions that can be applied to produce com- ity and legitimate the power ascribed to posi- pliance. In the final analysis, however, authority tions. Rational or legal organizational authority rests on the consent of the governed. Persons in often is buttressed by traditional and charismatic positions of authority who exceed their limits or authority and other forms of power (Netting, whose dictates are considered unfair may breed Kettner, & McMurtry, 1993, p. 126). subtle forms of noncompliance, sabotage, or Leaders with rational or legal authority are of- even open mutiny. ten given charismatic authority. Staffs frequently The organization’s hierarchical structure of attribute charisma to formal leaders regardless authority based on the scalar principle delineates of their personal traits, especially in times of a chain of command for decision making and a crisis. President George W. Bush was ascribed 256 COMMUNITY PRACTICE SKILLS

BOX 9.2 COMPLEX ORGANIZATION’S KEY FEATURES

1. Specialization with limited areas of author- 6. Rules and procedures for rational coordina- ity and responsibility for each position and tion of activities, compliance with the com- organization unit representing the division plex organization’s division of labor, and a of labor. Each position needs well-defined position’s ARA established by the organiza- authority, responsibility, and accountability tion. (ARA). 7. Impersonality of and secondary relationship 2. Hierarchical authority structure with control between members rather than relating by and responsibility concentrated at top ac- personal traits and attractions and a separa- cording to the scalar principle and delegated tion of personal lives from organizational to subordinate organizational units and po- position to contribute to organizational sta- sitions. Unity of command and direction is bility, order, and rationality. necessary for coordination, and control oc- 8. Recruitment and position assignment based curs at every level. on merit, ability, and technical skills as re- 3. Organizational intelligence and information quired for a position, rather than on personal centralized at the top and dispersed to other traits and primary relationships. units, according to need, by formal chan- 9. Separation of the person’s private and per- nels of communication. sonal lives and primary relationships from 4. Position specialization rooted in the needs the organizational position, to contribute to of the organization and requires specific the organization stability, order, and ratio- expertise, authority, responsibility, account- nality. ability, and compliance with organizational 10. Promotion by seniority, merit, and contri- job descriptions. butions to production and organizational 5. Positions seen as careers that require full- goals, rather than because of personal rela- time commitment contributing to organizations. Seniority represents merit. (Fayol, tional stability. 1987; Netting, Kettner, & McMurtry, 1993, pp. 125–126)

charisma power during the period following the and material rewards, sanctioned and threat- September 11, 2001, terrorist attacks on the ened with terminations, and have their pride and World Trade Center and the Pentagon. Mayor professional ethics challenged. Voluntary not- Rudolph Giuliani during the same period was for-profits (especially faith-based) organizations encouraged and indeed attempted to extend his emphasize the normative model, while propri- time as mayor beyond the legal term limit, on etaries are more likely to first employ utilitarian the basis of charisma but not law. Charisma is approaches. especially used in the informal organization and Part of the organization’s challenge is that culture when people are drawn to leaders based power doesn’t always correspond to the organi- on their personal traits, regardless of their orga- zationally assigned formal rational or legal or- nizational position. ganizational authority. While the hierarchical The exercise of authority depends partly on structure of authority delineates a chain of com- the strength of the sanctions that can be applied mand for decision making and a span of control to produce compliance. Compliance refers to the for all of the organization’s participants, it may ways organizations obtain adherence by organi- not reflect the distribution of power. Power is zational members to organizational goals, the ability to act in the face of opposition to con- norms, and prescribed and proscribed behav- trol one’s self and to control or influence others. iors. There are three general types or models of While power is rarely pure, it does exist, espe- compliance: Coercive applies punishment to ob- cially as influence or the capacity to produce in- tain compliance, utilitarian uses rewards and tended and foreseen effects on others (Bragg, 1996; self-interest to obtain compliance, and normative Willer, 1999; Willer, Lovaglia, & Markovsky, bases compliance on values, norms, and ethics 1999). Influence is less than absolute power and (Etzioni, 1987). The models are not mutually ex- affects the behavior of others, regardless of the clusive. Social agencies to use all three models intent. Influence is rooted in an ability to alter to obtain compliance. Employees are given raises the behavior of another. Sources of power be- USING YOUR AGENCY 257

BOX 9.3 FORMS OF AUTHORITY

• Traditional authority: Based on culture and • Rational/legal authority: Based on the organi- customs zation’s rules and laws and rooted in the scalar • Charismatic authority: Based on the personal principle traits and characteristics of the individual

yond the formally assigned organizational au- proprietary is not a corporation. This section pri- thority include control over resources needed by marily concerns the boards of nonprofit organi- the organization such as connections to net- zations. For-profit corporate boards may oper- works that can be drawn upon, personal power ate somewhat differently. In not-for-profits or charisma, expert knowledge needed by the or- organizations, the ultimate authority for deci- ganization, and knowledge or organizational se- sion making about the direction of the organi- crets or where the figurative bodies are buried. zation rests with the board of directors or Power and influence is enhanced when others trustees, hereafter referred to as a governing board have fewer alternatives and are dependent on (Houle, 1989). Rather than flaunt this authority, the resource supplier. As Box 9.3 indicates, a the governing board normally works in part- knowledge of the HSO’s authority has varied nership with the executive who oversees the op- sources. eration of the organization daily and with the Other factors also affect the organization’s au- staff who daily carry out the actual work of the thority structure. Authority seldom operates in agency. The popular notion that boards establish a straight-line fashion. Confusion in the division policy and executives and staff carry it out does of labor and organization design confuses the not work out that way in practice, for a variety arrangement and distribution of authority- of practical reasons. Board members serve only responsibility-accountibility (ARA) and creates on a part-time basis and seldom have the pro- uncertainty that can pervade an agency. Second, fessional expertise in the organization’s service in complex organizations, authority and exper- area or the necessary staff of their own to be able tise don’t always come together in a single indi- to make operating and even long-range policies. vidual sufficiently to make him or her the most They are not in a good position to dictate policy effective decision maker. For example, the di- from on high. If the board and the executive have rector of an antihunger organization may un- developed a good working relationship, then, derstand hunger policy and legislation quite more typically, the executive will generate pol- well and have strong planning skills, but he or icy, fiscal, and programmatic recommendations she may be ignorant about the whole area of re- for the board to consider and act on in a timely source development. To the extent that effective fashion. Usually these deal with general policies organizational decision making requires a unifi- and large fiscal expenditures or programmatic cation of knowledge and authority, collective in- changes, and an understanding of the meanings put and consultation into decision making is nec- of general and large will need to be worked out essary. Third, in order to operate effectively in between the parties involved. Boards are ulti- a turbulent external environment, organizations mately fiduciary responsible is to the commu- need flexibility more than rigid hierarchical nity and not either to the agency or executive structures to allow internally and externally an director. entrepreneurial organizational behavior. An- The above does not imply that power strug- other way of gaining flexibility is to use tempo- gles between executives and boards never arise, rary structures. “Through independent, limited- that executives always keep their boards prop- life project, product, problem, or venture teams, erly informed, or that boards never try to mi- specialists necessary to accomplish a mission are cromanage their organizations (Kramer, 1965). brought together for as long as necessary, but no In fact, in the early stages of organizational de- longer” (Webber, 1979, p. 383). velopment, when an agency is starting out, board members may commonly exercise a great deal of authority over the daily affairs of the or- Boards of Directors ganization (Mathiasen, 1990). As the organization matures, however, governing boards evolve Both for-profit and not-for-profit agencies that recognize the need to shift from specific to have boards of directors, unless the for-profit or general oversight. 258 COMMUNITY PRACTICE SKILLS

Borrowing from Cyril O. Houle (1989, pp. 10. The board should help the organization 90–94), the functions of governing boards can be promote a positive image with the public and described briefly as follows: with the other institutions with which the orga- 1. The board should make sure that the organization must transact business. The board is one nization remains true to its mission. of the organization’s main links to the larger 2. The board should make sure that the orga- community. These links are very important in nization engages in long-range planning and helping the organization establish legitimacy should approve the developed plans. and find the resources it needs to operate. 3. The board should supervise the programs 11. The board should evaluate its own perfor- of the HSO to assure that objectives are being mance and composition to keep its membership achieved in the best fashion possible. The board able, broadly representative of the community, needs to be sophisticated enough about pro- and active. It should assess its own processes grams, with the help of the executive and staff, and its ability to help the organization achieve to be able to make informed judgments. its mission. 4. The board should hire the chief executive Boards of directors, in addition to their other officer and establish the conditions for that per- functions, serve as important linchpins and son’s employment. boundary-spanning mechanisms. Board mem- 5. The board should work closely with the ex- bers help to network the agency with other agen- ecutive and through the executive with staff. The cies and give cohesion to the social agency executive has responsibility for administering community when board members serve on the the agency and for such functions as recruitment boards of more than one agency. Agency policy and deployment of staff, developing personnel and operations can be affected by influencing the policies, participatory decision making, conflict board members. They also link the agency to im- resolution, and developing effective fiscal con- portant community constituencies such as client trol measures. The board is ultimately responsi- groups, holders of fiscal resources, and commu- ble for making sure that executive functions are nity economic and political power holders. The carried out effectively. board’s membership helps to give the agency 6. The board should serves as the final arbiter community standing and legitimacy. A board’s and mediator in conflicts between staff members fiduciary responsibility, therefore, is to the on appeal from the decision of the executive as community. These functions and contributions well as in conflicts between the executive and should be considered when constructing and us- the staff. The executive has first responsibility to ing boards of directors. resolve conflicts, but the board must serve as the court of last resort. 7. The board should establish broad policies THE INFORMAL STRUCTURE: WHAT’S NOT ON governing the organization’s program within THE ORGANIZATION CHART which the executive and staff can function. These policies may originate with the board, executive, A transitional shelter for homeless men has a or staff. As mentioned earlier, usually such poli- formal policy of not serving drug addicts. To cies are drafted by the staff and executive in the check on their clients, a random system of urine form of recommendations to the board, and the testing is carried out, and if the test is positive, board may adopt, modify, or reject them after the client is supposed to be asked to leave the due consideration. shelter. A new social worker tries to follow this 8. The board is ultimately responsible to en- policy with one of his clients but is overruled by sure that the organization’s basic legal and eth- his supervisor. Why? Unknown to the new staff ical responsibilities are fulfilled. member, the social work staff has developed an 9. The board ultimately responsible for secur- informal system for rating drug-addicted clients, ing and managing adequate financial resources. so that some are given second and third chances This is tantamount to saying that the board must after positive test results. He did not yet know secure funding for its policy decisions. The the system; it was not part of any official agency board, for example, should not decide that the policy. Analyzing why this unofficial policy de- organization should move into a new area of veloped and how it operates would provide a programming without attending to the resources lot of insight into the workings of this particular needed to operate that program. Although se- organization. This example and our own expe- curing resources is not solely the board’s re- riences in organizations, if we think about them sponsibility, it is one of the board’s most impor- for a moment, remind us that the formal aspects tant functions. of organizational life do not tell the whole story USING YOUR AGENCY 259 of how organizations function. A more complete managing the symbols and dramaturgy of orga- understanding requires examination of the in- nizational culture. formal structure as well, that is, the associations From a management perspective, informal among members of the organization that are not groups and sometimes the organizational cul- part of the formal organizational chart (Scott, ture can knot up an organization in open con- 1973, pp. 105–106). The members of any organi- flict over a new policy or program, or subtly sab- zation form relationships with each other for otage it, or sometimes even make it work well. many different reasons—physical proximity on Since such associations always develop, man- or off the job, mutual interests, personal attrac- agement would seem to do well to work with tiveness, similar job responsibilities, shared val- the informal organization. This involves “not ues, social class, status, income or other social threatening its existence unnecessarily, listening characteristics, or because of some special issue to opinions expressed for the group by the that arises. Informal associations may take on a leader, allowing group participation in decision- small group life of their own with unique status making situations, and controlling the grapevine and communication systems, leaders, member- by prompt release of accurate information” ship requirements, and norms for behavior that (Scott, 1973, p. 107). associational members are expected to follow. If Nonmanagerial members of an organization formal relationships provide a skeletal structure also benefit from an understanding of its infor- for an organization, informal relationships are mal structure and culture. The formal structure the glue that holds an organization together and tells you who has the authority to make deci- makes it work. sions; but when that authority is remote, the in- Informal associations can strongly influence formal structure and organizational culture sug- organizational culture and behavior. Organiza- gests who communicates with whom, who has tional culture is the informal side of organiza- influence with the decision makers, and how to tions. Organizational culture is a pattern of gain access to them. The informal system reveals basic assumptions developed by groups of or- alternative sources of power in the organization. ganizational members to cope with problems of In addition, the informal system often serves as functioning in an organization that worked well the repository of organizational tradition and enough to be considered valid and, therefore, to history, oral history actually, because much of be taught to new members as the correct way to organizational life is left unrecorded. Since for- perceive, think, and feel in relation to those prob- mal and informal values and practices do not al- lems. It represents how things are and ought to ways agree, sometimes organizational members be (Gortner et al., 1987, 73–75; Schein, 1987, p. are faced with conflicting demands that are dif- 385). Organizational culture has (a) observed be- ficult to resolve. Better understanding of the in- havioral regularities, (b) values, norms, and formal system and some attention to organiza- rules such as a fair day’s work for a fair day’s pay tional history may help an individual avoid or don’t be a rate buster, (c). a philosophy, and (d) these situations. rules (or the ropes) (e) that create a feeling or climate that guides internal behavior and the ways members interact with publics (Schein, 1987, A Paradigm of the Competitive Culture p. 384). While all organizations have formal rules • Competition is good, because it brings to guide behavior, to understand the behavior of out the best in people and makes them organizational members and understand or pre- more productive. dict how an organization will behave under • With competition, the better, more different circumstances, one must know and unproductive people will succeed. derstand its organizational culture. Organiza- • The people who can’t stand the pressure tional culture determines the organization’s will fail to produce. symbols and reality construction. The organiza- • If they fail, they fail because they are tion’s reality is influenced by its culture and its made of lesser material. symbols and ideas that provide the way to in- • If we succeed, we are better than others terpret facts and data, The symbols are the emo- because we do succeed. tionally charged words, phases, acts, and things • If we succeed, it is because we are better that determines who gets what perks and privi- and therefore deserve better treatment leges, who fits in, and who are the organizational than those who are inferior and don’t heroes. The human relations and organizational succeed. development schools attempt to manage organizations by developing, manipulating, and 260 COMMUNITY PRACTICE SKILLS

Communication is the lifeblood of any orga- keyboard and monitor are replacing the water nization. Within the informal structure, commu- cooler and coffee room as the prime venue nication tends to be oral rather than written. If for office gossip. Computers, electronic infor- the memo is the symbol of bureaucratic com- mation, communication management skills for munication, the rumor could be considered the the World Wide Web, videos, closed circuit te- symbol of informal communication. “A rumor is lenets, interactive computer, video bases, inter- an unconfirmed message transmitted along active Web sites, and Internet virtual clinics are interpersonal channels” (Rogers & Agarwala- all critical technologies and skills for managing Rogers, 1976, p. 82). Since anyone can talk to and conducting practice. The use of the Internet someone else in the organization, rumors spread and the Web to promote social ideas, agencies, quickly through the grapevine winding under, and as a venue for therapy or counseling is es- over, and around official communication path- sential for twenty-first-century practice. E-mails ways. Rumors often have some truth to them, a and Web pages on the Internet provide ex- characteristic that tends to make them credible panded opportunities for public information dis- (p. 82). tribution, marketing, and case coordination. In- In studying organizations, the organizational ternet chat rooms are used for information chart gives us some idea of the formal structure sharing and emotional support groups (Finn, of communications. But how do we uncover in- 1996). Computerized library reference services formal communication structures? Communica- such as Social Work Abstracts and Psychlit al- tion in organizations generally can be studied low more rapid and timely literature searches in through network analysis, a network referring to developing case theory. Computers are most “a number of individuals (or other units) who useful in performing repetitive tasks, in storing persistently interact with one another in accor- and retrieving huge amounts of qualitative and dance with established patterns” (Rogers & quantitative information efficiently, and in ana- Agarwala-Rogers, 1976, p. 109). The basis for the lyzing quantitative information. They can be interaction may be common work tasks, com- used to retrieve specific information from ex- mon attraction or liking for one another (socio- tensive and complex data files or databases with metric dimension), or a topic of mutual interest. relative speed and ease. Case records can be “Each network is a small pocket of people who stored in computer files that allow for ease of re- communicate a great deal with each other, or a trieval and for the examination of traits and re- multitude of such pockets that are linked by lationships across cases to develop treatment ap- communication flows” (p. 110). Informal analy- proaches. Spreadsheet software enables greater sis might involve observations of who spends ease in fiscal management necessary in a com- time in whose offices, which groups eat together, petitive practice arena (Baskin, 1990, p. 6; Finn, regularly sit with each other at general meetings, 1988; Kreuger, 1997; Lohmann & Wolvovsky, and the like. Through careful observation it 1979). Although sometimes employed in ways should be possible to identify cliques, opinion that make no real contribution in return for the leaders, and individuals who seem to be able to effort, computers can allow access to massive bridge different formal and informal groupings amounts of information and are becoming oblig- (liaisons). Further systematic analysis is more atory for participation in many areas of society. complicated, involving the collection of socio- Everyone used to use card catalogues at the li- metric and other kinds of data through surveys brary to research term papers on social prob- of the members of an organization or a subsys- lems. Now people use computer indexes and the tem therein. Web to find out about problems, solutions, skills, resources, experiments, case studies, and arguments. They may also find that online resources COMPUTER RESOURCES AND USES IN are not always reliable because opinions abound AGENCIES AND PRACTICE in the new electronic dialogue. Electronic mail (e-mail) is a primary computer Agencies are requiring and social workers are resource and an essential communications tool. learning how new technologies can help pro- It can eliminate phone tag for professionals and fessionals and community residents (Giffords, allow messages to be sent with documents, lists, 1998). Electronic and online information re- or pictures attached. Communication systems sources now compete with traditional paper and are enhanced with e-mail and LANS of com- telephone systems. E-mail and local area net- puter stations. The use of e-mail is a reason that works (LANS) have greatly expanded the speed many small organizations and individuals have and quantity, if not always the quality, of in- computers with Internet access. It is possible for tra- and interorganizational communication. The community groups to obtain free e-mail ac- USING YOUR AGENCY 261 counts with a service on the Internet and to send versity of Maryland’s School of Social Work Web and receive messages from any accessible, con- site (http://www.ssw.umaryland.edu). nected computer. If you have Internet access, Internet users and even office LANS for you can get free e-mail through Yahoo, Hotmail, e-mails are cautioned to remember that they Juno, and many other companies, as well as from leave a trail. Unlike the water cooler and coffee local governments and community organiza- room gossiping, e-mail leaves an electronic and tions. In our democracy, anyone can e-mail our paper trail and is the property of and assessable nation’s leader ([email protected]). to the network managers. They are not truly pri- Internet access is useful to social workers in vate. Generally, office e-mails can be monitored several ways. General indexing services or and read by employers and LANS managers. In- search engines have a number of useful re- ternet managers can follow the electron trail of sources. These include nationwide telephone di- communication targets and e-mail addresses rectories, maps and driving directions, and local and messages. directories linked to media, government and community organizations, in addition to their primary function of finding Web pages (posted WORKING THE SYSTEM materials). State and local governments are rapidly publishing detailed information about Formal decision-making processes in organi- their programs and the personnel responsible for zations are necessary for action on major poli- them on the Internet. cies, organizational goals, and large expendi- Our agencies must be sensitive to the design tures of resources. However, within the formal of our own Web sites to make sure they are structure of goals and policies, staff members useful, interesting, and accessible to everyone and managers must make daily operative deci- (Smith & Coombs, 2000). Community education sions using their own discretion on a wide array materials about general governmental activity of significant and insignificant but necessary or particular legislative bills can be obtained by matters. Some of these operative decisions fall electronic means (Bourquard & Greenberg, 1996; solely within one’s own jurisdiction; many also Perlman, 2000). Knowing how to use the Inter- involve someone else’s purview. A letter has to net allows anyone, including disadvantaged per- get out right away and your computer is down; sons, to be in instant contact with experts— documents must be copied to complete an im- lawyers, architects, and planners—from around portant client referral; a client in crisis needs im- the country for purposes of self-education, plan- mediate attention and an exception to policy to ning, or action (Blundo, Mele, Hairston, & take care of it. How do you get around the rules Watson, 1999; Mele, 1999). Caring professionals or get the rules bent or priorities rearranged to have launched projects in places such as rural make the organization work better for yourself Florida to ensure Internet access to low-income and your clients? In other words, how do you communities. work the system to accomplish what you need Like most people in society, social workers are to get done on your own behalf or on behalf of developing skills to use computers and the In- a client? We will consider this question in the ternet to communicate and gather information. present section, recognizing that some of the re- A number of basic texts are available for those quirements for working the system also apply to who want to achieve computer literacy or make broader efforts to change agency policies and better use of their computer, from finding a priorities that will be discussed in the next client who has vanished to obtaining fundrais- section. ing information (Basch & Bates, 2000; Ferrante & In considering the question of working the Vaughn, 1999; Martinez & Clark, 2001; Yaffe, system or changing agency policy, let us first 2001). Local libraries may be helpful to clients, note our assumption that the worker is an active to our community groups, and to us in demon- organizational participant, not merely a passive strating what can be done. Some useful Web recipient and implementer of orders from above. sites are those of the Association for Community As a professional social worker, you are called Organization and Social Administration (http:// on to exercise judgment in your practice in ac- www.acosa.org); a site called “World Wide cordance with the values of the profession, not Web Resources for Social Workers” that is merely to act out of loyalty to the organization. jointly sponsored by New York University’s Sometimes this means working the system. Ehrenkranz School of Social Work and the Divi- Sometimes it means trying to change agency pol- sion of Social Work and Behavioral Science, icy and practices altogether. Second, the ques- Mount Sinai School of Medicine (http://www. tion of working the system implies that organi- nyu.edu/socialwork/wwwrsw/); and the Uni- zational flexibility is necessary and desirable in 262 COMMUNITY PRACTICE SKILLS the face of the myriad uncertainties that every others, hence building potential political or so- HSO encounters. cial indebtedness. In a reciprocal relationship, Both working the system and changing the the debt that you are owed may be used to ob- agency require the worker to understand formal tain assistance, reorder priorities, or take care of processes for decision making, formal and in- a problem that you need to solve—for example, formal sources of power, and formal and infor- getting your letter typed right away by a busy mal agency rules that guide decisions. This secretary or getting some inside information. As means the worker needs to understand how de- these exchanges are made, of course, you may cision are made, who makes them, and who in- incur debts in turn. fluences the decision-making process, since per- In order to strengthen one’s legitimacy in the sons in authority seldom act alone without input organization, the worker seeks to establish com- from various subordinates or others connected petence and expertise to deal with a particular with the organization (Patti & Resnick, 1972). To problem area. Thereby, the worker gains influ- work the system, the worker will then have to ence in decisions affecting the problematic area. decide whether a formal decision is necessary to Remember, the sources of power in an organi- pursue the particular course of action in mind, zation are a function of controlling resources or whether the course of action merely involves others need or the ability to resolve uncertain- some organizational tinkering (Pawlak, 1976) ties that the organization cannot tolerate. Com- that can be handled informally or by exercising petence in one area may help the worker to es- personal discretion. If you are new in the orga- tablish a reputation for competence in other nization, if you have not yet established your areas, thereby gradually enlarging his or her own legitimacy and influence, or if the course of sphere of influence. Building up one’s social cap- action you want to take violates a basic policy or ital is a major practice task preceding a worker’s organizational tradition, you may be wise not to attempts at organizational change. act without first seeking a formal decision or the approval of an administrator. Formal and informal organizational rules beg CHANGING THE AGENCY FROM WITHIN to be tinkered with. The reason is that “rules vary in specificity, in their inherent demand for Sometimes agency rules, policies, or even en- compliance, in the manner in which compliance tire programs need to be changed in order to pre- is monitored, and in their sanctions for a lack of vent or correct an injustice or to improve agency compliance” (Pawlak, 1976, p. 377). Therefore programs and services. For a variety of reasons, workers can bend or get around the rules by ex- these changes may not be initiated from the top ercising discretion in the case of an ambiguous down. Line workers and middle managers often or general rule or by the interpretation of the rule have to act as agency change agents in their own that they choose to make. For example, an interests or in the interests of their clients and agency rule for referring homeless persons for for the good of the agency. For example, a new emergency health care can be interpreted strictly staff member in a community mental health cen- or liberally. In some cases, a sound knowledge ter found, in following up with clients, that of the rules may enable a worker to challenge an many former mental patients were living in interpretation of a rule with another contradic- group homes near the agency that were little tory rule or to find the exceptions that can be more than human warehouses. When she sug- used to justify one’s decision. Workers also need gested to her supervisor that some group ser- to exercise caution in asking their superiors to vices might be extended to these homes, she was interpret a rule rather than using their own judg- met with a negative response: “Our agency has ment, lest the authority render an unfavorable no funds for outreach services of that sort.” decision that must then be complied with. Should the matter end here? From our point of In working the system or trying to change it, view, no. The worker, as an advocate for her we can increase the success rate of our efforts as clients, should try to find some way of getting advocates and change agents by developing our them needed services, and her own agency is a own “social capital” or influence in the organi- reasonable place to begin. Can the worker do zation (Brager & Holloway, 1977). This involves anything to help move the agency in a different two approaches: (a) establishing positive ex- direction? Potentially, yes. How might a worker change relationships with other members of the go about acting as an agency change agent, organization and (b) establishing personal legit- whether in this instance or in the numerous imacy. In the former case, by offering support, other situations that arise? assistance, approval, or favors, the worker cre- Viewing the agency here as the client system, ates an obligation to reciprocate on the part of let us consider the change process for a moment. USING YOUR AGENCY 263

As in other forms of professional social work ture surrounding agency decision making, the practice, change, as we are considering it here, change strategies that are selected, and the rela- is purposeful change. That is, it is change that tive power of the change agent. The worker’s po- results from a deliberate process of intervention tential vulnerability suggests two practical steps. by the worker. Using a traditional problem-solv- First, the worker, as an internal change agent, ing framework, then, the worker would first must assess the risk of punitive sanctions and take study the problem and learn as much as possible these into consideration in planning a change about the agency, with special attention to how strategy. A new worker who is still on probation power is exercised, who exercises it, and how must obviously operate more cautiously than a decisions are made. Next, the worker would as- worker with civil service longevity or long- sess what needs to be done in order to bring standing influence in the agency. Strategies and about a change based on the information that has tactics that are apt to provoke a strong response been generated, and a specific change goal or from the administration should be weighed care- goals would be developed. Third, the worker fully. Second, the worker should try not to act would develop intervention strategies, or strategies alone; that is, the change agent should really be for changing the client system, and implement a change agent system. This means that the them. And finally, the worker would evaluate worker must utilize knowledge of the informal progress or lack thereof toward achieving the system to identify allies who share his or her con- goal(s) and make necessary adjustments. As Box cerns and think strategically about involving in- 9.4 indicates, these are ways to “work the fluentials in the change effort. Connections to system.” sources of power outside of the agency may also While the internal agency change process mir- help to decrease one’s vulnerability to sanctions. rors other client change processes, the position Box 9.5 presents a change effort by a social of the worker in this process differs. Since the worker. target system, in this case the agency, did not re- To operate as an internal agency change agent quest assistance from the worker, and since the it is useful, even necessary, to have a mental im- worker is an employee of the agency and there- age of the organization as a dynamic system. (If fore in a reduced position of power vis-à-vis the you don’t see the system as changeable, you’re client system, the worker may be vulnerable to not likely to try to make any changes.) Kurt punitive sanctions. The risk of such sanctions Lewin’s (1951) field theory helps to provide that depends on a variety of factors, such as the na- image. Lewin looks at organizational systems as ture of the change that is being sought, the cul- fields of countervailing forces. Imagine a system

BOX 9.4 RULES OF THUMB FOR WORKING THE SYSTEM

1. Learn the decision-making process in the viously, as support for your action. Re- agency and for the particular course of ac- member, use the rules when they are help- tion you are interested in. ful. 2. Learn who has the formal authority for mak- 7. Decide if your course or action requires a ing decisions, as well as who has informal formal decision or whether you are better influence with decision makers in the orga- off exercising personal discretion or han- nization and department. dling the matter informally. Avoid formal- 3. Build your social capital by developing ization when it’s not in your favor. positive exchange relationships with other 8. Decide if overloading the system will be members of the organization and with or- helpful. If so, overload the old protocols and ganizational decision makers. have new protocols ready to replace them. 4. Build your social capital by establishing 9. Use the informal system to get necessary in- your expertise and competence in manag- formation and compare notes (remember ing a particular problem area. reciprocity). 5. Learn as much as you can about the rules 10. If necessary, draw on your social capital to that can be bent or avoided safely by your accomplish your objective (and remember course of action. to rebuild it). 6. Search for loopholes, contradictory rules, or cases in which exceptions were made pre- 264 COMMUNITY PRACTICE SKILLS made up of different kinds of forces pushing, After studying the problem (in this case, the with varying degrees of intensity, both in the di- problem is in the agency but the framework rection of system change (driving forces) and in could be applied to an individual, a family, a the direction of resistance to change (restraining group, or a community), collecting the necessary forces). Forces include variables ranging from information about the agency mentioned previ- external environmental factors, such as access to ously, finding allies, and taking account of the resources, to internal organizational factors, workers’ potential risk, a worker can systemati- such as rivalries for influence or any other of the cally analyze the force field to develop a strategy myriad variables of organizational life. When for organizational change. The material that fol- these forces are in balance, the status quo is lows provides a practical set of Force Field Anal- maintained; but when the forces are out of bal- ysis Steps for conducting a force field analysis lead- ance, the resulting stress creates a period of dis- ing to a potential organizational change strategy. equilibrium until the forces are realigned and a Follow these steps, using the Force Field Analy- new dynamic equilibrium is reestablished. With sis Inventory located at the end of the chapter. respect to a specific change, if driving forces are We have partially completed the inventory us- increased or restraining forces are reduced, or ing the example of the deinstitutionalized men- some combination thereto, then change will take tal patients warehoused in group homes. See if place (Brager & Holloway, 1978). you can complete it or try your own situation.

FORCE FIELD ANALYSIS STEPS

Step 1 (uncertain). Place the appropriate letter in the column to the left of the restraining forces and Describe the problem or need succinctly. This to the right of the driving forces. is the situation you want changed. Record this on the Force Field Inventory (FFI). Step 6

Step 2 Identify the crucial actors and facilitators whom you feel will be best able to influence the forces Specify the SMARRT goal or objective to be you have identified as amenable to change. achieved. In doing this, you begin to break the Record them on the FFI. problem down into smaller parts. Be as operationally specific as possible. Your goal or ob- Step 7 jective should be stated so that it can be measured. Record your goal on the FFI. List the driving and restraining forces that are amenable to change and identity the actors who Step 3 can influence these forces. Record them on the FFI. Identify all of the restraining forces—those that contribute to the problem or work against goal Step 8 achievement. Record these forces on the FFI. Select two or more restraining forces from your Step 4 diagram and outline a strategy for reducing their potency. The forces should be both important Identify all of the main driving forces—those that and changeable. Record your plan on your FFI. currently or potentially support and work for changes to achieve the goal, Record these forces Step 9 on the FFI. Select two or more driving forces from your di- Step 5 agram and outline a strategy for increasing their potency. The forces should be both important Estimate the amenability to change of each and changeable. Record your plan on your FFI. force. Designate each as H (high), L (low), or U USING YOUR AGENCY 265

Changing the agency from within, as we have and who have had some organization develop- presented it here, views the organization as a tar- ment training may also use organization devel- get of change (a target system). This perspective opment methods of intervention when collabo- does not assume cooperation from management rative strategies are appropriate. at the outset, although it by no means eliminates When the action system and the target sys- that possibility. In fact, to the extent that collab- tem agree that a problem exists but disagree orative strategies, such as joint planning ses- strongly on what should be done about it, sions, can be used to help change the organiza- change agents may have to use campaign tac- tion, these are almost always preferable to tics to influence the organization (Warren, conflict-oriented strategies. They are most ap- 1969). “Campaign tactics include political ma- propriate in situations where the action system neuvering, bargaining and negotiation, and and the target system have good communica- mild coercion” (Brager et al., 1987, p. 353). Po- tion, and where they basically agree that a litical maneuvering is involved in all sorts of in- change needs to be made and that the direction ternal (and external) change efforts. It takes of the proposed change is desirable (Brager, many forms, from persuading uninvolved Specht, & Torczyner, 1987). agency or outside influentials to join the change When the change agent is an outside consul- effort to trading bargaining chips. However, tant brought into the agency by management to once a campaign moves to formulating de- help solve an agency problem or to create a par- mands as the basis for bargaining and negotia- ticular change, such as more receptivity to an tion, this approach, as well as more disruptive, emerging client population, the organization in conflict-oriented strategies and tactics, require this context can be viewed as a client system. The a well-organized action system, intensive, care- agency, in effect, is the management consultant’s ful planning, and a strong commitment to the client. Many management consultants use orga- end purpose. It goes without say that all strate- nization development strategies, which are always gies are usually time-consuming and are likely “cooperative, collaborative, and consensus to provoke angry, hostile responses from man- building in nature” (Resnick & Menefee, 1993, p. agement. For these and other reasons, staff re- 440), to achieve their aims. The interventions that bellions occur relatively infrequently, though are part of this discipline include such methods they may be necessary when important values as “team building, intergroup activities, survey are at stake. On the other hand, successful bar- feedback, education and training, technostruc- gaining and negotiation commonly does take tural activities, process consultation, grid orga- place when a staff is unionized. Social workers nization development, third-party peacemaking, have a long history of participation in the union coaching and counseling, life and career plan- movement, past and present (Alexander, 1987; ning, planning and goal setting, and strategic Wenocur & Reisch, 1989), so that unionization management” (Resnick & Menefee, 1993, p. 439). still remains as a viable option for disgruntled Staff members who are acting as change agents social workers.

BOX 9.5 CHANGING AN AGENCY FROM WITHIN: CHAINIE SCOTT

Quiet and attractive, Chainie Scott1 is an MSW the Washington Post. The social action in which with the foster care system in the District of Co- Ms. Scott participated resulted in mandates for lumbia. In 1990 she took part in a sustained ef- new policies for the foster care system. (In 1995, fort within the agency to draw attention to huge the courts placed the system in receivership.) caseloads and subsequent neglect by the system The whole process we went through, myself of children entitled by law to receive help from and other social workers, I don’t think we put a the city. First a foot soldier going to meetings title to it in any set category of social activism and sharing her horror stories, Ms. Scott gradu- or anything. It was a reaction of professionals. ally became more involved and was eventually The kind of thing you do for your clients all the one of only two agency workers to testify against time, we needed to do for ourselves. It was a the system in the case the American Civil Lib- natural progression of events. The situations we erties Union brought against the city. As a result faced were so difficult: large volume of cases, of her leadership and as part of their change tac- inability to visit clients, lack of basic resources tics, Ms. Scott was featured in several stories in like cars, and telephones that didn’t work. 266 COMMUNITY PRACTICE SKILLS

BOX 9.5 (CONTINUED)

I had gone to meetings, had voiced concerns, people there, and they were saying things that but I didn’t spearhead the action that went on. didn’t hit home. They weren’t getting at the meat I was a soldier rather than a leader, which was of it. So, I just started talking. I said, “Wait a sec- good because everyone needed to play their ond, what about this? What about that?” They, role. Working with the agency for about three I don’t know, I guess they were impressed. They years, I was very frustrated; 99 percent of the kind of said, “Oh, yeah, she’d be good. Get her.” people were feeling frustration. I had reached [Laughing] the point where I decided it didn’t matter—there They asked if I wanted to do it. I said no at wasn’t anything they could do to me. It didn’t first. Then after some thought, I said, “Okay, I’ll seem fair, because I thought I deserved better do it.” than this as a professional. I have a graduate de- As a result, the ACLU decided it was appro- gree, and so I assume I should have a better priate to bring suit against the District of Co- working environment. Most importantly, it didn’t lumbia on behalf of Leshawn A. and seven other seem fair to the children. It seemed like such a foster care children. The suit talked about the lie. Here we are, an agency that is supposed to lack of continuity of care for the children, chil- protect and serve children, and we weren’t do- dren remaining in homes that were inappro- ing either. To see the kind of suffering that hap- priate, children who didn’t have appropriate pened. There was a lot of hesitancy on my part. permanency plans. The suit named all the de- I figured, “What the hell, what do I have to lose?” fendants: the mayor, a director of human ser- [Jokingly] Fire me! Fire me! vices, the commissioner, the administrator, and Q: Can you describe the social action in- the family services division chief. We had to go volved in confronting the injustices in the foster to court. care system? It was scary! There was only two of us who A: There was definitely a plan. There were so- gave testimony in Federal Court, Judge Hogan’s cial workers who spearheaded the whole thing. courtroom. It was just matter-of-fact questions, Everyone else made their contribution either by but it was someone who was on the front line comments or by coming to meetings or helping answering those questions with answers that you draft memos that would be sent upstairs. There wouldn’t get from the administration. The order was fear, too. No one wanted to risk their job, came down from Judge Hogan that our child or their reputation, or their career or whatever. welfare system is unconstitutional to the chil- We tried to go through the chain of command. dren. After the Leshawn hearing ended and the All the memos went to the right people. All the ruling came down, we did interviews for the ra- meetings were checked with the right people. dio. That was still a part of the process. The newspaper—Everything started gradually. I’m not sure what the process is going to be There were some studies going on by the Child in the post-Leshawn days. I don’t know how ac- Welfare League looking at foster homes. The tive I’ll be. I’ll be there, but I may not be in the climate for foster children in the District of Co- front. We said early on we should be part of the lumbia was such that they were not being pro- remedy for change. It never happened. I read vided the services mandated by Public Law through the plan, and it’s a good plan. But I think 2-22. How not to run a child welfare system! it could have had a different tilt to it had line- The American Civil Liberties Union became in- level social workers been involved. There’s this volved. From reviewing records, they focused on callousness beyond the line-level social worker. the cases of Leshawn A., a child in foster care, Maybe as you move up and become more of the and seven other plaintiffs, all foster children. The policy part of it, you’re so far removed you don’t ACLU also began to see the problems that the feel it—because you don’t see it. That’s why system was having. we’re having so many problems now with the It was, for me, a feeling like somebody had to plan. do something. There was a meeting with an That’s been real difficult. Here we are now, 2 ACLU attorney. The word was out that this per- years later, and people are still leaving. The big son from the ACLU needed to talk with line-level thing our agency keeps talking about now is, we social workers to see what’s going on. I went to have hired 90 new social workers. I say you need the meeting. I listened. There were a couple of to ask how many have left and why did they USING YOUR AGENCY 267

BOX 9.5 (CONTINUED) leave? I can bet you, they left for the same rea- I feel real changed by what happened in that sons that came out at the court hearing—lack of I’m not afraid. I was afraid of them. It was like cars, lack of support, lack of resources, lack of treading on water. But now, I think I have a bet- direction, too many cases, overwhelmed. ter sense of the process. When you speak out, They’re leaving for the precise reasons that folks and if you have the commitment, you have to like myself and all the others have been com- figure, “What can they do?” If they do some- plaining about and crying and screaming and thing, what difference does it make so long as saying, “Hey, help us!” Nothing has changed for the change that you want comes about? it! How could that possibly be? Inside themselves, social activists have to After the lawsuit had been won and reforms know where their commitment lies. They need were slowly underway, Ms. Scott has had time to know what that battle is for them; if they have to reflect on the process and the outcome. the resolve to do it; if they end up becoming a Professionally I say the court win was good. sacrificial lamb, whether that’s okay with them. Personally, I say I don’t think it really made a This is something you have to go through and difference. Professionally it was good because not feel bitter about in the end. In the classroom it was something you have to do as a social you have to learn what it is to organize, how to worker. You have to be the one that says, “Oh, communicate what those concerns are that wait a second, this is wrong, this is not right, you’re dealing with and how you want to see we’re not doing this right.” You have to not al- those issues resolved. You certainly have to have low yourself to get brainwashed by your system, a frame of reference. You need to understand whatever that system is—private or government. why people didn’t want to change. You bring all If it’s not right, then you have to say something your knowledge together. In the process of or do something to make it different. Personally, change, you have to continue to be part of the I don’t think it made a big difference because I remedy. You just can’t bring it on. You have to just don’t think our administration has the stom- be there to help devise the rules. ach for it, the courage, or the commitment to do [Laughing] It was a fun process. You get all it. They talk good talk, but they’re not walking psyched up! “Yes, let’s go! Oh, yeah, that’s what the walk. you want to do? Grrr!” It’s very exciting! I have When I started in 1987, we were getting cases no regrets about anything I did. As a matter of on our unit, mommy on crack, mommy selling fact, I feel proud of myself. I have a sense of food stamps, mommy leaving child alone, leav- principle. I thought testifying, etc., was the right ing child with unwilling caretaker, child left thing to do. Now, I want to leave district gov- alone, electricity about to be cut off, mother fac- ernment. I can make a much more positive im- ing eviction. Every single case. Now somewhere pact outside of a system that’s restrictive and bu- along that line, somebody in a position of pol- reaucratic and censorized. So, while I’m still icy, of administration, should have said, “Now feeling some of those frustrations that led to what kind of cases are we getting? What’s go- wanting to change the foster care system, I made ing on here? Is there a trend going on out there?” my mark when it was appropriate for me to make There was no forecasting, no planning, no sense my mark. I don’t want to continue being on the of how the population changes or what kinds of front line anymore. I have enough experience things we are seeing. It didn’t have to get as bad and ammunition and that thing that gets in you as it was. What could have qualified as social when you’ve been through a lot—that “we can’t action is if one of the administrators had said, let this happen again because I’ve lived through “Wait a second. We have a problem here. Let’s it.” It would be a natural progression to do ad- stop this.” If commitment was there, why are we vocacy for a group. I always find myself look- still where we are? I don’t want to hear that it ing at this big picture. I see myself staying in so- takes a while to turn the system around. I know cial action in some capacity or another. it takes a while to turn the system around. How Ms. Chainie Scott-Jackson, largely an unsung did it get this way? Why didn’t someone do social work hero except by those who knew her, something, rather than taking the posture of busi- died of leukemia and lymphoma on December ness as usual? 5, 2002, in Lanham, Maryland.1 268 COMMUNITY PRACTICE SKILLS

Last, whistle-blowing (calling to the public or a protect their own. The potential whistle-blower higher authority’s attention wrongdoing by an should apply the guidelines set forth in Chapter agency or its management) is a change option. 1 to be sure the action is fair, in the public in- Whistle-blowing often carries with it very real terest, and is the least harmful of the available personal costs and doesn’t always result in or- alternatives to colleagues and the agency (Reisch ganizational change. Agencies tend to rally to & Lowe, 2000).

FORCE FIELD ANALYSIS INVENTORY2

Definition of Terms Restraining Forces: Forces which when increased or stay the same reinforce the status quo Critical Actors: The individuals or groups who or move conditions away from the objective. have the power to make a change. Their sup- Potency or Strength: The strength of the report or approval is necessary in order for your straining or driving force to inhibit or promote SMARRT objective to be achieved, change. It can be rated high (H), low (L), or un- Facilitators: A type of critical actor (1) whose certain (U, unable to assessed). approval must be obtained before the problem Amenability of Conditions to Change or Influ- can be brought to the attention of other critical ence: The potential to change the potency of a actors and (2) v/hose approval, disapproval, or force, for example, the ability to increase a driv- neutrality will have a decisive impact on a crit- ing force’s or decrease a restraining force’s po- ical actor(s). tency. Driving Forces: Forces which when increased change behavior and conditions in a desired and planned manner toward achieving the objectives.

Problem Situation or Need SMARRT Objective

Support group services needed for mental pa- Have an operational support group service for tients in the Green Street Group Home the mental patients in the Green Street Group Home by January 30, 20xx.

Restraining forces against establishment of Driving forces supporting establishment of support group (Rate Potency or Strength: H - support group (Rate Potency or Strength: H - high, L - Low, U - unable to decided) high, L - Low, U - unable to decided)

Tight budget and fiscal situation ( ) New Program Director wanting to establish her- Transient caseload ( ) self ( ) Clinical staff opposes ( ) Social Work Interns Available ( ) No group worker on staff ( ) Patient Interest in Support Group ( ) Media coverage of Warehousing Mental Patients ()

Critical Actors (CA) and Facilitators (F)

1. Program director (CA) to approve group and reduce clinical opposition. 2. Social work field practicum director (CA) to assign appropriate student intern to agency. 3. Agency director (F) needed to approve project operation 3. Media beat reporter (F) – to do a story on the facility after support group begins USING YOUR AGENCY 269

4. School of social work faculty (F) to serve as a field instructor for student intern and provide legitimacy to the project. 5. Others (based on your agency experience speculate as to possible critical actors and facilitators)?

Based on your agency experience speculate as to what other forces, critical actors and facilitators that might serve as driving forces?

Based on your agency experience speculate as to what other forces, critical actors and facilitators that might serve as restraining forces?

Change Strategies

• Strategies to reduce the potency of the restraining forces and to influence conditions to become amenable to change. • Strategies to increase the potency of the driving forces and to influence conditions to become amenable to change.

Discussion Questions

1. If a change in client services is needed in your 2. If clients are being harmed by an agency pol- agency, how will you go about making the icy or operation and the agency management ap- change? pears unwilling to alter the program or operation, what is your ethical obligation? What should you do?

Notes

1. Chainie Scott was interviewed on November changed component back to an old, prechange, 6, 1992, by Brenda Kunkel, a graduate student at state. This is especially true in large complex or- the University of Maryland School of Social Work ganizations where policymaking is remote from for Challenging: Interviews with Advocates and the operational or line level. Child welfare ser- Activists, a 1993 monograph edited by Dr. Patri- vices, like services from most large metropolitan cia Powers. A caveat must be added to the Dis- social agencies, suffer from inadequate funding to trict of Columbia Foster Care case example of or- fulfill their responsibilities. ganizational change from within. The situation in 2. Force Field Analysis is a tried and tested ana- the agency is still problematic. Change of any lytical methodology. Its procedures and formats large organization is complex. It requires an abid- are available from many resources. This format ing effort if the change is to endure. Systems the- was adapted from Lauffer (1982) and from Salus, ory indicated that while change in one part of the Reagan, and DePanfilis (1986). Also see Brager system will change other parts of the system and and Holloway (1978). changes in the inputs will change the system, unchanged components of a system tend to bring the 270 COMMUNITY PRACTICE SKILLS

References

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Sometimes it seems that all social workers ever by which social advocacy, interagency and in- do is go to meetings. There are staff meetings to terprofessional planning and coordination, and clarify agency policies, team meetings to coordi- community development are accomplished. Al- nate treatment plans, interagency meetings to though we often participate as members of a task work out service agreements, board committee group, in this chapter the role of the social meetings to plan fund-raising events, profes- worker is conceived predominantly as leader, sional association committee meetings to do chair, or staff member. The roles’ tasks can be conference planning, and community meetings. adapted to participation as a member in work These are not clinical group meetings. None of groups if we keep in mind why task groups are these meetings involve direct group work with used. We participate in work groups because we clients—for example, running a treatment group want to get something done and need a group for sexually abused girls, a parenting group for to get it done. Regardless of our formal position new mothers, or a socialization group for senior in the task group, we should assume leadership citizens. But they are social work professional when necessary to enhance the group’s effec- groups. It is to be hoped that all of these meet- tiveness. Leadership and decision making in task ings are necessary for direct service work to go groups and organizations, including social agen- forward. All of these meetings involve work cies, are rarely democratic with everyone having with task groups of some kind—committees, equal authority and say but should be consultative- task forces, boards, teams, coalitions, task forces, participatory. planning bodies, and the like. Task groups are working groups established to achieve some specific purpose or goal. The specific purpose A CASE EXAMPLE goal or goal is usually external to the group and does not focus on changing the traits of indi- Besides the task groups in direct service agen- vidual group members (Kirst-Ashman & Hull, cies, social action organizations also are sus- 2001, pp. 90–100; Payne, 2000). tained by task groups. These may be temporary, Effective work with task groups, an important ad hoc groups internal or external to the orga- aspect of all social work practice, is essential for nization. Organization or agency members, staff, community practice. The task group is one of the or leaders can serve a part of outside groups main vehicles through which community prac- formed by other organizations. Organizations tice is carried out. Organizing groups and com- also support the work of task groups without mittees and participating as chair, member, or members serving on the task group or control- facilitator of one of these bodies are the means ling the task group. Organizations may also have 272 USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 273 to fight the work of task groups formed by engaged. Sociologist Mark Warren has studied opponents. A distinctive and critical feature of the Industrial Area Foundation, particularly in macropractice and social action task groups is the Southwest. He provides an organizational involving the community. The task groups are map of the units constituting one Fort Worth af- used to recruit and train leadership, deve;lop filiate known as ACT (see Table 10.1). In this ex- and tailor participation for subgroups of com- ample, the task groups that comprise the orga- munity members, further program objectives, nizational apparatus are permanent by design, and empower the community members. Very even as their membership changes. ACT was small organizations use work groups to build formed to bring together African Americans, networks and alliances by involving contribu- Anglos, and Mexican Americans in united social tors from other organizations, and huge organi- action on pressing issues (Warren, 2001, Chap- zations use groups to create more intimacy for ter 4). As Warren (2001) explains, “ACT leaders participants and get down to the grassroots level. from different communities have the opportu- Progressive organizations use these work groups nity to build bridging ties with each other to enable members to run the organizations. through working together on action teams and Some established community organizations on organization-wide leadership bodies. Action have an enormous reach geographically or teams work on a variety of campaigns, like job in their network of institutional members training. Meanwhile, about 45 leaders, drawn (churches, unions, schools, and other commu- from all member congregations, meet monthly nity organizations). This requires an organiza- as the organization’s central decision-making tional structure and process that can keep asso- body. The Strategy Team brings about 16 lead- ciation and individual members of the alliance ers from the three racial groups in the organiza-

TABLE 10.1 Teams and Other Ways to Involve Organization Members

Organizational Unit Composition and Involvement

Cochairs Two or three top leaders, including chair of Strategy Team and The Organizing Council (TOC) Strategy Team (Executive Committee) 16 key leaders representing three ethnic groups that comprise TOC Meets bimonthly to plan strategy; sets agenda for TOC Co-opts its members from TOC The Organizing Council (TOC) About 45 attendees, usually two to three leaders from Steering Committee each member church Decision-making body Meets monthly Delegates Assembly Size varies from 30 to 80 members Meets occasionally, usually every 3 months, to ratify important decisions Action Teams Five to seven members, usually triracial leaders drawn • Job Training from different churches • Bond • Health Care • Parental Empowerment (schools) • Education Reform • Neighborhood Strategy Project • Utility Reform • Money Campaign (fund-raising) Member Church Committees Address church/neighborhood concerns Implement ACT-wide campaigns in the church Annual Convention Network of all leaders (1,000–2,000 depending on year); stages ritual events that endorse agenda and leadership; conducts business with public officials

Note. Adapted from Dry Bones Rattling, by Mark Warren, 2001, p. 115. Copyright 2001 by Princeton University Press. Adapted with permission. 274 COMMUNITY PRACTICE SKILLS tion together to act as the executive committee” place before any substantive work begins. Fre- (p. 114). quently the contract is implicit, as with the What may be a complicated structure for a school social worker who organizes a parents typical association can be very functional for sus- group to develop a mentoring program. Here the taining an alliance involving the socially mar- social worker’s and members’ understanding ginalized. When community organizations seek of their respective roles and responsibilities to further community participation, they create evolves out of their shared interaction and out structures that seem elaborate but are designed of the worker’s explanations or interpretations to be inclusive and democratic (again, see Table of the different roles in the group. 10.1). Grassroots organizations to build and bridge social capital may entail a different process. For instance, several regional campaigns to TEAMS engage communities in social justice work have hired up to 60 organizers as organizational staff Teams are a specific type of task group. A team and community organizers. The intent is to unite generally is a number of people working to- an institutional base of civic and church organi- gether, with each member or position on the zations to fashion an infrastructure. The infra- team having a fairly unique, complementary, structure consists of (a) support for the 20 to 100 and essential contribution that forms a whole organizations in the umbrella (e.g., interparish) necessary to achieve the common and shared and (b) a voluntary leadership cadre on which goal. Although each team member’s contribu- each participating organization depends (e.g., tion may not be equal, all are necessary. There intraparish). Thus, community workers link dif- is interdependence. Success or failure is defined ferent organizations as they meet with many or- as a collective achievement. Individuals do not ganizations and federation members in small achieve success without the whole team’s achiev- groups. ing success (Payne, 2000, pp. 5–7, 55–59). Mem- Like other parts of professional social work, bers with contributions not truly needed are not social work practice with task groups involves a truly team members. And there can be no all- deliberate process of intervention to accomplish stars on losing teams. a goal. Just as direct service workers interact pur- Teams can be used to coordinate different ex- posefully during interviews with their clients, pertise or to form networks. They are used in social workers use themselves consciously and social services as linchpin structures to unite the deliberately in meetings to further the aims of resources of different organizations, or intraor- the task group. No social worker participating in a ganizationally to coordinate resources of differ- task group, whether as staff, leader, or regular mem- ent units in the same agency. A linchpin struc- ber, should approach a meeting unprepared. The task ture connects a network of units with its group, in that sense, is an action system for the members as representatives or linking units to social worker. Members of a task group usually bring the constituencies to the team’s task. participate as citizens, colleagues, or representa- Teams, whether linchpins or composed of in- tives of larger network constuencies who come dividual expertise require certain strategies for together to achieve an external purpose. They effectiveness and accountability (Payne, 2000): have not sought the social worker’s help with an interpersonal or intrapsychic problem. The so- • Boundaries between each member’s expertise, cial worker’s preparation is for helping them contributions, and authority-responsibility- work on the task. Even when the task group is accountability (A-R-A) should be clear and un- composed of agency clients, the aim of the derstood by all team members. group, as a working group, is external, not in- • With A-R-A clarity, each member should ternal. Clients are part of an action system. know the contributions, the roles, of other The worker does develop a contractual rela- team members and the policies, rules, and pro- tionship with the group as with a client system. cedures for coordination. Sometimes the contract is explicit: The agency board hires a social worker to coordinate its • The team should build on the strengths inside fund-raising efforts, or the agency staff members the team and use the members to link to re- hire a consultant to help them improve their skill sources outside the team. in serving a population with special needs. A • The team should emphasize the use of con- written job description may form the basis for a sensus and a consultative-participatory lead- working agreement, and direct negotiation ership for team decisions. Consensus is de- about roles and boundaries will usually take fined as meaning “everyone can live with it” USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 275

rather than “everyone thinks it’s the best thing eventually lead to agreement on a plan and its to do.” implementation. • Respect, extend, and work with each mem- A group’s process dimension deals with the na- ber’s skills. While maintaining some flexibility ture and dynamics of the interactions and rela- for reorganization and recognizing that it is tionships that develop within the group. In the sometimes necessary, avoid frequent reorga- words of Philip Hanson (1972): “Process is con- nization as it confuses A-R-A, weakens cohe- cerned with what is happening between and to sion, and complicate coordination1 group members while the group is working. Group process, or dynamics, deals with such items as morale, feeling tone, atmosphere, influ- As teams are specific types of work groups, ence, participation, styles of influence, leader- task forces are special subsets of teams (Gersick, ship struggles, conflict, competition, coopera- 1988). Task forces are working groups that are tion, etc.” (p. 21). action oriented, time limited, and formed ad- While task and process dimensions of group ministratively to deal with problems that cannot interaction are conceptually distinction, opera- be solved by routine methods (Johnson, 1994). tionally they are inseparable. Task groups are Their particular nature, it is argued, make them formed to complete tasks rather than engage in prone to a development pattern of “punctuated a process. Process has consequence in that it can equilibrium” whereby the group alternates be- contribute or distract from task achievement. tween fairly long periods of inertia and bursts And success on group tasks enhances process, of creative energy. Task forces should be used bonds members, and makes the group more re- where there are especially clear, reasonably warding.A good process in task groups contrib- unique, and time-limited SMARRT objectives or utes to task accomplishment and is concerned to develop the objectives.2 SMARRT objectives with the satisfaction group members obtain from are operational goals or goals that can be trans- participating in successful group task accom- lated into specific actions to achieve them. They plishments. Member morale is often a function have saliency and acceptability to members. of task success. When the members of a men- SMARRT objectives emphasize a task orienta- toring group become angry at a member (Mrs. tion rather than a process of gradual develop- Smith) who monopolizes meetings, arguments ment as proposed in most models of group begin to break out, and attendance begins to development. wane. These are manifestations of the group’s process dimension disrupting the group’s task GROUP DEVELOPMENT AND THE dimension. In observing a group for task and ROLE OF THE SOCIAL WORKER process, Hanson suggests that a worker think about the following questions: What signs of Task and Process feeling do I see in the group members? How do the members feel about each other? Are there Professional practice with task groups re- any cliques that seem to be forming? What’s the quires good listening skills and keen observation energy level of the group? Are all of the mem- of behavior. The worker is truly a participant- bers getting a chance to participate? How does observer, but what should the worker attend to? the group make decisions? In the course of the The answer is that all group interactions have a meetings, the worker will try to facilitate inter- task and a process dimension. Task groups of all action that strengthens the members’ bonds to kinds must attend to both in order to succeed. each other and their commitment to the group A group’s task dimension refers to the subject as a whole. The worker, of course, is also mind- or content of the group’s interactions. For ex- ful of keeping the group on task. ample, when parent volunteers begin to meet In the above example, where Mrs. Smith with a school social worker to plan a mentoring arouses the ire of the other group members, the program for their children’s school, the different arguments that take place may well be about the ideas they discuss about mentoring programs proposals someone has offered or the proce- and how they should be established represent dures for reaching a decision. So, both content the task dimension of that interaction. In the and process issues emerge at the same time. Or course of the meetings, the worker will listen to suppose that a member asks the group to review alternative proposals and help the group to as- how a particular decision was made, that is, to sess clarity, see connections between ideas, con- consider the process that the group went sider their merits, determine what information through. For analytical purposes, we can gener- may still be needed, and make decisions that will ally assign interactions centered on issues of 276 COMMUNITY PRACTICE SKILLS communication to the process dimension, and development, groups are unique. The dynamics interactions centered on issues of goal imple- of any group are influenced by many different mentation to the task dimension. variables —size, purpose, sponsorship, context, composition, nature of the task (complexity, emotionality, etc.), time frame, and more. To ef- Stages of Group Development: fectively practice with task groups, we need to When Is a Group a Group? know the theories about groups in general and about task groups. We also need to know our People who meet for the first time to do some task groups. Group behavior is not simply a work together, whether as a committee or a team function of the group’s stage of development. or planning body, will vary greatly in the With these cautions in mind, let’s review the amount of energy they want to invest in the task stages of group development. Tuckman (1965) and in their commitment to working with other synthesized a great deal of research on small people to do it. Yet they have come together be- groups into a developmental model that links cause the task is either too complex or too diffi- group task (instrumental) and process (socio- cult to do alone; it will take a group to do it. This emotional) dimensions with stages of develop- tension between differentiation (going it alone, ment. His easy-to-remember stages are forming, doing it one’s own way) and integration (collab- storming, norming, performing, and adjournment orating with others, giving up some of one’s au- (Tuckman, 1965; Tuckman & Jensen, 1977). Table tonomy) captures the essence of the struggle in- 10.2 presents a comparison of the main features volved in forming a group (Heap, 1977). Until of each stage, the characteristic behaviors one that collection of autonomous individuals begins to might expect along the task and process dimen- feel some allegiance to the collectivity and finds some sions, and the role of the worker. We have way to work together on a common goal, a group has augmented Tuckman’s ideas with information not yet fully formed. from other models (Bandler & Roman, 1999; Stage theories of group development exhibit a Toseland & Rivas, 1995) and community prac- remarkable degree of similarity despite varia- tice experience. tions in the number and names of the stages. They are useful in that they reinforce the simple STAGE 1: FORMING but important idea of group development over time. In this stage, prospective group members are Groups can do different things at different trying to determine what the group and other points in the course of group formation. This group members are all about. They are getting knowledge gives workers a frame of reference oriented. They are wondering what the group for their interventions in the group and helps will be like, what will be expected of them, them set realistic objectives for group meetings. whether they will be accepted, and whether or A few cautions are necessary before we con- not to make a commitment. They are rather de- sider the stages of group development in more pendent on the leader, organizer, or chair to pro- detail. First, the stages of group development, vide an orientation. They ask orienting questions presented discretely in theory, cannot be neatly and sometimes exhibit testing behaviors. Mem- separated from each other in the real world. The bers are ambivalent about commitment and of- stages represent a continuum, perhaps a pleated ten are unwilling to volunteer for tasks. They continuum, with overlapping and spiraling joke around, and if not convinced of the group stages. A group can sometimes loop back to a or task’s importance, may attend irregularly. In preceding stage if it was previously unsuccess- this formative phase, the worker, either directly ful in completing that stage or if its membership if there is no chairperson or working through the changes. A group with a significantly changed chairperson if there is one, helps to establish the composition becomes a new group for group de- group climate (accepting, businesslike, formal, velopment purposes. One phase runs into an- informal, open, etc.). Leadership, whether by the other; groups take two steps forward and one formally recognized leader such as a chair or by step backward, and so on. Nor can we define an others assuming leadership, also helps the group exact length of time for a given phase. We can- establish or clarify its goals into SMARRT ob- not say, for example, that it takes a group three jectives and ground rules. meetings or 3 hours to get through the forma- SMARRT objectives and operational goals tive stage. Nor does the notion of stages make need to be distinguished from a group’s inoper- group life as predictable as it might seem. In the ative goals. Inoperative goals can’t be translated same way that each of us is unique even though into action. They are generally used as part of we all pass through similar stages of growth and staging or as public relations window dressing TABLE 10.2 Stages of Group Development

Stages of Process Development Main Features Task Dimension Dimension Worker’s Role

Forming Ambivalent about Orientation to task and Testing behaviors in Orienting members; contracting; commitments; dependence content; search for ground performance due to setting goals and rules; working on leaders rules ambivalent commitment through dependency issues Storming Conflict; struggles for power; Obtaining agreement with Heightened emotions; hostility; Constructive conflict resolution; development of structure content or substance struggles for control; fostering participatory resistance to work democratic structure Norming Development of group cohesion; Open exchange of opinions Acceptance of members’ Keeping group focused on task harmony peculiarities; development rather than just socializing of bonding and “we-ness”; unity Performing Structuring participation for Task focus; emergence of Functional role relatedness; Structuring work and task accomplishment solutions interpersonal issues participation to lead to temporarily set aside outcomes; evaluating efforts; celebrating success; developing new leadership Adjournment Regression to earlier patterns Obtaining agreement on Appearance of emotional Discussion of winding down, of behavior decisions and resistance to completing closing of group as a mark of accomplishments work and ending group, success; orienting members to especially if high bonding future of task accomplishments and change

(Baudler & Roman, 1999; Toseland & Rivas, 1995, Tuckman, 1965) 278 COMMUNITY PRACTICE SKILLS to enhance group acceptability, either internally a stage of development often characterized by or externally, and to promote morale (Zastrow, conflict and struggles for power and control. The 1997, pp. 58–61). newness of the group has worn off. Emotions In addition, a group needs to develop ground may run high; disagreements over substance rules for interaction and to work through any is- and procedure arise. Although conflicts may be sues of dependency by accepting responsibility difficult to manage, the fact that they are going for its functioning. Competition in a work group on indicates that a group has formed. Members needs to be recognized and managed. While care enough about the group and each other to competition can be productive between groups, fight over it. This is a crucial period in the life of it is generally not productive within groups. It the group. The group members are moving to- interferes with group cohesion, coordination, ward some resolution of the tension between and a unity of resources and effort. Overly com- differentiation and integration, between having petitive members whose competitive needs can’t their own way and giving in to the requirements be directed outward generally disrupt internal of the group. The worker or leader must help the group processes. group to resolve conflicts in a constructive man- The roles of the work group are negotiated, ner and to foster a democratic structure for de- assigned, established, and accepted. Leadership cision making. Alternatively, the group is at risk needs to know these roles and their allocation. of developing an authoritarian structure or of The group is structured on a preliminary basis falling apart. during this phase. Considerations in structuring a group’s work include agendas and seating STAGE 3: NORMING arrangements. Agendas are the formal agendas Having found a workable resolution to the that lay out a group’s purpose and work. Hidden conflicts created in the previous stage, the group agendas reflect goals of a single individual or begins to gel. A sense of cohesion emerges, char- small clique, a cabal, in a committee or board acterized by greater acceptance of the unique that are often unrelated and sometimes at vari- traits of each member and a willingness to ex- ance with a group’s purpose and unknown to all press views openly. The members feel comfort- group members. While any member of a work able with each other and begin to get down to group can have unique reasons for participation, doing the work necessary to accomplish the hidden agendas generally are destructive since group’s goals. The group needs to avoid too their promoters manipulate the group for pri- much socializing and to keep on task. vate, secrete, and often ends contrary to the group’s goals. A leadership task is to discover and manage any hidden agendas to limit their STAGE 4: PERFORMING destructiveness to group task and process. In this stage, the interpersonal structure that Seating arrangements are one way to help has developed becomes the functional instru- manage hidden agendas and facilitate group ment for dealing with task activities. Roles be- process to foster the group’s work. Students of come flexible and functional, and group energy history will recognize the importance of seating is channeled into task completion. Structural is- arrangements. During the preliminary stages of sues have been resolved (e.g., who plays what the negotiations to end the Korean War in the role, rules for decision making), so that the struc- 1950s and America’s invelovement in the Viet ture can now support task performance. The Nam War of the 1960s and 1970s, months were group can make decisions efficiently. This pe- spent negotiating the shape of the table and seat- riod is characterized by an emergence of solu- ing arrangements prior to starting the actual tions. The work of the group is structured in or- peace negotiations. Seating arrangements often der to lead to outcomes and help the group to indicate and confer status within a group. The evaluate and celebrate its accomplishments. If arrangements can facilitate or hinder both oral the group’s mission is completed, it prepares for and visual communication, focus attention and adjournment. reduce or promote member distractions, and reinforce or weaken cliques and side discussions. STAGE 5: ADJOURNMENT These are all part of developing a working con- As the group begins to recognize that its work tract in a group. is reaching a conclusion, members often feel ambivalent about ending—pleased about accom- STAGE 2: STORMING plishments, sad about ending relationships and As the group members begin to invest their coming to a conclusion. During this period, emotions and energy in the group, they initiate groups often express their ambivalence by re- USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 279 gressing to earlier forms of nonconstructive be- the meeting, thereby beginning the premeeting havior and patterns of relating. Meetings may be planning process for the next meeting. Box 10.1 missed; emotions may run high again; old con- indicates some of the necessary pre-meeting flicts can break out. The group reaches a suc- tasks. Tropman (1980) provides some guidance cessful conclusion (a) if it encourages its mem- to plan for good task group decision making: bers to talk openly about their feelings about ending; (b) by planning for group-appropriate • Personality is not as important in the decision- closing rituals or events such as parties, testi- making process as are the roles of the partici- monial dinners, and the like; and (c) by focusing pants. on future plans and life beyond the group. • The formal meeting itself is an end point in a long series of premeeting activities leading to EFFECTIVE MEETINGS decisions rather than the beginning point in decision making. Once a meeting begins, How many times have you gone to a meeting events have largely been determined. and left with the feeling that it was a waste of • It is during the premeeting phase that most time? Nothing was accomplished. When this opportunities for influence, bargaining, and happens, frequently it is because whoever was coalition structuring and agenda setting occur. responsible for running the meeting did not (The importance of the premeeting phase in- think through the specific decisions to be made creases with a group’s size, diversity, and con- at the meeting or could not facilitate the deci- stituent diversity.) sion-making process effectively. Task group meet- • The purpose of a meeting of a decision- ings all share a common purpose: making decisions making group is to make good decisions, not or completing a task. Whatever the larger purpose just decisions (p. 15). of the group, when a task group holds a meeting, it does so to make decisions that will help the group move toward achievement of its goals. When the meeting takes place, enough atten- The fact that meetings may also provide oppor- tion should have been paid to administrative tunities for socialization, networking, and edu- chores and decision-making requirements ahead cation does not alter their decision-making func- of time so that effective decisions can result. tion. Therefore, effective meetings require both Since there are many different kinds of task planning and chairperson skills. (Members of a groups (e.g., staff groups, coalitions, treatment group who are not chairing a meeting also have planning teams, boards), and since meetings responsibility for advance planning and for range in their degree of formality, premeeting helping a meeting accomplish its tasks by their planning activities will vary as well, but in all interventions, both verbal and nonverbal.) Let us cases premeeting planning should go on. In ad- look at the planning aspect first. vance of a meeting, the chair (and the staff member for the group, if assigned) should have thought about the following: Meeting Planning: Footwork and Headwork

1. The dynamics of the group in light of its de- The main point to realize about effective meet- velopment ings is that a meeting is the culmination of a prior planning process (Tropman, 1980). The planning 2. Task and process objectives process begins before the first meeting and oc- 3. Decisions that need to be made at the meet- curs thereafter with the follow-up work after ing

BOX 10.1 PREMEETING ADMINISTRATIVE CHORES

1. Preparing meeting minutes 4. Arranging for and setting up meeting space 2. Getting out meeting notices 5. Arranging for refreshments 3. Reproducing agendas and other informational materials and getting them to members before the meeting 280 COMMUNITY PRACTICE SKILLS

4. Information the group must have in order to In planning an agenda, the worker and chair make decisions will also want to consider how various agenda 5. The various roles of the participants and how items will be disposed of during the meeting in the work of the group might be carried out light of the group’s needs and dynamics. For example, to foster group participation, preplan- 6. The actual meeting agenda ning may include asking particular members to take responsibility for reporting on or handling In formalized groups, such as a social service an agenda item. If members have been doing agency team meeting, a board meeting, a neigh- work in preparation for a meeting, they must be borhood association community meeting, or a given the opportunity to report back. Otherwise working coalition strategy session, typically the you will discourage future voluntary action. chair and possibly some other members plan the Many prospective agenda items will emerge agenda and consider the decision-making pro- during a meeting, with insufficient information cess for the meeting far enough in advance so for the group to make a decision. Usually these that the members can get the agenda and meet- items need to be assigned to an existing coming materials early enough to review them be- mittee for work outside the meeting, leading to fore the meeting takes place. If the group has a recommendations for group action in the future. staff member assigned, such as with a board of Of course, sometimes the best-laid meeting plans directors or with a community group that a so- may be interrupted by a critical but unplanned cial worker is forming (e.g., to do a neighbor- issue that suddenly arises. In this situation, mod- hood needs assessment), then the worker and ifying the agenda may be a necessary and ap- the chair and other members would meet and propriate course of action. However, these issues plan in advance of the meeting. If a group is also will often have to be assigned to an existing meeting monthly, the members should receive or newly formed committee in order to bring the agenda and materials at least a week in ad- them to resolution at a later meeting.This should vance of the meeting. Every item on a meeting be a rarely used tactic. agenda will not necessarily lead to a decision, as The worker and chair, as Box 10.2 emphasis, for example with progress reports of a commit- must also pay attention to the process or so- tee or subcommittee or an informational brief- cioemotional dimension of the group in meeting ing by an expert in a particular substantive area. planning. Members who make an emotional in- Getting member input and feedback about the vestment in a group seldom go through the business of the group and its process is impor- group experience without being aroused by the tant. Also, some agenda items may take more way a decision is handled, or the way some than one meeting to complete. However, for members behave, or the lack of opportunity to every task group meeting that is scheduled, the present their own points of view. For example, worker and chair (and members, too) should be observations of unexpressed or expressed anger asking themselves what decisions should be may be cues for follow-up phone contact to help made at the meeting that will advance the pur- members manage their feelings or find a way to pose of the group. The agenda should reflect express them constructively at the next meeting. these prospective decision items. Other premeeting contacts may be important for

BOX 10.2 RULES FOR EFFECTIVE TASK GROUP DECISION MAKING

✓ Give members opportunities to participate ✓ Start with the least-powerful members of the and seek to equalize participation in decision group in seeking member expressions of opin- making to enhance cohesion and avoid mem- ions, to promote a full expression of opinion. ber exclusion and marginalization. ✓ Structure the agenda to promote good deci- ✓ Give members opportunities to demonstrate sions, because the purpose of the group is to their preferences and positions. encourage good decision making. ✓ Seek expression of diversity of opinion and in- ✓ Emphasize consensus, with good decisions terest within the group to avoid groupthink being what everyone can live with. and to create cohesion from the diversity. USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 281 any number of reasons, such as to encourage bookstore or library, and short versions are pub- participation, to bridge communication gaps, to lished regularly. (For a useful shortened version, lend support, or to try to understand a member’s see Zastrow (1997, Chapter 12). Any social reactions. In addition, groups have the wonder- worker regularly involved in task group work ful capacity to be able to reflect on their own pro- should become familiar with the basics of par- cess. If emotions are running high, a chair may liamentary procedure. need to plan for some time in a meeting for the A formal structure for decision making can be group to look at its process and take corrective very useful when the group is too large for easy action. decision making (e.g., a meeting with 25 or more community members, as compared with a committee of 8 to 10 people). The bigger the group, The Meeting Itself the more important the procedures for reaching decisions. Formal decision rules, such as those Members usually come to meetings of a work- of parliamentary procedure, have the advan- ing group to do business during some specified tages of preventing a minority from controlling time period, usually between 1 and 2 hours. Ef- the group and ensuring that group decisions fectiveness tends to diminish if meetings last have been clearly ratified. On the disadvantages longer than 2 hours. Although there is no guar- side, discussions may easily become bogged antee that members will come to a meeting prop- down in rules and in competitive parliamentary erly prepared, if the agenda and other materials strategizing to gain advantage; a minority group have reached them in advance and if the meet- can be abused; and the procedures can be han- ing stays on track so that the agenda is dealt with dled so rigidly and mechanically that the pro- in the allotted time and decision are made, the cess dimension of group life is totally ignored. probability for meeting effectiveness increases An informal decision-making structure, at the (Tropman, 1980). The ifs are important. other end of the continuum, usually involves a Staying on track means beginning and ending consensus-seeking process, which can but often a meeting on time and covering the items on the does not culminate in a vote. Consensus-seeking agenda. If meetings begin late, members will behavior tends to emphasize careful listening, start to arrive late. Soon the time for conducting the broad expression of different viewpoints, the group’s business will be reduced, and meet- constructive conflict over ideas, and a search for ings will begin to run over the agreed-on time creative solutions that have wide member input of closing. Inevitably some members will arrive and approval. It places a premium on process. late, so it is usually a good idea to begin the meet- An informal structure tends to be most useful ing with the lighter part of the agenda, such as when the group is fairly small, when member approving minutes and making announcements. trust is high, when creative problem solving is Save roughly the middle third of the meeting for needed, and when time for reaching decisions is the weightiest agenda items, when the members’ not a problem. Remember, the consensus sought attention is most focused and everybody is ready is not that everyone thinks the same thing is the to get down to business. The final portion of the best thing, but that a decision is reached that meeting can then be more relaxed. This is a good everyone can live with (Payne, 2000, p. 211). The time to generate new agenda items, talk about disadvantage of seeking consensus, in compari- the process and progress of the group, pull to- son with the dictatorship of the majority or a ma- gether the decisions that have been made, and jority vote, is that it is often a time-consuming remind the group of the next meeting date and overly complicated process, especially if a (Tropman, 1980). minority is allowed to control the group. Box The structure for decision making that task 10.3 lays out some “dos” and don’t of meeting groups adopt varies on a continuum from for- management. mal to informal. Many groups fall somewhere in As we stated earlier, many task groups fall between. At the formal end of the continuum, somewhere along the formality–informality con- the group adopts formal rules and procedures tinuum. Many groups use a modified version of for reaching decisions based on a vote. Usually parliamentary procedure to formally consider an this process is guided by parliamentary procedure, agenda item and reach a decision through vot- a fair and orderly process for reaching decisions ing; at the same meeting, some decisions will be that follows Roberts’ Rules of Order. Developed reached by consensus—a nod of the head from over a hundred years ago, Roberts’ Rules is used the participants, signifying agreement. Some extensively by chairpersons to preside over meetings benefit from the best of both worlds: meetings. Revised editions are available in any strict parliamentary procedure with an allotted 282 COMMUNITY PRACTICE SKILLS

BOX 10.3 GUIDELINES FOR MORE EFFECTIVE COMMITTEE/BOARD MEETINGS

1. Agenda integrity 3. Rule of halves a. DO always have an agenda and a reason a. DO prepare agenda items by priorities and for the meeting. schedule discussion and decisions by the b. DO always have necessary agenda items priorities. and address all necessary items. b. DON’T place an item on the agenda un- c. DO always make all necessary decisions. less it is submitted by the time one half of d. DON’T discuss items not on the agenda. the period between meetings has elapsed. e. DON’T make unnecessary, unneeded, or 4. Rule of thirds premature decisions. a. DO place and deal with the most impor- 2. Temporal integrity (time management) tant items in the middle third of the meeting, when group energy is highest. a. DO always begin and end meetings on time. b. DO have a break at the two-thirds point, for a distraction. b. DO always have and keep meeting to an agenda time schedule. 5. Rule of three quarters c. DO always have a committee/board long- a. DO make the agenda available to mem- range schedule with preplanning to allo- bers sufficiently in advance to allow mem- cate agenda items to relevant meetings bers time for preparation. when decisions are needed. b. DO avoid last-minute surprises. (Tropman, 1980, pp. 25-31)

period of consensus-building time in the meet- in these roles, and in developing saliency for ing. For example, a very formal meeting may members. Box 10.4 identifies why committees also set aside time for a brainstorming session and task groups don’t always work well. It’s a on a difficult agenda item, with no censorship responsibility of leadership to address these of ideas—in fact, encouragement of even the issues. wildest notions—and a conscious attempt to avoid reaching any decision. There are no explicit rules on how task group Chairing Meetings meetings must be run. Much depends on the leader’s and staff’s assessment of a particular Chairing a meeting well is no easy feat, be- group’s task and process needs, and their skills cause the chairperson’s role is complex. Meet-

BOX 10.4 WHY COMMITTEES/BOARDS DON’T ALWAYS WORK WELL

• Activities have low saliency and importance • High inertia in a group’s and meeting’s struc- for members in their lives and responsibilities. ture because of poor agenda planning, pre- If a missed meeting does not make any differ- meeting work, agenda clarity on needed de- ence to the committee’s decision making, the cisions, and poor time management. absent member, or the unit that the member • Group’s culture and history are of ineffective- represents, has low saliency. ness, irresponsibility, not following through, • Committee has decision overload and is and other behaviors not conducive to decision spending too much time with trivia that do not making. The group is unable to overcome its contribute to or crowds out real decision mak- history and culture of ineffectiveness and irre- ing. sponsibility.

(Tropman, 1980, pp. 19-20; Zastrow, 1997, pp. 58-61) USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 283 ings represent a public space, in that whatever FACILITATOR happens at a meeting is available to all of its par- As group facilitator, the chair must observe ticipants. If a participant is treated unfairly, for and interpret the way relationships are devel- example, by being insulted or cut off prema- oping among the members, and the develop- turely, all other participants also observe and ex- ment of the group as a whole. In addition, the perience that treatment in some way. For meet- chair must intervene so that the group process ings to be effective, therefore, it is incumbent on supports the group’s task objectives. This in- the chair to act as a neutral, objective arbiter of volves the chair in many different kinds of in- the group’s business and to insist on sensitivity terventions. Four important types of interven- and fair play. The chair sets the tone for the meet- tion are the following: ings. If the chair in a formal meeting has very strong feelings or opinions about an issue and 1. Providing support (e.g., “That’s really an inter- wants to express them, he or she usually asks esting idea”) helps to create a positive “cli- someone else to preside until that agenda item mate for expressing ideas and opinions, in- is resolved. cluding unpopular and unusual points of Issues of distance arise in other ways as well. view,” and to “reinforce positive forms of be- In general, the chair must be involved enough havior” (Sampson & Marthas, 1981, p. 258) in the substance and process of a meeting to be able to engage the ideas and the people, and yet 2. Mediating conflict (e.g., “Let’s see if we can get the chair must be uninvolved enough to be able to the bottom of this disagreement”) helps the to step back and guide the interchange to fruit- group members communicate more openly ful decisions. In that sense, the chair operates with and directly with each other to relieve tension a split vision or dual consciousness, one aimed at and to reduce disruptive behavior understanding the ideas being expressed and the 3. Probing and questioning (e.g., “I wonder if that meaning of the interaction, the other aimed at using idea could be enlarged”) helps the group “ex- the group process to help the group members make pand a point that may have been left incom- sound decisions in which they are also invested. This plete” and “invites members to explore their duality comes together in the various roles that ideas in greater detail” (Sampson & Marthas, the chairperson plays in a group meeting. We 1981, p. 259) have identified these as presider, facilitator, and 4. Reflecting feelings (e.g., “The group seems to administrator. be having a very hard time coming to grips with that decision”) “orients members to the PRESIDER feelings that may lie behind what is being said In this role, the chair makes sure that the busi- or done” (Sampson & Marthas, 1981, p. 259) ness of the meeting is accomplished in a democratic fashion. The chair is in the position of con- Perhaps it should be stated again here that trolling the flow of interaction in a meeting so group members can and should also help to fa- that the agenda is dealt with effectively. The cilitate the group process. That role is not lim- chair convenes the meeting, calls on the mem- ited to the chair. bers to start the work (calls the meeting to order), and closes the meeting at its conclusion. Be- tween the start and the finish, the chair regulates ADMINISTRATOR the discussion by calling on people to express In the absence of staff support, the chair, as their feelings and viewpoints. By summarizing, administrator, basically coordinates the work of clarifying, repeating, and reminding the partici- the group before, during, and after meetings. pants of the topic under discussion and the time The chair, for example, attends to many of the available, the chair keeps the meeting agenda on premeeting tasks mentioned earlier, such as en- track. The chair often synthesizes ideas for the suring that information the group needs for group and determines when the group is ready making decisions is available in a timely man- to make a decision. When the group is ready to ner. Before and during the meetings, with the act, the chair clarifies the decision that is being help of other group members, the chair gener- made and ratifies the action by taking a vote or ates agenda items for future meetings. During a reading of the degree of consensus. (Group the meeting, the chair usually assigns tasks and members, of course, may also help to keep meet- delegates responsibilities—for example, assign- ings on track, synthesize ideas, and clarify deci- ing a particular agenda item to a committee or sions. These roles are by no means limited to the subcommittee for follow-up work. The chair chair, nor would you want them to be.) must also make sure that the particular agenda 284 COMMUNITY PRACTICE SKILLS item is brought back to the group at an appro- bers for roles they might play in the meeting; priate future date. The chair also serves as planning how to break down a complicated spokesperson for the group when the group agenda item into smaller decisions; considering needs to be represented (Tropman, 1980). process snags and how to handle them; and, in some cases, considering how to reach an acceptable decision in the face of the political Staffing a Task Group machinations of various subgroup factions. In- experienced chairs may need help in role-play- Many social workers provide staff support to ing parts of a meeting. More sophisticated chairs task groups, as with boards of directors or board may need other forms of assistance, such as sen- committees, community development associa- sitization to process concerns. tions, interagency teams, planning bodies, and At community meetings, professional staff long-term coalitions. In these instances, the role are, of course, visible and have a good opportu- of the professional is to enable the group to func- nity to talk to the group members and get to tion effectively by providing assistance to the know them better, and vice versa. Once the group, mainly through the chair, in handling ad- meeting begins, though, the staff member should ministrative tasks and coordination, preparing take a back seat to the chair, who is directing the for meetings, and serving as process consultant meeting. Since the staff member has already had and, in some cases, as strategy and substantive input into the meeting by virtue of premeeting expert. The main point here is that the profes- preparations with the chair, during the meeting sional staff person plays a critical, but behind-the- the staff person should be carefully observing scenes, role, assisting the leaders of the group (the the group process as well as following the sub- chair and various other members who accept re- stance of the discourse. Sitting beside the chair, sponsibilities) in performing their functions ef- the staff person can then share comments, sug- fectively. The staff person thus primarily carries gestions, and observations discreetly with the out a leadership development role. chair. This is not to say that the staff member Although the paid staff person clearly has re- must be totally silent. Sometimes the chair or a sponsibility for the group, he or she is normally member will ask the staff person directly for ob- not a voting member of the group. In many servations or suggestions. Sometimes a meeting cases, the staff person is directly hired and fired may be getting out of hand or straying too far by the group. In other instances, the employment off course, and the staff person may judiciously relationship with the task group is much more make a corrective comment or ask a question. indirect, although the group still has influence Sometimes it may be apparent that the chair does over a staff member’s status. A direct service not know how to handle a particular situation, worker who is organizing a community group and the staff member may have to help out. A to sponsor a health fair would serve as staff to principle to keep in mind, however, is that while lead- the health fair steering committee and would not ership, group development, task and process balance, typically be a voting member of that body. Or, and decision-making are staff goals, staff should be for example, in an organization such as United careful not to usurp the authority and leadership of Way, the staff person is a member of a larger the chair. professional staff responsible to the organiza- Since professional staff members tend to tion’s executive director. This professional staff spend more time on the business of a task group works with a host of volunteer planning and than do the chair or other leaders, they often tend fund-raising committees but is not a voting to take over a group or at least to dominate it. member. The executive is responsible to the Sometimes this is not even a conscious decision; board of directors and serves as its professional staff members just find it easier to act for the staff. The executive here is usually an ex officio group than to work through the group. The board member (a board member by virtue of the problem with this approach is that group lead- office held), but again without a vote. ership and the group as a whole have difficulty In working with chairpersons and other group developing fully. Yet, presumably, forming a leaders, staff must gauge their experience and group was necessary to reach some specified set sophistication and adapt the assistance they pro- of goals. The bottom line is that the members of vide accordingly. In general, staff should help a the group have to own the group if it is to succeed. chair prepare for meetings by jointly developing For ownership to occur, staff members have to and reviewing the agenda, tasks to be accom- enable the group members to make their own plished, and a plan for accomplishing them. The decisions about the nature and direction of the plan may include preparing some group mem- group and to take responsibility for its work. En- USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 285 abling involves a delicate balance between hold- assess its effect and make a decision about ing back advice and hands-on assistance and of- whether to respond further and what kind of in- fering them at various critical points to guide a tervention to make, again at that particular mo- group over a rough spot. There are no simple ment or at some later date. The transition from guidelines for managing the balance, but if a thought to action and back to reflection, some- group does not seem to be developing, staff times referred to as praxis, can be seamless or members at least need to ask themselves whether spaced out. they have done too much for the group. Perhaps more holding back would be appropriate. STUDY The study section of the problem-solving framework, then, is the period for defining and DEALING WITH GROUP PROBLEMS clarifying the nature and extent of the problem in the group. When a problem arises, therefore, All groups experience problems; these come we need to ask ourselves the following ques- with the territory. For example, task groups tions: What is the actual problem? What are the commonly experience difficulties getting observable behaviors indicating that there is a started, handling conflict, reaching decisions, problem? How is the group affected? How seri- dealing with disruptive behavior by an individ- ous is the problem? ual member (the meeting monopolizer, the angry challenger, etc.) or by a subgroup (negative ASSESSMENT bloc voting), and more. Common as these and Here we want to clarify what we think is the other group problems may be, however, there is cause of the problem and what it means. We con- no standard recipe for how best to deal with nect our observations to our theoretical knowl- them. Because groups differ in so many ways edge in order to intervene effectively. Assess- and because the circumstances surrounding any ment analyzes the group’s problems and builds problem are unique, in working with groups, a case theory. Assessment is an information- just as in social work with individuals, families, gathering process to understand a problem, a sit- or communities, we prefer a general approach to uation, a case, in order to effect a future change problem solving rather than a set of fixed solu- (Bisman, 1994, pp. 111–121). Assessment questions. Let’s look at the framework first and then tions are Why is this problem occurring? What’s apply it to some group problems one might going on outside the group or in the group that encounter. may be contributing to this problem? Am I contributing to the problem in some way? Where is A Problem-Solving Framework the group developmentally? What role do subgroups or factions play in this problem? What The now-familiar problem-solving framework part do the individual needs and personalities of used in this book has four general steps: (a) the participants play in this problem? Is there study, (b) assessment, (c) treatment or interven- any pattern to the behavior I am observing? tion, and (d) evaluation or reassessment. (See What is my understanding of the problem? also Sampson & Marthas, 1981). The framework provides a useful guide, a kind of mind-set, for INTERVENTION dealing with group task and process problems. This is the point of action. The worker needs The time frame involved in these steps can range to say or do something in the group, or some- from instantaneous to prolonged. As a problem times outside the group, to help the group deal arises in the group, the social worker as leader, with the problem. When intervening, the worker member, or staff person may respond then and may think about the following kinds of ques- there, based on observations and some conclu- tions: How can I get the group to start to handle sions about the meaning of the behavior. Or the the problem? How will my reaction to an indi- social worker may choose not to intervene, but vidual member or to the group as a whole facil- instead to continue to observe and consider the itate the group process and keep the group on nature of the problem and what to do about it, course? How will my intervention be perceived saving the intervention for some later date. (Re- by the group? Are there specific techniques I can member that, since a group is a public space for use to affect the problem? all the participants, nonintervention may sometimes be a form of intervention, depending on EVALUATION how this is interpreted.) Whenever the inter- Having intervened to try to deal with the vention has occurred, the social worker should problem, the worker now needs to observe the 286 COMMUNITY PRACTICE SKILLS impact of that intervention. The main questions, discussion, Dr. Freud immediately takes the lead then, are as follows: What effect did my action in explaining the nature of the patient’s illness. have on the group? What effect did my inter- How might the chair intervene? vention have on specific individuals and/or subgroups? Does my diagnosis seem to be cor- Study. At each meeting, Dr. Freud monopo- rect, or do I need to modify my understanding lizes the discussion of the cases. He usually does of the problem? Do I need to take any follow-up a lot of teaching about the nature of the illness action? and reviews current research before getting to his own recommendations. While the informa- Three Common Group Problems tion is interesting, other members are forced to sit and listen passively. The doctor is not good As we turn to some examples of problems at picking up cues that others want to contrib- and interventions, we should keep in mind, once ute their observations. He does not maintain again, that the responsibility for dealing with good eye contact with other group members. He problems does not rest with the leader/chair or also discounts input from other disciplines. staff person alone. All members of a group share Group members have begun to resist coming to responsibility for helping the group to function agreement on treatment plans and are often rest- effectively, and any member may be instrumen- less. Two members have come late to the third tal in helping the group address problematic be- team meeting and have expressed some resent- havior. Since this chapter is written from the per- ment to the leader outside the meeting. Dr. spective of the chairperson or leader and staff Freud’s behavior is threatening the effectiveness person, and since these individuals often do in- of team planning. tervene to deal with group problems, we shall adopt that stance in the illustrations that follow. Assessment. The case theory can posit a num- As we go through these examples, consider ber of factors that can contribute to this problem. your own analysis of the problem and possible The team leader has not dealt with the fact that interventions. the team has several new members who may not be familiar with the ground rules the old team THE MEETING MONOPOLIZER had established. Her laissez-faire approach thus Scenario. Imagine the third meeting of a treat- has not provided the group with a sufficient ori- ment planning team of staff members on an entation to the team’s expectations and norms. acute illness unit of a large psychiatric hospital. The psychiatrist is new and is trying to find his The unit leader, who is a social worker with niche in the group. Other new members have a many years of seniority, is also the team leader. similar challenge, while older members are used The other members of the team include a psy- to their particular format for team meetings. Dr. chiatrist, a head nurse, a nursing assistant, a psy- Freud’s previous experiences as team leader chologist, an occupational therapist, and a recre- himself may have led him to adopt a dominant ational therapist. Team planning on the unit is leadership-teaching pattern. His behavior may not new, but this particular team, with three new reflect discomfort with his status on the unit and members, represents a new team configuration. in the group. Also, Dr. Freud appears not to The team meets weekly. The newcomers are the be a good listener, at least as far as the staff is psychiatrist, the head nurse, and the nursing as- concerned. sistant. Although the social worker, Karen Jones, chairs the meetings, the meetings have increas- Intervention. The group leader has a number ingly been dominated by the psychiatrist, Dr. of options. Some possibilities include the fol- Matthew Freud, who has a lot to say about each lowing: case before the group. Other team members have had difficulty interjecting their ideas. Some group members are beginning to grumble out- 1. She could confront Dr. Freud directly about side the group about their inability to be heard, his behavior. “Dr. Freud [firmly until she has and it is becoming difficult to arrive at treatment his attention], you seem to have an awful lot plans that everyone can accept. So far, the team to say about each case before the group. Al- leader has taken a laissez-faire approach to though your points are informative, I’d like chairing the group, but now the time has come to stop your discourse at this point so that to intervene more directly. In this third meeting, other members have a chance to express their when the second case is put before the group for views on the case. Thank you.” USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 287

2. She could reflect the group’s behavior back to GROUP CONFLICT the group and solicit their feedback. After Dr. Scenario. You are serving in your first year as Freud finishes his discourse, or after politely an associate director of a moderate-sized non- interrupting, the leader might say, “I’d like to profit family services agency. Your responsibil- stop the discussion of cases for a few minutes ities include supervising the professional staff to consider our process. As I look around the and chairing monthly agency staff meetings. group, I see a lot of restlessness and dissatis- Along with the director and another associate di- faction. I wonder if we could talk about rector, who is also new, the agency staff consists what’s going on.” of 12 professional social workers, 2 immigrant 3. She could reflect back her own behavior to the resettlement workers, and 4 case aides. The group as a means of inviting clarification of agency is departmentalized into four divisions: ground rules. After Dr. Freud finishes his dis- family and children’s (six social workers), single course or after interrupting him politely, the adults (two social workers), senior adults (two leader might say, “Before Dr. Freud finishes social workers), and immigrant services (two so- his explanation, I need to interrupt the group cial workers and two resettlement workers). One for a few minutes to take care of some im- case aide works in each division, handling portant business that I realize I neglected. As arrangements for in-home services, transporta- I’ve been observing the group, it seems that I tion, respite care, and the like. Staff turnover in never took the time to orient this team from the agency is generally low, so that these staff the outset about expectations for team func- members know each other quite well. Half of the tioning. Since we have three new team mem- professional staff members have been with the bers, maybe we could take some time now to agency for more than 10 years. The agency has make some decisions together about how we been trying to work out a policy on home visit- want to handle our cases in the group meeting. Currently, the only staff members who reg- ing.” ularly make home visits are the nonprofessional workers and the two social workers handling adoptions in the family and children’s division. Evaluation. The first intervention offers Dr. This division is within your purview. The other Freud limited support but also lets him know di- new associate director, Hector Gravas, has pro- rectly that his behavior is not acceptable, sets posed that every client seen by the agency have limits on it, and lets the other team members a home visit, with the exception of single adults know that their participation is valued. Other unless there is severe contagious illness. The pro- group members may also feel freer to interrupt fessional staff is split on the policy. One faction, Dr. Freud in the future. Dr. Freud, however, may led by Molly Black, the head of the family and find the confrontation surprising and irritating, children’s division and a senior staff member, is laboring under the notion that he was doing adamantly opposed. Although a subordinate of what he was supposed to do as team psychia- Hector Gravas, she is vocal in opposing the trist. He may feel that he has lost face in the home visit proposal. She states that for profes- group. sionals “to be gallivanting around the city mak- The second intervention potentially allows the ing home visits” is a poor use of professional group to express their dissatisfaction with Dr. time. The other faction, led by Felice Navidad, Freud’s monopolistic behavior, as well as their head of immigration services under your direc- own expectations for participation. Since this is tion and also a senior staffer, strongly favors only the third team meeting, the members may home visits by professionals. The nonprofes- not be willing to take Dr. Freud on. If they are sional staff members, feeling caught in the mid- willing, the leader risks a session that deterio- dle, have tried to stay out of the line of fire. rates into an attack on the psychiatrist. After going round and round for nearly an The third intervention recognizes the group’s hour and making no headway, rational dis- formative stage of development, directs some of course has deteriorated into simmering anger the group’s anger back to the leader rather than that can split the work units. How might you in- the psychiatrist, and opens the way for the team tervene to begin a process of constructive con- to establish its ground rules in a constructive flict resolution? fashion. Once the members have negotiated the rules of the game, monopolization will be less Study. Groups frequently experience conflict, likely to occur and easier for the team leader and especially as part of their development. The task other members to limit, since the group has is to manage the conflict effectively so that group guidelines for participation. cohesion can be enhanced rather than destroyed 288 COMMUNITY PRACTICE SKILLS and an appropriate decision for the agency icy. Some believe that if all members of the made. When the group has a strong sense of trust professional staff did home visits, the nonpro- and commitment to group goals, when the con- fessionals’ contribution would be recognized flicts represent substantive disagreements over and more greatly appreciated. Others fear that if ideas, procedures, or priorities, and when the all staff members did home visits, there would group has a history of productive problem solv- be less need for their services, potentially leading, constructive resolutions are easier to ing to cutbacks in nonprofessional positions. achieve. When conflicts erupt due to struggles Thus, a shift in agency policy could upset the in the group over status and power, when at- existing tenuous group equilibrium. The new as- tacks become personalized and hostile, when sociate directors are being tested. Your honey- there is a win/lose competitive atmosphere and moon periods as new staff leaders are over; staff the members begin to take sides, the group de- members no longer feel they have to be polite teriorates into destructive conflict. With two rel- and deferential. They can take more risks in ex- atively new associate directors and passed-over pressing their feelings and ideas and find out staff, cohesion is lacking. Constructive resolu- how the new group leader/authority figure will tion is much harder to achieve. In the family ser- react and what your limits are. Will you under- vices staff group, conflict seems to have taken a stand them? How will you and Hector deal with destructive turn following competitive lines that anger and internal competition? He did not rec- split work units into factions. The group has not ognize the potential ramifications of his proposal been able to make any progress on coming up and therefore made no moves before the meet- with an acceptable policy. Anger is running ing to get feedback on his idea and to reduce the high. The professional staff has polarized into anxiety that often accompanies change. Neither two factions. The nonprofessional staff are not did you. Had either or both of you recognized participating so as not to be subjected to personal the potential for conflict ahead of time, the staff attacks or retribution from more powerful group might have been prepared more effectively be- members. The atmosphere has degenerated into fore the meeting. The most important time is the a win/lose situation. premeeting time. Hector also has avoided dealing with Molly’s competitive and hurt feelings Assessment. A quick analysis and case theory about his receiving the associate director’s job conjectures that a number of factors may be con- over her. tributing to this destructive climate. The members of the family and children’s division, under Intervention. The following are some possible Molly Black, see themselves as highly profes- interventions: sional therapists with neither the time nor the resources to do extensive home visiting. Hector Gravas is viewed as something of an upstart try- 1. You try to legitimate differences of opinion ing to shake things up just to exert power. In ad- and defuse the situation a bit. Ideally you will dition, Molly wanted but did not get his associ- recognize that you, as well as Hector Gravas, ate director’s job. Instead, an outsider was hired are being tested, and you will not overreact. for the position. Her division feels slighted. Hec- You do not want a win/lose solution or to tor Gravas is aware that Molly was a candidate contribute to the conflict by undermining ei- for his position, but as her supervisor, he has ther Hector Gravas or Molly Black. You want never discussed this matter with her. Felice a win/win solution that still deals with the Navidad, the senior professional staff member task, that is, the proposed policy change. In in charge of immigration services, already an effort to achieve this, you might propose a spends a lot of time seeing immigrant families cooling-off period that will allow for less vis- in their homes. She believes the proposed policy ible and emotion-charged negotiations. It will will eventually generate more resources for her also allow Hector Gravas to address and work department. Her vocal support has not sat well out his administrative relationship with with the family and children’s division and gives Molly Black in a less public and volatile en- the impression that you, as her supervisor, may vironment. “After an hour of hot and heavy support this position. A number of other staff debate, let’s recognize that there are legiti- members do support Hector’s proposal, and mate differences of opinion. I don’t think they maintain that prevention, social support, there is any right or wrong solution here. Why and resocialization should represent the major don’t we think about the policy and come professional goals of the agency. The nonpro- back to it next week with some ideas about fessional staff have mixed feelings about the pol- how to blend the different positions?” USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 289

2. You recognize that more is evidently at stake this situation, it seems unlikely that the group than a substantive difference over a policy op- will come up with a compromise policy on its tion. You try to get at the underlying anger own without some specific structure in place for and fear by reflecting back the group’s be- doing the work. Since the conflict has some de- havior. “After listening and watching the in- structive properties, the chair needs to be sure terchange about this policy, I’ve noticed that that the situation will not be dropped, lest it fes- several people have not said anything for alter and surface again and again in different most an hour, while others have taken sides ways. Before the next meeting, you as chair need without fully listening to and hearing each to talk with Molly and other staff members in- other. I’d really like to understand what’s go- dividually to get a clearer sense of their feelings ing on.” and concerns. You might want to informally me- 3. You acknowledge that the conflict goes diate a discussion between Hector and Molly. deeper than the policy itself and try to get at You then will be more prepared to lead a dis- this by reflecting back the group’s feelings. “I cussion of the policy at the next staff meeting. think we need to stop for a minute and try to In the second intervention, you feed your ob- understand the anger and fear that this pol- servations of their behavior back to the group. icy suggestion seems to have aroused. I don’t In effect, you hold up a mirror and show them think we’ll make much progress if we’re this how their behavior appears, with the aim of tense about the proposal, and I would like to opening up the discussion about their underly- make some progress.” ing concerns and feelings in a manner that can lead to some resolution. Again, the tone is calm 4. You adopt a structural approach to defuse the and accepting. conflict that also incorporates a cooling-off In the third intervention, you openly recog- period. “We seem to have hit an impasse on nize the strong feelings that the proposal has this policy for now. One group is strongly op- aroused and legitimates discussion of feelings posed, one group is strongly for, and another and concerns. Again, the aim is to move beyond contingent seems stuck in the middle. I’m go- the policy itself, because the staff’s anger and ing to ask two members from each subgroup fear are blocking effective progress. to meet during the week and see if they can In the fourth alternative, you try to defuse the work out a compromise proposal that every- staff’s anger by taking time to explicitly deal one can live with. I’ll meet with the group af- with the policy outside the group. This is like the terward to see what has been worked out, and first alternative, except that here you set up a we’ll discuss it at the next staff meeting.” This, structure for working on the compromise. You as with as the first approach, provides time still have work to do between meetings in elic- for you to act as a mediator. iting the staff’s feelings and concerns.

Evaluation. Not every conflict that a group experiences has to be processed by the group. Oth- GROUP SILENCE OR NONPARTICIPATION erwise, the group might spend all of its time do- Scenario. The six-member steering committee ing that and nothing else. When a conflict has of a local homeless service provider coalition is destructive qualities, as was the case in this sce- meeting to decide on an activity that will mobi- nario, the group probably does need to look at lize support for a bill requiring the city to pro- it in more depth. Nor are these responses nec- vide 24-hour mobile emergency aid teams to essarily mutually exclusive. For example, the reach out to the homeless on cold days. The fourth alternative, or something like it, might mayor has come out publicly against the pro- well follow a discussion generated by the sec- posal due to budgetary constraints. The group ond or third alternatives. The interventions iden- has met six times, and the members generally tified above also are not the only possible re- know each other because of their common work sponses. Sometimes a group may even need the with the homeless population in the city. The assistance of an outside facilitator to get at their discussion, chaired by the organizer/leader, has difficulties and resolve them. gone on for about an hour, without much en- In the first response, you recognize that the thusiasm or focus. The members don’t seem to group is tired and has gone as far as it can for be able to come up with viable ideas or to take now. Legitimizing differences is generally a con- hold of the issue. The mayor’s position has re- structive approach, and allowing for a cooling- duced the issue’s saliency for the committee. Fi- off period may be helpful. It sets a tone of calm nally, the group leader, Mary Brown, enthusias- acceptance, in contrast to the group’s turmoil. In tically proposes a dramatic activity to get media 290 COMMUNITY PRACTICE SKILLS coverage on the issue—a demonstration in front Intervention. Again, a variety of interventions of the mayor’s private home. Nobody responds. are possible, depending in part on the leader’s There is an uncomfortable silence (Sampson & diagnosis of the problem. Marthas, 1981, p. 271). 1. If the leader has had a flash of insight about Study. The group has shown signs of apathy being out of step with the group, she might throughout the meeting. The discussion has been say, “Judging from the unenthusiastic dis- unenthusiastic and unproductive. The feeling cussion over the last hour and your silence, tone of the meeting has been apathetic. The maybe I’ve been pushing for social action too leader has tended to carry the discussion, until hard. What do you think?” finally her last proposal has been met with 2. The leader might tune in to the lack of clarity silence. about the group’s purpose. “I can see that there is not too much excitement about a cam- Assessment. There are many reasons why a paign to pass the city council bill. I guess this group may behave apathetically or withhold is pretty different than the other work the participation. Some common reasons may apply group has done. Maybe we should go around to this group. Among the first possibilities a the room and check on what we see as the group leader must consider are reasons related purposes of the group. John, could you start personally to the leader. The leader may be out us off?” of tune with the interests and experiences of the 3. The leader might open up further discussion members. Or the leader may have been monop- about the group’s purposes by zeroing in on olizing the group, creating a dependent rela- the underlying fears of the members of expo- tionship in which the members’ level of partici- sure and loss of funding. “Since nobody is pation is low. In this case, we have a group of saying anything, I’m guessing that the idea of service providers who are not accustomed to so- going after the mayor is pretty scary. How do cial action. Social action is outside their profes- you all feel about our coalition getting in- sional experience but not outside of the leader’s volved in social action?” She can also explore interests and experience. The leader is out of step social actions that doesn’t embarrass the with her group. mayor. Some members’ reluctant participation may be due to a variety of unspoken fears. As home- Evaluation. In the first intervention, the leader less service providers, each member’s organiza- reflects back the behavior of the group and tries tion receives some city funding. They are afraid to solicit feedback, starting with responses to the that political action may result in funding cut- direction of her own leadership. In the second backs to their agencies. In this light, the proposal intervention, the leader is fairly direct about to challenge the mayor is particularly threatening. starting the feedback process. She is also begin- Some members do not believe that social ac- ning a process of negotiating a contract that did tion is the purpose for the group’s formation. not take place previously. In the third interven- Their primary interest and not-too-hidden tion, the leader tunes in to the feelings of inad- agenda is better service coordination and net- equacy about a social action campaign that she working with other providers. The group has senses in the members. This approach can also never discussed its goals in SMARRT language lead to further clarification of the group’s pur- and arrived at a consensus on the group’s poses and negotiation of the group’s contract. purpose. With some expression of feelings on the table The task of mobilizing support for passage of and a chance to look at the project, the group a bill in the city council may be too daunting. might be more ready to engage in action, but The providers are up to their ears in work just something appropriate to their level of experi- to keep their services operating. Even if they are ence and available time. interested, they may not have the time or energy to devote to this sort of project. The leader herself is a highly respected, long- CONCLUSION time advocate for the homeless. Some group members are uncomfortable about opposing her The group problems and interventions we openly and parhaps being viewed as anti-the- have illustrated in this chapter are only a few of homeless. the many typical and atypical problems and USING WORK GROUPS: COMMITTEES, TEAMS, AND BOARDS 291 challenges that task groups encounter. As tions you may encounter. We have also sug- should be apparent, although task groups are gested that a self-critical approach to practice is about decision making, group behavior and feel- highly desirable. Whether as members, leaders, ings sometimes interfere with the best laid plans chairs, organizers, or staff members, social work- and require a leader to facilitate the group pro- ers invariably participate in task groups and, just cess. In this chapter, we have advocated a sys- as in other aspects of professional practice, they tematic approach to problem solving that is need to be able to use themselves consciously to transferable to all kinds of group practice situa- enable a group to achieve its goals.

Discussion Exercises

1. The director of the state’s foster care review group contacts and discussions to help develop board has appointed you to chair an interagency an acceptable agenda and get the group going. foster care review team of eight members. You are She is chairing the meeting. About halfway preparing for the first meeting. The team reviews through the meeting, a respected agency director cases of children placed in foster care by the city asserts loudly, “This meeting isn’t getting any- child protective services agency to be sure that where and I have to leave. I sure hope the next the placements are appropriate. meeting is more productive!” And with that, he (a) Identify your process and task goals for the packs up and walks out. The members look a bit meeting. stunned and turn to you for the next move. (b) Write out an agenda for the meeting. (a) How would you explain what is going on? (c) Identify the tasks you will attend to before (b) What would you do? the group convenes. (d) Explain how you would start the meeting 4. Near the end of the first meeting of the above and how you would end it. group, someone suggests that the group appoint a chair to conduct the meetings. The idea is re- 2. The foster care review team is having its fifth ceived enthusiastically. When you ask for nomi- meeting. In a carryover discussion from the pre- nations, no one responds. vious month’s meeting, the group has gotten (a) How would you explain what is going on? bogged down in figuring out how to handle the (b) What would you do? large volume of cases most efficiently. Two main proposals have been identified: adding extra 5. It is the fourth meeting of a planning com- meetings and dividing up the cases between two mittee in an agency. One staff person comes in subcommittees. At this point, one of the commit- 15 minutes late. Although she has done this be- tee members, Connie Williams, who missed the fore, no one says anything about it, including the previous meeting, introduces a third alternative: chairperson of the group. The late arrival is also adding more members to the committee. Mae the highest-status member of the group, repre- Harris supports this new proposal. The other senting a large department in the agency. members get upset. (a) How would you explain what is going on? (a) Explain what may be going on, in terms of (b) What would you do? your knowledge of group development. 6. The fifth meeting of the above agency plan- (b) Indicate what you would do in this situa- ning committee begins with silence. Although the tion. agenda has been prepared and members received 3. This is the first meeting of a group of seven it in advance, no one says anything. It is begin- representatives from local public and private ning to seem that the silence might continue for agencies who are trying to develop a citywide re- some time. ferral system. The staff person from the depart- (a) How would you explain what is going on? ment of social services has worked hard in pre- (b) What would you do? 292 COMMUNITY PRACTICE SKILLS

Notes

1. “We trained hard . . . but it seemed that every confusion, inefficiency, and demoralization” (at- time we were beginning to form up into teams we tributed to Petronius Arbiter, 210 B.C.). would be reorganized. . . . I was to learn later in life that we tend to meet any new situation by re- 2. See Chapter 1. SMARRT objectives are spe- organizing; and a wonderful method it can be for cific, measurable, acceptable, realistic, results ori- creating the illusion of progress while producing ented, and time specific.

References

Bandler, S., & Roman, C. P. (1999). Group work: Payne, M. (2000). Teamwork in multiprofessional Skills and strategies for effective intervention care. Chicago: Lyceum Books, Inc. (2nd ed.). Binghamton, NY: Haworth Press. Sampson, E. E., & Marthas, M. (1981). Group pro- Bisman, C. D. (1994). Social work practices: Cases cess for the health professions (2nd ed.). New and principles. Pacific Grove, CA: Brooks/Cole. York: Wiley. Gersick, C. G. (1988). Time and transition in work Toseland, R., & Rivas, R. B. (1995). An introduc- teams: Toward a new model of group devel- tion to group work practice (2nd ed.). Boston, opment. Academy of Management Journal, 31, Allyn & Bacon. 9–41. Tropman, J. E. (1980). Effective meetings: Im- Hanson, P. G. (1972). What to look for in groups. proving group decision-making. Beverly Hills, In J. W. Pfeiffer & J. J. Jones (Eds.), The 1972 CA: Sage. annual handbook for group facilitators (pp. Tuckman, B. W. (1965). Developmental sequence 21–24). La Jolla, CA: University Associates. in small groups. Psychological Bulletin, 63, Heap, K. (1977). Group theory for social workers: 384–399. An introduction. New York: Pergamon Press. Tuckman, B. W., & Jensen, M. A. C. (1977). Stages Johnson, A. K. (1994). Teaching students the task of small group development revisited. Group force approach: A policy-practice course. Jour- and Organizational Studies, 2(1), 419–427. nal of Social Work Education, 30(3), 336–347. Warren, M. (2001). Dry bones rattling. Princeton, Kirst-Ashman, K. K., & Hull, G. H., Jr. (2001). Gen- NJ: Princeton University Press. eralist practice with organizations and com- Zastrow, C. (1997). Social work with groups (4th munities (2nd ed.). Belmont, CA: Brooks/Cole. ed.). Chicago: Nelson-Hall. 11 Using Networks and Networking

WHAT IS A NETWORK? WHAT IS cies, help clients develop social supports, and NETWORKING? work with social action coalitions. Castelloe and Prokopy (2001) describe a net- Clients with multiple problems and needs are working use in community development. In re- increasing. An abusive mother may require in- cruiting, a 60-year-old Native American had come assistance, job training, day care, psy- the edge because of her informal community chosocial therapy, parenting education and networks: skills, and other social supports to change her behavior. If the father is present, family therapy may be needed. If not, she may need assistance All of the staff recognized that Ms. Helen was in obtaining absent parent financial and social so successful because she had spent her entire supports. Rarely are all needed services avail- life in the community . . . , because she had spent able from a single agency; usually they must be the previous decade (following her retirement obtained from many autonomous organizations. . . . ), volunteering intensely . . . Through this The social worker and the client will need to con- volunteering, Ms. Helen had become what she struct and manage a service network. Whittaker, called a “community mom.” Everyone in the Garbarino, and associates (1983) and others community knew her, and her successful re- (Payne, 2000; Travillion, 1999) hold that assess- cruiting was largely the result of her reputation ing, developing, and managing social networks and her ability to draw upon the network of re- and assisting clients in their assessment, devel- lationships that she had developed over the opment, and management of social networks is course of her life. . . . The staff viewed know- the crux of social work practice. Client needs ing people, being tied into local social networks, generally do not coincide with a single agency’s as more important than sharing the ethnicity service packets. The sheer number of agencies and culture of the community. (p. 34) with varying service arrangements and regulations and a client’s informal social supports Networks and networking are inherent in so- generates management complexity for the indi- cial work’s emphasis on the client’s social ecol- vidual client and social worker and demands ogy, service coordination, and the holism of commensurate network management skills. Net- social work’s person-in-environment (P-I-E) per- works are equally important to macro commu- spective. The more critical form of networking nity practice, which largely consists of building for clients and community residents is with their and managing social networks. Social workers primary and secondary social supports. Family, network when they refer clients to other agen- friends, and neighborhood organizations pro- 293 294 COMMUNITY PRACTICE SKILLS vide more help than tertiary or formal social of the social action organization or the negotia- agencies (Lincoln, 2000; Payne, 2000; Phillips, tions of the service coordination agreements be- Bernard, Phillipson, & Ogg, 2000; Streeter & tween two or more agencies referred to above Franklin, 1992; Whittaker et al., 1983). Network- are examples of networking. Mackay (1997, p. ing occurs when people seek others who can or 61) defines interpersonal networking, although may be able to help them or whom they may be applicable to other forms of social networking, able to help. Networking involves building and as “finding fast whom you need to get what you maintaining social relationships with others. need in any given situation and helping others Networks are support systems when they pro- to do the same.” Inherent in networking is vide a structure for social exchanges. This chap- sustaining reciprocity and interdependency, not ter will review social network theory and its un- dependency. Interorganizational networking exists derlying social theories, the dimensions of social when people in a network bring organizational networks, client social supports as networks, resources and commitments beyond their per- and the application of networking to social work sonal resources to a network. practice. Social networks are social arrangements of peoples, groups, organizations, or other social units WHY NETWORKS AND NETWORKING? that interact and engage in exchanges to achieve Network involvement for an agency or an in- their purposes. A social action coalition of neigh- dividual means a potential loss of autonomy and borhood organizations is an example of a social a necessity to invest some resources in develop- network common in community work. While ing and maintaining the network. Agencies and systems have shared objectives or purposes people are involved in networks because they (Anderson & Carter, 1984, pp. 1–23; Churchman, expect to make gains over their expenditures of 1965, pp. 29–33; Hearn, 1969; Leighninger, 1978; resources sufficient to compensate for their loss Martin & O’Connor, 1989), a social network’s of autonomy. Research (Galaskiewicz & Wasser- units can have different objectives or purposes. man, 1990; Woodard & Doreion, 1994) indicates What the units share is a belief that their indi- that networks are developed and maintained un- vidual objectives or needs will be bettered by the der the following conditions: network relationship (Whittaker et al., 1983, p. 4). Nohria and Eccles (1992) maintain that social networks are not the same as electronic and me- • Network units need other units for the re- chanical networks. Social networks require so- sources to fulfill their functions and achieve cial and human interaction for bonding and co- their goals. The network provides a structure, hesion. McIntyre (1986) argues that networks that is, a marketplace, for exchanging re- and support systems exist in any situation in- sources. volving an exchange of resources. Resources • The units need other units to respond to an ex- exchanged can be tangible, such as money and ternal problem, cope with stress, opportunity, clients, or intangible, such as information, emo- or mandate because the resources necessary to tional support, or legitimization. Networks can respond are available only through network- be personal, professional and organizational, ing. The network provides a structure for ag- and networking can be interpersonal between gregating resources and for coordinating do- individuals and interorganization between or- mains politically and functionally. ganizations and agencies. Not all network units • Network units that compete for domains need need be in direct contact with all other network to regulate competition and conflict. The net- units. MacKay (1997, pp. 8–9) calling forth the work provides a structure and mechanism for Broadway show and movie, Six Degrees of Sepa- politically regulating competition, negotiating ration. McKay (1997, p.6) proposes that a net- domain consensus, and legitimating the do- work is an organized collection of contacts and mains of competing network members. the contacts’ contacts. Client referral systems between agencies and service coordination agreements between two or more agencies are exam- SOCIAL EXCHANGES AND NETWORKS ples of interorganizational networks. Networking is the assessment, development, Networks are established and maintained by and maintenance of network. It involves the ac- social exchanges. Social exchange theory is the tual exchanges. It is the creation of conditions for basic theory underlying networking. Social ex- and the actual exchanges of material and in- changes are involved when network units recog- strumental and affective resources. The building nize the domains of other participating units in USING NETWORKS AND NETWORKING 295 a network. The units trade or exchange domain Domain consensus is the recognition of and recognitions. Exchanges are present when gov- agreement by network members or units and po- ernments exchanges resources for commitments tential network partners of a person, agency, or and programs compatible with the govern- unit’s domain claim on the task environment. ment’s prevailing ideology. For reviews of ide- Recognition of domains by network partners ological exchanges between the government and is required if exchanges are to occur. Domain various constituencies on the social and political recognition is prerequisite to domain consensus. left and right, see Moynihan (1969), Murray The degree of domain consensus can vary on all (1984), and Pivan and Cloward (1971). or some of the domain variables, but the higher The potential exchange partners for a network the agreement on a wider range of variables, the usually are not limited to a single partner for a more likely it is that a network unit or agency bilateral exchange between two participants. In- will find network partners for resource stead, there is an exchange set delineated as the exchanges. number of potential partners in the task environment or community. There is a field of po- Size tential exchange partners in the task environment. The number of potential partners in the Networks can consist of as few as only two exchange set determines the prevailing value of units or involve an almost infinite number of each participant’s resources in likely exchanges. units, such as in a telephone network or the Value is the reward or gratification to the recip- World Wide Web. The size of a network, even a ients of the resources or products received. The social support or mutual aid network, is not ge- more potential exchange partners with the de- ographically limited to a specific community sired resource there are in the exchange set, the now with the contemporary communication and more easily realized and less costly are the ex- transportation technology. The parlor game six changes for the party seeking the resource. Costs degrees of separation speculates that no more are the rewards, products, and resources traded than six people separate everyone from anyone and foregone in the exchange or the punish- else in the world. Milgram (1967) tested this as- ments incurred in order to obtain the desired re- sumption in a field experiment and found it con- source. Each participant in the exchange rela- vincing. The average number of links was five, tionship defines the value of the products not six. Of course, the challenging practice task received and compares this value to the cost of is to identify and connect (or network) the rele- the products traded in the exchange. vant five or six people in the chain, convince them to pass back and forth relatively un- NETWORK DIMENSIONS changed the exchanges between you and your target, and eventually shorten the chain of sep- Networks differ on several related dimensions aration between you and your target to reduce critical to social work practice. It is important to your dependency on the chain. understand the terminology, concepts, princi- Larger networks potentially have greater re- ples, theories, and research of networks to suc- sources and more exchange partners than do cessfully practice social work. Nohria and Eccles smaller networks. Larger networks, however, (1992, pp. 4–7) contend that the actions, atti- generally are more inefficient, with resource re- tudes, and behaviors of people can be best ex- dundancy. They require more management to plained in terms of their positions in networks. regulate exchanges depending on network con- Networks constrain and shape actions of people struction and can suffer from lower cohesion in their interdependency and reciprocity. We (Burt, 1992; Nohria & Eccles, 1992, pp. 288–308). will consider 12 basic network dimensions rang- Implications and relevance of size will be dis- ing from domain recognition and agreement of cussed under the dimensions of power, influ- network members to the locus of authority of ence, and dependency; density; coordination networks for their members (Woodard & Dor- and control (management); and cohesion. eion, 1994; Mizruchi & Galaskiewicz, 1993). Reciprocity and Exchanges Domain Consensus Networks are exchange mechanisms. Reci- Recognition and some degree of domain con- procity is inherent in exchanges. It is both the act sensus is necessary for interpersonal and in- and obligation of returning value for value re- terorganization relations and networking. ceived. Individuals or network units who sup- 296 COMMUNITY PRACTICE SKILLS ply rewarding services to another obligate the influence over other network units dependent receiving unit. To discharge the obligation the on it for resources. The strength and vulnerabil- receiving must furnish benefit to the first. Bal- ity, the ability to influence and be influenced, of anced reciprocity (fairer exchanges) enhances a network member results from the potential network cohesion, stability, and use (Blau, 1964). number of exchange partners for its resources If exchanges are viewed as unfair, then it is more and its competitors for a desired resource. The likely that other exchange partners and networks more the likely exchange partners or options a will be sought and used. Research with social network member has within a network or ac- support networks has found this to be true (Bee- cessible in its task environment for future net- man, 1997). Reciprocity in social support is as- working, the less dependent it is on a single or sociated with greater psychological well-being few trading partner. A network member with a than when an individual unit is largely either a scarce resource, a resource in great demand such giver or only a recipient (Dalton, Elias, & Wan- as leadership ability, with limited options for dersman, 2001, p. 240). this resource to a network and other network- units but the resource holder has many options to exchange the resource puts the holder in a po- Power, Influence, and Dependency sition of strength, influence, and relative power in network exchanges. The network is asym- Power, as we have discussed it elsewhere in metrical. Many potential exchange partners in a this text, is an ability to act and get one’s way. network reduce vulnerability and dependency Power is generally on a continuum, and one’s for members of the network but can increase po- power is rarely absolute. Power in networks is tential obligations and network maintenance an ability to get resources, influence, and get costs. These costs are mitigated, according to things done in the network (Bragg, 1996; Willer, Knoke (1993), by keeping networks flexible, in- Lovaglia, & Markovsky, 1999, p. 231). Influence formal, and decentralized. (less than absolute power) affects the behavior Balanced exchange relationships, with all of others regardless of intent. Influence is rooted sides dependent on the other and having mutual in the ability of a network member to alter the and reciprocal influence, create countervailing behavior of another network member by pro- power relationships. This is interdependency. In- viding or withholding resources. Dependency is terdependency, with its balance, enhances sta- reliance upon others or another for support and bility and a sense of fair exchange to a network. desired resources. Dependent units in a network A goal of network management for social work are usually subordinate to, highly influenced by, practitioners is balanced interdependency and and have less power than units providing countervailing power relationships by empow- support. ering clients. Power, influence, and dependency of network Network units can engage in exchanges di- units are functions of resources distributions in rectly or through other units in a network. In- a network. Box 11.1 lays out the Power Equation deed, intermediate units create networks beyond described here. If one unit is the sole or primary a dyad. Exchanges and networks can be regu- possessor of a resource highly desired by a num- lated by a third party with a capacity to man- ber of other potential network trading partners, date and monitor exchanges between network the demand for the resource is likely to be high participants. Mandated referrals and exchanges and the gains, power, and influence of the val- of resources occur when a third party requires ued resource holder should be great. The holder two network units to interact. This is often the of a highly desired and limited resource will gain case when a superordinate agency requires re-

BOX 11.1 POWER EQUATION

Influence of Unit A over Unit B is a function of A will have influence on all Network Bs that are B’s dependency on A for a resource or resources dependent on A for the resource. and the number of Bs competing for A’s limited Symbols: I ϭ influence; n ϭ number; / over or on; D ϭ de- available resource: pendency

(IA/B[FREQ](DBn/A) ϩ (␴BDA) USING NETWORKS AND NETWORKING 297 ferrals or particular types of exchanges among work cohesion is adversely affected. The theory subordinate units. Health maintenance organi- and principle holds that zations and managed care direct and mandate exchanges between other health care network • the more exchange relations between super units consisting of health care providers and pa- and subordinate become imbalanced, the tients. The managed care agency is the superor- greater is the probability of opposition to those dinate network unit. It maintains its super- with power. ordinate position and the responsiveness of health network units by controlling scarce fiscal • the more the norms of reciprocity are violated resources. by the superordinate, the less fair the ex- The amount and desirability of a network changes, the greater is the imbalance. unit’s resources are important in network’s ex- • if networks are composed of many subordi- changes and the unit’s network influence. But re- nates and few superordinates, the more sub- sources alone do not determine network influ- ordinates experience collectively relations of ence. According to research by Mizruchi and imbalance with superordinates, the greater is Galaskiewicz (1993), resource control and de- the sense of deprivation, and the greater is the pendency’s importance as a critical variable in probability of opposition by the subordinates determining influence likely are nested in vari- to the superordinates. ables such as social class and the networking skills of network actors. A network unit’s influ- In short, dependency breeds resentment, op- ence or dependency on its network partners is position, and instability. Interdependence and explained as much by the network unit’s bar- fair exchanges foster network cohesion and gaining skills in the use of its resources in ex- solidarity. changes as it is by the amount of resources. This The superordinate-subordinate power relationship is important for social work practice, as workers principle underlies social action in community and clients will often have to compensate for a and labor organizing. Activist-organizers often dearth of resources, with networking skills. help community groups, action systems, and client systems recognize and understand the im- Cohesion balance of power and their subordinate positions. Lee’s (1994) empowerment social work practice uses this principle in discussing the im- Cohesion is the internal bonding strength of a portance of helping clients assume a holistic ap- network. It helps the network remain a network. proach in their problem analysis. They should Cohesiveness is operationally defined as any- assume a critical perspective and recognize so- thing that attracts people to join, participate cial oppression rooted in class and ethnicity in in, and remain in a dyad, group, organization, the deconstruction of their problems. Similarly, or network. Fair exchanges and reciprocity in the construction of interventions and solu- encourage cohesion, and network cohesion en- tions, social oppression based on class and eth- courages more subsequent exchanges among nicity must be recognized. We will discuss the network participants. Cohesion is also more political nature of client problems more fully in likely to be higher in networks with primary and our chapter on community social casework secondary group characteristics with more face- practice. to-face interaction than with tertiary, limited- interest networks (Nohria & Eccles, 1992; Trav- illion, 1999, pp. 22–25). Practitioners seeking co- Symmetry hesive networks need to create opportunities for fair exchanges, broad interest among partici- Each network unit has some resources to ex- pants in each other, and face-to-face, more per- change. This is the reason for networking. How- sonalized interactions. ever, the resource distribution among network Network cohesion is affected by the network’s units is not necessarily symmetrical. Not all units symmetry and interdependence. Peter M. Blau’s have equal resources, power, and make equiva- (1964) superordinate-subordinate power relationship lent gains and losses in exchanges. Network principle, introduced with our network power symmetry is the degree to which resources are discussion elaborates this network relationship. evenly distributed and exchanges balanced; it is Superordinate and subordinate refer to the dis- a function of the availability and distribution of tribution of power and resources in a social ex- network resources and the network units’ skill change. If a relationship is too imbalanced, net- in bargaining. If resources are aggregated and 298 COMMUNITY PRACTICE SKILLS bargaining skills held by only a few of the net- easier management. Organizational models with work’s units, the network’s exchanges will be channels of communication, chains of command, asymmetrical. Woodard and Doreion’s (1994) and decentralized structures of subnetworks re- study of community service networks found that flect this design. Subnetworks or network seg- less than half of the exchanges were symmetrical. ments are network patterns within a network Symmetry enhances network stability and co- where interaction and density is greater within hesion. Symmetry is promoted by and promotes the segments than across segments. The subnet- fair exchanges and reciprocity cohesion. Socially works are linked into an overall network rather marginalized clients are unlikely to have sym- than a linking of individual people into one net- metrical networks. Individual clients generally work. Segments creating smaller networks and have limited social resources. They have little networks of networks deal with the challenges symmetry in their network relations with com- of size and density (Dalton, Elias, & Wanders- munity agencies and other tertiary social orga- man, 2001, p. 252–255). We will examine struc- nizations. This lack of symmetry and its impact ture more fully under the network dimensions on power, dependency, and interdependency of centrality and coordination and control. highlights a need for collective, countervailing mediating organizations and coalitions for Centrality and Reachability clients in their networking with a largely verti- 1 cal tertiary service system. Centrality and reachability are two critical variables contributing to network power and influ- Density and Structural Complexity ence. They are also critical in leadership of community interventions. Centrality is present when Network structures can be simple, with few other network positions have to go through a units and relationships, or dense, with complex network position and unit in order to commu- structures. Density is the number of actual rela- nicate and reach others in the network. Central- tionships in the network, as compared with the ity provides a thermostatic function. The central possible number of relationships (Dalton, Elias, unit can regulate the network, and alter ex- & Wandersman, 2001, p. 252–255; Specht, 1986). changes as they pass through the it. Centrality Potential density increases exponentially with is inherently, positively, and significantly related each new network member. The addition of a to power in networks (Bass & Burkhardt, 1992, single new unit to a six-unit network increases p. 210). Reachability is necessary for a network the potential number of relationships by six position to have centrality. Reachability refers to rather than one. In simple structures, all network a network unit’s accessibility to other network units relate to each other. Simple structures are units (Woodard & Doreion, 1994). A partici- potentially dense. pant’s power in a network is enhanced with cen- Large networks can have high or low density, trality and linkage to the other network units depending on their structure. A network with (Knoke, 1993). 100 units has a potential density of 4,950 rela- In Figure 11.1, a chain network of five positions. With increased size of a network, density tions, Position 3 (other things being equal) is in and potential cohesion of the network become a position of greater influence than other net- more difficult to manage, given the number work units because interactions must always go of possible relationships between units. Each through it to reach the other end. The centrality member has 99 separate relations. But if the den- of Positions 2 and 4, while not as great as 3’s, is sity doesn’t reach the potential density, cohesion greater than that of 1 and 5. The capacity for in- is reduced as certain units are marginalized and fluence is enhanced by centrality as exchanges do not interact with the network: must pass through the more central positions. The chain network also has low density. In ef- PD ϭ NU(NU Ϫ 1)/2 fect it has four segments composed of positions 1 ↔ 2, 2 ↔ 3, 3 ↔ 4, and 4 ↔ 5. With its low den- ϭ ϭ where PD potential density, and NU num- sity, there is less likelihood for cohesion and sta- ber of network units. bility and greater for marginalization of 1 and 5. The network management task is to reduce Positions 1 and 5 are isolated and have no direct potential density without marginalizing members. A complex structure can reduce density by reducing the number of relationships. It essen- 1 2 3 4 5 tially breaks the network into smaller subnet- work networks or departments. This allows for Figure 11.1 Chain network. USING NETWORKS AND NETWORKING 299

1 centrality and segmentation as network size increases.

Coordination and Control 2 34 A network’s need for coordination and control is a function of size, density, segmentation, frequency and types of exchanges, and its need for stability. The capacity for coordination and 5 control inherently resides in network positions Figure 11.2 Star network. with centrality and reachability. Loosely coupled networks (Aldrich, 1971; Weick, 1976) are composed of loosely connected units with a capacity to act independently on most matters but still interaction with 75% of the remaining network capable of exchanges and joint actions when units. Units 2 and 4 are critical to maintaining 1 needed. Loosely coupled networks often recon- and 5 in the network. cile the strains between autonomy and interde- In Figures 11.1, The Stars and 11.2, The Group, pendence for their members. Position 3 has greater reachability by more net- Network coordination in loosely coupled network participants than do the other network po- works is informal between participants, with sitions. In Figure 11.2, a star network, all partic- any dominance resting with the coordinators ipants must go through 3 to reach an exchange who serve as the linchpins, as Figures 11.1 and partner. Position 3 is the star. Position 3’s net- 11.2 illustrate, or, in the case of Figure 11.3, work influence should be the greatest, as all ex- through group mechanisms. Group mechanisms changes between any network positions must go lend themselves to more equality but suffer from through it. This network has low density and has ↔ ↔ ↔ ↔ the expense of maintaining multiple interactions four segments: 1 3, 2 3, 4 3, and 5 3. and duplication. With centrality potentially comes greater net- As networks become larger and if stability is work management and maintenance capacity needed, they become more formal, with set pro- and responsibilities. The stability of a star net- tocols, rules, and procedures to coordinate and work depends on the star. control, the management tasks, the interaction Position 3’s centrality and influence based on density. Individual discretion and variation is re- network position is reduced in the third type of duced and the formal protocols and structured network, which is a group network (see Figure positions govern the interaction. Individuals lose 11.3). In the group network, all units are equally autonomy corresponding to the network’s size central. This network is dense, with all network and need to control and coordinate density. participants having direct access to all other net- Without management and maintenance, entropy work participants. If the density is maintained, (a characteristic of systems) begins (Hage, 1980; it can be a more stable network than the other Van de Ven, Delbecq, & Koenig, 1976). Figure two. There is no central, more reachable, and 11.4 represents a segmented network with a dominant position of power or influence based management position, Position 5, to control in- on network structure. Networks with density teraction between the segments. may become unstable or require structural Practitioners in constructing and managing networks should be aware of the importance of structural positioning in the network and its in- 1 fluence on the flow of information and the management of exchanges. When tighter control is necessary, network design should have a posi-

2 34 1267

5 3489

Figure 11.3 Group network. Figure 11.4 Segmented network. 300 COMMUNITY PRACTICE SKILLS tion with centrality. Practitioners needing net- authority. Both networks and the units can have work influence should seek to hold central internal or external loci of authority. If the local positions. administrator of an agency in a network reports to or must obtain permission from a decisional Network Unit’s Social Status authority outside the local agency, the networked unit has an external locus of authority. It is important to determine network and network part- People and other social units come to social ners’ loci of authority because these are the cen- networks with different social statuses. Agency’s ters of influence. The viability of domain and networks and networking vary by the individ- network agreements rest with the loci of au- ual participants’ hierarchical level within the thority. Decentralized structures of large com- agency and social status in the community. plex organizations are often part of extracom- Agency administrators network on the policy munity organizations called vertical structures. and programmatic levels. The management- The decentralization is an attempt to reduce level networking is concerned with exchanges of many of the negative attributes of the behemoth population and problem information, fiscal and organization and to assume more locally re- material resources exchanges, and management sponsive structure and relationships. However, and domain information exchanges (Woodard & the primary criteria of the decentralized struc- Doreion, 1994). Line-level staff can network as ture ‘s ability to engage in community network- part of formal agency service agreements or ing is the capacity of local decision makers in the more informally with personal networks. Line- decentralized unit to commit the decentralized service staff engage more often in exchanges in- unit’s resources to local community interests. volving client referrals, services coordination, Networks composed of voluntary participants and information exchanges for specific clients. have internal loci of authority for the network, Line-service staff often are ignorant of the man- although the unit may have an external locus of agement networks exchanges (Woodard & Dor- authority, while mandated networks have ex- eion, 1994). Woodard and Doreion’s (1994) re- ternal network loci of authority. The managed search found that line-level staff networks were care network described earlier, and interagency not always symmetrical but were more sym- coordinating groups required by funding metrical with frequently used network partners sources such as the federal government or when exchanges were viewed as fair. Generally, United Way, are examples of networks with ex- line-level networks were more symmetrical than ternal loci of authority. The objectives, goals, were management interagency network ex- structure, and rules of exchange within the net- changes. Healy’s (1991) research on line-staff ser- work are determined not by network members vices coordination found that they preferred ser- but by a superordinate external authority. vice coordination through informal rather than The locus of authority’s effects on network formal networks. Informal networks may de- performance is unclear. Schopler, (1994) after a velop as a response to the difficulty of partici- review of the research literature, speculated on pating in the large, complex and formal net- the types of tasks for which each loci might be works. Informal networks can indicate either a best suited. Mandated networks with their ex- beginning for formalization or an entropy of for- ternally proscribed rules should be best suited mal networks. for clearly defined, standardized, and limited The social status a participant brings to a net- tasks, as the external mandating authority usu- work affects network status. Participants who ally has reasons for creating a network. Volun- bring high social status to the network tend to tary networks with internal loci of authority have high status and influence in the network should respond better to tasks requiring inno- (Bragg, 1999; Willer, 1999, p. 2). vation and creativity, although they may be less efficient in operation. Morale is often higher and Locus of Authority cohesion stronger in networks with internal loci of authority. Unlike the mandated members, no Networks also can vary by the locus of au- external authority holds the network together. thority. The locus of authority is where the authority for creating, defining, and maintaining the network’s objectives and tasks resides. The Horizontal and Vertical Network Relationships locus of authority can be within or outside the network. The locus of authority is the founda- Network units sharing the same geographic tion of and where the organization derives its domains, having the same task environments, USING NETWORKS AND NETWORKING 301 existing within the same community and with and the capacity of the organization to respond similar locus of decision making, have horizontal to local community change. Vertical units inher- network relationships. Horizontal networks ently have less community commitment than do (networks primarily comprised of units with horizontal units. Community social work prac- horizontal relations) are more likely to be de- titioners develop network relationships with a centralized, informal, fluid, and—at times— more horizontal character of power equivalency competitive and marketlike. and interdependence with the vertical agencies If a network unit’s geographic domain and in the network through organizing the horizon- service or market area encompasses several com- tal entities into a countervailing power network munities and its locus of authority rests outside relationship. another network unit’s community, the relationship to that unit is vertical. Vertically related structures are generally superordinate and have ESTABLISHING AND MAINTAINING DOMAINS less network interdependence. The vertical or AND NETWORKS: THE PRACTICE CHALLENGES superordinate unit’s interests, responsibilities, AND TASKS and accountability extend beyond the local community. The superordinate unit’s perception of Network units generally seek domain con- its best interests may be different from the com- sensus to reduce domain conflicts and compe- munity’s good. Local concerns simply are not a tition. Domain consensus maximizes resources priority in the superordinate unit’s decision and reduces the amount of energy and re- equations. As mutual support, social welfare, sources expended in bargaining to obtain re- and health provisions become part of national sources, to protect domains, and to engage in and global corporations, and providers adopt and manage competition and conflict. Domain proprietary models and behaviors, the relation- consensus promotes stability and predictabil- ships to local communities become vertical. As ity. Domain conflicts and competition occur these agencies follow the profit-driven decisions whenever a social entity attempts to establish and emulate other vertically controlled and eco- itself in or to obtain all or part of another en- nomically driven organizations, the local com- tity’s domain. The conflict and competition can munity’s well-being is not paramount to the ex- be for any of the domain’s tangible or intangi- tracommunity megastructures. Federal and state ble resources (Chetkow-Yanoov, 1997; Coser, agencies are vertical to local community organi- 1964). Establishing domain consensus, devel- zations, even if the community is the geographic oping and coordinating networks, and manag- and civic community of Washington, D.C. Na- ing networks depend on the resources available tional organizations, even when physically in the task environment, the dimensions listed headquartered in specific communities, are ver- earlier, and the skills of the participants. Social tical in their relationships to local community or- agencies have missions and objectives related ganizations. And while national organizations to the environment, whether the objective is to are horizontal to other national organizations, increase the economic self-sufficiency of Tem- they tend to respond in their interorganizational porary Assistance to Needy Families (TANF) relations in a formal fashion. For an extensive re- mothers, to improve social functioning of men- view of the growing importance and impact of tal patients, or to reduce child abuse and ne- vertically related organizations and their deci- glect. Each agency seeks domains and resources sions on local communities, see Barlett and and generally must network with other agen- Steele (1992). cies and organizations to achieve their objec- Vertical and horizontal, as used here, describe tives and fulfill their mission. Agencies seek to the relationship between the network units, the maximize autonomy and resources. This is also network linkages, in the network and the com- the charge to social workers in client empow- munity (Alter, n.d.). They don’t describe the in- erment and self-determination—to maximize ternal structure of a unit. The vantage point is client autonomy. However, neither agencies the community. It is important for social work- nor clients operate in social isolation. Maxi- ers in assessing agencies, organizations, and net- mizing autonomy and resources require inter- work units to determine if the relationships are action with the social environment or the task vertical or horizontal. This will affect the bar- environment. The task in both establishing and gaining and negotiation, influence and interde- maintaining networks is to facilitate interdependency, the exchange agreements, the au- pendency rather than dependency. Box 11.2 thority of local administrators and agents to lists the basic steps for determining needed make decisions responsive to community needs, network limits. 302 COMMUNITY PRACTICE SKILLS

BOX 11.2 PROTOCOLS FOR DETERMINING NEEDED NETWORK UNITS

1. Determine the total scope of the technology, 4. Assess the community, the task environment, tasks, and resources required to accomplish for the domains, the holders, of the needed the objectives. resources and their exchange preferences. 2. Determine the agency’s (or client’s) current 5. Negotiate exchanges with the resource domain of technology, tasks, and resources. providers based on resource exchanges re- 3. Compare the agency’s (or client’s) existing quired by the resource holder (or social sup- domain with the total scope of technology, port). In the negotiation and networking, the tasks, and resources required to accomplish importance of size, complexity, dependency, the objectives. If a gap exists, the agency (or cohesion, centrality, reciprocity expecta- client) will need to expand either its domain tions, competition, and the other dimensions or network with resource providers: fiscal, of networks should be recognized. nonfiscal, client, legitimizers, technology holders, and other complementary agencies (or social supports), to achieve its objectives.

Competition and collective network identity. This “us against them” situation is useful in developing team Competition is controlled conflict when the spirit and patriotism. It can generate energy and parties in the competition recognize that they are a sense of purpose. Conflict with out-groups, seeking the same domain or resource. Without and sometimes even with the network, can re- recognition of the competition, conflict does not lease emotional steam and reduce tension. Net- occur. Competition, as with most conflict, has works that survive internal conflict often are the rules of the game between the competing stronger, as the conflict served to clarify values parties (Deutsch, 1973; Kriesberg, 1982; Lauer, and commitments (Coser, 1964; Kirst-Ashman & 1982). Governments have devoted much time Hull, 1997, pp. 71–72; Kriesberg, 1982, pp. and energy to developing and managing the 69–108). Conflict often is critically necessary for rules for national and international market- the socially marginalized in changing the status places, such as the North American Free Trade quo. Agreement (NAFTA). Electoral campaigns with their campaign rules represent rules of conflict for changes of government in a democracy. But Conflict Resolution Strategies the rules of the game are followed in conflict, competition, and change only if the competitors Coser (1964) has asserted that, as the world be- see the rules as fair, if others are seen as playing comes more interdependent and closer, there fairly by the rules, and if competitors believe that will be greater need for rules of conflict and for violating rules produces costs exceeding any po- conflict resolution. Without rules, society will tential gains. disintegrate. Tannen (1998/1999, p. 48) argues Network participants are vulnerable to com- that conflict is a function of our market ideology. petition and conflict when other network par- Society is increasingly argumentative and ad- ticipants think they are not fulfilling their net- versarial in spirit, law, and politics. By casting work responsibilities and hence not allowing everything in either/or dichotomies, win/lose other network units to maintain their domain terms, we lose nuances, middle ground, and the obligations. Ideological differences between net- possibility that there can be a range and variety work units often lead to conflict as different ide- of viable positions. Everything becomes a market ologies shape different perceptions of reality, do- model of competition and clash of ideas, with neces- main responsibilities, and what constitutes a fair sary winners and losers. The winner/loser ideol- exchange (Chetkow-Yanoov, 1997, p. 47; Lauer, ogy is reflected in the pop-culture reflected 1982, p. 182). reality television shows, such as Big Brother, Sur- Conflict and competition can have value for vivors, and the quiz show, The Weakest Link. Sur- a network. Network conflict with out-groups vival in this environment of any particular so- (nonnetwork units) increases internal cohesion cial entity, whether client groups, agencies, or USING NETWORKS AND NETWORKING 303 social workers, will depend on that entity’s skills Strategies in conflict resolution include the fol- in using the rules and its participation in mak- lowing (Coser, 1964; Kirst-Ashman & Hull, 1997, ing fair rules to be used. pp. 73–80; Strom-Gottfried, 1998): Conflict requires that one or both sides recognize the conflicting areas of means or outcomes, • Retreat is an outcome that occurs when one that one or both sides are dissatisfied with the party leaves the conflict and the opponent status quo, and that one or both sides have a be- wins by default. Retreat is acceptable only as lief that it is not the “natural order of things” and a short-term strategy to preserve resources for believe that conflict will change and improve later conflict reengagement. Otherwise, retreat conditions. Much of social action is directed to- is defeat. ward increasing the action system’s dissatisfaction with the status quo and helping the action • Accommodation is a variant of retreat and con- system accept that conditions can be changed by sists of one party’s giving in and letting the social action. Creating a collective identity is crit- other party win, to preserve the peace. It may ical for conflict strategies based on a sense of be acceptable as a short-term solution if one grievance and deprivation. Conflict is more side of the conflict judges that it can not carry likely when the social environment is neutral. If the contest. the social environment or significant parts of it • Bargaining is the compromise strategy and in- is aligned with one or the other side, the mo- volves give-and-take: winning some and loos- mentum necessary for conflict is unlikely, as ing some. Bargaining and negotiation is the there is little environment support for the mi- most frequently used strategy unless one side nority side. Such momentum is more likely if one has sufficient social power to essentially ig- or both sides believe they will get support from nore the other side. We will discuss bargain- the social environment that will enable them to ing in greater detail below, as it is the practice inflict and sustain punishment (Coser, 1964). skill most useful for our conflict situations. Conflict can have several outcomes as indi- Bargaining skills can overcome, to some de- cated by Table 11.1. One outcome is the mainte- gree, deficits in other forms of social power. nance of the status quo where neither party gains Conflict and social action tactics such as em- or loses resources other than those expended in barrassment, loss of community support, and the conflict. If the conflict is on fundamental is- financial loss (such as with strikes and boy- sues, maintenance of the status quo is only a tem- cotts) and the disruption tactics of picketing porary resolution of the conflict. Maintenance of and sit-ins are often used to bring the oppo- the status quo, however, is an unacceptable con- nent to the bargaining table. Bargaining flict outcome for most social work change efforts. (Hardina, 2000) often tries to reframe the con- The second set of outcomes is a zero-sum so- flict as a non-zero-sum game involving posi- lution. A zero-sum solution (a win-lose solution) tive exchanges with both sides winning. A exists when the gains of one side are offset with win-win strategy involves using collaboration equivalent losses by the other side. The distri- and cooperation, where focusing on similar con- bution of total domains and resources between testant needs and sharing of resources be- contestants is changed, but the total amount of comes a means of conflict resolution. A posi- domains and resources is unchanged. This reso- tive exchange relationship in which both sides lution generally involves the use of the various make gains is a non-zero-sum game. Assess- forms of social power. The side with the greater ing the task environment for new resources social power or the most skilled in applying its and other new domain possibilities as yet un- social power usually wins. claimed can lead to a non-zero sum game or

TABLE 11.1 Conflict Outcomes

Conflict Resolution Unit A Change Unit B Change

Status quo No change No change Zero-sum A gain ϩϪ Zero-sum B gain Ϫϩ Win-win non-zero-sum ϩϩ Lose-lose non-zero-sum ϪϪ 304 COMMUNITY PRACTICE SKILLS

allying with other domain holders to add to • Partialize or break down your position in its the domains of the previously competing par- parts and place in priority order your areas of ties from domains not claimed by network concern and your positions. Positions should units. The trades and gains do not have to be reflect interests and areas of concern and not in the same type of resource. be too rigid and narrow to allow flexibility in the give-and-take of negotiation. You may • Subjugation is a strategy that calls for tactics to have to leave out some low-priority issues to force an opponent to accommodate or retreat prevent overwhelming the process. Fragmen- from the conflict. Subjugation defeats an op- tation of issues is always possible and doesn’t ponent and generally involves causing the op- preclude future negotiation on the omitted is- ponent to expend the resources that are the sues. Inclusion of some throwaway issues may sources of the opponent’s power and then iso- help in the bargaining. A throwaway issue is lating from additional resources and resource. an issue that you are willing to give up rather easily, as a sign of concession. It is used to per- BARGAINING suade the other party to make similar, but (it Bargaining and negotiation skills are crucial is hoped) real, concessions. to social work advocacy and practice. Bargain- • Attend to the rules of engagement before sub- ing is a “process whereby two or more parties stantial bargaining. Future gains and losses in attempt to settle what each shall give and take, bargaining are affected by the rules of engage- or perform and receive, in transactions between ment. These rules govern where the bargain- them” ( Rubin & Brown, 1975, p. 2). The con- ing will occur; the length and nature of the ses- flicting parties, at least temporarily, join to- sions; the format, agenda, and procedures; gether in an exchange relationship, a bargaining whose position will be presented first; and relationship, regardless of any prior or future even the shape of the bargaining table. The relationships. Bargaining concerns (a) the divi- rules of the game or engagement determine sion or exchange of one or more specific re- fairness. Biased criteria used to evaluate the sources or (b) the resolution of one or more in- fairness of proposals, positions, and solutions tangible issues among the parties or among will bias the outcomes. In establishing proce- those whom the parties represent, or (c) both. dures and protocols, avoid adversarial win- Bargaining usually involves the presentation of lose procedures, as they harden the opposi- demands or proposals by one party, evaluation tion’s position. It is important to have the by the other party, followed by concessions or criteria and rules of engagement in place, counterproposals or both. The activity is thus agreed upon, and agreeable, prior to proposal sequential rather than simultaneous ( Rubin & presentation and consideration of solutions. Brown, 1975, pp. 6–18). It requires clarity of • Encourage your opponent to present his or her communication between the parties, a willing- position first. This will allow tailoring of your ness to compromise and seek areas of agreement responses and prevent your prematurely con- and middle ground, and a mutual recognition ceding too much. If there are areas of agree- of legitimacy of the parties to bargain. Bargain- ment or near-agreement with your opponent, ing typically is a process with several compo- work on these areas first and be willing to nents (Deutsch, 1973; Kirst-Ashman & Hull, make apparent concessions that don’t funda- 1997, pp. 73–80; Rubin & Rubin, 2001, pp. mentally jeopardize your position. In estab- 328–335; Rubin & Brown, 1975, pp. 6–18; Strom- lishing common ground, co-opt part of your Gottfried, 1998; Tannen, 1998/1999): opponent’s position that doesn’t fundamen- tally conflict with yours and treat it as your own. Your opponent then must bargain • Prior to directly bargaining, establish a BATANA (best alternative to a—or to any— against the original position or accept it. If the negotiated agreement; (Fisher, Ury, & Patton, opponent accepts it, the tactic helps to estab- 1981; Strom-Gottfried, 1998). A BATANA is lish empathy and your image of flexibility. the best alternative available and that appears You also can use it as a throwaway issue. possible without negotiation. The BATANA • Seek mutually accommodating agreements provides a basis for comparison of any nego- that allow both sides to satisfy fundamental tiated gains or losses to what might be ob- principles if possible. Try not to challenge your tained without bargaining. This provides a opponent’s deepest moral convictions, but ne- basis on which to determine whether negotia- gotiate from your convictions. Don’t give them tions should be done at all. up in the desire to reach accommodation. USING NETWORKS AND NETWORKING 305

Communicate your empathy with your oppo- gainers to seek positive, and avoid negative, nent’s perspective, that you can understand it evaluations—especially when the audience is but not necessarily accept it. salient to the bargainers” (p. 44). Observation • Avoid rigid premature positional bargaining can also make the bargainers more cautious and and try to keep your opponent from doing the conservative, as tentative positions are often pre- same. Move from interests rather than rigid maturely frozen. positions. Talk less of rights, which are non- Mediation is a process that uses a third party negotiable, than of needs, wants, and interests (a neutral party to the conflict) called the media- that are negotiable. Separate your feelings, tor to clarify communicate between the parties likes, and dislikes for the opponent from the the positions. A mediator’s effectiveness rests on problem. Do not demonize your opponent in whether the mediator is seen as fair by all par- the bargaining stage, because eventually you ties in the dispute. Mediation helps to reduce ir- will have to join in agreement. The bargaining rationality, nonrationality, provides opportuni- is on interests and issues and not on interper- ties for face saving, facilitates communication by sonal relationships. The line from the Godfather lowering its tone or tension, and can regulate movie saga is applicable: “It’s not personal; it’s costs regarding third-party interests and infor- only business.” mation and evaluations of alternative solutions. Mediators and mediation can be formal or in- • Don’t rush to premature solutions, conclu- formal. Mediation helps the parties comply with sions, and closure without seeking areas of the bargaining processes and protocols. The me- mutual gain. This critical to a win-win ap- diation and mediator’s goal is accountability to proach and vital if future bargaining, cooper- a process of bargaining rather than decisions on ation, and collaboration are to be maintained. bargaining outcomes. Mediators in addition to However, do not be so reasonable and concil- formal mediators can be clients, representatives iatory that you lose touch with your core be- of the public or other constituencies. liefs, passions, and needs that compelled the If mediation is unsuccessful, arbitration is an- bargaining originally. Be clear on the areas of other option before coercive action. A side to a agreement and continuing areas of disagree- dispute generally seeks arbitration only if (a) it ment. appears to be losing, or (b) its position is most • If the bargaining has not produced resolutions likely to be adopted by the arbitrator, or (c) both. favorable to your position, keep bargaining. Arbitration is the use of a superordinate third Again, don’t rush to premature conclusions, party, superordinate to the conflicting parties for and don’t accept them. Keep the communica- purposes of the conflict resolution, to find and tion and bargaining process going until it can dictate a solution. Arbitrators generally hear be more satisfactorily concluded. both positions and apply the rules of the game • Prepare for future negotiation regardless of the to the dispute to arrive at a solution. The rules outcome of the current bargaining. If satisfac- of the game can be public law when applied by tory, the task is to maintain the gains. If un- the courts as arbitrators or may be privately satisfactory, the challenge is to reopen negoti- agreed-upon rules used by major league base- ations to arrive at more favorable conclusions. ball arbitrators. Arbitrators can be agencies such Emphasize and maintain communication if as the United Way with its superordinate fund- you wish to change your relationship with ing position over member agencies, or they may your opponent from that of a competitor to be agencies such as the courts or other third par- that of a network partner. ties with authority over all sides to the dispute. Arbitration does present dangers to all parties in the conflict, because they all surrender auton- MEDIATION AND ARBITRATION omy to the arbiter, which becomes a superordi- Sometimes direct bargaining is unable to nate authority for purposes of dispute resolu- arrive at mutually agreeable accommodations. tion. Then third parties as observers or as mediators or arbitrators are used. Nonpartisan observers often keep the process moving, and if one side is capri- ESTABLISHING AND MAINTAINING DOMAINS cious, they help to build public support for the A final task in domain conflict resolution is to other side. Rubin and Brown (1975) claim that establish domain boundary maintenance and observers make the process more trustworthy: protection mechanisms to reduce the expendi- “The mere presence of an audience (including tures of resources necessary to wage future do- the psychological presence) motivates the bar- main conflicts. Establishing new domains is fa- 306 COMMUNITY PRACTICE SKILLS cilitated by the resource richness and dispersion 2000; McCarthy & Nelson, 1991; O’Connell, 1978; in the task environment and the instability or Schwartz, 1986; & Whittaker, 1986, among oth- weakness of existing domain agreements and ers). Client empowerment means increasing a networks. If there is consensus and stability client’s capacity to take control of his or her life among network units, units seeking to establish to improve it. Empowerment, like power, is in or expand domains will have to engage in con- the ability to act (Lee, 1994). Empowerment is flict and competition to create instability and tur- the cornerstone of social work practice and so- bulence. This will allow them to claim domains cial work’s value of client self-determination. and resources by breaking down existing net- Empowerment requires action and is not done works. Conversely, once a unit has an estab- in isolation. It needs collective and individual ac- lished domain, it will seek to secure its domain tions. Empowerment requires social networks by working toward stability and placidness in and social support networks. the task environment. However, the richer the Social support networks are social networks resources of the task environment, the more all with some special qualities. Whittaker, Gar- domains and networks can be sustained. barino & Associates (1983) specify the special The 1960s and 1970s—with an abundance of qualities as “the relational structure through federal funding for social agencies, a condition which people request support and make de- of resource richness—saw many new social mands. . . . a series of communication links. . . . agencies and service networks created. In the a set of interconnected relationships among a 1990s and in the twenty-first century, with grow- group of people that provides enduring patterns ing fiscal resource stinginess, social turbulence, of nurturance (in any or all forms) and provides and social service agencies paralleling the pro- contingent reinforcement for efforts to cope with prietary sector, new social work skills were and life on a day-to-day basis” (pp. 4–5). are needed (Menefee, 1994). The current task en- Social networks can either support or detract vironment for social agencies list the resource from the individual’s social functioning; social richness indicated by Table 11.2 as most benefi- support networks are limited to social networks cial to establishing and maintaining domains. that provide supports. The community psychol- The importance and usefulness of the rules of ogists Dalton, Elias, and Wandersman (2001, pp. the game, and the techniques, mechanisms, and 234–235) state that social support is not a sim- structures for competition and exchanges, have ple, unitary concept. It represents a collection of become more critical for social work and its social, emotional, cognitive, and behavioral pro- clients in this era of resource scarcity. The skills cesses occurring in social relationships that pro- of networking and bargaining in a turbulent and vide help and promote adaptive coping. Social competitive world are essential. support can take the following forms:

CLIENTS AND SOCIAL NETWORKS Clients exist in a web of social relations and a 1. Generalized social support—Ongoing support potential range of networks other than formal involving a general sense of belongingness, social agencies. Research and scholars have acceptance, and being cared for. Generalized linked client empowerment to participation in social support promotes social integration natural social support networks and social net- and emotional support. Social integration works as well as self-help groups (Anderson & provides a sense of belongingness to social Shaw, 1994; Beeman, 1997; Blau & Alba, 1982; groupings, communities, friendships, and Cochran, 1990; Dalton, Elias, & Wandersman, workplace relations. Emotional support gives 2001; Gestan & Jason, 1987; Heller, 1990; Lee, comfort and caring within personal relation- 1988; Levine, 1988; Lewis & Ford, 1990; Lincoln, ships, often as a result of social integration.

TABLE 11.2 Task Environment Conditions to Establish and Maintain Domains

Establishes Domains Maintain Domains

When Task environment is: Unstable, turbulent, heterogeneous Stable, placid, homogeneous When Task environment Dispersed, rich Concentrated, rich resources are USING NETWORKS AND NETWORKING 307

2. Specific social support—More limited and di- ple must perceive them as social supports. This rect problem-focused support for coping with requires that others in the network provide the specific stressors, often in a particular setting. actual behaviors of support and assistance. Specific social support can be any of the fol- Social support networks vary in size and den- lowing: sity. While research indicates mixed findings, a (a) Esteem support or encouragement—Sup- mid-range size is typically most supportive. The port bolstering a sense of personal com- effects of density, the number of possible rela- petency for dealing with specific chal- tionships, and the amount of cohesion depend lenges. It is task focused rather than deep, on type and amount of support needed. Less enduring emotional support and can dense networks are more conducive to emo- come from a range of people. It is often tional supports. more empowering when it comes from Social support networks differ by gender traits superordinates. as well (Lin & Westcott, 1991). Patterson, Ger- (b) Informational support—Cognitive advice main, Brennan, and Memmott (1988) found that and guidance, usually tailored to specific female natural helpers in support networks were situations rather than generalized emo- more depend on bonding, more expressive, and tional support. more effective with friends and family than they (c) Tangible support—Concrete assistance, were with neighbors and less-close contacts. material aid, and things. Male natural helpers were more effective in- strumentally, with neighbors, and less so on per- Streeter and Franklin (1992) and Shumaker sonal and emotional or expressive concerns. and Brownell (1984) provide similar social sup- Access to social support networks differs port categories in their review of social support across societies, communities, and individuals network research, used six social support cate- (Walker, Wasserman, & Wellman, 1993, p. 75). gories: As with the social agency networks, proximity and the ability to make contact (reachability) are important for individual social support net- 1. Material supports in physical things. works. Though proximity correlates with reach- 2. Behavioral assistance with tasks. ability, the telephone, the Internet, and other 3. Intimate interaction such as listening, caring, modern transportation and communication expressing understanding for self-esteem in technologies reduce the need for physical prox- home and emotional gratification. imity for contact and connectedness. Proximity 4. Guidance by giving specific advice, informa- is important for the social support of compan- tion, and instruction. ionship but is less critical than reachability for some of the other types of social and emotional 5. Feedback that provide reaction to and assess- supports. ment of thoughts, behaviors, and feelings for identity enhancement. 6. Positive social interaction for fun and relax- Social Support Network Benefits ation that aid identity and esteem. (Streeter & Franklin, 1992, p. 83) Social support networks are conceptually beneficial; this appears to be uniformly supported The types of social support are not mutually in the research. Social support networks provide exclusive, and a particular network can provide mutual support and help with living and cop- more than a single social support. A boss can ing, especially during times of crisis. Members provide encouragement and praise on current learn skills to help themselves as they are re- performance, with advice and guidance on fu- ceiving help or helping others. The clinical and ture career opportunities (informational) as a therapeutic effects of social support networks mentor, and can provide tangible rewards with are positive, with benefits literally ranging a raise. What makes something a social support, across the spectrum. They reduce the need for according to Streeter and Franklin (1992, p. 82) institutional and social agency help (Balgopal, is that it is social support embedded in actual 1988). Before we review some of the specific re- connections and a sense of belonging that peo- search, we need to keep Specht’s (1986) cautions ple have with significant others: family, friends, in mind. Specht concluded, after his review of colleagues, and others in their environment, as the research in 1986 (and his conclusion appears opposed to isolation and alienation from that en- valid after our more recent review), that the con- vironment. To have and use social supports, peo- cepts of social support and social support net- 308 COMMUNITY PRACTICE SKILLS works are often vaguely and broadly used. Of- dustrial and global society with its separation of ten the labels have been used for different phe- work from home and often community, a func- nomenon. The directions of the relationships tional extension of the community’s physical- between the social support networks and the geographic boundaries to a global scale, move- behavior or comparison variable are imprecise. ment to contract society from organic society, The research is cross sectional and inconclusive, and a predominance of secondary and more of- with the relationships being more association ten tertiary social interactions. An individual than causation. The alternative questions, as to voter has little political influence in the act of whether social support networks promote well- voting, although an individual with great eco- being or if well-being allows greater social sup- nomic and social resources may have influence port network involvement, are not resolved. in other ways. Just as a voter can have shared The cohesive and integrating effects of social political influence through mediating organiza- support networks act to reduce social isolation tions, an individual consumer can have shared and alienation, especially when networks serve influence in mediating consumer organizations. as mediating structures. Zimmerman and Rap- However, one of the most urgent problems fac- paport (1988), in a cross-sectional study of coming Western democracies is that of citizen social munity participation, concluded that greater exclusion. Social exclusion from group life involvement was positively associated with in- means that a person lacks the social capital de- dividual psychological empowerment and in- rived from participation in a network of civic en- versely associated with alienation. Psychological gagement. Interaction with others can, accord- empowerment was described as the “connection ing to the theory of social capital (Moyser & between a sense of personal competence, a de- Barry, 1997; Putnam, 2000), be expected not sire for, and a willingness to take action in the merely to promote personal interests and collec- public domain” (Zimmerman & Rappaport, p. tive benefits, but also to generate a significant 746). Schore and Atkin (1993) reported on 1960s side benefit of social trust that can be self-rein- U.S. Department of Labor data that the incidence forcing. In turn, social capital may be convert- of depression declined to 12% among workers in ible into the political capital of collective efficacy workplaces with high levels of social support, and political trust (Parry & Moyser, 1992, pp. from almost 27% in workplaces with low social 44–62). supports. Social supports are positively associ- A remedy against social exclusion and the so- ated with mental health and mental health gains cial disintegration characteristic of mass societies (Dufort, Dallaire, & Lavoie, 1997; Lin, Ye, & En- is, of course, the active membership of individ- sel, 1999), stable marriages and child rearing uals in all kinds of voluntary social networks (Volling, Notaro, & Larsen, 1998), school perfor- (Dekker, Koopmans, & van den Broek, 1997). mance (Rosenfeld, Richman, & Bowen, 2000), Voluntary social networks provide the opportu- and reduced rates of homelessness (Letiecq, An- nity to meet and network with new people, de- derson, & Koblinsky, 1998). velop social supports, develop civic and social engagement skills and contacts, learn interpersonal skills, and develop reciprocity and the co- Social Networks and Globalization hesion that integrates society and reduces the impact of mass society. These networks act as a Social networks and social support networks, buffer between the individual and the ongoing always critical in representative and participa- modernization of industrial society. Participa- tory democracy, are especially important in the tion in civic and voluntary associations is in- vertically dominated communities of the global versely correlated with economic and social economy (Wessels, 1997). People and communi- inequality (Wessels, 1997). Participation in vol- ties in a global economy need a variety and mul- untary associations, especially mass political as- tiple levels of organizations to mediate between sociations, part of global industrialization and them and the global megacorporations (van serves to mediate the negative impact of the Deth, 1997, pp. 1–25). Market competition, in the globalization. Communication technology can classic sense of no vendor or purchaser having facilitate community and social action organiz- the capacity to highly influence or control the ing (pp. 198–201). The core and necessary trait is market, is archaic. Individuals as consumers primary and secondary participation, social net- have no influence. A single, multinational and working, rather than just checkbook membership. multifunctional corporation can have great in- Politically and as the vehicle for civic partici- fluence on the political economy and control pation, associations serve as interest groups in markets. Social fragmentation accompanies in- the social mix to determine social policy. With- USING NETWORKS AND NETWORKING 309 out the associations and participation on the mi- stantly dropping out after a year or so. Amnesty crolevel of the association, the individual is lim- International, for example, has a dropout rate of ited in macroparticipation. The associations also 40% annually, and the average membership life provide the individual with a network of con- is 4 years. tacts. Associations (the networks) are political whether or not the associations are overtly po- Reciprocity litical (Almond & Verba, 1963; Dekker, Koop- mans, & van den Broek, 1997). They are politi- Social support networks require interdepen- cal because they develop social skills and dency and reciprocity rather than dependency if interlink social networks. they are to endure. Informal, voluntary, and pri- Membership in associations, whether or not mary groups need internal interdependency. politically motivated, leads to a politically more Their maintenance depends on their member competent citizenry. Van Deth (1997), after a re- satisfaction. Metaresearch by Walker et al. view of the literature on social participation, (1993), also supported by Maton (1988), con- concluded that social participation and political cluded that unilateral support is a myth. Social involvement are correlated. “Voting behavior support is not one-dimensional or unidirec- (turnout), a clear and direct relationship with so- tional. If there is true reciprocity, there must be cial participation is found in most analyses, even a balancing of provider and recipient roles. Rec- when socioeconomic status or political orienta- iprocity or mutual obligation is inherent in so- tion are taken into account” (p. 13). Joining or- cial supports network as “providing support to ganizations and political participation in politics someone in the same network increases the reinforce one another. A similar correlation was probability that one’s own needs will be met in found for other conventional modes of political the future” (Shumaker & Brownell, 1984, p. 29). behavior and social participation. Groups are not Reciprocity, as expected from the propositions only cooperative endeavors toward mutual ends of exchange theory, tends to match the recipi- but also a means to a shared life, a civic life, and ent’s view of the value of the resources supports this makes for political capital. received. When reciprocity is absent, the social Large-scale membership subscription or support network entropies and cohesion is lost checkbook organizations as tertiary networks re- (Shumaker & Brownell, 1984, pp. 24–29; Walker duce some of the civic benefits and skills of diet al., 1993). Reciprocity in self-help groups and rect participation (Maloney & Jordan, 1997, pp. social support networks enhances members’ 107–124). Decision making in these large-scale sense of well-being. The sense of well-being is organizations is anticipatory democracy rather higher when members give as well as receive than participatory democracy. One anticipates the (Dalton, Elias, & Wandersman, 2001, p. 240; Ma- nature of the decisions by virtue of joining rather ton, 1988). Additionally, activities beyond the than by participating in the decisional processes self-help group, where members have other net- of the network. The networks are anticipatory oli- works, are a key component of self-help group garchies with decisions made by a few at the top. efficacy. The extra group involvements may The participation is financial in membership lower demands on the self-help group. Kelly and fees, especially for the broad base of members, Kelly’s (1985) research on natural helping, a form rather than broad-based participation. This al- of social support, found that social support net- lows the oligarchies to function and pursue the works may be focused and that helpers tend to anticipated actions. Full benefits and virtues of be respondent and network specific. They are direct participation and networking are not re- not generalized helpers serving a wide number alized or are marginal. The influence is less mu- of respondents. The helpers often became tual and more from the mass organization to the helpers as payback or reciprocity for help that individual. they received from the current respondent or These tertiary organizations are called new so- others. cial movements (NSM). They (e.g., AARP, NRA, Greenpeace, etc.) have replaced the political party structure as a mechanism for more direct Costs of Social Networks participants in the political process, and indirect as they are. Political party sizes decline as the Social workers, in assisting clients with social NSMs increase. The managerial-dominated support networks, should be aware that social NSMs have to spend a great deal of effort and support networks can have detrimental effects. resources on raising membership, as member- Not all self-help and support networks are so- ship is a revolving door with members con- cially helpful to a client or community, although 310 COMMUNITY PRACTICE SKILLS the client may receive some generalized or spe- pecially if the recipient is constantly a recipient cific benefit. Not only can social support net- and never a helper. The situational and compli- works be simultaneously beneficial and detri- ant requirements to receive continuing unilateral mental, but different kinds of relationships can supports are harmful to the recipient’s sense of also provide different kinds of supports in emo- self-efficacy. tional aid, material aid, information, and com- Similar to interagency networks, personal so- panionship. The exchanges between social cial support networks including those used by support network participants are not always clients demand maintenance and can consume rational or intentional, with the actual effects resources of time, energy, and even finances. A sometimes differing from the intended effects. too-tightly integrated, dense, and cohesive net- Parties may differ on perception and evaluation work can be socially isolating and limiting. Barth of benefits and helpfulness, with the differences and Schinke’s (1984) examination of social sup- in evaluations reducing cohesion (Shumaker & ports for teenage mothers found that tight fam- Brownell, 1984, p. 21). Social supports can have ily networks can cut the mother off from other harmful effects, even when the intents are ben- potential social supports. Nonetheless, network eficial. The short- and long-term coping effects participation usually is associated with en- can differ, with beneficial effects in the short hanced social, interpersonal, and parenting term and negative effects in the long term espe- skills. cially if the social supports lead to long-term dependency, future obligations, and reciprocal claims for future resources. The Ku Klux Klan Primary, Secondary, and Tertiary Social and other ethnic supremacist groups, regardless Support Networks of the ethnicity espoused as superior, can provide esteem and tangible support but the group Social support networks, like most organiza- does not assist a member in socially developing tions, can be primary, secondary, or tertiary. or contributing to the community’s well-being. These concepts refer to the nature of the rela- Antisocial youth gangs may be a social support tionships between units in the network. Primary to their members by providing affinitive sup- networks or networks with primary relation- port, protection, and often material rewards for ships have members with broad interests in each participating in the gang activities. However, the other’s lives. Most typical primary networks are reciprocity requirements, current and future rec- composed of family and close friends. Secondary iprocity obligations, and situational compliance networks have a more narrow interest in their requirements to engage in violent, antisocial and members than do primary networks but have self-harming behavior are demands that will in- broader interests than do tertiary networks. Sec- hibit the youth’s positive current and future so- ondary networks and relationships are typically cial functioning. The interceptive tasks require neighborhood organizations, social clubs, or developing alternative sources of social supports membership benefit organizations such as labor for the youth. unions, churches, and support groups. Members Heller’s (1990) review of social support net- of these organizations can have primary rela- work research concluded that while social net- tionships. Tertiary network relationships are works are generally conducive to strengthening generally more formal, with a specific and lim- members’ coping capacity to deal with personal, ited interest in their members’ lives. interpersonal, and environmental stressors, the All social support networks might reasonably social networks themselves can be a source of be conceptualized as falling somewhere along stress because of the reciprocal demands. Shinn, the primary, secondary, or tertiary continuum. Lehman, and Wong’s (1984) exploration of so- The primary social supports are those ascribed cial support networks discovered that the reci- to or into which the individual is born, such as procity demands (the current and future de- the family, kinship, and primary groups associ- mands for resources by the provider of current ated with family. Secondary support groups are resources) on the recipient can be pernicious. If those with broad interest in and meaning to the the recipient fails to reciprocate because the individual such as informal friendship groups obligations exceed the recipient’s resources and and more formal groupings, still with broad incapacity, this failure creates stresses on both the terest in the individual, such as church and reli- provider and recipient. The provider may come gious groups, fraternal groups, unions and other to view the recipient as a free rider. The recipi- similar associations. ent has the stresses of unmet obligation and a Tertiary groups have more focused and cir- sense of dependency and loss of autonomy, es- cumscribed interest in the individual than the USING NETWORKS AND NETWORKING 311 other two types. Tertiary supports include the feeling of being relatively marginal to the wel- range of therapy and formally constructed sup- fare state and its resources. Middle-income el- port groups as well as special interest associa- derly had more connections to and success in ob- tions such as the Sierra Club. The common fea- taining and using the formal services for the ture of all of these groups is their more limited elderly offered by the welfare state. Generally, interest in the individual. As Putnam (1995) says, most care to the working class and elderly was their ties are to common ideas or issues shared given by primary (family, kin) and secondary by the membership but not a commitment to the (neighbors, neighborhood groups and organiza- people that comprise the membership. Although tions) rather than by tertiary or formal agencies. more secondary relationships may grow out of Primary social networks also can have negative the tertiary associations, as in some members’ consequences and drain resources from the in- becoming close friends, the individual member dividual and support aberrant behaviors. does not turn to the formal association or expect Practitioners need to know the client’s actual it to provide a wide range of social supports. The and potential primary supports and possible tertiary support groups provide a forum for in- secondary supports. Social workers, in assessing dividuals to focus on themselves, generally only client social support networks, should not ascertain parts of their biography or life space such sume uniformity across clients. The client’s func- as alcoholism or sexual abuse, in the presence of tional social supports will vary across clients by others but does not concentrate on the others. culture, integration into the community and iso- Bonding between members as individuals is not lation from a primary community, and the rich- required. Any group of like others is sufficient. ness of the client’s task environment. Primary The bonding is to the group as an whole and to and secondary social support networks should the idea. It is often relatively unimportant who be explored before turning to the often more ac- the others are in the audience; the audience can cessible tertiary supports. be transient, as long as there is an audience. This The development and strengthening of pri- is similar to the checkbook and membership- mary networks is akin to primary prevention. only organizations and their memberships. The Primary prevention is intervention given to a bonding is not between the members as people population not yet at risk with the intent of re- but between the members to the collective and ducing potential harmful circumstances. When the idea. They tend to be tertiary, vertical to the primary supports are strengthened, this leads to community, but often can serve as countervail- weakening of tertiary relations and a depen- ing forces to other vertical structures. The criti- dency on tertiary prevention. We also argue that cism of tertiary groups is not so much on what a strengthening and overreliance on the tertiary they do, but what they don’t do and their less- leads to a weakening of the primary. The tertiary ening that individuals will turn to more encom- is better suited for instrumental resources in net- passing primary and secondary associations works. Networks resource rich with both ex- (Bellah, Madsen, Sullivan, Swidler, & Tipton, pressive and instrumental resources are more 1985, 1991; Putnam, 1995). In their packaging optimal for social supports. and limiting of relationships, tertiary groups may drive out the time, energy, and effort required for the bonding and reciprocity of more primary and secondary associations and hence Agencies and Primary and Secondary Social reduce social supports and a general sense of Support Networks community not falling within their purview. Research findings repeatedly show that peo- The experience of Auslander and Auslander ple who have primary social supports—spouses, (1988) and Manzall (1986) has led them to con- family members and friends—who provide psy- clude that self-help groups and volunteer net- chological and material support have better works are beneficial to agencies as well as to physical and mental health than do people who clients. Self-help groups and volunteers can add have fewer social supports (Lincoln, 2000). Most efficiency if they enable agencies to serve a people receive most of their help through pri- greater number of clients, increase visibility in mary social relationships (Streeter & Franklin, the client community, and link agencies with 1992; Whittaker et al., 1983). This appears to be community groupings and networks. Volun- especially true for lower income and working- teers legitimize an agency and can be effective class people. A British study—reported on in media relations. It is unlikely that a single so- by Phillips et al. (2000)—of working-class cial support network, especially a tertiary net- Bangladeshi and white elderly demonstrated a work, will provide all the needed supports. Vol- 312 COMMUNITY PRACTICE SKILLS unteers and natural social support networks can ual clients. They collect and organize informa- link agency, clients, resources, and reduce the tion into a social map of a client’s community in- isolation of clients (as well as the agency) from dicating potential and actual social supports, so- the community and help integrate both into a social structures, and linkages. The map provides cial support system. Clients need to be linked the actual and potential ecological relationships with appropriate volunteers and social supports, between the client and other primary, secondary, and social agencies need to be a part of the com- and tertiary groups and organizations. These munity with active support constituencies. So- groups may either positively or negatively affect cial workers also need to assess a social network the client. The client’s current or actual social for positive and negative implications. Social network can be analyzed and compared to the work practice requires skills in assessing and es- networks needed to attain the case objectives. So- tablishing or reestablishing primary and sec- cial mapping starts with the case assessment ondary social support networks, as most help (Bisman, 1994; Lukus, 1993). The assessment’s will come from these types of networks. intent is to understand the case’s reality and meaning to the case. The first steps in community assessment involve determining with the Social Work Practice in Networks case the critical factors in the case’s community, ecology, and task environment. What is it we Social work practice can be characterized as need to know in order to achieve the case’s ob- network practice (Payne, 2000; Travillion, 1999; jectives? This requires information on the client’s Whittaker et al., 1983). We have argued that de- current social networks, a formulation of the velopment and use of primary and secondary so- needed network, and knowledge of the primary, cial support networks is preferable and more secondary, tertiary groups and organizations in conducive to client empowerment than an over- the community and the linkage and reciprocity reliance on tertiary social supports and social requirement. The groups and organizations are agencies. Stated plainly, we believe that social analyzed and categorized by functions. As- workers should work first with clients to estab- sumptions underlying ecomapping are set forth lish or reestablish primary support systems and in Box 11.3. work with clients and communities to create and Social work practitioners require skills in as- use community-based secondary social support sessing and establishing or reestablishing pri- systems. Clients should develop and use their mary and secondary social support networks, as strengths and the strengths of their families and most help will come from these types of net- communities for empowerment. While we don’t works. Practitioners need to know the client’s deny the obligations of the larger community, primary supports, the secondary supports the state and the nation to provide social sup- within a neighborhood area, and the formal ser- ports, but the tenuous nature of their tertiary so- vices in a particular catchment area (Phillips et cial supports in this era of welfare state devolu- al., 2000, p. 851). Community assessment is crit- tion compels empowerment to be client and ical in direct service practice. Community as- community centered. sessment skills are required, as different com- Protocols and techniques for developing and munities have different patterns. Box 11.4 managing client social support networks will be specifies the basic questions to be answered with discussed more fully in Chapter 13’s exploration community assessment. of community-based practice. Developing and Community assessment in direct service prac- helping clients manage social support networks tice requires an ethnographic approach. Ethnog- require client and community assessment skills. raphy and an ethnographic approach are “asso- Community assessment techniques, discussed in ciated with some distinctive methodological greater detail in Chapter 7, include key infor- ideas, such as the importance of understanding mants, community forums, social indicators and the perspectives of the people under study, and demographics for cultural indicators, and field of observing their activities in everyday life, surveys. The techniques tend to be more effec- rather than relying solely on their accounts of tive when used in combination (Davenport & this behavior or experimental simulations of it” Davenport, 1982; Humm-Delgado & Delgado, (Hammersley & Atkinson, 1983, p. ix), Ethnog- 1986). We will focus here on assessing the com- raphy and other case study approaches (Yin, munity for client social networking. 1984) are concerned with understanding the case Social mapping techniques are commonly used from the case’s viewpoint. Meaning or a client’s to assess social support networks. Social maps cognitive appraisal is critical to the understand- are also called ecomaps when used with individ- ing of a client. Cognitive appraisal is the meaning USING NETWORKS AND NETWORKING 313

BOX 11.3 ECOMAPPING ASSUMPTIONS

• Clients are not social isolates, but rather so- the worker’s direct observations and interac- cial networks that support, weaken, substitute tions with the ecology, and available data and for, or supplement the helping efforts of pro- history. fessionals surround them. These networks • Assessment should gather data on all critical compose the client’s ecosystem and can be as- variables that describe the person in situation sessed, mapped, and managed. and person in environment. • A comprehensive ecosystem assessment and • The data should be integrated into a compre- mapping requires that data be collected on all hensive and coherent case theory that explains components of the ecosystem—family, home, the person in situation. community—that influence behavior. Infor- • The ecosystem assessment and resultant case mation includes the number of components or theory direct the repertoire of intervention units and their dimensions. strategies. Practitioners must have at their dis- • Data should be collected from a range of posal interventions that are both person- and sources including the client, significant others, environment-changing.

of a person-environment (P-E) relationship and 102). Triangulation or the use of multiple mea- a person’s emotional response to it (Folkman et surement approaches is encouraged to enhance al., 1991). validity. A variety of social support assessment measurement tools are available to assist in the as- Social Support Network Assessment sessment. Streeter and Franklin (1992) provide descriptions of a number of the social support Ecomapping and ecomatrices can be done for network assessment and measurement instru- any social unit or case. Ecomapping and ecoma- ments (pp. 86–95.) Actually, these tools are data- trices consider three sets of relationships in- organizing tools, as either the social worker or volved in a change effort: (a) the supportive the client does the measurement. Caution is ad- social relationships, (b) the additional social sup- vised when using these tools, as they were most ports required, and (c) the social relationships often developed for research rather than prac- that hinder change. tice. They need to be reliable, valid, and practi- The mapping and matrices organize informa- cal and usable in the practice situation. While tion gathered from the assessment on the fol- validity generally means that an instrument lowing questions: measures what it is designed to measure, for practice the question is how well the instrument measures what is wanted to be measured in 1. What are the compositions of the case’s net- practice (Bisman & Hardcastle, 1998, pp. 96– works? How do the units relate to the case?

BOX 11.4 COMMUNITY ASSESSMENT AND DIRECT PRACTICE

1. What are the case’s community, ecology and 3. What are the factors in the social environ- the task environment’s boundaries? Can the ment that will influence objective achieve- boundaries be expanded to include more opment and constrain it? portunities? 4. What resources are available to the case from 2. What factors in the case’s social environment primary, secondary, and tertiary sources? Are influences the case’s behavior and opportu- they adequate for objective achievement, or nities? What are the case’s behavior and in- must the ecology be expanded? How can the teraction patterns with the community? What case obtain the resources? are the community’s communication and interaction patterns? 314 COMMUNITY PRACTICE SKILLS

What new units can potentially be net- three dimensions to capture this perspective: so- worked? cial embeddedness, perceived support, and en- 2. What are the existing networks’ strengths, ca- acted social supports. Social embeddedness is the pacities, and limitations? How might the net- actual connections people have to significant oth- work be altered to reduce limitations? ers in their environment and the direct and indirect linkages that tie people with family, friends, 3. What are the current network exchanges? Are and peers. It is a sense of belonging as opposed the exchanges balanced? What new resources to isolation and alienation. Perceived support is a are needed that require exchanges? Can the person’s cognitive appraisal of the connections exchanges be made? If not, can the case or with others. In order to use social supports, a per- network obtain the resources needed for ex- son must perceive social supporters as support- changes? What are the obstacles to obtaining ers. Enacted social supports are the specific behav- the resources and how can they be removed iors of the supporters as they support a person or reduced? by listening, expressing concern, lending money, or provide other supports. It is what the sup- Ecomapping starts with a client or case’s per- porters actually do for the recipient. Box 11.5 prospective. Streeter and Franklin (1992, p. 82) offer vides an ecomapping protocol.

BOX 11.5 ECOMAPPING

Eco-Mapping and Matrices: Requires determin- groups, churches, labor unions, and other ing the (a) Existing primary social supports, (b) membership benefit organizations. potential primary social supports potentially c. Tertiary or formal organizations such as available but not currently used by the client, (c) schools, employers, voluntary and public barriers to use, and (d) theory as to how barri- agencies, and relevant proprietary organi- ers can be overcame. The process should be zations. completed for primary, secondary, and tertiary social supports and for for networks that are Dimensions of Mapping Social Support harmful or not supportive of the client. Steps (c) Networks: Assess the Following and (d) for harmful relationships concern how to create barriers to interaction and a theory as 1. Network size—The number of units in the to how client can disengage from these net- client’s social support networks. works. 2. Network unit lists and description of units— The name of each network unit and de- 1. Data Sources for mapping; remember to tri- scribe whether the network relationship is angulate: primary, secondary, or tertiary; unit type a. client such as an individual, a group, a formal or informal organization and its auspices, and b. significant others and key informants other salient characteristics of the network knowledgeable about the client, commu- unit. nity, or both. 3. Multidimensionality of network units—The c. available data such as family records, number of resources provided, number of d. worker observations including wind shield exchanges, and number of roles fulfilled by and shoe leather surveys, each network unit with, to, or for the client. e. community assessment tools as directo- Primary social supports are more likely to ries, agency directories, and community be multidimensional. surveys. 4. Network segments—The sub-network pat- 2. Ecosystem units to assess client’s existing terns within a network where interaction is networks and community: more in the segments than across the seg- a. Primary units such as family and friends ments. b. Secondary units such as neighbors, neigh- 5. Density—The network ties between all net- borhood and other organizations and work members. Density is ratio of the ac- USING NETWORKS AND NETWORKING 315

BOX 11.5 (CONTINUED)

tual number of network ties to the possible number of network ties. Note that size can 2. Criticalness of the resource—Whether the reduce density, which is one of the reasons resource is very critical, somewhat critical, for segmenting. or only marginally needed. 6. Network map—Graphically lays out the re- 7. Closeness—The proximity and availability lationships and connectedness or density of of the network unit to the client. all network unit. 8. Reciprocity—The expectation of resource reciprocity and what is expected by the net- 7. Perceived availability of resources from work unit in exchange for its resource and each unit—Assess by: when is it expected. 1. Type of resource. 9. Directionality—The primary direction of the a. Material and concrete resources. support is from client to network unit, to client b. Behavioral assistance. from network unit, or symmetrical and bi-lat- c. Intimate interaction, feedback and emo- eral between the client and network unit. tional support. 10. Stability—The length of time that the net- d. Guidance, informational and advice giv- work relationship has existed between the ing. client and the network unit. Assess whether the resource is available al- 11. Frequency—How often the exchanges and ways, almost always, rarely, and never. contacts between the client and the network unit occur.

Ecomatrix (Resources)

Type* and Concrete Emotional Information/Advice: Social Support: Supports: Network Unit Name Area**

Always, almost Always, almost Always, almost always, always, always, rarely, rarely, rarely, Never never never 1. First unit 2. Last unit Type* and Guidance Resource Closeness Social Criticalness Unit Name Area** Always, almost Very, Somewhat, always, marginal Proximity of rarely, the unit of the never Proportion of client or case resource the very Category unit provides. 1. First unit 2. Last unit Unit Name: Type* and Reciprocity Directionality: Social Requirements: Area** What is the primary direction Resources reciprocity of the support between the expectations units and the case? 316 COMMUNITY PRACTICE SKILLS

BOX 11.5 (CONTINUED)

High, Moderate, Low From case to unit, to case from unit, bilateral Immediate, extended 1. First unit 2. Last unit Unit Name Type* and Stability of Frequency: Social Relationship: Area** Record frequency of contacts Record time length. and exchanges between the case and unit. 1. First unit 2. Last unit

* Indicates whether primary, secondary, or tertiary ** Description of unit type such as individual, group, organization, whether formal or informal, auspices, and other salient characteristics of functional areas.

Discussion Questions

1. Develop the network of six people between 3. What is your primary social support network? you and the president of the United States. Now Compare the units in your social support network do it for a client. to those in a client’s network. Use the Ecomatrix. 2. Take a client from your caseload and list what the client has to offer in exchange in a social support network.

Note

1. Social workers have a similar need for countervailing power organizations, because they deal with the same organizations.

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• A full-page ad appeared in the New York Times The full-page advertisements were not pro- (August 21, 2000, p. A11) displaying a young moting specific tangible products or immediate African American male’s picture with a bold services. The advertisements were promoting heading proclaiming, “Jared Has the Grades social ideas to influence people’s perceptions, and the Determination. Now He Has the Tu- values, and attitudes. Their intent was to alter ition Too.” Another full-page advertisement people’s social constructions and behaviors to asked, “Why Do So Many People Celebrate the become favorable to the ad’s sponsors. These Birthday of a First-Century Rabbi?” (The New were examples of social marketing. The first ad- York Times, December 9, 1997) and proceeded vertisement explained how Jared’s educational to answer the question with Biblical refer- opportunities were enhanced by the Philip Mor- ences. A third featured a photograph of a ris Companies’ contributions to the Thurgood woman literally being squeezed by a giant Marshall Fund. (In fact, Philip Morris has been hand and a bold heading “Please Don’t the largest contributor to the African American Squeeze the Actors!” (The New York Times, Sep- educational fund for the past 13 years.) The ad tember 12, 2000, p. A25B). is not promoting cigarettes or macaroni and • A family services center, after a drop-off in cheese. The promotion is for the idea that the clients, decides to keep its office open in the Philip Morris Companies are good community evenings to better serve potential clients who citizens (Drayfuss, 2000). It is encouraging an work during the day. image as a precursor to promoting tangible products. • A private social work practitioner does pro The second broadside also promoted an ide- bono work in an abuse shelter with physicians ology more than a tangible product. It offered a and other community professionals. In casual free book asserting that as Jesus was a Jew and discussions with them, the social worker de- Jews can accept Jesus as the Messiah and still re- scribes the scope and focus of her practice. main observant Jews. It wanted the ad’s Jewish • A social agency establishes an advisory group readers to eventually alter basic religious beliefs. of clients to advise the agency on ways to im- Sponsorship was attributed to the ambiguously prove service delivery. named Friends of the Chosen People Ministries. • A mental health agency manager regularly ap- The third advertisement, borrowing an image pears on radio talk shows as an expert on from a once-popular ad campaign for toilet tis- school violence and mental health approaches sue, contained the names of a long list in the to school violence prevention. words of the ad, of “well-known to the un- 320 USING SOCIAL MARKETING 321 known”(The New York Times, September 12, exchange (Enis, 1974; Fine & Fine, 1986; Kotler 2000, p. 25B) actors and performers as champi- & Andreasen, 1987). Markets are composed of ons for its message. Its sponsors were labor people who have some need, desire, or prefer- unions (the Screen Actors Guild and The Amer- ence and are willing to exchange something in ican Federation of television and Radio Artists) order to have that need, desire, or preference met for a rather unique group of laborers: television, (see Table 12.1). A target market is that part of the radio, and film actors and performers. The ad public with whom the marketer wants to make ran during a strike by these unions against an exchange. A target market has tangible or in- the American Association of Advertisers, who tangible resources sought by the marketer as wanted to reduce the compensation for actors in necessary or useful to achieving the marketer’s television commercials. The ad’s intent was to objectives. change the public’s image of television com- A preference is a need or, more accurately, a de- mercial actors as highly paid superstars. It sire of the target market or a target market seg- claimed that over 80% of the memberships of the ment (TMS). Target market preferences are not two unions, the unknown actors, earned less decided by the marketer but by a TMS: buyers, than $5,000 annually as actors. users, clients, exchange partners. Preferences and Agencies and social workers are engaged in needs mean the same thing in this chapter. Needs marketing as they make themselves more usable beyond a survival level are difficult to define and to their clients and communities. They are adapt- distinguish from preferences. Needs are shaped ing their service provision to reach new users, by culture, and the individual decisions in defin- making their services known, doing market re- ing needs are shaped by individual and cultural search, and staging social problems in ways that preferences. In market exchanges, the concern is they can address. with social preferences and effective demand to This chapter presents an overview of and in- use an economic conception. An effective demand troduction to strategic marketing of social ser- occurs when people express a need or preference vices, social marketing and staging of social and are prepared to back that expression with issues, and applications of essential concepts, resources and behavior (Bradshaw, 1977). Ex- theories, and methodologies of marketing to the changes represent behavior and effective de- social and human services. The chapter also an- mand. The people may be called buyers and alyzes some of the characteristics of nonprofit sellers, customers and vendors, consumers and pro- agencies, whether voluntary or public, and the ducers, service providers such as social workers social work profession that present particular and clients, or doctors and patients, or fund seekers challenges to the strategic marketing of social and fund providers. However, in order to form a and human services. market, the people must be real, reachable by others, and interested in an exchange. Marketing, formally defined, is the analysis, MARKETS AND MARKETING planning, implementation, and control of carefully formulated programs designed to bring A market is a set of people who have an actual about the voluntary exchange of values by one or potential interest in the exchange of goods, part of the market with another part of the mar- products, services, and satisfactions with the ket (the target market or markets), for the pur- others in the set and the ability to complete the pose of achieving the objectives on the part of

TABLE 12.1 A Market

Potential Exchange Partners Resources Needed Available Resources for Exchanges

Mental health center Fiscal resources; mentally Services to improve the social impaired clients in need functioning of mentally of improved social impaired clients functioning County government Improved social functioning for mentally impaired Fiscal resources; mentally citizens impaired citizens in need of improved social functioning 322 COMMUNITY PRACTICE SKILLS the market seeking the exchange. It is the active Product Orientation processes of the market (Kotler & Andreasen, 1987, p. 61). Kotler (1971) defines marketing as Perhaps the greatest challenge is that many “the set of human activities directed at facilitat- nonprofit agencies and social workers have a ing and consummating exchanges” (p. 12). Enis product orientation rather than a consumer and (1974) provides an even more encompassing def- market orientation (Andreasen, 1984; Cooper & inition of human behavior in his conception of McIlvain, 1983; Kotler & Andreasen, 1987; Love- marketing. “Marketing is a fundamental human lock & Weinberg, 1984). A product orientation, ac- activity. . . . Marketing encompasses exchange according to Kotler and Andreasen (1984), “holds tivities conducted by individuals and organiza- that the major task of an organization is to put tions for the purpose of satisfying human wants” out products that it thinks would be good for the (p. 21). public” (p. 38). A product orientation is an in- Social marketing is the subset of marketing ward-looking orientation and a belief by the most necessary for social welfare. Andreasen agency and professional that they know best, (1995, p. 3) defines social marketing as “the ap- that they know what is good for clients, and that plication of marketing technologies developed in their products and services are intrinsically the commercial sector to the solution of social good. problems where the bottom line is behavior A product orientation propagates a tendency change.” Its intent is to influence the voluntary to view markets as having homogeneous pref- behavior of target audiences or people in the erences, with one or a few products determined community to improve their personal welfare by the producer as best satisfying consumers’ and the community’s. Success or failure is preferences. The diversity of consumers and judged first and foremost by what the TMSs ac- their preferences is ignored. To paraphrase a tually do. quote attributed to Henry Ford with the intro- Marketing, including social marketing, is duction of the mass-produced automobile: The more than a set of techniques and technologies public can have any color car it wants as long as to promote exchanges. It is a philosophical per- it’s black. spective to look for what can be done to provide value for others in order to get your needs met. Marketing is the exchange of value: what others Organizational Orientation value that you may have or can produce for what they have that you value or need. Both sides are A product orientation is similar to an organi- better off, in their own estimation, after the zational and bureaucratic orientation, a condi- exchange. tion suffered by many social service agencies. An organizational and bureaucratic orientation is a preoccupation with rules, norms, and policies of MARKETING CHALLENGES FOR THE the agency and a belief that it is unique. An- SOCIAL SERVICES AND THE SOCIAL dreasen (1995, pp. 42–48) calls this orientation an WORK PROFESSION organization-centered mind-set. This orientation views the agency’s mission as inherently good. Markets and marketing as social exchanges This orientation leads to a passion for the agency and meeting needs are intrinsic to human be- and its particular products and service rather havior, to human services, and to social work than a fervor to be of service to clients and com- practice. While historical marketing has not been munity. If the agency, its services and products generally accepted nor practiced by social work- are not valued by a community or client, this ori- ers, its knowledge and skills are essential for to- entation holds, it is because of client and com- day’s social workers in our currently turbulent, munity ignorance, lack of motivation, or in- resource competitive, and overly commercial- sensitivity. Clients are problems rather than ized world. Services to promote human and resources. Marketing is limited largely to pro- social well-being are treated as commodities of- motion, public relations, advertising, and getting fered by a growing number of competitive non- the agency’s story out. There is an aversion to profit and proprietary vendors. To successfully discovering what client and user prefer. Clients engage in marketing, social workers and not-for are seen and treated as a homogeneous mass and profit agencies (including public agencies) must not as individuals with different preferences and meet several challenges often not faced to the needs. Often agencies and people with this ori- same degree by their proprietary competitors. entation make a fatal mistake or ignoring the USING SOCIAL MARKETING 323 competition. Competition is ignored because the Marketing Is Selling agency or professional sees itself as unique. This view limits competitors to agency clones. Since For agencies and professionals with a product professionals in the agency see themselves as orientation, and for those who view consumers unique, there can be no clones or competitors. or clients as ignorant, the rational and logical ap- Eventually, competitors replace the myopic proach to marketing is production and selling holders of this orientation. (Andreasen, 1984; Kotler & Andreasen, 1987, p. 39). If the product is good, the public and the clients will be better off with more of it. If the Professional Orientation public will be better off with more of the product, the agency should produce more of it. If the Professionals, including social work profes- agency produces more of it, the marketing task sionals, are socialized to assume a stance of is to convince an ignorant consumer or public to professional expertise. Professions are rightly use it. A selling orientation occurs when market- concerned with professional autonomy and au- ing is seen as convincing ignorant consumers thority. However, when that mind-set produces that they need the agency’s products. There will a rigidity to changing a professional service be- be an overemphasis on promotion and packag- cause the professional knows best and also pro- ing. Communication will flow one way, from the duces a belief that a particular service, a partic- agency and professional to the client, rather than ular therapy, or a particular theory serves all both ways, between agency or professional and clients, that professional has the blinders of a client. Marketing is narrowly viewed as selling, professional orientation (Rothman, Teresa, Kay, public relations, advertising, and persuading. & Morningstar, 1983, pp. 62–78).

Professional Antipathy to Assumption of Consumer Ignorance Entrepreneurial Approaches

Consumer ignorance assumption is a necessary Professions and nonprofit human service companion assumption to product, organiza- agencies often have an antipathy to the idea tional, and overdeveloped professional orienta- of competition among professional and social tions (Andreasen, 1984, p. 133). This assumption agencies and an aversion to entrepreneurial ap- holds that clients do not really know what they proaches to meet the demands of competition need, what is good for them, and the services re- (Kotler & Andreasen, 1987; Reichert, 1982; quired to meet their needs. The professional, by Rosenberg & Weissman, 1981; Shapiro, 1977). virtue of education, training, expertise, and ex- Their conception of competitors is limited to perience, or the agency drawing upon a variety clones or agencies that fairly exactly replicate of professions and professional wisdom and ex- them. Marketing is viewed as unprofessional perience, is in a better position to determine the and inhumane. Adherents to this position are client, community, or market’s true needs and repelled by the apparently self-interested nature service requirements. After all, it is on the basis of market transactions, the ideas of a buyer and of the profession’s and agency’s knowledge and a seller, of marketers and markets, in what skills that the public’s sanction has been given should be a social welfare or altruistic activity. to deal with these needs. This may be due, as Kotler (1977) indicates, to a Social workers and agencies need to discard low level of consciousness and ignorance re- this assumption and develop client, community, garding marketing. and market orientations with the preferences of clients and markets determining service designs and delivery if they expect to survive in this tur- Declining Prestige of Social Services Agencies bulent era. Even clients required to receive a service, such as parents accused of child abuse Secular and public not-for-profit social service referred to Child Protective Services, have pref- agencies suffer in public prestige compared to erences as to time, location, and format of ser- their proprietary or faith-based competitors. Pri- vices. The parents might deliver their product or vatization is a shibboleth. If done by the private behavior—nonabusive parenting behavior— sector, it is assumed to be done better and more more readily if their preferences are considered efficiently than if done by government. And the within the constraints of the mandated services. pinnacle of the private sector is the proprietary 324 COMMUNITY PRACTICE SKILLS auspice rather than not-for-profit agencies. The dreasen, 1987, pp. 7–8, 12–17, 19–20; Lovelock & projections are for more privatization, commod- Weinberg, 1984). Many nonprofits avoid other ification, and proprietarization of social services. legitimate marketing activities out of fear that Privatization and proprietarization are basic they may lose their tax-exempt status (Kotler & tenets of faith in the United States. Andreasen, 1987, p. 13). The constraint of gov- Another tenet of faith in the United States is ernment regulations on nonprofits should not be the growing political perception that faith-based overdrawn as a difference between nonprofits charities should be a major vehicle for publicly and proprietary agencies. The public sector has financed social services delivery. This political intruded into the proprietary sector with envi- conviction was made public social policy by the ronmental, health, safety, employment, and charitable choice provision of the inelegantly product regulations, even though the regula- and murkily titled Personal Responsibility and tions and regulators have met with political Work Opportunity Reconciliation Act of 1996, (PL disfavor. 104–193) more commonly called welfare reform. The charitable choice provision encourages states to contract with faith-based organizations Social Regulation to deliver social services and maintain their religious character in the design and delivery of Nonprofits face significant social regulations the services, although not in client selection. The beyond those generally faced by proprietary en- White House Office on Faith-Based and Com- terprises and often beyond any formal govern- munity Initiatives was established by the Bush mental regulations (Cooper & McIlvain, 1983; administration to encourage growth of faith- Lovelock & Weinberg, 1984). Much of the activ- based agencies through public-sector funding. ity of nonprofits that deals with clients concerns Contrary to the rhetoric, according to Professor significant and controversial behaviors and with Byron R. Johnson of the University of Pennsyl- confusion regarding the products of the agen- vania’s Center for Research on Religion and cies. Sometimes the products appear counterin- Urban Society, there is little reliable evidence intuitive. Services oriented toward birth control dicating the effectiveness of the faith-based pro- and safe sex for adolescents, for example, are of- grams and how they measure up to secular pro- ten assumed by certain segments of the public grams (Goodstein, April 24, 2001, p. A12). Our to promote promiscuity. intent here is not to analyze the veracity of the Using funds donated for services and charita- claims for faith-based agencies in comparison ble purposes is seen by critics as an improper with secular agencies, but to point out the polit- use when such funds are spent on certain mar- ical acceptance of their greater efficacy over sec- keting activities, such as product advertising and ular nonprofit and public social services, even promotion or market research (Kotler & An- though no reliable evidence exists to support the dreasen, 1987, p. 21). This position assumes a assertion. The decline in the prestige of the sec- product orientation and believes that marketing ular nonprofit agency in comparison with the is unnecessary if the services and other products prestige of the faith-based or proprietary agency are really needed. Like the product orientation, is a marketing challenge for pubic and secular this position assumes that spending money for nonprofit agencies. market research reduces the money that could be spent for services, is a waste, and should not be necessary. If the agency and the profession- Government Regulations als are competent, they should know, probably intuitively, what their clients need. If they do not Although politicians use marketing to develop know or if their services are not used, then they and promote their products and ideology, local, are not needed. They should not try to develop state, and federal governments often restrict so- new products or services to meet new needs. Af- cial agencies to certain marketing activities. The ter all, aren’t nonprofit human service agencies complexities of the 23 different categories under and professional social workers trying to work the Internal Revenue Code’s Section 501, the sec- themselves out of a job? Of course, none of these tion of the tax code that confers tax-exempt sta- arguments are applied to proprietary enterprises tus, limit the ability of nonprofits to use certain that are entering the human services market- promotional strategies and engage in some po- place. The arguments are losing ground with the litical and entrepreneurial activities available to expansion of propriety agencies into the human proprietary, for-profit agencies (Bryce, 1987, pp. services, as both types of agencies struggle for 28–48; Cooper & McIlvain, 1983; Kotler & An- resources. USING SOCIAL MARKETING 325

Another reason that the public feels more at This way, market share and profit represent ease in regulating nonprofits is that nonprofit measurements of success in meeting consumers’ agencies operate as public trusts. There are no preferences in a consumer-driven market. owners who bear the risk, nor are revenues al- The nonprofit agency is more limited in its ways dependent on satisfying the preferences of ability to use market measures to judge success. consumers. Boards of directors act not for own- First, as discussed earlier in this text, coordina- ers or even for users of the agency’s services. tion and market restrictions to prevent service They are stewards acting for the public and for duplication are valued more than are competi- the public’s good (Anthony & Young, 1988, pp. tive markets by public and nonprofit agencies. 59–60). Public sector agencies are viewed as be- Without competition and recognition of compe- longing to the public. And if nonprofit and pub- tition, market share is inconsequential as an lic sector agencies are owned by everyone, indicator of meeting client preferences. An everyone sees himself or herself as having a say agency’s market share demonstrates its success in the operations. compared with alternative choices available to consumers or clients. Profit is inherently not a benchmark for not-for-profit agency success, nor Difficulty in Measuring Success should fund balancing beyond those prudent for survival be a mark of good performance and Proprietary enterprises generally have two sensible management even in our entrepreneur- clear criteria that are useful in measuring suc- ial era of proprietary emulation. However, the cess: profit or return on the investment and share social agency is not without a bottom-line mea- of the market. Nonprofits differ from for-profit surement of performance. The bottom line for agencies in that nonprofits do not have clear most social service agencies is behavioral change measurements, such as profit and market share by clients or community (Andreasen, 1995), and as benchmarks of success. There is no direct im- public use of their services when choices are posed market discipline, that is, survival does available. not depend on product demand and the ability to satisfy that demand as well as or better than competitors (Bryce, 1987, pp. 92–114; Cooper & Multiple Goals McIlvain, 1983; Kotler & Andreasen, 1987, pp. 13–24; Lovelock & Weinberg, 1984). A challenge to nonprofit agencies expressed Profit and market share are both goals and by some authorities (Lovelock & Weinberg, 1984; measurements for the profit organizations. Pro- Shapiro, 1977) is the nature of their products. prietary firms seek to improve life for their cus- Nonprofit agencies generally produce services tomers and markets through their services. The and intangible products rather than physical ultimate measurements of how well the profit commodities. The quality and even the quantity agency has done this are market share and prof- of services and other intangible products are its. The users of the products and the exchange generally harder to measure than the quantity partners in an economically competitive market and quality of tangible physical products. With determine if the products improve their quality services, the measurements tend to assess the of life by exchanging their resources (money) characteristics of the service providers, their ed- with the profit organization, the seller. The more ucation and credentials, or the effects of the ser- the buyers judge the products of a particular pro- vices on the users. The actual services dispensed ducer superior in meeting their needs and pref- and the interactions between service providers erences over alternative products available to and recipients often are hidden from observation them in the marketplace, the more the buyers and measurement. Judgments of quality gener- will turn to that producer’s products. As de- ally rely on the effects of the services on the re- mand increases, the producer will attempt to cipients, the average amount of time spent with make more of the products for the potential buy- the recipients, and the staff-to-recipient ratios. ers, both to meet the demand and to charge more The number of service hours provided, the num- for the product to balance that demand. The ber of clients, or similar measurements are most higher prices for the preferred products result in often used to quantify service units. Meaningful higher profits for the producers. When certain measurement and fiduciary responsibility re- products meet consumer preferences, more con- quire a substantial commitment to the bottom- sumers want them. If the producer can produce line criterion of behavioral change. more of these products, the producer will gain a Public welfare agencies, typical of most non- bigger share of the market, raise prices, or both. profit agencies, generally have multiple and of- 326 COMMUNITY PRACTICE SKILLS ten conflicting goals. Is the public assistance Multiple Publics agency successful if the recipient rolls are reduced, if the recurring pregnancy rates of moth- Nonprofit agencies have multiple publics or ers receiving Temporary Assistance to Needy TMSs (Andreasen, 1984; Lovelock & Weinberg, Families (TANF) are down, if the average length 1984). There is generally a separation of clients of time recipients are on assistance is reduced, if and service recipients from the sources of rev- the families raise socially productive children, if enue for the agency. The nonprofit agency’s the poverty of children is ameliorated, or if pub- product-revenue relationship is often indirect. lic spending for public assistance is reduced? Is Consumers or users of the services usually are the agency successful if it meets some goals but not the agency’s major sources of revenue. TANF not others? And does meeting some of the goals recipients do not provide the revenue for public preclude meeting other goals? Reduce poverty assistance or the services offered by the public of children may be counterindicative to reduc- assistance agency. ing the public assistance rolls and the average Multiple publics for nonprofit agencies go be- length of time on welfare. Welfare rolls can be yond the clients and funding sources to include reduced by restricting eligibility to five or fewer a range of constituencies and publics in the task years for mothers and their children. Public de- environment relevant and critical to the agency, pendency is reduced but not poverty. The pub- such as professional associations, public and lic’s representatives—the federal and state leg- professional regulators, licensing and accredit- islative and executive branches—are clarifying ing bodies, legislatures, employee associations the goal of the public assistance system as re- and groupings, collaborating and complemen- ducing welfare rolls by decreasing the length of tary agencies serving as sources or recipients of time a mother and her family are eligible, gen- client referrals, and volunteers, to name only a erally emphasizing work, raising the age re- few (Holmes & Riecken, 1980). quired to be an eligible mother, and generally The reality of multiple publics also is becom- curtailing services (Anderson, 1995; Gillespie & ing more characteristic of proprietary businesses Schellhas, 1994; Gingrich, Armey, & the House with the growth of government regulations and Republicans, 1994). regulators, consumer advocate groups, environ- The distinction between nonprofit agencies mental advocates, employee unions and associ- providing intangible products and proprietary ations, and so forth. However, proprietary busi- and for-profit agencies producing tangible com- nesses do not have as many segments as do modities is becoming more hazy and was never nonprofit agencies. that clear. With increased government contracting for services from the proprietary sector (called privatization) for everything from trans- Lack of Market Data portation services to education and corrections, and with the growth of the proprietary sector in The challenges, especially the product orien- publicly funded health and mental health, the tation and the assumption of consumer igno- distinction is archaic. Governments are fulfilling rance, have often resulted in nonprofits suffer- more of their responsibilities through contracts ing from a lack of sophisticated data on the with the private sector. For-profit and propri- market’s preferences, wants, and needs and etary enterprises, medical doctors in private from a lack of the social characteristics required practice, and doctors in practice within health to facilitate product development and exchanges care corporations have long been the major to thrive in today’s turbulent task environment. providers of health care services. The propri- Agencies with product, organization, and pro- etaries and the profit sector provide services, of- fessional orientations believe that their products ten intangible, ranging from mental health ser- are inherently good, that they are unique, and vices to recreation and entertainment to financial that they know best—such agencies will assume and personal advice and management. Many it is unnecessary to develop information on the nonprofit agencies are beginning to sell tangible preferences of clients. Similarly, the agency will products to support their nonprofit service ac- not develop information on resource providers’ tivities. Distinctions between the for-profit and preferences if the agency’s choice of services or nonprofit sectors appear to reside more in own- products is ideologically driven. An agency with ership, mission, accountability, and views on these orientations will view market research as competition than in any significant differences a waste of resources that can better be used to in the products produced. generate more of its products. USING SOCIAL MARKETING 327

and then design and deliver products in ways Client empowerment and self- that the marketer decides will best meet client determination require providing a client needs. No effort is made to study clients as a with the maximum information on product, market or to design products and deliver prod- prices, and benefits so the client can make ucts in ways that meet the market preferences as an informed decision and give truly defined by the market. informed consent. A client orientation assumes that clients as a market are experts on their needs and preferences. Consequently, it compels market assessment to gather client information to design and deliver products in ways that meet the prefer- A MARKET ORIENTATION FOR ences of the market as defined by the market. A THE PROFESSION client orientation goes beyond being client focused and having a concern about clients to the Social workers and nonprofit agencies need to involvement individually and collectively of develop a market and consumer orientation. clients in the decision processes on service de- Market and consumer orientations are compati- sign and delivery. The client is seen as someone ble with professional functioning and values. Al- with unique perspectives, perceptions, needs, though nonprofits face greater challenges in and wants. Assessment and market research is marketing than do proprietary agencies, mar- vital. The marketer gathering knowledge about keting and its techniques are compatible with clients individually and collectively through social work, nonprofit agencies, and social ser- client and community assessment. The bottom vices. A market orientation, or Andreasen’s mar- line of a client orientation is client behavior keting mind-set (1995, p. 37), requires that all de- change by meeting needs and wants. cisions emanate from a regard for target clients Pure product or pure consumer orientations and target systems. Social work and the human rarely exists empirically. Most professional ser- services industry should be equipped by train- vice providers fall someplace between the pu- ing to adopt a marketing orientation and con- rity of the polar opposites but can be depicted structively practice marketing to the benefit of by their predominant product or consumer their public and themselves. Marketing requires orientation. knowledge of the behavioral and social sciences to assess, understand, reach, and engage people. Behavioral Change as the Bottom Line The basic means of achieving improved social welfare is through influencing behavior. The ul- The marketing orientation for human services timate objectives of the behavior change are ben- recognizes that the bottom line is behavior efits to the client systems, the community, or so- change on the part of target systems in order to ciety and not to the marketer. A market improve community and client welfare. This is orientation has several essential components. true whether the targets are clients in family therapy or the community power structure in so- Client or Consumer Orientation cial action. Intervention efforts or adherence to an intervention model are important only if they At a market orientation’s core is consideration produce behavioral change. Advertising, per- of clients’ views of their needs, satisfactions, and suading people to use or fund a service, public preferences and an accounting for these prefer- education, and public relations are marketing ences in program design and service delivery. A tactics to produce behavioral change. The peo- consumer orientation, or in social work’s case a ple with behavior to be changed are resources client orientation, lies at the opposite end of a because the bottom line can’t be reached with- true continuum from product and agency orien- out them. They are resources to social workers tations. Product and agency orientations assume or agencies in reaching their missions and that a marketer is the best judge of client needs achieving objectives. The reduction or elimina-

Product Consumer Orientation Orientation

Figure 12.1 Product orientation/consumer orientation. 328 COMMUNITY PRACTICE SKILLS tion of child abuse requires change in abusive clients’ preferences. The appropriate query is not behavior. This requires access to child abusers. “Should we market?” or “Are we marketing?” The abusers are resources, because changes in but rather “How can we market more effectively their behaviors are necessary for an agency to in an increasingly competitive and turbulent achieve its objective of eliminating or reducing world?” child abuse. Detection, investigation, treatment, or full caseloads are relevant only if they lead to MARKETING AND COMMUNITY PRACTICE behavioral change. A market, as discussed earlier in this chapter, is a set of people who have an actual or a po- Competition tential interest in the exchange of tangible or intangible goods, products, services, and satisfac- Every choice, every action by the target sys- tions with others, and the ability to complete the tem and client involves giving up some other exchange. The determining feature of a market choice or action. The alternative choices and ac- is that the sets of people must be actually or po- tions perceived by the target are the competitors. tentially in an exchange relationship. This re- Competitors are not clones of the service quires that the people be real, interested in mak- provider or change agent, or even limited to ing exchanges, and capable of making exchanges other service providers. There is always compe- with potential trading partners. tition for the client’s and target market’s re- Marketing is a continuing, planned process. sources even when a social agency has a mo- The American Marketing Association empha- nopoly on a particular service to a particular sizes the deliberate process of marketing in its segment of a community. In social services, in- definition: “the process of planning and execut- cluding gratis services, clients have alternative ing the conception, pricing, promotion and dis- uses of their time, energy, and effort. The TMS, tribution of ideas, goods, and services to create including clients and potential clients, deter- exchanges that satisfy individual and organiza- mines the alternatives and makes the decision on tional objectives” (Fine, 1992, p. 47). Marketing the alternative uses of the resources. As An- is the “development and management of ex- dreasen states (1995), “Consumers [i.e., clients] change relationships through purposeful benefit always have choices—if only to continue their configuration, communication, facilitation, and existing behavior. This can be very compelling evaluation processes. . . . As such, marketing is competition” (p. 80). He further observes that compatible with basic ideologies and methods of “competition is always there, and it is typically social action” (p. 47). Marketing is concerned always changing” (p. 54). Inertia and past be- with transactions or exchanges between people havior, the comfortable and familiar, are com- in the market. It involves how transactions are petitors to change. A social worker “trying to created, stimulated, facilitated, valued, and com- persuade a teenage drug user to . . . give up pleted (Kotler, 1977, pp. 22–25). Marketing is ap- drugs must explicitly recognize that the drugs propriate for all organizations that have publics, and lifestyle that goes with them are vigorous not just consumers, with whom they make competitors for the new alternative. The present exchanges. use of drugs undoubtedly meets all sorts of per- Marketing is voluntary rather than coercive. sonal and social needs of the target audience The capacity of one party to impose or force its members” (p. 153). will on the other party, according to Fine (1992, Social workers must develop market and con- pp. 23–24), is not marketing but coercion. Good sumer orientations and understand all forms of marketing rests on the ability of potential trad- competition. They need to assess what they pro- ing partners to choose whether or not to engage vide to the target. in the exchange. There is no question that social workers, the Marketing is advocacy. It is not merely the ad- human services, and the nonprofit sector are vocacy, or promotion, of particular products but marketing. Markets exist. Social workers and hu- rather the commitment that the TMS (the par- man services are marketing whenever they try ticular clients, customers, and other exchange to facilitate exchanges with their task environ- partners) will get their preferences met. ments with formal and informal information and Last, and most important, marketing is referral networks, fund-raising and solicitation change. In social marketing and social services networks, outreach efforts, needs and satisfac- marketing, the ultimate objective is behavioral tion studies, advisory groups, public informa- change to benefit clients, the community, and tion efforts, and adapting office hours to meet society. USING SOCIAL MARKETING 329

Exchange Theory and respond with the resources and behaviors Marketing’s Propositions sought by the marketer. 2. Each social unit perceives the other social unit Exchange theory (Blau, 1964, pp. 88–114; and is perceived of by the other social unit as Homan, 1958; Specht, 1986; Turner, 1982, pp. being capable of delivering the benefits in re- 242–273) is basic to community and interorgani- turn for the benefits received. Each social unit zational practice. It is the explicit theory under- communicates the capacity and willingness to lying marketing. To review briefly, exchange deliver its benefits to the other social unit in theory’s central proposition is that people act in return for desired benefits received. their self-interest as they define it, whether that 3. Each social unit can accept or reject the ben- self-interest is economic, social, or psychological. efits of the other social unit in the exchange, Exchange is the act and process of obtaining a although if the social unit withdraws from the desired product from someone by offering in re- exchange relationship, it forgoes the benefits turn something valued by the other party. The and may pay an opportunity cost. Marketing products can be tangible or intangible (such as exchanges are voluntary. social behavior), and the exchanges do not have to consist of the same types of products. Ex- 4. Marketing’s indispensable activity is the mar- changes can include counseling and community keter’s creation and offering of value to the organization services for money, adoration and market as the market defines value. Effective praise for compliant behavior, information for marketing is the marketer’s choice of actions status, political influence for PAC donations or that are calculated to produce the desired re- for votes, and so forth. Whether an exchange ac- sponse from the market in behaviors and re- tually take place depends on whether the two sources desired by the marketer. parties can arrive at the terms of exchange that 5. Both social units gain and pay in an exchange. will leave each of them better off or at least not The value of the exchange above its cost, or worse off, in their own estimation, after the ex- profit, is determined by the value of benefit change compared with alternative exchanges received less the cost of the resource exchange possible and available to them. for the benefit (Profit ϭ Benefit received Ϫ An example of a social exchange occurs when Cost of resource exchanged or lost). Each so- a securely middle-class donor contributes to a cial unit in an exchange relationship estimates homeless shelter. The donor makes a monetary the cost of the resources given and the value donation to receive intangible products rather of the resources or benefits received. than shelter. The donor does not expect to use 6. Marketing assumes that the marketer can al- the shelter either now or in the future but exter the market’s response. Marketing is a pro- pects to receive good feelings of doing a gener- cess by which the marketer alters the market’s ous deed and perhaps the rewards of a more hu- responses. The marketer wants to produce a mane social environment. The marketer (that is, desired, voluntary response by creating and the homeless shelter) competes with all other al- offering desired products with value to the ternative uses by the donor of the money that market. might provide the donor with good feelings, and The indispensable activity is the marketer’s cre- a more humane social environment, or any other ation and offering of value as defined by the satisfaction. market. Effective marketing consists of actions Several conditions are necessary for markets that are calculated to produce the desired re- to exist and exchanges to occur in addition to sponse from the market. those found in other social network exchanges (Kotler, 1977): Let us illustrate these axioms with a case ex- 1. At least one of the social units wants a spe- ample. A community mental health agency (the cific response from one or more of the other marketer) is trying to develop and implement a social units. The social unit seeking the re- counseling service for adults who were abused sponse is the marketer and the social unit as children and who are suffering from anxiety from whom a response is sought is the mar- as a result. These adults constitute potential ket. The response sought from the market is clients (the market). The agency has examined acceptance in the short or long run by the the research on various forms of therapy and the market of the market’s product, service, or- findings of a small focus group from the market ganization, person, place, ideology, and/or to determine the most effective service. The pro- social idea. The marketer wants the market to jected service (product) is a combination of in- 330 COMMUNITY PRACTICE SKILLS dividual counseling, offered in 30 sessions of 50 obtain a behavioral response from the market. minutes once a week in a given calendar year, Fox and Kotler (1987) define social marketing as and social support groups and networks. The social cause–oriented marketing. It is “the de- sessions will be offered in the evenings and on sign, implementation, and control of programs weekends, because most of the adults are em- calculated to influence the acceptability of social ployed. The number of sessions is limited by the ideas” (p. 15). In Andreasen’s conception of so- requirements of the third-party payers. The cial marketing given earlier, it is clear that its sine agency has to respond to two sets of actors in qua non is the target’s behavior change in ways the community: the potential clients and the desired by the marketer. Social marketing is the third-party payers. application of marketing concepts, theory, and The agency is seeking specific responses from techniques to promoting social ideas rather than potential clients and third-party payers. It wants physical commodities and services. Although potential clients to become actual clients, for the label has been used for almost any market- clients to reduce and effectively manage their ing activity by nonprofit organizations, social anxiety, a value to clients and agency, and for marketing is different from much nonprofit third-party payers to pay for the service. marketing. Andreasen’s (1995, p. 7) conception Potential clients’ responses are not fixed; they of social marketing emphasizes the marketer’s may or may not become clients. The agency (the motives rather than technology as paramount in marketer) wants them to become clients and tries establish whether a marketing effort is social to achieve this by offering the therapy at conve- marketing. It is used, however, in fund-raising, nient times. The likelihood that the potential lobbying, and campaigning for political candi- clients will become actual clients can be altered dates with an intent to promote social ideas. This by the agency’s actions in terms of outreach, conception of social marketing is similar to our public information, recruitment, and referral concept of staging discussed later. networking; by ensuring that the design, loca- Social marketing has the following defining tion, and timing of the service meet the poten- traits: tial clients’ preferences; and by ensuring that the service is effective. However, service effectiveness—the ability of counseling and support to 1. Its ultimate objective is to benefit target indi- reduce the anxiety of these persons—is relevant viduals or society and not the marketer. only if the potential clients use the service. 2. The basic means of achieving improved social Using continuous marketing, the agency will welfare is through influencing and, in most try to design its products to meet the needs and cases, bringing about behavior changes. preferences and give value to potential clients, 3. The target audience—the target market or tar- and demonstrate to them how the products will get system—is the core determinant of mar- help and give value to them. The responses of keting strategies and processes. the potential clients (the market) are voluntary; they are neither obliged nor coerced to become clients. They will engage in exchange with the See the examples at the start of this chapter agency, that is, become clients, because the and the “Save the Bay” advertisement (Box 12.1) agency’s services meet their needs better than for illustrations of social ideas promoted and be- other options available to them. havioral changes sought by social marketing. The “Save the Bay” ad, which has appeared in Social Marketing several publications over the past decade, illustrates social marketing by promoting the Chesa- Social marketing is a specialized form of mar- peake Bay Foundation with the social idea of keting with the marketer offering social ideas to saving the Chesapeake Bay.

BOX 12.1 SAVE THE BAY

That’s been our cry since the beginning. Won’t You can help by becoming a member of the you help? Chesapeake Bay Foundation. The Chesapeake Bay is in serious trouble. . . . USING SOCIAL MARKETING 331

Staging ing communities stem from the lack of power— not the lack of information. . . . Staging is fundamental to social marketing. Therefore, it is not giving people information Staging is crucial to any social acceptance of a that’s the key to motivating them to act, but val- social problem conception and the perception of idating their perceptions and conveying a sense social realty. It is part of the claims-making pro- that the change they dare to imagine in their cess discussed in Chapter 3 of this text. Staging private spaces is achievable and desired by a presents to the community and target decision great many others. (pp. 21–24) makers the marketer’s construction of social realty as presumed realty, the social condition as Economic enterprise and the political right a challenge to the public’s welfare, and gener- (Lewin, 2001, p. 20) have long understood the ally proposes interventions, behaviors, and ser- importance of staging. Health insurance compa- vices contributing to the public good. Successful nies during the 1994 national health coverage de- staging captures the broad range of the commu- bates with their “Harry and Louise” television nity standards, interests, and ideology. Staging’s ads opposed the Clintons’ effort to develop na- goal is acceptance by the relevant publics of the tional health insurance legislation. The compa- marketer’s social constructions, rather than just nies claimed their opposition was rooted in the informing them. It builds on as well as shapes American value of freedom of choice rather than the public’s values and ideologies. Staging is not profits. The Health Insurance Association of limited to nonprofit organizations. It pertains to America (HIAA) representing small- and the promotion of a social idea and not to the medium-sized insurance companies had a stag- marketer’s auspice or motives. Staging is and has ing success with the “Harry and Louise” televi- been used by a range of political and proprietary sion ad campaign that cost $14 million. In Sep- for-profit organizations in the promotion of so- tember 1993, 67% of respondents to a Washington cial ideas when the social ideas are congenial Post/ABC News poll indicated approval of the with political or profit-oriented concerns. We are Clinton health care plan. By February 1994, the all familiar, in our media-driven culture, with same organizations using the same questions the marketing tactics of political campaigns. and panel found that the approval rate had de- Newman and Sheth (1987) discuss the penetra- clined from 67% to 44%. The “Harry and Louise tion of marketing into political campaigns when “ads are given credit for creating public doubt potential voters are treated as consumers rather in the proposal (West & Francis, 1996, pp. 25–26). than as participants in the political processes. The tobacco companies in the 1990s equated Campaigning is marketing to a voter market, us- governmental limitations on their ability to pro- ing marketing tools of assessment and research mote smoking and the use of tobacco products through polls and focus groups, differentiation as an infringement on the consumer’s freedom and positioning a candidate as product design, of choice and the basic freedom of all U.S. citi- and using a range of promotion techniques to zens from unwarranted government intrusion. sell the candidate. Staging’s analytical market “The smell of cigarette smoke annoys me. But approach can be used for a range of social ideas, not nearly as much as the government telling me products, and policies. what to do,” extols a purported nonsmoker in Staging often is more important in the public’s acceptance of social constructions than are valid data and scientifically technical theory. The sociologist Herbert Blumer (1969) indicated that Our position, word by word . . . the social definitions and not the objective Courtesy makeup of any given social condition determine At Philip Morris, we believe that the way a condition exists as presumed social re- common courtesy and mutual respect are ality. Themba (1999) states it more emphatically: still the best ways for people to resolve their differences. By respecting each other’s rights and There is only so much that information can preferences, both groups can easily work do to improve social conditions because, con- things out. trary to conventional wisdom, information is not power. Power is having the resources to Source: The New York Times, November 1, 1994, p. make changes and promote choices; to be A9. heard; and to define, control, defend and promote one’s interests. Many of the problems fac- 332 COMMUNITY PRACTICE SKILLS an R. J. Reynolds Tobacco Company full-page ganizations are organizations with names that advertisement in the July 26, 1994, New York disguise their real interests, indicate broad mem- Times (p. A11). And if the government is allowed bership, and convey a positive public interest. to regulate tobacco, admonishes ever-vigilant Such organizations include the Coalition for R. J. Reynolds Company in another message, Health Insurance Choices (CHIC), which spon- next perhaps alcohol, caffeine, and even high- sors the “Harry and Louise “commercials fat-content foods next will be taken from us by against the Clinton health care proposals. The a intrusive government (New York Times, June 24, Health Insurance Association of America solely 1994, p. A11). The tobacco companies have ele- sponsored the CHIC. Other examples are the Al- vated respect for a smoker’s right to smoke to a liance for Energy Security established by the lob- level similar to respecting other forms of social bying association for natural gas producers, The diversity. Natural Gas Suppliers Association, and Citizens The staging of social ideas is a prelude to or for Better Medicare, another health insurance or- accompanies the promotion of more tangible ganization established during the 2000 cam- products and target behaviors. Freedom of paign. The aim of Potemkin and false-front or- choice, the freedom to choose whether to smoke ganizations are to mould the public’s perception or not, is essential to a tobacco company’s abil- of a narrow self-interest position to perceiving it ity to sell tobacco products. Nonprofits might as a broad public interest and good position. promote the social ideas of conservation with Selling cigarettes or protecting insurance or en- membership in particular organizations as the ergy company profits is not the stated goal, but Nature Conservancy or Sierra Club, of children’s the preservation of choice, freedom, and secu- rights or mental health as preludes to more tan- rity. The selection of a name should capture a gible services such as parenting training and target’s view of the public interest. A social mental health counseling. worker coalition advocating the extension of Staging can also help a marketer’s image and third-party vendor payments to only cover clin- social position with potential exchange partners. ical social workers might use the name, Coali- The sponsorship of collegiate academic All- tion for Patients’ Right to Choose. The name dis- Americans by GTE, an electronics firm, helps guises a coalition almost exclusively composed with the positive acceptance of the firm’s other of social workers. The patients’ right to choose products. A social worker visibly promoting the is expanded by one profession by adding only social idea of gender equality, women’s rights, social workers to the eligible vendors list. The might help obtain women clients. coalition’s name indicates a broad concern for In the 2000 presidential election, the Republi- patients’ rights and choice—a public good—but can Party successfully staged the idea that con- the intended change is rather narrow. servatism is compassionate and caring. The art Staging and social marketing’s products are and technology of selling conservatism as com- the social ideas and the value received by the passion, caring, and fair ideology is taught at market as satisfaction in upholding the social the Leadership Institute, a conservative training ideas, such as respect for the environment, con- school for the young at Arlington, VA. The train- cern for future generations and money savings ing school is to teach how to present conserva- in energy conservation, and the preferred be- tive ideas to be palatable and to network and haviors and satisfaction the social ideas allow the place young conservatives in political, govern- market to pursue and receive (Fox & Kotler, mental, and media jobs. The strategies taught 1987, p. 17). While other incentives may be here seem to have real-life Republicans echoes, added to manipulate the market’s response and as when President Bush poses in Florida’s Ever- increase satisfaction, such as the giving away of glades or among California’s giant sequoias coffee mugs and tote bags in fund-raising by na- while advocating an energy policy based on tional public radio and public television stations, drilling for oil and building power plants the social idea is the basic product. In public ra- (Harden, 2001, p. A8). dio, for example, the programs essentially are In staging, the creation and use of Potemkin free goods to the individual listener; that is, the and false-front interest groups and organizations programs can be listened to regardless of the lis- is helpful (Pollack, 2000; Rubin, 1997). Potemkin tener’s contributions to the radio station. The organizations are hollow organizations that give programs are free to the individual listener. The an impression of representing a broad commu- fund appeals generally address listeners’ values nity or the public interests. A dozen or so peo- in the social ideas promoted by public radio and ple can create several organizations with the television; the specific commercial-free pro- same overlapping memberships. False-front or- grams; and the provision of more tangible prod- USING SOCIAL MARKETING 333 ucts such as records, tote bags, and coffee mugs ences, estimating the competition for the market, to encourage the marginally committed listener and appraising the potential for exchanges to donate. The tangible items also have value in (Lauffer, 1986, p. 37). The processes of deter- conveying the user’s public image of concern mining primary and secondary markets and and providing free publicity to the marketer, es- market positioning are discussed later in the pecially if they have appropriate logos, as well chapter under “Purchasers,” addressing the de- as any user utility of the record, tote bag, or cup. velopment of target market segmentations and exchange partners. The marketing literature (Fine, 1992; Kotler & STRATEGIC MARKETING AND Andreasen, 1987; Winston, 1986) presents the MARKET MANAGEMENT components of a strategic marketing plan with varying precision by a series of related Ps. Al- Successful marketing requires developing and though the number and conceptualization of the implementing a market strategy. Lauffer (1986) Ps vary with the authority, we will use the fol- defines strategic marketing as “a comprehensive lowing six: and systematic way of developing the resources you need to provide the services that others 1. Probing: the market research to determine the need. By responding to the needs of the con- preferences and needs of relevant publics sumers, providers [of resources], and suppliers, (clients, donors, etc.) or market segments. it becomes possible to minimize some of the dis- 2. Purchasers: the TMS, the relevant publics or ruptions in supply and demand that otherwise the exchange partner sought. play havoc with agency programs” (Lauffer, p. 31). 3. Products: the goods and services offered to the Effective strategic marketing involves an out- purchasers and market segment. side-inside marketing approach. This marketing 4. Price: the cost of the products to the pur- strategy begins with the consumer’s or target chasers and market segment. market’s needs and preferences (the outside), 5. Place: the locations for exchanges with the not with the organization’s product (the inside). purchasers and market segments and the The product is developed to meet the prefer- paths by which the segments get to the places ences of the consumers, clients, and targets of for exchange. the proposed exchange. 6. Promotion: the communication of the antici- Stoner (1986) asserts that strategic marketing pated values and prices of the products and is a planning strategy that involves developing places for exchange to the purchaser and mar- answers to the questions Where are we? Where ket segment. do we want to be? and How do we get there? Strategic planning and implementation of the plan answers these questions. Strategic planning Fine (1992, pp. 4–5) uses an additional P for is a social planning model similar to social producer, for the source of promotional message work’s generic problem-solving model, re- and products. Winston (1986, p. 15) uses people, viewed in Chapter 1. The essential tasks are to for all people involved in the organization, in- determine the primary markets, those central to cluding volunteers, if they affect the exchange. the agency’s core functions and achievement of Fine’s producer and Winston’s people are mar- its mission, and the secondary markets, those im- keters. Moore (1993) separates path from place, portant but not essential to the agency’s mission. with path being the processes potential exchange The primary and secondary markets include all partners (purchasers, clients, or customers) use the social entities in the task environment: the to get to the place of the exchange. individuals, groups, and organizations from which resources and exchanges are sought. Tar- Probing get markets for social agencies, in addition to clients, include client referral sources, fiscal re- Probing is the generic P for market research. source providers, nonfiscal resource providers, Market research consists of the formal and infor- and sources of legitimation. mal processes and methods used to determine Determining and locating primary and sec- the TMSs, the potential and actual exchange ondary markets is market positioning. Market po- partners, their preferences, and how these pref- sitioning consists of the processes by which an erences can be met. The market segment’s needs agency selects its markets. It involves determin- and preferences are the outside of strategic mar- ing the market’s location, assessing its prefer- keting, and developing products to meet these 334 COMMUNITY PRACTICE SKILLS

behavioral, and demographic characteristics that Market studies include surveys of clients’ can or will affect the exchanges? Market studies and potential clients’ needs and and community assessments are done to deter- preferences; community assessments to mine the location of target markets, their pref- determine community needs and resources; erences, and how those preferences will affect focus groups to determine potential clients’ product design and delivery, how the target needs or preferences; case and client markets communicate, and whether the target studies and analysis; follow-up studies; and markets requires additional segmentation. client satisfaction studies, with the intent of 3. Are the needed resources general or spe- answering questions on resources cific? Are resources generally distributed evenly available, targeting market preferences, and across the target market or clustered around spe- gaining knowledge of conditions cific traits of the TMS? Is the target market’s ca- conducive to or inhibiting exchanges with pacity uniform in ability to pay the price for our the target market segments. products and meet our expectations? Resources that are clustered indicate additional target market segmentation to expedite exchanges. If the capacity to provide the exchange is not essentially equivalent across the market, then additional segmentation is indicated. preferences is the inside. Community assess- 4. What are the most effective and efficient ment, discussed earlier, can be seen as a market ways to obtain the resources? Is one approach research methodology. Market research task is sufficient or are multiple stratagems necessary? to segment primary markets and any additional Will different product designs, delivery systems, secondary markets. Functional segmentation of and pricing strategies enhance exchanges? If the market are discussed later in the chapter un- multiple approaches (different approaches to der “Purchasers.” different parts of the target market) facilitate ex- In market research, the purpose of the outside- changes, then greater market segmentation is in- inside approach, and of determining and seg- dicated. menting primary and secondary markets, is to 5. How does the target market get its infor- establish the desired competitive market posi- mation? Is it uniform across the market, or are tion with the resource providers (the purchasers) there different patterns of communication and based on their preferences (Lauffer, 1986). At the information getting? What are the optimal mar- conclusion of market research, the marketer keting approaches to communicate and facilitate should have answers to the key questions listed exchanges with the TMSs? How can the value below (Winston, 1986, pp. 9–12). Direct service and price of the products compared with those practitioners, whether independent or agency- of competitors in meeting TMS’s preferences and based, can use the same set of questions to study the place for exchanges be best communicated their markets by substituting themselves for the to the TMS? What things interfere with effective organization. Clients often are used here as the communication? Greater segmentation is indi- illustrative exchange partner or TMS. However, cated when communication patterns differ. as is discussed a little later, a TMS is any part of 6. How does each TMS define its preferences the task environment, any potential partner, and needs? How does it determine value? Are with whom an exchange is sought. Other po- the presences, products desired, and values uni- tential exchange partners and TMS include po- form or different across the market? A family tential funding sources, client referral sources, services agency offers family therapy to families and volunteers. suffering from discord. Family therapy is the There are several questions that a social ser- agency’s product. The segment’s preference, vices marketer should answer in the process of however, is a reduction of family discord and market segmentation. not the therapy. The family might be happier to 1. What is our organization’s or practice’s avoid therapy if their stress can be reduced in mission and purpose? What do we want to other ways. The therapy is a means to achieve achieve with what parts of our task environ- the family’s preference. Value is rooted in how ment? well the product meets preferences. 2. Who has the resources needed or desired 7. What product prices and places for ex- to achieve our goals and objectives and fulfill our changes most encourage exchanges by the mission? Where are the resource holders lo- TMSs? How can price be kept lower than the cated? Are they accessible? What are their social, value to the TMSs but above our costs? USING SOCIAL MARKETING 335

8. Who are the competitors? What other or- ple, that is, a sample containing all the impor- ganizations and entities are trying to meet the tant traits and characteristics related to the mar- TMS’s preferences? What are the alternative ket segment’s preferences for products, prices, ways the TMS can use its resources? Remember, and places. If the people who respond to the sur- a competitor is any alternative way a TMS can vey do not represent the TMS, the survey’s re- use its resources that we are seeking, including sults will not reveal the true preferences of the the resource of its behavior. TMS and will not be helpful in the design and 9. What are our strengths and competencies? delivery of the products. Have we it built from or can we build from our 3. Focus groups are a less costly approach to strengths and competencies in designing new market research that are now widely used. A fo- products to meet potential TMS preferences? cus group (Bernard, 1994; Greenbaum, 1987; 10. What are our weaknesses that require at- Kreuger, 1988; Morgan, 1988) is a relatively ho- tention? Can the weaknesses be corrected? mogeneous group that addresses, or focuses on, Weaknesses requiring attention are deficiencies providing information about what appeals and that interfere with exchanges and place the or- does not appeal to them about messages, ideas, ganization at a competitive disadvantage in the and products. A carefully constructed focus TMS’s assessment for its resources use. group representing a specific TMS can provide much information on the segment’s preferences. The group should have from 6 to 12 members, Market Study and Market Audit with 8 being the most popular size, and should Methodologies be reasonably homogeneous. The crucial issues are whether the focus group truly represents the Market research’s methodologies and tech- TMS, whether the members of the group believe niques are similar to those of community as- they can reveal their true preferences in the sessment discussed earlier in the text. The first group situation, and the agency’s willingness to step is defining the market segmentation, dis- be open and candid with the focus group about cussed under Purchasers. The market research its plans. If the members do not know each other and audit should be completed before the mar- in other roles and are socially similar, commu- keting plans are developed. Some of the method- nication is enhanced. Diversity of group mem- ologies of market research are as follows: bers, which may represent different TMSs, may 1. Case studies (Lovelock & Weinberg, 1984; inhibit communication. For different TMSs, dif- Yin, 1986) of similar marketing efforts by the ferent focus groups should be used. The focus agency or other agencies. Case studies look at group leader should be a skilled group leader how successful marketers design, develop, and with the ability to lead but not direct the group, deliver services that meet the preferences of the to prevent one or two members from dominat- TMS or similar market segments, with the intent ing, and to keep the group focused on the ques- of replicating the successful efforts. Unsuccess- tion or concern without being judgmental about ful cases also should be scrutinized to avoid their the group’s response. failures. 4. Advisory boards and panels can provide in- 2. Surveys of particular TMSs for their needs, formation similar to that of focus groups by shar- preferences, and capacity and willingness to ing their opinions on product design, service de- make the exchanges—pay the price—and pref- livery, and similar agency concerns. However, erences for the location of exchanges can be done advisory groups differ from focus groups in that by client exit interviews or other opinionaires they often represent diverse constituencies or and evaluations; surveys of TMSs such as con- TMSs, include members who have social rela- sumer and client satisfaction surveys; or surveys tions outside of the group, and have internal of potential donors. Political polls are surveys. structures that allow the domination of one or a Surveying the TMSs reveals why the segment few members. uses or would use the agency, makes a donation, 5. Mall surveys, using quota and purposive becomes a volunteer, accepts the social idea, and sampling techniques, are frequently used in so forth. market research. The mall survey takes its name Surveys (Rubin & Babbie, 2001), while a po- from the market researcher’s practice of going to tentially powerful assessment tool, have several a shopping mall and asking shoppers what they limitations. Not the least are the costs of devel- look for in products and places to shop. The data oping, pretesting, distributing, and administer- are analyzed according to a predetermined pro- ing them and analyzing the results. Meaningful file of consumer characteristics. The social ser- surveys of the TMS require a representative sam- vice agency or practitioner can use similar tech- 336 COMMUNITY PRACTICE SKILLS niques in other areas, where samples of its tar- the research and analysis necessary to complete get market are located. If an agency is interested the matrix’s cells. Of course, each TMS indicated in developing a program for hard-to-reach ado- above will require greater segmentation. Rarely lescents, it can locate and send someone to the are clients, funders, political influencers, legit- places where they congregate. In this example, imizers, or volunteers internally homogeneous it may indeed be the mall. The mall survey is rel- groupings. atively inexpensive and easy to conduct. Its weaknesses are the weaknesses of all surveys, Purchasers especially those conducted with samples of convenience: whether the participants are represen- Purchasers and donors or resource suppliers tative of the target population, their willingness are the most important TMSs. Purchasers are to participate in the survey, and the truthfulness those parts of the task environment that control of their responses. As with the focus group, par- or represent resources necessary for the agency ticipants in a mall survey are not truly anony- to achieve its objectives. Purchasers include all mous, although their responses may be kept con- of the types of resource suppliers indicated fidential, and this may inhibit their responses. above. Market segmentation, which determines 6. The market audit is the most complete and and establishes the TMSs, is essential to effective powerful approach to market research. This product development and exchanges. technique incorporates most of the above methodologies. Market audits address the questions presented in the previous section and col- Market Segmentation lect information on the agency’s task environment, including competitors for resources, the Market segmentation is to obtain the precision agency itself, and the Ps of the purchasers necessary to facilitate exchanges by allowing (TMSs), product, price, place, and promotion. specificity in product, price, place, and promo- The audit should help the marketer learn its tion strategies for each segment. For-profit busi- weaknesses and deficiencies, its strengths, and nesses have different market segments for dif- where it is dominant and deals most effectively ferent product lines. A cereal company may with its competition. The audit report should produce a variety of breakfast cereals to meet contain recommendations and proposals to im- fairly specific preferences of different TMSs. An prove the organization’s market access and automobile manufacturer develops and sells share. A sample audit guide is included at the several models to meet specific target market end of the chapter. preferences. Nonprofit agencies have different 7. A market matrix is a simple approach to TMSs with different preferences. They should market research and analysis. In filling the cells, not attempt to have one product line for all. The the market researcher has to specify for relevant mental health agency that has only one form of TMSs the product, price, place, and promotion. therapy, formatted in the same way, offered dur- The market matrix addresses the Ps of pur- ing the same hours in the same places to all po- chasers (TMS), product, price, place, and pro- tential clients, regardless of demographics or motion (see Table 12.2). The sixth P, probing, is other conditions, probably is not meeting the

TABLE 12.2 Market Matrix

Product Price Place Promotion Target Market Segments, (What is the (What is the (What is the (What or Purchasers (Describe product price of each place of promotion each target market desired by the product exchange is needed segment, such as those and for the for the with each exchange listed below.) segment?) segment?) segment?) segment?)

Client segments Fiscal resource suppliers Political influencers Volunteers Providers of legitimacy Other segments USING SOCIAL MARKETING 337

TABLE 12.3 Market Segmentation and Social Work Values

. . . starting where the client is. Who are the clients? Where are the clients? What do they prefer? Market segmentation makes exchanges easier by permitting the marketer to more precisely design products with benefits, places of exchange, and prices to meet the preferences of specific types of people. Target markets That part of the task environment or community with the necessary resources sought by the marketer to achieve objectives and with whom the marketer seeks exchanges. Target market segments Those parts of a particular target market sharing specific traits of behavior, values, and preferences that influence the exchange. Segments share some traits with the total target market but differ on some traits with other parts of the target market. A particular target market generally has more than a single segment. When to segment? Segment when traits of a potential target market are diverse and the diversity will affect the exchange and product design and delivery. The target market is segmented to achieve greater homogeneity in each segment. How to segment? Cluster the target market’s traits that affect the exchange: for example, education, preferences, values, capacities, motivation, or other traits that will influence exchanges in the target market. How much segmentation? Additional segmentation is indicated if exchanges with the target market are low: The agency is not obtaining resources and behavior changes from the target market.

preferences of all potential market segments. The ments. These perceptions may be very different agency may therefore lose clients. Market seg- from those of the agency. mentation as demonstrated by Table 12.3 is com- The degree of market segmentation is based patable with social work’s administration to on (a) the specificity of resource exchanges that “start where the client is.” the marketer wants from the task environment A TMS is a smaller portion, a subset, of the (i.e., whether the resource desired is homoge- target market, sharing some the traits with the neous and general or diverse and specific), (b) general target market but also possessing some the nature of the potential trading partners (ho- unique characteristics and traits that set it apart mogeneous or diverse), (c) the distribution of the and will affect the exchange. Segmentation is de- resources sought (concentrated in a few trading sirable unless the marketer can reasonably as- partners or widely distributed in the task envi- sume that all people in the target market have ronment), and (d) the products desired by the the same preferences that can be responded to potential trading partners (uniform or diverse). in the same ways. Appropriate segmentation re- As a guideline, the variables can be summed quires knowledge of the traits, characteristics, using the numbers 1 or 2 preceding the sub- and preferences of a target market and any sub- variables. The higher the sum, the greater the grouping’s clustering of traits and preferences. need for market segmentation. If the resource Probing or market research and community as- desired is homogeneous (I.1), there are many po- sessment is a necessary prerequisite for viable tential trading partners who have the resource segmentation. Box 12.2 lays out the segmenting (II.1), the potential trading partners are similar protocol. on important traits (III.1), and their product pref- A product line can mean different things to erences are uniform (IV.1), the summed score is different constituencies (clients, funding sources 4 and little segmentation appears necessary. By and so forth) and therefore, in effect, represents contrast, if the resources desired are specific and different products. The nonprofit agency’s per- diverse (I.2), held by a few potential trading part- ception of its products delivered may differ from ners (II.2), who have diverse characteristics the perceptions of these products by different (III.2) and desire diverse products in exchange constituencies. Nonprofit agencies need to rec- for their resources (IV.2), the summed score of 8 ognize how the products, even in the same prod- represents a complex market and the need for uct line, are perceived by different market seg- greater segmentation to facilitate exchanges. 338 COMMUNITY PRACTICE SKILLS

BOX 12.2 SEGMENTING PROTOCOL

1. Marketer determines resources and behaviors complete; if they are heterogeneous, then ad- necessary to achieve objectives. ditional segmentation is needed until the 2. Marketer assesses task environment (commu- resource, behavior, or product preferences nity assessment) to determine who has the re- holders are clustered into reasonably homo- sources and behaviors and where they are lo- geneous segments. cated. 6. Marketer assesses where the exchanges can 3. Marketer assesses the target market’s prefer- occur and where the preferences will be met. ences. 7. If a single place for exchange exists, then no 4. Marketer assesses whether the resource hold- additional segmentation is needed; if a sin- ers’ product and benefit preferences are ho- gle place for exchange does not exist, then mogeneous or heterogeneous across the tar- additional segmentation is needed until suf- get market. ficient places exist. 5. If resources, behaviors, and preferences are homogeneous, then segmentation is now

In market segmentation, physical, psycholog- allow the product to be differentiated and indi- ical, attitude, demographic, economic, and other vidualized. social diversity; use patterns; cost efficiencies of segmenting; neglected segments; and preference Product differences should be considered. Each segment should have relatively homogeneous traits in Products are tangible goods such as food, terms of its product response. If part of the seg- services such as counseling, and ideas such as ment responds differently to the product, it nondiscrimination or conservation, developed probably represents another TMS. The final tar- by the agency or the professional (the marketer) get market segmentation represents a balance of and offered in exchange for the resources needed the market’s diversity and the economy or the from the TMS (Fine, 1992). Product development affordability of more finite segmentation. Seg- presumes product mutability rather than im- ments should be large enough to be served with mutability. Product mutability means that prod- a product economically and specific enough to ucts can be designed and adjusted to accommodate the preferences of specific TMSs. The TMS is not forced to fit the product, but rather the re- Guidelines for Target Market verse. This is marketing’s outside-inside philos- Segmentation ophy, discussed earlier. The product, as discussed earlier, may be an I. Resource desired from the task intangible, such as an opportunity for the TMS environment to fulfill a certain ideology or value. The aim of 1. Homogeneous and general, or the promoter of the idea, such as conservation 2. Diverse and specific or good parenting behavior, is the adoption not II. Number of potential trading partners only of the idea but also of the behaviors result- 1. Many ing from it. The product for the target market is 2. Few the end results of the behaviors flowing from the III. Nature of potential trading partners idea—a better environment or safer, healthier 1. Homogeneous children (Kotler & Roberto, 1989, p. 140). Even 2. Diverse more tangible products, such as counseling ser- IV. Products desired by potential trading vices, training, or case management, are de- partners signed to produce behaviors from the TMS. 1. Uniform However, as has been constantly emphasized, 2. Varied the primary consideration of product design is the product’s capacity to provide value to a TMS, as judged by that segment. USING SOCIAL MARKETING 339

PRODUCT MANAGEMENT from the one the agency seeks to deliver. The After market segmentation, the agency or pro- product received by the student may be an hour fessional must engage in product management. spent with the counselor out of the classroom or This entails selecting the criteria by which target playground. The student will appraise this hour segments and consumers will be selected, de- compared to alternative uses and costs of the signing the products, positioning the products time. in the market, and providing an appropriate mix Another agency may claim to deliver job skills of products for different segments. training to TANF recipients. But if some people The product design component should con- do not want a job or the job skills, don’t believe sider and balance the following criteria (Fine, they will have the required job skills for em- 1992, pp. 40–41): ployment at the end of the training, or believe they will have jobs at the end of the training, the Specificity: Products are designed to meet products they receive are different from those the needs and preferences of a specific the agency’s personnel assume they are deliver- TMS. The use of generic product labels ing. The products received by the clients may be such as counseling or psychotherapy may be entertainment, structure to life by getting out of too broad, and such use assumes little dif- the house and doing something during the day, ferentiation in the target market seg- a way to stay eligible for TANF benefits, an opment’s needs and preferences. portunity to socialize with others in the training Flexibility: Products should be designed to program, and a way to maintain or reciprocate be adaptable to changing markets and for the cash benefits (Reid, 1972). The agency’s TMSs’ preferences. training program is competing with other prod- Attainability: Products should be designed ucts that can provide the client with entertain- within the limits of the agency’s or pro- ment, structure, and socialization preferences. fessional’s capacity, resources, and com- Client participation in the training may be mo- petencies and should be built on the tivated only by the need to maintain eligibility strengths of the agency or professional. and reciprocate for cash benefits. Participation, Competitive advantage: Products should be commitment, and expenditure of energy and built on the strengths of the agency or time will be curtailed to a level consistent with professional and should emphasize qual- a client’s view of a fair exchange. If a client does ities of the marketer that are not pos- not perceive that participation is necessary to re- sessed by the competitors. main eligible for cash benefits or has no need to Care must be exercised in product develop- reciprocate, the client will not participate. If co- ment to avoid the product orientation discussed erced to participate in the training program, the earlier. If we become enamored of our products client will perceive the product received as pun- at the expense of consumers’ preferences, we ishment for being on TANF. Motivation, energy, may not gain the resources desired from the and effort only will be at a minimal level. TMS. A product orientation leads marketers to The product delivered relates to the views of ignore and be ignorant of generic competition, the providers; the product received relates to the concentrates on the products delivered, and preferences of, use of, and value to the recipient. blinds them to the actual values received by the In the case of mandatory therapy for spouse TMS. A product orientation does not consider abusers, the court, the agency, and the profes- ways that the preferences of the client or con- sional therapist may view the product delivered sumer may be met by competitors. A consumer as therapy to help abusers alter their behavior. orientation and awareness of what consumers However, the abusers may view the product re- prefer and are actually receiving facilitates mar- ceived, especially if they do not want to alter keting. What an agency believes it is delivering their behavior, as a way to avoid imprisonment may differ from the products it really produces and meet any requirements set by the court to and delivers. An example is an agency dealing continue a relationship with their spouses. These with unruly behavior of students. The agency spouse abusers will expend only enough re- may believe that the product is counseling and sources to achieve their preferences. Exchanges therapy to provide the student with insight into are more likely to occur, as Box 12.3 indicates, the unruly behavior. However, the product re- when both sides get their preferences met. ceived by the student is rooted in the student’s satisfaction with it and its value to the student. PRODUCT POSITIONING If the student neither seeks nor receives insight, Product positioning is the location, or posi- the product received by the student is different tion, the marketer seeks for its products in terms 340 COMMUNITY PRACTICE SKILLS

EXCHANGES BETWEEN MARKETER AND TARGET MARKET SEGMENT ARE BOX 12.3 PROMOTED WHEN

resources and match the resources Benefits sought and matching the behaviors wanted of and behaviors value preferences of marketer’s product by marketer from within the capacity TMS benefit as the target market of TMS, with evaluated by TMS segment (TMS) better than do the competitors’.

EXCHANGES BETWEEN MARKETER AND TARGET MARKET SEGMENT ARE IMPEDED WHEN

resources and don’t match the Benefits sought and don’t match behaviors wanted resources of and value preferences of marketer’s product by marketer from behaviors within TMS benefit as TMS the capacity of evaluated by TMS TMS, or better than do the competitors’.

of the TMSs: intended consumers, clients, or berg (1984) describes the marketing mix for users. The market position is the niche the prod- nonprofit agencies as the “maximization of the uct occupies in satisfying some segment of the amount of products or services which are con- range of potential TMSs. The community men- sumed or utilized, subject to the amount of rev- tal health agency, discussed earlier, that is try- enues and donations being at least equal to the ing to develop and implement a therapeutic ser- cost of providing the service” (p. 269). The mar- vice to adults who were abused as children and keting mix results from determining the product are now suffering from anxiety as a result, is po- preferences of the selected TMSs, designing the sitioning itself in the market. It is pursuing a par- products, and pricing them appropriately. ticular TMS and has designed a particular service to meet the preferences of this segment. The Price design of its services and the hours offered will not meet the preferences of all adults or even of Price is a significant factor in product man- all adults who want mental health services, but agement. Price is the total contribution and cost these should meet the preferences of the partic- required by the TMS in money, time, energy, ef- ular TMS. fort, psychic costs, social costs, and lifestyle The TMS’s image of the product and the mar- changes exchanged for the product and its ben- keter (the producer), then, is an important in- efits. The price needs to be competitive with the gredient in market position. Image is the way the prices of alternative products and benefits avail- product is viewed by the TMS in meeting its able to the TMS. Although the marketer deter- preferences. A marketer may view the product mines to a degree the components of the price, as meeting certain needs, but if the segment does the TMS, not the marketer, decides the value re- not share that image, there will be no exchanges. ceived. Value received, the satisfaction received An agency’s personnel may believe its counsel- relative to price and to alternative commodities ing is helpful and nonstigmatizing, but what is and their value and price, will guide the TMS in critical image is whether the TMS (potential its product selection. The marketer must, in the clients) view it similarly. Their view, or product long run, keep the monetary price equal to or image, will determine the exchange (Stern, 1990; above the costs of producing, promoting, and see Table 12.4). distributing the products and the value above the price to the TMS in comparison to alterna- MARKET MIX tive uses of the price by the TMS. Its the value The marketing mix is the number and kinds of the TMS receives that ultimately will regulate products matched to the number and kinds of product exchange and use. A TMS’s willingness TMSs and to the prices charged the TMSs. Wein- to pay a price is a function of capacity to pay and USING SOCIAL MARKETING 341

TABLE 12.4 Product Image and Position

Questions for the Target Market Segment Agency Image Product Image

1. How would you like each image to be seen by the target market segment? 2. How is each image seen by the target market segment? 3. How is the image held by the target market segment determined? 4. How satisfied are you with the image held by the target market segment? 5. How does the image held by the target market segment promote exchanges? 6. What factors help or hinder changes in the image held by the target market segment? 7. What are the strategies for changing the image held by the target market segment?

the price compared to benefits. It is this subjec- prices of giving up the fatty foods with their tive meaning of price that is important and will stronger, more satisfying tastes and ease of determine completion of the exchange. preparation. Similar costs-to-benefits comparisons can be made with mental health counsel- Value ϭ Benefits Ϫ Price ing (see Table 12.5). An exercise video has a fiscal price, but it also A marketer needs to appraise prices and has a social and personal price if its benefits are meanings to potential users and look for ways obtained. The monetary price may be a few dol- to reduce price or improve benefits. Again, mar- lars, or it may be borrowed from a library or ket studies are critical here. Remember, value is from a friend, but the benefits are dependent on a function of price as well as benefits. Increasing paying the social and personal price of devoting benefits or lowering price or both can further time, effort, and energy and altering a lifestyle value to the TMS and produce exchanges. The to the exercises. There is a psychic price of ad- mental health counseling marketer needs to en- mitting that one needs to exercise and the risk sure delivery of counseling’s benefits, not just to self-image of not exercising after recognizing the counseling, and devote attention to lowering the need. A healthy diet has fiscal price, often the costs in order to increase value for the user. lower than the price of an unhealthy diet, but the Pricing is a critical component of regulating social and personal price may often preclude its demand. For example, a long waiting list may benefits. The enjoyment and benefits of a healthy indicate underpricing for the agency’s services, lifestyle and a healthy diet are evaluated by the while idle time for the service providers may in- potential consumer in comparison with the dicate overpricing. Once a pricing policy is es-

TABLE 12.5 Mental Health Counseling

Benefits Costs

• Healthier self-concept • Monetary cost of therapy process • Improved social functioning • Time expended in preparation for and going to • Potentially greater longevity • therapy and in any processes of behavioral • Possible improved status depending on • change • view of therapy • Energy and effort of going to and participating • Attention of a concerned, caring person • in the therapy and of processes of behavioral • Possibly pleasant activity • change • Lifestyle changes of any effects of therapy • Possible stigma associated with therapy 342 COMMUNITY PRACTICE SKILLS tablished, it is generally easier to lower the price haviors or in conjunction with other behav- than to raise it, especially in a competitive mar- iors? How much will it disrupt other behav- ket. Fine (1992) states, “The key to pricing is to iors? build in value into the product and price it accordingly” (p. 42). Services and products that have little time Nonprofit social agencies and their staffs flexibility and high time demand compared with often view their products (services) as “free alternative uses of time and alternative products goods” to their clients if the clients do not pay carry a higher price and may not be used by a monetary price. Donors or the government clients. This is especially true if the clients, such rather than clients customarily pay the monetary as those in a particular form of therapy, perceive costs of the agency’s services. However, the that little value is received from the time invest- clients pay a social price. A social price is the non- ment compared with alternative uses of time in monetary price paid by the purchasers (the meeting their preferences. The time price of ther- clients). Social prices are common in the use of apy to a client includes the time spent in ther- social agency and professional services and apy sessions, the time required to get to and from products even when there are no direct mone- the therapist’s office, the time used in waiting tary costs, and the marketer should consider there, the rigidity of the therapy hours, how con- them in developing a pricing policy. There are venient the sessions are for the client’s schedule, four common types of social price: time, energy and the time demanded outside the therapy to or effort, lifestyle, and psyche (Fine, 1992). receive its benefits. The client’s evaluation of benefits compared with price will include the TYPES OF SOCIAL PRICES time price. We make other exchange decisions, Time prices. These include the time the user such as the selection of our bank or grocery store, spends in receiving, using, and obtaining the based partially on time price. It is reasonable to benefits from the product. It is the time the pur- assume that clients consider time in their evalu- chaser devotes to making the exchange and re- ation of social work interventions. ceiving the product’s value. There are four elements of time price: Effort and energy prices. These prices include the effort, both physical and emotional, required 1. Direct time price, or the time spent going to by the TMS to obtain benefits from the products and from the place of the exchange and the compared with alternative available products, time spent there waiting to make the ex- including doing nothing. For a client in therapy, change. Examples of direct time price in a the investment includes the effort and energy counseling situation include the time spent in spent in the therapy, getting to and from the the counseling, getting to the counselor’s of- therapist’s office, and energy demands outside fice and, once there, waiting for the counselor. the therapy to receive its benefits. The client’s evaluation of benefits compared with price will 2. Beyond the direct times price, such as the time include the energy price. spent in counseling or training, there is the For those of us in poor physical shape, our performance time, the time required to learn physical condition generally is not a result of ig- and carry out the desired social behavior. This norance of how to get into shape or its potential might include stress reduction exercises or physical and emotional benefits. It is not a func- other behaviors that are part of the intervention of money. It depends on our willingness to tion. devote time and energy to getting into shape and 3. Another element of time price is the flexibil- making certain lifestyle changes. We remain flac- ity/fixity of time, or whether the exchange and cid and lethargic because it is less expensive, at the behavior can be carried out when the least in the short run; it has a lower price in time, client prefers or must be done on a fixed effort, and energy. schedule. Other aspects of flexibility/fixity re- If the TMS or the individual exchange partner late to frequency (how often the social be- can obtain the same results, the same or equiv- havior must be performed to be effective), the alent value as they perceive it, with little energy regularity of the social behavior required, and expenditure, exchange theory indicates that the how long it must be performed. more energy-saving alternative will be used. If 4. The last factor is disruption/simultaneity, or to a TANF recipient believes he or she will remain what extent the social behavior requires the unemployed after conclusion of a training pro- TMS to rearrange its current time preferences. gram or perceives no greater benefits from em- Can it be done at the same time as other be- ployment than from unemployment, the client USING SOCIAL MARKETING 343 probably will not pay the price of time and en- social prices. Conversely, an increase in social ergy to succeed in the training program unless prices will reduce demand and clients’ use of a coerced. The expected value (no job) is similar service. This is occurring in federal and state ef- for the client whether the client participates with forts to increase the stigma of being a TANF a high or low expenditure of time and energy. recipient. Rationality urges the client to save the time and The concept of social price needs to be distin- energy. guished from social cost and public price. The social cost is the cost imposed on the community Lifestyle prices. These prices are the changes by the product and the exchange. It is the exter- the TMS must make in lifestyle to use and re- nalities of the exchange beyond the costs and ceive value from the products. Lifestyle price benefits to the marketer and the exchange part- recognizes that in the exchange, the TMS is re- ner. A homeless shelter or drug treatment cen- quired to give up certain aspects of life that are ter may be perceived by the surrounding neigh- rewarding in order to use the product and pro- borhood as having a social cost that the duce the desired effects. Willingness to pay the neighborhood rather than the center, its staff, lifestyle price is related to the value placed on and clients, pay. The public price is the price paid the gains received by using the product or en- by the public for the product. gaging in the service and the belief that the product or services will produce these gains. Older A MARKET SEGMENTATION APPROACH persons returning to college for a graduate so- TO SOCIAL PRICING cial work degree must alter their lives when they A market segmentation approach to social reenter school. They must give up time with fam- pricing consists of the following steps: ily and friends for classes and study and often must lower their standard of living as they cut back on work to allow class and study time and 1. Identifying relevant publics or TMSs, such as to pay for tuition and books. Their willingness clients, funders, and legitimizers. This in- to do so is predicated on the belief that this is volves community assessment market re- the price they must pay to receive the future ben- search and probing. efits of a master’s degree in social work. Clients 2. Identifying social exchange approaches and often must make lifestyle changes that may rep- mechanisms to bring about social exchanges resent costs to them in order to receive benefits and social change (the products) for the TMS. from the intervention. Their willingness to pay 3. Assessing the perceived prices, including the the price is a function of their valuation of the social prices of time, energy, lifestyle, and current or future benefits received from the psyche, paid by the TMS using market re- lifestyle change. search. 4. Constructing a segmentation matrix of prod- Psyche price. This is the emotional cost in self- uct, price, place, and promotion for the TMS. esteem and self-image the TMS pays in using the products. The older social work graduate stu- 5. Ranking the TMS on its acceptance of the dent is now back in a student role after perhaps price using market research. having been a competent professional, perhaps 6. Examining possible ways to reduce the per- a supervisor or administrator, a parent, and a ceived price and increase the value of the mature, responsible adult. This return to the stu- product to the TMS by altering the product to dent role may impose psyche costs. To take an- meet the segment’s preferences, reduce time other example, if a client believes that mental ill- demands, increase time flexibility, and reduce ness is a weakness and a stigma, and that mental effort, lifestyle, and psyche costs. health treatment is a public recognition or as- 7. Determining specific pricing programs and signment of the stigma, the use of treatment car- strategies to encourage the TMS to replace ries a psyche price and will be considered in the its present behavior or products with the client’s valuation of the treatment. It is the agency’s products. client’s valuation that determines the psyche price, not the agency’s or the public’s. If the client perceives no greater stigma with treatment than Place she or he currently suffers, there is no increase in psyche price. A successful market strategy requires the de- Agency marketers that wishes to increase velopment of viable mechanisms and places for product demand can look for ways to reduce the exchanges to occur. Place includes the social 344 COMMUNITY PRACTICE SKILLS characteristics of the physical location where the exchanges occur, along with the associated so- Benefits and Place cial prices, convenience, credibility, and legiti- If the benefits, value, and outcome of drug macy of the place to the TMS (Shapiro, 1977, p. treatment are to enable the client to live a 110). The physical facilities, immediate environ- drug-free life, the treatment must consider ment, and, as Moore (1993) indicates, the paths where the client’s life occurs. Is the place and routes consumers and exchange partners conducive to realizing the intervention’s take to get to the products, access services, and benefits? Or must changing place be part make exchanges are factors associated with of the intervention? place. Winston (1986) states, “The place component . . . consists of the characteristics of service distribution, modes of delivery, location, transportation, availability, hours and days opened, appointment (requirements), parking, waiting ceives any benefits and value. The marketer’s time, and other access considerations” (p. 15). evaluation of place and its impact on product Place is intimately related to price, especially consideration of place should appraise whether social price, and to promotion. The marketer the product’s benefits can be received in a par- (agency or professional) should try to facilitate ticular TMS’s social environment. exchanges by making the place for exchange— If the place where the client is to demonstrate the physical facility and its environment, its ease the bottom-line behaviors is harmful to the be- of access, and its comfort level—compatible to haviors or requires too high a price in the client’s the exchange partner’s preferences. Does it add estimation, the likelihood of achieving this ob- to the TMS’s financial, time, effort, lifestyle, or jectives is low. Drug treatment in high drug use psyche prices or to the sense of benefits received? environments is notoriously unsuccessful. The Can the prices associated with place be reduced? practitioner-marketer needs to alter place to be A central location can make exchange easier; a conducive to achieving the behavioral objectives. more remote one can effect client flow. The marketer can influence the value of place Place has a series of prices or costs to the mar- to a TMS and individuals constituting a TMS by keter: The facility has a price such as rent, taxes, (a) determining the price and benefits of the equity costs, utilities and maintenance. There is place as perceived by a TMS and (b) working to a cost of delivering services to the client in their lower price and improving benefits as perceived location. Place also has a range of prices to the by a TMS. This will increase the TMS’s estima- TMS in fiscal and social prices: location, treat- tion of value. ment by staff, dignity of service, safety of the so- Place, when possible, should add to rather cial and physical environment, confidentiality. than distract from the product’s value. The place also communicates to the potential exchange Benefits of place to TMS Ϫ partner the marketer’s evaluation of the partner. Prices of place to TMS ϭ Dingy waiting rooms where clients’ confidentiality is not respected and where clients are kept Value of place to TMS waiting for hours add to the product’s price. The The conception of place, however, in the so- value of the product has to be increased to com- cial services’ exchanges goes beyond a narrow pensate for the price of place. conception of place as an office or service facility. With social products and social goals and Promotion objectives—goals beyond a fiscal profit—the conception and meaning of place expands. The Promotion, marketing’s last P task, is the purpose of the social work exchange is (a) for the agency’s or professional’s communication of in- marketer to obtain resources from the TMS, (b) formation to the appropriate TMSs. The infor- for the marketer to achieve behavioral objectives mation deals with (a) the product, (b) how the other than profit, and (c) for the TMS to obtain product will meet the market segment’s prefer- benefits beyond the tangible or intangible ser- ences, (c) its price, (d) the place or places, and vices received in an office is more complex than (e) the processes of exchange. Promotion is of- just the office or physical facility. The concept of ten equated with advertising, but, as implied place includes where the bottom-line behaviors above, promotion goes far beyond advertising. occur. For a TMS, place is both where the seg- Promotion also includes all messages the agency ment exchanges its resources for the product’s and the professional communicate to the TMS benefits and values and where the segment re- regarding their views of the TMS, the value and USING SOCIAL MARKETING 345 benefits of the TMS to the agency and profes- strategy, because it starts with a client’s problem sional. or need. Effective promotion motivates its target “to Promotion can be mass promotion with low take specific action and promises a desirable or high intensity. An example of low-intensity benefit if they do” (Stern, 1990, p. 74). An diffusion and promotion is advertising to a gen- agency’s or professional’s office and waiting eral, unsegmented target market. High-intensity room, behavior toward and respect for clients, promotion is targeted, individualized, personal- and the demeanor of all those in contact with ized, and often with direct contact with the re- clients all communicate the value the agency or cipients of the communication. professional assigns to clients, the agency’s Communication strategies and techniques products, and the products’ capacity to meet used to reach potential clients include feeding clients’ preferences. information into client networks and support Communication involves language and its systems, providing key informants with infor- meaning, symbols and their meaning, the mation and using other word-of-mouth tech- medium of communication, and all the formal niques, and holding community forums and spe- and informal ways of receiving and sending in- cial events for target client groups. Once clients formation used by clients and potential clients. or other TMSs begin the exchange process, com- Effective promotion requires demassification of munication is generally high intensity. U.S. culture in formal and informal communication and a use of symbols (Halter, 2000). The tar- PROMOTION AND CLIENT EMPOWERMENT gets of promotion need to understand the mean- Client empowerment and self-determination re- ing of the message. This, in turn, necessitates that quire providing the client with the maximum in- the marketer understands what defines and de- formation on product, prices, and potential ben- termines meaning to a target market, both in efits and risks to enable the client to make a truly content and context of messages. Context shapes informed decision. This is the essence of good the meaning of content. The same message in its promotion: communicating with the client and words, construction, and syntax, heard over the potential clients and other potential stakehold- radio while commuting home from work or from ers so they can make informed decisions. It is a a telemarketer interrupting dinner, is received requisite for genuine informed consent (see Box differently and probably has different meaning. 12.4). Different TMSs require different communications and venues shaped to carry the desired message to each market segment. Rothman and PUBLIC RELATIONS AND PUBLIC INFORMATION his colleagues (Rothman, 1980; Rothman et al., Any time the agency or professional (the mar- 1983) consider the need for differences in com- keter) deals with any actual or potential TMSs, munication and promotion in their discussion of it is engaging in public relations. The publics can the diffusion of the results of social research and be clients, prospective staff, donors, potential or development (social R & D). Diffusion, in Roth- current supporters of the agency, legitimation man’s social R & D model, is basically promo- sources, and potential volunteers. Kotler and tion and dissemination of the products—the Andreasen (1987) define public relations as the findings of the social R & D—such as new image-building function that evaluates the atti- knowledge or skills in ways that the Social R&D tudes of important publics, identifies the policies consumer can evaluate and use the findings. So- and procedures of an individual or organization cial R & D itself is an outside-inside marketing with the public interest, and executes a program

BOX 12.4 QUESTIONS FOR TRUE INFORMED CONSENT IN PROMOTION

1. How should content and context affect mes- 3. Should social and psychological interven- sages to different cultural, ethic, and socioe- tions require the same warning labels on risks conomic target market segments? and side effects as do physical and pharma- 2. Does informed consent require communica- cological interventions? tion of benefits, all prices (including all social prices), and risks? 346 COMMUNITY PRACTICE SKILLS of activities to earn understanding and accep- TMS has received the desired product and the tance by these publics. Sometimes a short defi- agency has received the desired behavior and nition is given, which says that PR stands for per- resources in return? What are the feedback formance plus recognition (pp. 576–577). mechanisms? While recognizing the overlap between the concepts, Brawley (1983) distinguishes public re- Public relations and education are exercises in lations from public education. Public relations communication. As with all communication, the are “efforts intended to interpret the character- tasks for the message sender are to determine istics, functions, and activities of human service whether (a) the message reached the intended workers to the general public or particular seg- target (b) in the manner intended, (c) in a way ments of it” (p. 12). Public education, as Braw- that the target can understand and respond (d) ley uses the concept, has less precise targets and in the way the sender intended, (e) to produce is more akin to staging, general image building, the outcome behavior desired by the sender, and and educating on general social condition: “Pub- (e) in a way that will allow the sender to know lic education is . . . the provision of information that the desired outcome behavior by the target to the general public or a given audience about has occurred. The communication management social issues, social problems, categories of peo- task is to have the message reach the target in a ple with special needs, appropriate and inap- timely fashion in the manner intended with the propriate collective or individual responses to content intended. particular problems or needs, the functions of Good formal communication as part of pro- specific human service programs, and needs for motion has the following characteristics: (a) new or changed social policies or programs” (p. brevity—it is only as long as needed, (b) ap- 12). peal—it focuses on the possible positive outcome in the exchange, and (c) honesty—it provides DEVELOPING AND ASSESSING COMMUNICATION honest information about the product, price, and In developing and assessing a public relations, place. Messages and communication, to reem- information, and promotion program, the fol- phasize the earlier discussion, go beyond adver- lowing questions should be answered: tisements and formal communication to include all the interactions between the TMS and the agency or marketer. 1. What is the specific public or TMS with which the agency or professional wants to develop an exchange relationship? Are there any spe- Readability cial circumstances and traits—location, demographic characteristics, boundaries, other A challenge in developing written and verbal factors—that affect communication? messages is assessing the educational level re- 2. What is the exchange—the benefits offered to quired to understand the message. Assessing ed- and responses sought from the TMS? What ucational appropriateness is important if a mes- specific actions or responses are sought from sage is to convey meaning. There are several the TMS? ways to do this. Perhaps the best way is to field test the message with a representative sample or 3. How does the TMS obtain its information? focus group of the target audience. These meth- What sources of information and venues for ods suffer from the expense of developing the the information—specific print media, televi- inventory of the target population, constructing sion (specific programs and times), word of the sample or focus group, field testing the mes- mouth, information and opinion leaders, sage, and repeating the process until the appro- networks—are used by the TMS? What level priate message level is developed. of information is sought or required in order There are many computer software programs to make an exchange? that will test the readability level of written mes- 4. What type of information is needed by the sages. This is done by entering the message into TMS to make a decision? What specific infor- the software, which will then assess the message mation is needed by the TMS to perform the for the readability grade level necessary to com- desired behavior and engage in the exchange? prehend it. What are the specific benefits to the TMS? A less expensive and quick (though with sus- What is the price to the TMS? pect validity) method is the SMOG Readability 5. How will the agency or professional know Formula (Office of Cancer Communication, that an exchange has occurred, that is, that the 1992, p. 77). It is used to calculate the reading USING SOCIAL MARKETING 347 grade level necessary to comprehend the writ- be readable by someone with as low as a 9.5 ten material. SMOG’s application steps are as grade reading level or would perhaps require a follows: reading level of 12.5 years (that is, graduation from high school and some college). With a TMS 1. Take the beginning, approximate middle, and that has a general reading level of 10.0, given the last 10 sentences of the message, for a total of error range, the marketer probably should lower 30 sentences, and count the number of poly- the readability level. This can be done by low- syllabic words. A sentence occurs when the ering the number and ratio of polysyllabic words phrase ends in a period, question mark, or exper sentence. clamation mark, even though it may not be a Messages with fewer than 30 sentences can be complete sentence. A polysyllabic word is a converted into a format appropriate to SMOG by word with three or more syllables. The intent using an adjustment process. The adjustment is to obtain a representation of the total mes- process is to divide the total number of polysyl- sage. Random sampling to obtain the 30 sen- labic words by the total number of sentences in tences from all of the sentences could be done, the message and multiply the results by 30. This although this is probably spurious precision. will provide the adjusted number of polysyllabic 2. Consider that numbers, whether written or words. The adjusted product is then entered into numeric, abbreviations such as etc., and hy- Step 1 of the calculations and the remaining steps phenated words to have the number of sylla- are completed. For example, if a communication bles that they have when spoken. For exam- has 15 polysyllabic words in eight sentences, the ple, 192 has five syllables and etc. has four following calculation converts the data into a syllables. Hyphenated words are counted as format appropriate for evaluation via SMOG: one word. Total number of polysyllabic words to be 3. Compute the square root of the number of used ϭ 15/8 ϭ 1.875 ϫ 30 ϭ 56.25 polysyllabic words in the 30 sentences to the adjusted polysyllabic words nearest whole square root. For example, the square root of 193 is 13.89 and the nearest The adjusted total number of polysyllabic words whole square root is 14. The square root and is entered into the computation procedures as nearest whole square root of 9 is 3. The square shown in Box 12.6, with a resulting estimated root of 10 is 3.16, and the nearest whole square readability level of 9.5 to 11.5. root is 3. SMOG only provides a rough approximation 4. Add a constant of 3 to the square root, and of readability level. It uses the same methodol- the sum is the minimum educational level, ogy employed by the readability software pro- within 1.5 grade levels, necessary to under- grams. Complexity and readability are judged stand the message. The .1.5 grade levels is the by the complexity of words, with polysyllabic possible error range. words assumed to be more complex and sentence structure. SMOG assumes that a message For example, if a 30 sentence message contains with long, complex sentences is likely to contain 60 polysyllabic words, the computation of the more polysyllabic words than are ten short de- readability level is as shown in Box 12.5. clarative sentences. These messages generally The message being evaluated via the calcula- require more education to understand them. If a tions shown in Box 12.5 should be appropriate message yields a score above the minimum ed- for someone with an 11th-grade reading level, ucation level targeted, it probably is a good idea although the error range indicates that it might to rework the communication to use shorter de-

BOX 12.5 READABILITY TEST CALCULATION STEPS

Total number of polysyllabic words 60 Square root 7.75 Nearest whole square root 8 Addition of constant 3 Approximate minimum grade level 11 Approximate appropriate grade level range (ϩ or Ϫ 1.5 grade levels) 9.5 to 12.5 348 COMMUNITY PRACTICE SKILLS

BOX 12.6 READABILITY TEST CALCULATION STEPS FOR LESS THAN 30 SENTENCES

Total number of polysyllabic words 56 Square root 7.5 Nearest whole square root 8 Addition of constant 3 Approximate minimum grade level 11 Approximate appropriate grade level range (ϩ or Ϫ 1.5 grade levels) 9.5 to 12.5

clarative sentences and avoid polysyllabic words 3. When will or has the event occurred? where possible. 4. Where will or did the event occur? SMOG’s advantage is that it requires little time 5. Why is the event important to a TMS? and expense when compared with alternative methods. No representative panels of the TMS 6. How did the event come about? are required. The time and expense of field testing are eliminated. No computers, software, or Articles should be written in a manner that in- computer expertise are required. The costs for volves the least work and cost to the venue. this assessment method are the costs of a calcu- Venues should be surveyed and relationships lator to compute the square roots (less than $10) developed with the appropriate editors and re- and the time needed to count the sentences and porters to discover the preferred length, timing, polysyllabic words. SMOG’s disadvantage is style, and format. The marketer should be avail- that it provides only a crude approximation of able to the venue to answer follow-up questions the readability grade level. for a fuller story, as well as for additional follow-up and other stories that the venue may be seeking. THE USE OF MEDIA The social agency or social work marketer can TMSs are often reached through the media, al- expedite the use of the media with a media in- though the particular venue and media may be formation file (Rose, 1994). This file, computer- different for each segment. When the media are ized or manual in a file box or Rolodex, should used, they become exchange partners, and their contain the following information: needs, preferences, and operating procedures must be considered. As with all exchanges, the 1. Names, addresses, and telephone numbers, marketer needs to increase the value and de- including fax numbers and e-mail addresses, crease the price for the exchange partner. The of the main media outlets and contacts in each media respond to promotional efforts when they outlet. If contacts are personalized, exchanges see gains. are helped. The previously discussed general communication issues apply to the use of media. Com- 2. Names, addresses, and telephone numbers, munication is focused, brief, and honest. Infor- including fax numbers and e-mail addresses, mation is presented in a manner to present the if any, of the media outlets’ decision makers, least work and cost to the venue. The marketer such as the editors and producers. Again, con- should be available to the venue for any follow- tacts in each outlet should be personalized. up questions for a fuller story and other stories 3. Specific information about each outlet’s news, that the venue may be seeking. The journalistic information, and entertainment interests; spe- criteria of the five Ws (who, what, when, where, cial features; when published, circulated, or and why) and sometimes the H (how) are re- broadcast; target audiences, and which of the flected in the message and media releases (Rose, marketer’s TMSs this medium reaches, as 1995): well as the geographic audience radius. 4. Deadlines for media and for venues within 1. Who are you; who is interested in the infor- the media as news stories, feature stories, and mation (a TMS)? columns in the print media and differing pro- 2. What is the newsworthy event or occurrence gram types in radio and television. of interest? What will be expected of a TMS? 5. A brief analysis of the successes and failures What will be the TMS’s benefits? for each contact and venue. USING SOCIAL MARKETING 349

Information on the media can be obtained 3. Radio: Using call-in and talk shows, public from the white pages and yellow pages of the service announcements, interview shows, telephone directory and media directories. Many buying radio time or having a regular time- outlets provide media kits to promote their use. slot show on a problem area (all it takes is a Rose, the NASW News columnist on marketing, sponsor), news shows, and crafting sound emphasizes the use of smaller media outlets, bites are tactics for radio use. Multiple calls “such as local weekly papers or community ra- and callers will probably be required for the dio or television stations or programs. These are call-in and talk shows. Generally the talk usually in need of material and may use just shows screen calls and limit repeat callers about anything you send them. They reach a within a given time period. The producers smaller audience, but the coverage is free . . . this also screen calls to be supportive of the host way is gravy” (1994, p. 5). It is also often bene- or sometimes serve as a convenient foil. ficial to hold media events such as press confer- 4. Electronic bulletin boards and networks: These ences, if there is significant timely news, and emerging venues are gaining wider use as media receptions. However, the success of me- communication approaches. They are useful dia use is measured not by the amount of cov- in reaching particular target audiences. erage but if the coverage communicates the in- 5. Volunteers: Volunteers, in addition to provid- tended message to the intended target audience. ing personnel resources, are a promotional and linking mechanism. They link the agency MEDIA OUTLETS to a range of networks. Sources of volunteers The following five media outlets are most include business firms, service clubs, “help- useful: ing hand” programs in schools, and student internship programs in college departments 1. Print media: Op-ed pieces, press releases, let- such as business, journalism, and communi- ters to the editor, feature stories, and infor- cations, and social work. These volunteers mation contacts with reporters and colum- carry into and talk about positive and nega- nists are ways to use the print-media as tive experiences in other aspects and net- outlets. Human interest and case studies that works of their lives. A popular Baltimore ra- grab readers’ attention and tell a compelling dio columnist and commentator on business story are often preferred over statistics, al- investments and financial matters regularly though statistics may supplement the story. volunteers at a homeless meals center. He of- Magazines are often useful outlets for feature ten talks about his volunteer experiences on stories. Multiple letters to the editor by dif- his radio show. After his radio talks, dona- ferent writers stressing the same subject and tions and volunteers to the center increase for message have a better chance of being pub- a short time. This is valuable free promotion lished than a single letter. They generate me- for the center. dia interest. Most newspapers and magazines publish only a small fraction of the letters they Reliance solely on journalists and the media to receive. The New York Times, for instance, pub- get the information out, for staging, and for pub- lishes less than 5% of the letters it receives lic education is risky. Reporters are professional (Zane, 1995). skeptics and can’t be counted on to convey a par- 2. Television: Talk and interview shows, tabloid ticular message in the way intended by the mar- shows, cable and public access TV, news keter. However, media advocacy has impact on shows with visuals and sound bites, and pub- policy-makers and the public (see Box 12.7). lic service announcements provide opportu- There are also considerations of timeliness when nities for communication through television. the schedules of the media and the marketer are

BOX 12.7 MEDIA ADVOCACY IN STAGING

Media reporting and advocacy Ǟ Influence ion Ǟ Media report policymakers’ response Ǟ on policymakers Ǟ Media reporting policymak- Public opinion shaped Ǟ Policymakers respond ers’ response Ǟ Public opinion shaped by re- with social policy sponse Ǟ Policymakers respond to public opin- 350 COMMUNITY PRACTICE SKILLS different. Many social marketers supplement and other relevant publics? How does the orga- media efforts with advertisements and pur- nization determine success? chased media space and time. This increases the marketer’s control, although it doesn’t have a 2. Task Environment news article’s or TV spot’s credibility (West & Francis, 1996). Has the agency determined the resources it needs from its task environment to achieve its MARKETING: A SUMMARY mission and objectives? What are the TMSs that have the necessary resources (publics, groups, Marketing is a philosophy and strategy of ser- organizations, agencies, and others)? vice development and delivery and an approach to expediting exchanges. Marketing starts and 3. New Markets ends with the TMSs and attempts to promote exchanges by meeting the preferences of these seg- Are new TMSs needed for the agency to ments. Marketing is compatible with the social achieve or expand its mission? What are they? work ethics and values of client self-determina- How can the agency locate and assess these tion, starting where the client is, and client TMSs for resources and preferences? Have other advocacy. Marketing can be used with any ex- communitywide surveys been conducted by ei- change partner or TMS. The steps of the mar- ther the agency or some other group that can be keting philosophy and strategy can be summa- used to assess the market? rized in the following questions: 4. Communication 1. What resources are necessary to complete the mission and achieve the objectives? How does the agency communicate with each 2. From whom are the resources sought (the TMS? List the publics or markets that have TMS)? known barriers to effective communication. 3. What are the benefits (products) to be offered What are the barriers? How are the needs and to the TMS for its resources? preferences of each TMS assessed? What is the 4. What is the value of the benefits to the TMS? agency’s image with each TMS? Is the image the How will the resources meet TMS prefer- one desired by the agency? ences? How was this determined? 5. Referral Sources 5. What is the price to the TMS? What are the social price components? How does the price compare with the value as determined by the List all organizations or individuals that refer TMS? patients/clients to the agency, starting with those that refer most often. Is the agency satis- 6. What are the places and processes of ex- fied with its communication and with the results change with the TMS? Does the place con- of the referral network? How does the agency tribute to the value or price of the benefits to provide feedback to referral sources? Are they the TMS? satisfied with the feedback? What is the annual 7. What are the best methods of communicating turnover, if any, of referral sources? Are the rea- to the TMS the product’s capacity to provide sons for this turnover known? What changes or benefits and meet preferences, as well as its shifts in clients/patients have affected referrals? price and place of exchange? 6. Clients2 THE MARKETING AUDIT GUIDE1 What are the products for each client TMS? 1. Mission Review What are the services, broken down into the smallest complete components? What is their Does the organization have a written mission value to the TMS? What client preferences do statement or bylaws that detail the mission? they meet? What is the price to the TMS? What What are the mission and objectives? Are objec- do clients exchange for the products? How does tives stated as outcome terms? If no written mis- the agency obtain information on the TMS? sion statement and objectives exist, how does the What does the agency do with the information agency convey its mission and objectives to staff it receives from clients or patients? Is the agency USING SOCIAL MARKETING 351 satisfied with its communication with clients ternal newsletter or publication, an external and potential clients? What is the agency’s im- newsletter or publication, direct-mail operations age with clients? Is the image different from the for fund-raising and information distribution, a agency’s intended image? regular news release program, a newspaper clip- Which current services and products bring the ping service, a radio or television news record- agency the most income and other resources? ing service, radio and television public service The least? How do the resources exchanged by announcements (PSAs)? Which benefits and the client TMS help the agency meet its objectives? products are covered in the radio and television PSAs? To which publics are the radio and TV 7. Competition PSAs directed? Are representatives of any TMSs consulted in preparing the public information List all known and potential competitors of the program? Which TMSs are consulted and why? agency by resources sought, include size of staff, Does the agency have policies and protocols ownership, services, service area, fees, caseload, for press releases? Which of the following do size, and annual growth rate. Describe the one press releases address: new personnel (particu- agency or group that is thought to be the chief larly managers or department heads), new ser- competitor. How can this competition be met? vices, new equipment, revised policies, proce- Compare the agency’s fees and other social dures, special events, recruitment of employees prices with those of similar organizations; are and volunteers, financial and statistical data, and they comparable and competitive, higher or feature and human interest stories promoting lower? the successes of the agency and its clients? How does the agency determine how well its purposes, objectives, problems mission, and new 8. Market Management distribution policy are understood by the news media? Does the agency have a spokesperson? If yes, Are annual reports published? If not, how who is that person and what is the position’s ti- does the agency direct the flow of information tle? Is there an agency public relations director that normally is found in an annual report? or a person responsible for public relations? Is Does the agency have a speaker’s bureau? there an agency marketing director or a person Which publics are addressed in activities or responsible for overall marketing direction? Do promotion of the bureau? Which main messages all agency staff members understand their func- are the agency’s speakers conveying to audi- tions as agency representatives, spokespeople, ences? What and who determines the subject and marketers? Is there a board public relations matter of speeches? Does the agency hold com- committee and a marketing committee? Do all munity seminars, symposia, or lectures? Are vol- board members understand their functions as unteers, board members, and other auxiliary agency representatives, spokespeople, and mar- personnel used in community relations? How keters? If the agency has not had marketing re- does the agency benefited from their activities? search or planning, how have user needs been Does the agency use print, radio, and televi- determined in order to expand existing services sion advertising? To which TMSs are these mes- or add new ones? sages addressed? Do the ads bring the agency new clients or patients or other new markets? 9. Promotional and Public How is this determined? Information Strategies Are all staff members involved in or have the opportunity to participate in promotion and Does the agency have a written press relation’s make suggestions for improvement? Does man- policy? Where is it located and how is it used? agement consider the suggestions? Do all agency members understand it? How has the policy benefited the organization in the last 2 years? How were benefits determined? Does 10. Locating New Markets the agency have a brochure or other written information for distribution that explains the How does the agency find new TMSs—clients, agency’s mission, objectives, and services? When fiscal and nonfiscal resource providers, other re- was the material last revised? Which TMSs get sources? Who is (are) designated to find new the material? Is it adapted to meet the needs, in- clients, referral sources, employees, and sources terests, and preferences of the specific TMSs that of funding? Is case finding an agency practice? get the brochure? Does the agency have an in- Do auxiliary members or volunteers perform 352 COMMUNITY PRACTICE SKILLS community relations, resource location, and case- mined? How is the fee structure communicated finding functions for the agency? Does the or- to current and potential clients? Does the agency ganization attract or encourage walk-in users? If convey an image that it can provide more free yes, how do such users discover the organization? or reduced-fee care than it actually can deliver? How is this determined? What questions about fees do referral network representatives ask? 11. Agency Fees How does the agency communicate the main points of its fees to its key TMSs? How often in Does the agency have a fee structure? How do the last 2 years has the agency raised its fees? clients characterize the fee structure (acceptable, How was this received by key TMSs? Was in- unacceptable, no opinion)? How is this deter- creased value perceived by the segments?

Notes

1. See Rubright & MacDonald, 1981, for a more sources, financial providers, complementary complete market audit form, questions, and dis- agencies, volunteers and nonfinancial providers, cussion. and providers of legitimation and sanction. 2. This section and subsequent sections can be modified for the other significant TMSs: referral

References

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Economic goods are not the only kind of goods that are subject to considerations of justice; a minimal amount of a wide variety of social and psychological goods is also owed to each member of society as a matter of justice.

J. C. WAKEFIELD (1994, P. 48)

Change never ever, ever comes from the top down.

B. A. MIKULSKI (1982, P. 22)

MAKING CHANGE HAPPEN Social workers whose indignation as well as compassion quotients run high are primed for As agents for change, we need to explore professional advocacy. Hearing about situations where we want to go and how to get there—ends like this, we want to do something! and means. Therefore, this chapter will cover different types of advocacy available to practition- Overcrowding . . . is a constant feature of ers. Advocacy and action have been conceptual- schools that serve the poorest. . . . 11 classes in ized here in a variety of ways to illustrate the one school don’t even have the luxury of class- far-reaching nature and flexibility of these prac- rooms. They share an auditorium in which they tice tools. Empowerment is a secondary focus. occupy adjacent sections of the stage and back- Another purpose of the chapter is to facilitate stage areas. . . . “I’m housed in a coat room,” better communication between micro- and macro- says a reading teacher at another school. . . . “I practitioners by spotlighting language and lead- teach,” says a music teacher, “in a storage room. ers of importance to change agents. . . . “ The crowding of children into insufficient, often squalid spaces seems . . . inexplicable. . . . Images of spaciousness . . . fill our . . . music . . . Values [children] sing of “good” and “brotherhood from sea to shining sea.” It is a betrayal of the The four cornerstones of social work, accord- things that we value when poor children are ing to Saleebey (1990, p. 37), are indignation, in- obliged to sing these songs in storerooms and quiry, compassion and caring, and social justice. coat closets. (Kozol, 1991, pp. 158–160) 355 356 COMMUNITY PRACTICE SKILLS

Our values lead us to want to alleviate or ular education, and local services development transform acute, chronic, and seemingly unfix- (p. 2). able misery (Kleinman, Das, & Lock, 1997; Advocacy and social action are strategies or Mayadas & Elliott, 1997; Swenson, 1998; Von means to an end. Such strategies are employed Bretzel, 1997; Witkin, 1998). There are numerous by progressive professionals and by a wide va- ways in which inequities of this type can be ad- riety of concerned citizens (Lewis, 1998) and or- dressed by caring social workers, especially ganizations that vigorously oppose the status those dedicated to justice. quo. These concepts are similar. The list in Box 13.1, based on Panitch (1974), suggests the vari- Process ety of techniques used by social workers engaged in advocacy and reform. In addition, there Social and political critics highlight “present are new technologies (Hick & McNutt, 2002). inanities” (Ivins & Dubose, 2000) and urge pen- Differences in advocacy and action include size etrating change. Within individuals and society, variations in the societal unit normally worked there is a desire for continuity as well as change, with (task group versus a larger population), ad- but we want to avoid getting stuck. In 1970, pi- herence to norms, and typical interventions. Let oneering change agent Paulo Freire addressed us consider them. how social workers figure into larger change. “ ‘The social worker,’ Freire wrote, ‘has a mo- What Is Advocacy? ment of decision. Either he picks the side of change . . . or else he is left in the position of fa- DEFINITIONS AND CHARACTERISTICS voring stagnation’ ” (Kozol, 1990, p. 137). Social Advocacy, whether individual or systemic, case change goals can embrace better circumstances or class, means championing or speaking for the for service users, amelioration of particular op- interest of clients or citizens. Social work man- pression, or a more egalitarian society. These are agers, for example, often promote causes in- progressive in that they aim to improve the lot volving service users with officials and decision of the disadvantaged and are carried out in a makers (Menefee & Thompson, 1994, p. 18). Ad- manner consistent with democratic values (Bom- vocacy has a role in transforming private trou- byk, 1995). When we set out to make changes, bles into public issues or personal problems into that process is known as directed, purposive, or in- social issues. It has a role in challenging inhu- tentional change. Change strategies vary widely mane conditions at a micro- or macrolevel. So- and can include “nonviolent direct action, ad- cial workers also advocate within our field for a vocacy, political action, and conscientization particular mission, program, or course of action. [raising of consciousness]” (Reeser & Leigh- In direct service work, advocacy is often part of ninger, 1990, p. 75; see also Abramovitz, 1993; client support and representation and, if possi- Mandell, 1992; VeneKlasen, 2002). Checkoway ble, involves client self-advocacy. Case advocacy (1995) describes six strategies—each with its emphasizes ensuring service delivery in one’s own “practice pattern”—in connection with field of practice and securing resources and community change: mass mobilization, social ac- services for particular clients in one’s caseload tion, citizen participation, public advocacy, pop- (Grosser, 1976; Hardina, 1995; Jackson, 1991;

BOX 13.1 TECHNIQUES OF ADVOCACY AND SOCIAL ACTION

1. Conferring with other agencies 8. Contacting public officials and legislators 2. Appealing to review boards 9. Forming agency coalitions 3. Initiating legal action 10. Organizing client groups 4. Forming interagency committees 11. Developing petitions 5. Providing expert testimony 12. Making persistent demands

6. Gathering information through studies and Source: From Direct Social Work Practice (pp. 506–507), by surveys D. H. Hepworth and J. A. Larsen, 1993, Pacific Grove, CA: Brooks/Cole. 7. Educating relevant segments of the community USING THE ADVOCACY SPECTRUM 357

Johnson, 1995). Cause advocacy involves groups, populations, or conducting community-con- institutions, and modification of social condi- trolled participatory action research (Alvarez & tions (Johnson, 1995); Schneider and Lester Gutierrez, 2001; Kling & Posner, 1990; Thursz, (2001) define it as “promoting changes in poli- 1971; Wagner, 1991). cies and practices affecting all persons in a cer- A distinguishing feature of social action is tain group or class” (p. 196). its emphasis on internal change through con- History. The advocacy tradition evolved from sciousness raising and changing. Certain the legal field out of attempts to implement the thought patterns discourage our involvement— Bill of Rights and humanitarian reform. Early for example, believing critics who say we are go- cause advocates called the attention of those in of- ing too fast or too far. In contrast, William Gam- fice or high places to the predicament of certain son has analyzed what facilitates involvement. exploited or ignored sectors of society. Examples He describes three collective action frames—in- include Dorothea Dix, who inspected and re- justice, agency, and identity—used by the mind ported on prisons and insane asylums (Gollaher, to justify action. The injustice component is the 1995), and Reginald Heber Smith, who implored moral indignation that can be summoned as part attorneys to provide legal aid for the poor. To- of political consciousness. The agency component day, advocates use Web sites as advocacy tools refers to the sense that we can do something— to interact with the larger public (Shultz, 2002, ”alter conditions or policies through collective p. 205; see also McNutt & Boland, 1999). Social action” (W. A. Gamson, 1992, p. 7). The identity work literature separates advocacy from social component creates a mental adversary, a movements but sometimes views cause or class “they”—human agents who can be affected or advocacy as the same as social action. The pri- turned around (1992, p. 7). mary distinction is that most forms of advocacy stay within established employer guidelines and History. Concerned with power holders and procedures and traditional political processes. challenging groups, social action comes out of insurgency, movement, reform, and third-party What Is Social Action? traditions against the so-called evils of life. It often involves “the collective struggle of op- DEFINITIONS AND CHARACTERISTICS pressed people acting in their own behalf to Social action is a collective endeavor to pro- improve conditions affecting their lives” mote a cause or make a progressive change in (Burghardt, 1987, p. 298). For a model of collec- the face of opposition. It often involves bringing tive struggle, numerous organizers have drawn together aggrieved persons, who begin to take from the philosophy and tactics of Saul Alinsky. direct action. If necessary, agitation or disrup- In the same tradition, Ernesto Cortes, Jr., was tion may be used (Specht, 1969). It builds on the awarded the MacArthur “genius” award for his self-advocacy of the affected part of the popula- lifelong work in community organizing in San tion by mobilizing them ( J. Gamson, 1991). Antonio and other places. Today, social action Wallerstein views community empowerment as manifests itself in media events, in ambitious a social action process that “promotes participa- citywide and statewide campaigns for all man- tion of people, who are in positions of perceived ner of reforms, in the years of organizing on both and actual powerlessness, towards goals of in- sides of the abortion issue, and in “issue net- creased individual and group decision-making works” (Burghardt, 1987, p. 292) that begin with and control, equity of resources, and improved information sharing and swell into action coali- quality of life” (1993, p. 219). tions. Social action is used internationally—a demonstration held in Florence, Italy, in au- tumn, 2002, drew a half-million people to protest Scope. Compared with advocacy, the goal of the proposed U.S. attack on Iraq and globaliza- social action is broader. In direct service work, tion-corporatization issues. social action often means tackling “cumulative problem situations and issues” (Staub-Bernasconi, Which Change Modalities Are Relevant to 1991, p. 36). Romanyshyn (1971) defined social Direct Service? action as “efforts at systemic intervention designed to prevent problems, expand opportunities, and enhance the quality of life” and believed Advocacy and action have been successfully that such efforts “may be seen as a quest for melded in three contemporary forms of change: community and a better polity [body politic]” • Ensuring individual rights: pursuing actual (p. 153). Activities can entail changing the delivery of what it is assumed everyone agency from within, working with mobilized should have 358 COMMUNITY PRACTICE SKILLS

• Public interest advocacy: participating in soci- or court orders. Due process rights can involve ety’s decisions and sharing benefits, power, such issues as the right to a fair hearing before and responsibilities being removed from school or public housing or • Transformation: perceiving the possibility of a the right to receive timely and specific notice better, and profoundly different, society and (Handler, 1979, p. 36). Substantive rights can in- moving to bring it about ure or accrue to everyone (free speech), to those in a category (the right to Medicare benefits if criteria are met), or to a particular group (e.g., All three manifestations of change make invisi- due to past discrimination). Some are remedial; ble groups more visible, address social misery nursing home residents now can enjoy the same and disenfranchisement, link individuals, and things as the general public, such as the right to presuppose the advocate’s optimism or hope. open their own mail (Horn & Griesel, 1977). Some are meant to prevent abuse; families of ENSURING INDIVIDUAL RIGHTS residents are lobbying to be allowed to install Fairness may require the continuous creation “grannycams” (video cameras) in their loved of new rights for designated groups and for ones’ rooms. Basic human rights such as those those eligible for certain entitlements. Adherents promoted by the United Nations include free- of getting one’s rights aim to ensure delivery of dom from arbitrary government restrictions and rights and services that society has pledged to the right to food. Immigrants lacking citizenship everyone. They believe that individuals and rights have humanitarian appeals made on their groups who fight for their own rights contribute behalf. To this, our profession would add client to other members of society by creating a level rights such as self-determination (Tower, 1994) playing field. For instance, citizens have used the and participation (O’Donnell, 1993). courts to obtain equal protection under the law Rights may be won at a societal level on be- when an immutable trait (such as gender or race) half of a class, such as Temporary Assistance to has kept them from receiving what they should Needy Families recipients, but “can be enjoyed have had all along—fair access to jobs, apart- only on an individual level,” where advocates ments, and voting. Advocates are also needed. can help implement them (Grosser, 1976, p. 276). For example, right-to-shelter battles are fought Social work practitioners aid individuals by in- on behalf of diverse individuals (in burdensome forming them of their rights and monitoring to circumstances such as homelessness) and large see whether those rights are respected in the families (fair housing). The Innocence Project course of receiving services. Simon (1994) warns and the Center on Wrongful Conviction use jour- that it “would be a grave error to assume, with- nalists, private investigators, and attorneys to out inquiring, that one’s client has good knowl- find evidence to free wrongly convicted death edge of his or her rights as a citizen and as a row inmates. Their record of successful exoner- consumer of services,” since few of us know ations led the governor of Illinois to halt all our own “rights and entitlements” (p. 20). Those executions. who seek process rights, such as adequate rep- This mode of change influences our practice resentation at trial, also care about ultimate out- in many ways. Social workers sometimes help comes, such as the disproportionate number of secure or create new rights—such as the right to African Americans on death row. treatment or to die—and often help implement or enforce such rights. We also mediate when there are competing claims—for example, be- PUBLIC INTEREST ADVOCACY tween family members. We can be criticized The second mode of change involves societal when our agency is perceived as interfering with responsibility and a determination to “get a the rights of those in a category, such as adoptees place at the table,” to participate in decisions. or adopters; clashing with a particular group, Citizen civic action and democratic policymak- such as recipients; or ignoring a group, such as ing are associated with public interest advocacy. those caught up in the court system (Lynch & This approach uses Mitchell, 1995). The rights under discussion fall into three categories: (a) due process (a concept of fairness) or • social/legal reform to promote pluralism and procedural rights, (b) substantive rights, and (c) entrée to government by strengthening out- basic human rights. The first two flow from the sider groups (Handler, 1978, p. 4), Bill of Rights (the first 10 amendments to the • access and investigative methods to force ac- Constitution of the United States) and other pro- countability in the private and public sectors visions of the Constitution, legislative directives, (Powers, 1977), and USING THE ADVOCACY SPECTRUM 359

• community education to develop life skills and “Given the complexities of life today, finding out civic skills in the populace (Boyte, 1980; Isaac, how things work is a full-time job” (p. 9). In this 1992; Mondros & Wilson, 1994). change mode, investigative reporters, public interest lawyers, librarians, and social workers can While the rights approach often focuses on gov- join to assist citizens who feel that everything is ernment wrongs and remedies, the public inter- out of their control due to little-understood est approach challenges corporate abuse as well. forces or legalities (Lynch & Mitchell, 1995). A Harris poll conducted for Business Week, be- Through exposé and explanation, we can show fore the Enron, Worldcom and Anderson corpo- “how to deal with these forces . . . and how ration scandals, revealed that 73% of the public power is exercised” (Williams, 1978, p. 5). Pub- considered the pay packages of chief executives lic interest advocacy says to social work: “We to be excessive, 74% thought business had too have to be public citizens and wherever there is much power over them, and only 47% believed a need we must work to meet it” (Mikulski, 1982, that what is good for big business is good for p. 18). The need, for instance, may be protection most Americans (Bernstein, 2000). This advo- from predatory lending rather than traditional cacy—for classes of citizens who can rarely de- social services. fend their own interests—relies on citizen evaluation, expertise, awareness of pressure points, TRANSFORMATION freedom of information statutes, and media.1 Structural change is more fundamental in Giving voice to the voiceless entails represen- terms of ends and more concerned with vision tation of general and dispersed, often disorga- than the first two change modalities (Ackerman nized, interests (in contrast to concentrated & Alstott, 1999; Fabricant & Burghardt, 1992; special interests) and of underrepresented views. Wagner, 1990). It is supported by sundry groups, Those with an interest in keeping public schools including faith-oriented networks that work to strong are dispersed, compared with parents of change the structural causes of poverty and in- children in private schools who argue collec- justice (Nepstad, 1997). Those who would trans- tively for vouchers. Middle-class taxpayers seek- form themselves and their environment must be ing tax relief are dispersed, in contrast to the or- able to perceive how society really is and could ganized business community that secures tax be (Henley, 1999). There must be what some fem- loopholes. Low-income people, who have par- inists colloquially call a “click” experience, as ticular interests but lack resources to push claims well as a willingness to color outside the lines. on their own behalf, are counted among the un- A well-known example of the latter occurred derrepresented. Promoting pro bono (for the when Youth Commissioner Jerome Miller, public good) work and legal access for indigents D.S.W., shut down Massachusetts’s isolated, is thus important, along with test-case law reform. custodial-oriented institutions for delinquents to Public interest advocacy tries to “strengthen the force communities to develop local alternatives. position of weak, poorly organized, or unartic- Transformation is proceeded by visions of a dif- ulated interests in society” (Handler, 1978, p. 4). ferent world, a world with fewer cars or one Unlike the rights approach, in which an indi- without rape or one with abundant health care vidual may be part of an observable protected in every nation in Africa. class (such as classes based on gender, race, and Transformative change results in profound also on), many who benefit from public advocacy teration or revitalization of society, although are indistinguishable (such as renters). These overthrow of an existing government or econ- might be actual or potential consumers. For ex- omy is not required. For example, think of the ample, a critique regarding what community rise of desperately poor indigenous people in mental health centers might have been was once Chiapas. Their leader is Subcomandante Marcos, written on behalf of those who potentially could a former social worker. After a fierce 7-year have benefited from innovative services and struggle, he and others in the Zapatista Army of meaningful community involvement. It has been National Liberation were invited to negotiate said that an advocate of this type is “the cham- with the new president of Mexico about the pion we never knew we needed against an en- rights and future of Indian Mexicans. Alinsky emy we never suspected was there” (Frost, 1994, (1972) says, “History is a relay of revolutions; the quoting Life magazine). Thus, efforts to protect torch of idealism is carried by the revolutionary the environment epitomize public interest ad- group until this group becomes an establish- vocacy (Rogge, 1993). Policy reform beneficiaries ment, and then quietly the torch is put down to are numerous but faceless (Powers, 1984). wait until a new revolutionary group picks it up Lack of knowledge disadvantages people. Re- for the next leg” (p. 22). Such change in social spected journalist Paul Williams (1978) says, welfare spotlights contesting ideologies of ser- 360 COMMUNITY PRACTICE SKILLS vice and justice (L. V. Davis, Hagen, & Early, help,” according to Moreau; it means that clients 1994; A. Lawson & Rhode, 1993; Van Soest, can see their files and that no “case conferences 1994). concerning them are held without their pres- There are numerous examples, such as con- ence” (Moreau, 1990, pp. 56–57). Many believe sciousness raising (Wood & Middleman, 1991), that numerous individual transformations con- of how those on the service front lines can play tribute to a collective metamorphosis. a role. Hyde (1994) believes clinical and social action approaches can be blended since the PRACTICE IMPLICATIONS “caseworker is in an ideal position to help a At the macrolevel, social justice often results client begin to consider new life goals. As part when all three modes of change are combined. of that exploration, the possibility of participa- Think of the many change modes being utilized tion in a macro change effort should be in- to overcome homophobia. Social workers take cluded” (p. 61). Walz and Groze (1991) call for a social change from an ideological to a program- new breed of clinical activists who might also matic level (Lord & Kennedy, 1992). At the mi- serve as advocacy researchers; such clinicians crolevel, the practitioner’s orientation toward would gather data, analyze connections between change will influence interactions with clients. individual situations and social forces, and mea- Box 13.2 presents a simplified example of how sure their success through “multiples” who had social workers might respond to a question from been helped (p. 503). Moreau (1990) singles out a service user in accordance with all three “unmasking power relations” (p. 56) as pertinent philosophies of change. to direct practice, that is, being open with clients about power relationships (Hartman, 1993; Sher- man & Wenocur, 1983). The worker will promote ADVOCACY SPECTRUM: SPANNING PEOPLE individual awareness and a belief in human AND POLICY agency or instrumentality. Workers and clients, as “co-investigators,” can explore reality, critical Along the spectrum thinking, and liberating action (Freire, 1971, p. 97). This Freire style of dialogue involves “re- Advocacy aims to bring about change in or- ducing unnecessary social distance between der to benefit people in many circumstances. Ad- worker and client . . . sharing information and vocacy work ranges from helping oneself or an- demystifying techniques and skills used to other individual to helping a group or class of

BOX 13.2 OPTIONAL RESPONSES

Client: Why aren’t benefits higher? Our income Public interest advocacy response: is way below the poverty level. A coalition is trying to influence the governor to supplement the amount the feds provide. Do Conventional responses: you want some information about this fight to It’d be nice if they were higher. Can we make a raise benefits? list of your expenses to see if I might have any (Goal: to involve the client, increase civic skills, suggestions to help you make ends meet with and secure the client as a witness or letter writer) the check you receive? I wish I could get you more money, but we have Transformation or critical consciousness to work with what we’ve got—given the cut- responses: backs and today’s politics. What do you think the reason is? (Goal: to avoid being personally blamed, and to If a family with more money traded places with express empathy) yours for a week, what would they learn? Does it ever make you angry? Rights-oriented response: Who, in your opinion, decides who gets gov- Perhaps you aren’t receiving all you are entitled ernment benefits? to. Want me to review your finances with you? (Goal: to start a dialogue and raise conscious- Maybe we can appeal. ness about income and power distribution, so- (Goal: to secure rights collaboratively) ciopolitical and economic forces) USING THE ADVOCACY SPECTRUM 361 people change an institution in very basic ways. The actions taken usually will be determined It can be carried out directly with a client or in- by the involved organizations’ standard mode directly on behalf of a client or group or for the of operation (although advocates sometimes public good. One advocate can operate at dif- get organizations to change standard practices), ferent points along the advocacy spectrum, or by the worker’s skills, and by strategic deci- problems can be addressed simultaneously by sions concerning the most effective and efficient people working in different areas of the same interventions. field. Advocates may need to consider multiple As professionals, we have no reason to limit strategies for addressing an individual or social our intervention to the domain where we receive problem. To return to our early example of the it. “The way the problem is defined is of major crowded schools, we can think of many types of importance in determining what type of advo- advocacy with which to address the problem. The cacy, if any, is to be attempted and what the tar- parents could advocate for themselves as tax- get system will be,” says Grosser (1976, p. 270). payers on behalf of their children. A social If a young child playing with a cigarette lighter worker could write a letter to the board of edu- starts a fire that destroys a house and kills his cation or lobby an influential alumnus to call for brother, this situation is likely to be received in improvements. A worker could take the con- the individual sphere, where a social worker cerns of parents from several schools to the me- might help the family by advocating for mater- dia and help the parents conduct interviews. A ial help. Some service agencies might also treat worker could organize a campaign to get local the death as a family counseling matter. Yet, the firms to forego their annual holiday parties one fire is not simply an individual matter. Poorly year in order to buy textbooks, or could orga- designed lighters caused enough fires and nize parents and neighborhood churches to boy- deaths that federal regulations had to be written cott school until demands for improvement are to require childproof lighters. In a service only met. A worker could drive a group of parents to or family therapy intervention, a “bad” child is meet with their legislator regarding equity in ed- left with guilt; whereas, in moving to political ucation. A worker could build a coalition to intervention, this “normal, curious” child pro- overturn property tax–based school funding. vides evidence of the need for product redesign, With an ongoing and complex issue, it is com- regulation, and enforcement. mon—though not always necessary—to begin Since the level of intervention influences the with individual advocacy and progress to insti- methods and skills of intervention (individual to tutional change. Consider an addictions worker institutional), the spectrum of advocacy possi- who counsels individuals and then becomes in- bilities combines level and modality variables. volved with Mothers Against Drunk Driving The different points on the spectrum are as (MADD). Initially, the worker helps support the follows: members’ personal feelings and provides community education, and later engages in joint efforts with the organization to secure tough yet 1. Self-advocacy: A practitioner who wants to humane sentencing. This advocacy finally leads start a client group must convince the boss of the worker to oppose the advertising of alcohol. the project’s worth. Activities along the spectrum can be conducted 2. Individual advocacy: A practitioner helps a consecutively or simultaneously. Parts of the spec- client take steps to collect unpaid child sup- trum interrelate and the process, even for a single ad- port. vocate, is dynamic. These examples presuppose 3. Group advocacy: A practitioner speaks on be- that the worker is comfortable considering an half of clients at a hearing on monitoring advocacy approach on any scale and supports home health aides (or personal care atten- the advocacy endeavors of others. dants). 4. Community advocacy: A practitioner helps neighbors get the police commissioner to in- LEVELS AND FORMS OF ADVOCACY troduce a new community policing program. Self-Advocacy 5. Political or policy advocacy: A practitioner is asked to serve on a panel that is recom- As social workers, we must learn to advocate mending human service reforms at a hearing. on our own behalf as well as for our clients 6. Advocacy for systems change: A practitioner (Braverman, 1986). Much of the advocacy exer- convinces a school system to commit re- cised on behalf of clients and oppressed groups, sources to cut the dropout rate in half. however, is undertaken by clients and group 362 COMMUNITY PRACTICE SKILLS members who decide to make changes in their need to act personally and collectively on their lives or to demand redress (Miller, 1986, p. 118; own behalf. When citizens are on the move, we Murase, 1992; Pantoja, 2002). can facilitate their personal and organizational Maggie Kuhn’s story exemplifies this process. development. This can be done through admin- Until recently, men retired at age 65 with gold istrative and technical assistance, such as clerical watches; some women, including Kuhn, were and volunteer help and providing meeting given sewing machines. Today, forced or rooms. We help by encouragement and acknowl- mandatory retirement is usually illegal, but in edgment of the worth of the endeavor, that is, by 1970, Kuhn (1991)had no recourse: giving it legitimacy. Another vital support is to provide information sharing for people concerned In the first month after I was ordered to re- with the same issue. (Regarding mutual assis- tire, I felt dazed and suspended. I was hurt and tance and “horizontal supports,” see S. M. Rose, then, as time passed, outraged. . . . Something 1990, p. 50.) clicked in my mind and I saw that my problem This expanding self-advocacy also occurs in was not mine alone. Instead of sinking into de- low-income groups. Box 13.3 features a person spair, I did what came most naturally to me: I who started a soup kitchen in her house and be- telephoned some friends and called a meeting. gan feeding thousands of people each Thanks- Six of us, all professional women associated giving. Her first step, however, was advocacy for with nonprofit social and religious groups, met her own family. We can learn from self-advo- for lunch. . . . My office at work was next to a cates with organizational skills. We want to be Xerox machine, so it was easy to slip over there on the lookout not only for indigenous leaders, and whip out copies of a notice for a [large] but for clients who make progress in self-advo- meeting. . . . We agreed we should all band to- cacy in a less public way. gether to form a new social action organization. Challenges arise in working with clients who (pp. 130–131) have circumstances that restrain their desire or ability to act (N. A. Brooks, 1991), but these can Kuhn headed the Gray Panthers for 25 years, un- be met. For instance, a Client Support and Rep- til her death. Her story epitomizes Gutierrez’s resentation program for people coping with psy- point: “Empowerment can transform stressful chiatric problems stresses self-determination life events through increasing self-efficacy, de- and client control. “Advocacy in this context be- veloping a critical consciousness, developing comes a form of personal self-assistance, based skills, and involvement with similar others” on self-identified needs, that unfolds within the (1994, pp. 204–205). context of a very supportive interpersonal rela- Self-advocacy in social work includes self-help tionship with an advocate” (Moxley & Fred- and helping others to help themselves (Mackel- dolino, 1994, p. 96). Although clients receive prang & Salsgiver, 1996). Workers can provide knowledge, assertiveness, and problem-solving the knowledge and encouragement that clients skills from advocates in the roles of “mentor,

BOX 13.3 THE START OF A COMMUNITY RESOURCE

I said, “There’s three stores here. Let’s go to each not going to back out of the store, you’re just store . . . and see if they will give us some food.” going to say it again. So I said it. And he said, Everybody stood in their doorways. They “Yes I will.” He filled up that garbage can in his laughed at me. . . . I was scared, but I said, “I’m store. [After visiting the other two stores, she going ‘cause . . . I need food for me and my chil- ended up with three garbage cans of food and dren to eat. . . .” I went to my church and asked a long line at her door.] And I said, “Ain’t no the pastor would he loan me the big garbage stopping now! . . . what I’m gonna do is open can on wheels. I got up the courage. I went to up an emergency center.” ‘Cause I’ve asked God this store and said, “Mister, would you please to show me how to feed me and my children give me food you’re going to throw away first and then I will help others. tonight, so we can eat it tomorrow?” He said, Source: Bea Gaddy, who for decades fed the inner-city poor “What did you say?” And I repeated it. ‘Cause, (Powers, 1994).2 you know you can’t run out of the store. You’re USING THE ADVOCACY SPECTRUM 363 coach, supporter, and representative” and assis- ation may get complicated before an attorney or tance with environmental challenges, they must an MSW gets involved. Even lay advocates—a take action, for example, to express a disagree- family friend or someone from church—some- ment and ask for a hearing to resolve it (pp. times help with the initial steps. This may not 96-98). matter, though, since many of those requiring An exciting example of self-advocacy is the advocacy (e.g., low-power groups, the unso- growth of the mental health consumer move- phisticated or institutionalized) need a tenacious ment. It was started 30 years ago, according to advocate more than a highly credentialed one U.S. News and World Report, by groups such as (Shapiro, 1993). Network Against Psychiatric Assault, Mad For a social worker, starting an advocacy re- Pride, and the Insane Liberation Front. “Al- lationship is not too different from starting a though it began with a marginalized collection therapeutic relationship. The presenting prob- of former mental patients demanding the closure lem itself may call for advocacy, or we may en- of state hospitals, today it’s a national, main- gage in conventional direct service activities out stream movement, representing the entire array of which a need for advocacy arises. The client of psychiatric diagnoses and challenging psy- directs us as much as possible. In turn, we try to chiatrists and other ‘helping professionals’ ” demystify aspects of society about which we are (Szegedy-Maszak, 2002, p. 55). Thus, individual knowledgeable. desires for self-determination led to a collective effort. Today, some formerly homeless, brain- ADVOCACY AS AN INFLUENCE PROCESS disordered people are employed by or in charge INVOLVING ACTION of mental health associations. For instance, self- Individual and family-level advocacy often in- advocate Joseph Rogers, who used to protest volves attempting to influence organizational or at American Psychiatric Association meetings, institutional decisions or policies on behalf of a now manages a $12.1 million agency budget to third party. Once we agree to serve as advocates, help his peers (Szegedy-Maszak, p. 55). Haitian we cannot countenance or condone having our people have become self-advocates in Florida as clients demeaned, whether or not they are in our they fight an immigration system that rewards presence. While this principle seems basic, it is Cubans who make it to U.S. shores with citi- not easy to follow because so many clients in- zenship and political power but immediately teract with an array of officials who make a prac- deports Haitians who boat, swim, and crawl tice of belittling them or treating them as objects. ashore seeking refuge. WORKING WITH INSTEAD OF FOR Individual Advocacy In cases where clients are jailed or ill and unable to act for themselves, such as the one illus- Those knowledgeable about dealing with the trated by Box 13.4, the advocate honors their ex- system, whether BSWs or community workers, pressed wishes and acts on their behalf. Even often guide beneficiaries through housing assis- people who are healthy and at liberty are not al- tance and other governmental mazes. The situ- ways able to advocate for themselves or to par-

BOX 13.4 GET ME OUT OF HERE!

A mother declared her teenage daughter incor- been no hearing, nor had she or Theresa’s fam- rigible and in need of protection by juvenile ser- ily been contacted. The worker was so indignant vices. Since the emergency shelter was full, that she told her supervisor she wanted to write Theresa was placed at a holding facility in a a letter to the judge in charge of Theresa’s case. room where unfortunate youngsters stayed until The supervisor expressed doubt that anything foster homes were available. The matron soon would be done but agreed to humor his young had Theresa babysitting for 10 young children supervisee. The worker wrote a letter to the housed at the facility. When the teenager re- judge requesting Theresa’s release. The teenager belled after a week and refused to babysit, she was released from her cell the day the judge re- was locked up behind bars. Her worker was ceived it. stunned when she came to visit, for there had 364 COMMUNITY PRACTICE SKILLS ticipate jointly. In most cases, though, advocates Group Advocacy must guard against taking a “benefactor” or “lib- erator” role (Simon, 1994, p. 7). We want to cre- Group advocacy often arises with a particular ate situations in which individuals can develop reform and may not be part of an ongoing com- into their own heroes rather than being depen- munity organization and development process dent on a human service worker. Self-advocacy or a social movement. A group can clearly ad- is preferred. vocate for itself and “regain a sense of control” Advocacy for an individual arises naturally (Toseland, 1990, p. 167). For instance, parents of out of a trusting relationship. A request may children who are both physically and mentally seem trivial, yet the stakes can be high; minor challenged and thus cannot use existing group incidents can turn into violent episodes. For in- homes might band together to get facilities mod- stance, a 17-year-old Latino boy has trouble in ified or built to meet their children’s needs. They school and needs someone to believe him. Since could make demands of an individual worker or his mother is afraid to call the school and de- of a county or state agency. In our classification mand to know what was happening, the boy scheme, this would be an instance of self-advo- turns to a youth worker, who accompanies him cacy. However, when the advocate is not a mem- to a meeting with the head of the school. In our ber of a particular victimized group (such as earlier example, although the advocate gets her Latino high school students)—even if the advo- client out of jail, the system is not magically re- cate shares characteristics with the larger group formed. Neither is this school. Nevertheless, one (e.g., is Latino himself)—and is acting on the benefit of advocacy is that individuals, families, group’s behalf, we consider this a case of group or groups who are usually undervalued experi- advocacy. ence being supported and feeling worthy of Jaime Escalante, a teacher-advocate, is one attention. well-known example; his story was told in the Box 13.5 illustrates this surrogate strength. A film Stand and Deliver (Menendez & Musca, woman of modest means tries to find out what 1988). An East Los Angeles math instructor, Es- has happened to her brother-in-law’s welfare calante was finally able to overcome low expec- check. Mentally ill, Barney was hospitalized for tations in his high school to prove that students 13 years before coming to live with June and her who resided in low-income neighborhoods husband. A neighbor relates the incident. Were could learn calculus. From the school system he the narrator to continue in this role or go to the secured the support his class needed to pass na- office without June, he could obtain a signed tional calculus achievement examinations. When form authorizing him to be her representative. the students performed much better than ex- Still, even this informal partnership with June pected of Chicanos, Escalante had to defend highlights three goals of individual advocacy: them against a charge of cheating. In brief, in- influence the decision of the power person, ternal advocacy (in the school) and external ad- support the individual, and teach—leading to vocacy (in the community) were required to pro- self-advocacy. vide students with the same higher education

BOX 13.5 AN ADVOCATE BY REQUEST

Barney’s welfare check failed to arrive; and to have him reinstated, admitting that it was not when June called to find out why, a social the first time a file had been lost. June was con- worker told her Barney was no longer eligible. vinced that had I not been along, dressed in my . . . After June received the same response on respectable gray suit and carrying an empty brief two more calls to the social services bureau, I case, nothing would have happened. “It was be- suggested she go down to the welfare agency cause somebody was there who looked like herself and volunteered to go with her. . . . [W]e somebody, that’s why they treated us like peo- finally got to see a social worker, who informed ple,” she said. “If you come in looking stupid us that since Barney Moseby’s file was missing, like you don’t know anything, then they don’t the social services department had assumed he pay you no mind.” The next month Barney’s was no longer eligible for public assistance. check came on time. When we explained that his situation was the Source: Howell, pp. 180-181 same as before, the worker apologetically agreed USING THE ADVOCACY SPECTRUM 365 opportunities afforded to students living in In either case, the advocate must get to know wealthier areas. each member of the group, understand the In discovering the group nature of a problem, group dynamics as the process unfolds, and be we may start with individuals and end up ad- accountable to the group, which is equally true vocating for a group. A social worker might be in the next situation. Practitioners often work troubled that classmates are teasing a boy in with members of a group who cannot commu- speech therapy about his stuttering and might nicate their concerns easily. Therefore, the ad- talk to his teacher. This same concern, writ large, vocate has to work through ethical issues and might lead that advocate to write to a television authority issues in this regard. When represent- show that pokes fun at a character who stutters. ing inarticulate, perhaps bedridden or confined A worker who has a mentally ill client in jail, as clients, all the various subinterests within the a result not of a crime but of his symptoms, group must be considered; otherwise, only should tend to that person’s needs but can also members who are present and articulate will note other inmates who are clearly ill. The prevail. In addition, interpersonal conflicts and worker can then try to find out what is happen- positive allegiances will also affect group cohe- ing and how to aid such prisoners. Sometimes sion and the ultimate agenda for action. When we work on behalf of people who are scattered members want to organize for self-government and are never seen by each other or the worker. or to fight discrimination or hardship, the advo- This can happen because workers regularly cate must inform the group of potential risks but move beyond an individual’s particular plight should follow the group’s lead. (Wood & Middleman, 1989, p. 22). In the example in Box 13.6, the social worker is moving from Community Advocacy and Action individual to political advocacy with the purpose of helping an invisible group; her primary Community advocacy has many facets. For role remains direct service. instance, Ezell (2001) sees community education Part of an advocate’s role is to ensure that as the best strategy to challenge the status quo maximum benefits are delivered to the greatest and to “alter attitudes and beliefs that support number of clients—not at the expense of the orig- particular policies and practices” (p. 121). Here, inal client’s position but in furtherance of it. though, we discuss the skill of representation Bringing together many persons who have been and the make-it-happen dimension of commu- harmed in the same way or who seek the same nity advocacy. remedy to a common problem helps define the parameters of a problem. Having more people involved increases the availability of informa- JANE ADDAMS AS ROLE MODEL tion and provides documentation of a pattern of Community advocacy often arises from situa- abuse. Evidence that 10 apartment building tentions that dishearten, disadvantage, aggravate, ants are without heat and hot water is more cred- or harm a segment of a community. A classic so- ible than a similar complaint on behalf of one cial work example of advocacy started in 1889 resident. on behalf of a neighborhood in West Side The group may already exist, such as a ten- Chicago (see Box 13.7). Jane Addams settled into ant’s organization, or may form after the advo- a tenement area to “reduce the distance between cate starts with one individual and finds others. the social classes” (Brieland, 1990, p. 134). To-

BOX 13.6 CONCERN ABOUT A SET OF PERSONS AT RISK

Consuella conducts home visits to frail elderly federal agency. Personnel there are interested in people living alone. Several women were Consuella’s local cases, and she, in turn, learns burned recently in cooking accidents because more about regulations. Although she simply their bathrobe sleeves caught fire. She attempts wanted to prevent more injury, in the process of to locate safer nightwear for them, but there is repeating her story she engaged in advocacy and nothing on the market for adults. Curious, she navigated corporate and governmental systems. explores the issue of manufacturers’ obligations She used her direct-service knowledge to help regarding flammable fabrics and is directed to a similarly situated individuals. 366 COMMUNITY PRACTICE SKILLS

BOX 13.7 ALLEY CONDITIONS IMPROVED BY ADVOCACY

We began a systematic investigation of the city Many of the foreign-born women of the ward system of garbage collection . . . and its possi- were much shocked by this abrupt departure ble connection with the death rate in the vari- into the ways of men, and it took a great deal ous wards of the city. . . . Twelve [Woman’s of explanation to convey the idea even remotely Club members] undertook in connection with that if it were a womanly task to go about in ten- the residents, to carefully investigate the condi- ement houses in order to nurse the sick, it might tion of the alleys. During August and September be quite as womanly to go through the same dis- the substantiated reports of violations of the law trict in order to prevent the breeding of so-called sent in from Hull-House to the health depart- “filth diseases.” . . . ment were one thousand and thirty-seven. . . . The careful inspection, combined with other In sheer desperation, the following spring when causes, brought about a great improvement in the city contracts were awarded for the removal the cleanliness and comfort of the neighborhood of garbage, with the backing of two well-known and one happy day, when the death rate of our business men, I put in a bid for the garbage reward was found to have dropped from third to moval of the nineteenth ward. My paper was seventh in the list of city-wards and was so re- thrown out on a technicality but the incident in- ported to our Woman’s Club, the applause duced the mayor to appoint me the garbage in- which followed recorded the genuine sense of spector of the ward. . . . Perhaps our greatest participation in the result, and a public spirit achievement was the discovery of a pavement which had “made good.” eighteen inches under the surface of a narrow Source: Addams (1910) pp. 200-205 street [after the removal of eight inches of garbage]. . . .

gether, she and her neighbors changed condi- 13 children had been killed in a schoolhouse in tions and social policies by tackling a wide ar- a tornado some decades earlier. In a communi- ray of tasks (S. J. Rose, 1999). To initiate reform, tywide situation, while many focus on their pri- they conducted investigations of “factory condi- vate interests, the advocate focuses on preven- tions, housing conditions, truancy, sanitation, ty- tion and other public interest concerns. phoid fever, tuberculosis, cocaine distribution” This section depicts rural and urban commu- (Brieland, 1990, p. 136; Spain, 2001). They repre- nity advocacy activities (Rankin, 2000). Consider sented their community before decision makers. Brookburg (a composite of three actual towns), a country town of 500 in a county of 12,000 res- DEFINITIONS AND ROLES idents. While communitywide advocacy may be Residents can advocate on their own, or non- needed anywhere, what could be accomplished residential advocates can advocate for the com- in a village with a post office; a cemetery; one munity. Certainly, social workers have an obli- gas station; three parks; one combination fire, gation to raise a professional voice on behalf of police, and government hall; two churches; and the unorganized, subgroups, and pressing issues two restaurants? Well, first, the advocate might unique to a community. Collective advocacy is organize events that enhance or sustain the quality covered in other chapters. Our emphasis here is of the community. Even small towns surrounded on what an individual can do to advocate for by farms or ranches have street festivals or fairs and with residents of a given community. Ezell that draw people from neighboring areas. (2001) suggests that this may involve undertak- Money raised can pay for street lights and up- ing an advocacy needs assessment and delineat- keep of parks. Yearly events such as a Halloween ing the decision system (see Chapter 8). Take the parade may draw in rural families. Second, ad- case of LaPlata, Maryland, which had 8 minutes’ vocacy often involves efforts to maintain the sta- warning before a powerful tornado hit. Despite tus quo of a community. Hence, in some areas, four previous tornadoes, the town had no sirens there is advocacy for zoning ordinances, restric- or other early warning system to alert residents. tions on development or for establishing a by- Moreover, no money had materialized to put pass around the town to keep traffic from de- special weather radios in schools, even though stroying the quality of life. If the Brookburg post USING THE ADVOCACY SPECTRUM 367 office were under threat of relocation, an advo- ness interests. Building inspector Jim Delgado, cate could try to keep a place where people may for example, sees himself as having a warrior see each other and connect. If the Brookburg spirit. He has become the “go-to” man, aggres- cemetery were endangered by development, an sively using building and zoning codes as part advocate would explore how to protect the place of a community policing program to get gov- (Perlman, 2000). ernment to work in poor people’s interest. One Third, advocates may demand public access to of 10 children of Puerto Rican immigrants, Del- resources. The village of Brookburg is 10 miles gado experienced dreadful housing firsthand from grocery stores and medical clinics and 50 and has a personal as well as a political com- miles from the nearest city. Some neighborly mitment to cutting through bureaucratic road- volunteer projects can help, but transportation blocks. He earns $51,000 annually but has spent needs might require a service plan and appeals as much as $3,000 per year out of his own pocket to the state government (Warner-Smith & on expenses such as photography and for items Brown, 2002). Fourth, advocates want local offi- such as cell phones that help enforcement but cials to be accountable. Let’s say residents are in- are not in the department budget (Perl, 1999, pp. creasingly afraid because officials have ignored 26-27). Such determination creates local heroes. several unusual incidents. After the beautifica- Even municipal legislators (S. J. Rose, 1999) tion association put up new welcome signs, and managers can serve as community advo- someone destroyed the signs but was never cates so long as they have “an absolute impa- caught. A number of mutilated animals have tience for change” (Loeb, 2000). Michael Di- been found in empty lots and the parks. Yet, Berardinis, a community organizer who was when townspeople call Brookburg’s part-time appointed Philadelphia’s Commissioner for the officials, they feel as if they are starting from Department of Recreation, is described that way scratch each time—that no cumulative record is in social work literature. His background meant being kept. In this case, the advocate could doc- that he brought uncommon commitment to com- ument the incidents, go to see officials, establish munity development and enhanced citizen par- a reward fund for information, call a town meet- ticipation (Perlmutter & Cnaan, 1999). Here is ing, and consider whether to ask for assistance another exemplar. In the 5 years after he was ap- from outside Brookburg. Fifth, advocates may pointed the receiver of a troubled system, David initiate social inclusion campaigns that provide cit- Gilmore transformed public housing in the Dis- izens with justice and dignity. trict of Columbia by being accountable to ten- Urban advocates work on these same five ants. “Besides a deep commitment to poor peo- community advocacy concerns and, in the tra- ple and a fierce desire for reform, he brought to dition of Jane Addams, on housing and neigh- Washington the experience of a lifetime spent in borhood improvement, as they holistically ad- the field of public housing, specializing in dra- dress needs of low-income persons. (Some of matic turnarounds” (Loeb, 2000, p. 4). Among these advocates work for today’s settlement other things, Gilmore convinced gang members houses, under the umbrella of the United Neigh- to become staff members. While community ad- borhood Center Association.) Successful non- vocacy can achieve intangible benefits, credibil- profit activities are one avenue for change. Ad- ity usually comes from discernible gains such as vocates pull together citizens to accomplish the vacancy rate of public housing units going something they have long desired but could not from 17% down to 2%. Bottom-line results that convince officialdom to do. For example, com- improve depleted lives are the ones that count. munity advocates have used the Community Reinvestment Act to save neighborhoods that RELEVANCE TO DIRECT PRACTICE were dying because banks would not loan Practitioners can use their skills to link people money to those hoping to buy houses there. In and assist them in making connections through fact, advocates are responsible for creating that friendships and shared tasks. They can similarly law and monitoring its enforcement, until today encourage participation in the process when a thousands of moderate- and low-income fami- need arises to engage in community interven- lies have obtained reasonably priced mortgages. tion. Mondros and Wilson (1994) make explicit Frontline public-sector advocates can be an- the tie between organizing techniques and direct other force for community change. Of course, practice tasks, stating that a “clinician who only practitioners who truly do their jobs and works with a group of homeless mothers used are fearless about repercussions are embraced by these techniques to help them organize for re- citizens as their advocates—as people who place pairs and police protection in a park where they the community before governmental and busi- frequently took their children. She saw this work 368 COMMUNITY PRACTICE SKILLS as a natural extension of her clinical work with election to vote against a resolution authorizing her group” (p. xvii). Burghardt (1982) has illus- force against Iraq. In this way, Wellstone was trated how intertwined the skills are in clinical like Jeanette Rankin (1880–1973) of Montana, the and macropractice. Bringing various parties to- first woman elected to the U.S. Congress, who gether for a case conference is similar to bring- voted against entry into both world wars. “Well- ing block leaders together for an issue strategy stone’s passion for underdogs and life’s most session. Like a counseling relationship, a com- helpless people was shaped by visits to his munity project has a beginning, a middle, and brother in a mental hospital. . . . He became one an end. of the Senate’s leading advocates for expanding Practitioners can bring people together in nu- federal health-care benefits for mental problems merous ways—block parties, day camps, health and chemical dependency” (Smith & Lopez, fairs, holiday parties for a disadvantaged group, 2002). recycling, and single-issue support groups. At any level of government, someone who Participants in community education/support seeks change through electoral and political group meetings (with topics such as “inconti- party processes is a political advocate. For in- nence” or “giving up the secret of adult children stance, numerous advocates have been active in with AIDS”) will benefit from the privacy of a the campaigns of, among others, Representative living-room setting. Convenience and privacy John Lewis of Georgia, Senator Barbara Mikul- for participants are obviously reasons to meet in ski of Maryland, and Senator Ron Wyden of Ore- a home, but practitioners can also learn some- gon, because the advocates had worked with thing new—for example, about the conditions them on issues before the elected official ran for that families must contend with in their home office. Most policy and political advocates, how- environment and how these conditions can be ever, are not elected officials but citizen advo- modified. This same home meeting format can cates. Increasingly, such advocates not only run be used in other settings, such as shelters, union field operations for campaigns but also lobby halls, women’s circles, social agency lunch- and create databases that can produce vital in- rooms, and with many issues. formation at key moments. Salcido and Manalo Advocacy that happens at the community (2002) involved social work students in state level can have the beneficial effect of bringing electoral campaigns in California through “a different groups together around common val- voter registration drive, an absentee ballot drive, ues. This happened in Washington, D.C., when a student rally/forum, and a ‘get-out-the-vote’ Gallaudet students successfully advocated drive” (p. 55). In addition, initiative campaigns against appointment of yet another hearing pres- and campaigns for third-party candidates afford ident for the university. They wanted a leader great opportunities to gain political advocacy who shared their personal experience. In the experience. United States, we like to see people stand up for At any level of government, someone who themselves. Different income and ethnic groups designs, enacts, defeats, or changes ordinances, bonded, savoring the victory and resulting pride acts, regulations, and other policies is a policy ad- of the Deaf community. We should encourage vocate. Policy advocacy may be undertaken by and celebrate such linkage. an individual such as Michigan nursing home reformer Cathie Wallace of ACTION who made many long drives to her state capitol to meet, in Political and Policy Advocacy one legislative session, with 124 (of 148) legislators. It can also be undertaken by a group such DEFINITIONS AND ROLES as United Senior Action, which pushed success- The public policy or political advocate sounds fully for more advocate representation on the a ringing call for a system change and reiterates Indiana licensing board and convinced the it in the face of predictable opposition. Paul attorney general to file actions against 92 nurs- Wellstone, the late U.S. Senator from Minnesota ing home administrators. Those who excel at who championed many social work issues, il- policy formulation, legislative drafting, policy lustrates this point. He voted his principles briefs and educating the population in key dis- about poverty or peace and was willing to be a tricts have been called policy “entrepreneurs” lone dissenter even if the vote was 99 to 1. Prairie (Mintrom & Vergari, 1996; Sundet & Kelly, 2002). populist Wellstone started out as a tireless, tena- In fact, advocates have been so effective at get- cious advocate for rural residents, ordinary peo- ting members or constituents to send e-mails ple, and “little fellers” and fought for causes as (117 million e-mails in 2001) that, currently, a political science professor. Just before he died congressional representatives seldom read such in a plane crash in 2002, Wellstone risked his re- messages (Congress Online Project, 2002, press USING THE ADVOCACY SPECTRUM 369 release, para 3). Policy advocates can prevail de- that epitomizes the problem or the solution spite unfavorable political odds. For example, (Ross, 1993). Social workers work in many gov- under a Republican administration, policy ad- ernmental jobs that involve full-time advocacy, vocates were successful in convincing Congress including county commissions, state staff posi- to restore funding to community medical cen- tions, or even as legislative directors in the U.S. ters. Social work advocates can still draw on ide- Senate. Some participate in media and political alism and emotionalism in decision makers. Pol- campaigns that involve field organizing.3 Social icy successes are common; in fact, research on workers can enter the policymaking process the congressional agenda reveals that liberalism part-time and succeed (Avner, 2002; Dear & is thriving there, if not at the ballot box (Berry, Patti, 1981; Soifer, 1998). Richan (1996) and 1999). Brueggemann (2002, Chapter 13) provide guid- These policy advocacy and political advocacy ance for beginners in social policy advocacy. roles can overlap and can involve pressure tactics, as in the case of a social work professor, students, and other advocates who forced a gover- LEGISLATIVE ADVOCACY nor to reverse an action he had taken that Legislative advocacy usually involves propos- harmed people with disabilities (Soifer & Singer, ing or stopping a particular piece of legislation 1999). The Irish say, “You can accomplish more (Pertschuk, 1986). The lobbying part of that ac- with a kind word and a shillelagh, than you can tivity means asking decision makers to help in with just a kind word.” Policy and political ad- the effort or to make some commitment, usually vocates influence decision makers through their in exchange for votes or other support. “Multi- constituents and persuasion tactics (e.g., advo- faceted activity is needed to pass a law that cacy advertising, field trips to see conditions), might rectify a political ill,” says McFarland knowing that politicians and civil servants may (1984, p. 108) about Common Cause. This citizen be as concerned with their personal images as organization uses publicity (including publicity with issues. on legislators’ positions), research, litigation, Political/policy advocacy in the legislative, campaigns for public commitments, and a field regulatory, administrative, and judicial arenas to organization that helps generate mail, arrange achieve social and political welfare can take meetings between members and elected officials, many forms. For instance, as noted in Box 13.6, and network with friends of elected officials Consuella’s search led her to a federal regulatory (1984, Chapter 6). Lappé and Du Bois (1994) re- agency. Like Consuella, direct service practi- mind us that it is “one thing to get policy passed tioners sometimes drift into political action; in- and quite another to see it happen” (p. 181). In frequently, they enter electoral politics. We of- their view, citizen lobbying means “citizens ten represent our agencies in coalitions and may learning how to influence decision making and be asked to bring a busload of supporters to a hold others accountable” (p. 179). Despite many rally in the state capital. We may also be asked complexities in the political process, there are to find individuals or families in a certain cate- victories like the one described in Box 13.8. gory who are willing to appear at governmental For additional examples and terminology, see hearings, as both the media and decision mak- Haynes and Mickelson (2002) and web sites: ers often seek an individual, family, or situation www.moveon.org and www.fcnl.org.

BOX 13.8 POLICY CHANGES THROUGH POLITICAL ADVOCACY

Today, lobbying efforts may involve e-mails, been blocked from adding their health plan to a faxes, manufactured letters, and postcards bill. Yet, Majority Leader Trent Lott slipped a (Schneider & Lester, 2001). As the Congressional provision to extend duck hunting season in Mis- Quarterly Weekly points out, the Internet “en- sissippi into that same bill. Livid, the advocates ables people with limited physical mobility to started a ducks versus disability protest and soon mount a fast, agile lobbying campaign.” A few Republican lawmakers were flooded with faxes years ago, such advocates helped expand health and telephone messages. “Over and over, peo- care for disabled workers. They contributed to a ple quacked into the receiver in a coordinated successful lobbying effort, in part, by utilizing chorus of duck calls” (Kirchhoff, 1999, p. 2762). e-mail to mobilize their allies. The advocates had 370 COMMUNITY PRACTICE SKILLS

BUILDING CREDIBILITY PROTECTING CLIENTS AND CITIZENS We cannot assume credibility because we are It is unethical and unwise to thrust already professionals, but our expertise is welcomed. For vulnerable individuals into public view without instance, one day “DeAnn” was on the telephone first having their trust and permission, because with a colleague critiquing a draft of a proposed they are likely to say anything under stress. We state bill on end-of-life directives. By the next must advise clients of the risks inherent in any day, she had been invited to join a lobbying type of advocacy, including testifying; such risks coalition that was ultimately successful in re- could include retaliation, reduction of benefits, drafting the bill. or the anger of family members. Social workers Local political activists stress that familiarity can also protect witnesses by accompanying breeds respect. One social worker described his them and handling the technical aspects of tes- early activist days this way: “I recall going tifying allowing them to simply tell their stories, down to the election board trying to get some without intimidation or exaggeration. Both ex- voter information and being treated [like] ‘who pert and human-interest testimony are often pre- do you think you are?’ ” He gained experience pared for the same hearing. Witnesses should in political work, making presentations at hear- dictate or write their own statements, letting the ings and sharing information with elected offi- advocate type and smooth out the final manu- cials. He found that decision makers want help script. The facts must be within the grasp of the in thinking things through: “You can come in witness for easy oral recitation. and sound off . . . but if you never get beyond that, then people tune you out. It’s the business of bringing information to the people who Systems Advocacy and Change make decisions. . . . I can recall while I was there in Omaha, going into City Council sessions, not Institutional change implies “widespread and even asking to be on the agenda and having the basic alteration” despite strong resistance president look up and say, Mr. Evans, do you (Brager, 1967, p. 61). Think of the long fight to have anything you want to say on this? By that overcome tobacco interests. Many systems affect time I had been there enough and spoken our clients and society in general, and we want to be enough, he felt I probably had something to able to influence them. Individual, state, and na- say.”4 tional economic investment is one example of an effective tool. For instance, socially responsible USING CLIENTS AS WITNESSES (domestic) investments can help develop grass- Of all the actors in the political arena, it is the roots, community-oriented, and self-help orga- direct service practitioner who is most likely to nizations. Their power as a source of leverage provide examples of suffering that has been or was shown in the campaign of the 1980s spear- will be caused by cutbacks or policy decisions or headed by Randall Robinson to end apartheid to find examples of overcoming or successfully by withholding U.S. investment from South “coping with barriers” (Chapin, 1995, p. 511). Africa. As part of the advocacy spectrum, we Finding clear-cut examples quickly can be sur- have already discussed the political system. But prisingly hard to do. Few of us can describe our the average American is also affected by the in- personal situations in a concise and intriguing surance system, the medical system, and the me- manner, and those we serve are no exception. dia as an institution (Gitlin, 1980). Failed public Many might be nontelegenic or unconvincing at and private systems generate fights for institu- hearings. Being able to identify an appropriate tional change. problem exemplar and to prepare him or her to ad- Many challenges have been made to various dress the media or a decision-making body is a societal systems, even overarching systems such vital task for caseworkers and frontline practi- as capitalism and patriarchy, and challenges tioners. Advocates at the national and state lev- continue to be made nationally and internation- els make many calls to local offices to obtain ally (Fisher & Shragge, 2000; Goldberg, 1991). anecdotes that make the news, appear in While a given community or neighborhood speeches, and humanize funding appeals. If might be organized in a year or two, major chal- someone’s privacy is protected with a pseudo- lenges to the social order play out over decades. nym during the initial publicity, advocates must Many recent studies of large-scale movements be able to prove the person exists, has the prob- employ a resource mobilization framework (Mc- lem in question, and actually will be affected Carthy & Zald, 1987) that emphasizes social positively or negatively. Reporters check out movement organizations rather than individu- such stories. als. However, individual actions count, along USING THE ADVOCACY SPECTRUM 371 with group and collective action. Some exam- Large-scale social change endeavors often ples: Elizabeth Cady Stanton and Susan B. An- have tendrils reaching into community advo- thony toiled to abolish slavery, restrict liquor, cacy, political advocacy, and systems change. and obtain property, marriage, and voting rights The civil rights and women’s movements are for women; “Granny D.” Haddock walked 3,200 good examples (Hahn, 1994, 114; B. Ryan, 1992). miles at age 90 to crusade for clean money cam- After working for years to achieve political paign reform; Mother Jones started organizing change through suffrage and the Equal Rights coal miners at age 47 and continued for 40 years Amendment (a failed constitutional amend- (Gilbert, 1993; Jones, 1980). George Wiley gave ment), women turned back to their communities up a career as a celebrated chemistry professor and outward to larger systems, seeking other at age 33 to fight for the down-and-out in civil types of equality—in jobs, in education, in in- rights and welfare rights struggles (Kotz & Kotz, surance rates, and even public sanction regard- 1977). James Chaney, Andrew Goodman, and ing the sharing of domestic chores. After Michael Schwerner gave their lives in the Mis- winning important gains in the judicial and leg- sissippi Freedom Summer of 1964. The first so- islative areas for years, African Americans have cial workers, and early ones such as Harry Hop- experienced community setbacks tied to street kins and Frances Perkins, were involved in many crime and institutional setbacks tied to stan- progressive battles for change, such as workers’ dardized testing. In short, progress can be un- rights, honest government, and Social Security. dercut in insidious ways or occur in unexpected These leaders united others. ways; both the attack and the defense interweave Most people never achieve national recogni- multiple advocacy approaches. Yet victories con- tion, but they still derive benefit from participa- tinue. The South has elected numerous African tion in actions to express their values. Kansas’s Americans to public office. Such progressive vic- farmers and other ordinary citizens tried to tories are not unique to the U.S. For instance, change banking, monetary, and trade institu- France has changed its political representation tions 100 years ago. Writing about these pop- system, requiring females to receive half of the ulists, Goodwyn (1978) captures what is impor- candidacy slots, a reform that should dramati- tant about social movements and change cally increase the number of female elected endeavors to the rural or urban people who are officials. part of them (Box 13.9). These words describe the aims of many of today’s movements and em- REVELANCE TO DIRECT PRACTICE bryo political parties. Today’s protestors resist The interconnections between various types the latest version of a giant industrial engine. of advocacy are clear. Past struggles influence The International Monetary Fund and the World much about our lives today—our work, our Bank, debtors and donors, have been brought to legacy. Our professional work frequently per- public attention. Globalization and extreme tains to rights and programs that were won ear- poverty have become part of our public dis- lier through systems reform, which indicates course because of the insistence of advocates for that there truly is give in the system. In response systems change. to events such as elections, we often feel under

BOX 13.9 THE HOPE OF CONCERTED ACTION

[Populism] was, first and most centrally, a co- couraged and enhanced by the sheer drama and operative movement that imparted a sense of power of their massive parades, their huge sum- self-worth to individual people and provided mer encampments, their far-flung lecturing sys- them with the instruments of self-education tem. . . . Populism was, at bottom, a movement about the world they lived in. The movement of ordinary Americans to gain control over their gave them hope—a shared hope—that they were own lives and futures, a massive democratic ef- not impersonal victims of a gigantic industrial fort to gain that most central component of hu- engine ruled by others but that they were, in- man freedom—dignity. stead, people who could perform specific polit- Source: Goodwyn (1978), pp. 196-197 ical acts of self-determination. . . . the men and women of the agrarian movement [were] en- 372 COMMUNITY PRACTICE SKILLS siege from those opposed to what we value. Per- discusses advocacy obligations, nuances in- haps, though, reading history, we can more ap- volved, and (often overlapping) roles. What propriately say to ourselves, “Let us celebrate” Henderson and Thomas (1987) say about neigh- because so much has been won by and for social borhood work is true as well for client advocacy: work. If there is ever any question as to whether “The worker often has to handle [varied] situa- we have allies or as to the existence of a flour- tions within a short space of time, and he or she ishing spectrum in action, all we need do is find is therefore always working with different audi- a national list of advocacy groups (Walls, 1993). ences and constituencies from varied role positions” (p. 19). Community social caseworker, clinician, CLIENT ADVOCATE AND OTHER home visitor, therapist, job coach, life coach, and PRACTICE ROLES group worker are some of the roles in micro- Advocacy and Action Roles practice. Roles in macropractice are, if anything, even more wide-ranging—including paid roles such as community liaison, program planner, To accomplish the important work of service community educator, issue director, community user advocacy, the professional’s work extends organizer, and unpaid roles such as communi- from supportive personal advocacy to show- tywide advisory group member. Macropractice downs to help clients. Box 13.10 reminds us that roles may include such work as identifying, client and community advocacy can transpire in training, and utilizing indigenous grassroots ways other than heated controversy. For exam- leadership; developing and coordinating a pro- ple, as advocates attempt to persuade powerful gram to reintegrate clients into the community people whose decisions affect clients, Schneider following hospitalization; and fund-raising. & Lester (2001) recommend that they use these Those who advocate as part of their work soon practice principles: realize that the advocacy realm is complex and requires cognizance of the possibilities and pit- 1. Identify issues and set goals falls (Gibelman & Kraft, 1996). 2. Get the facts 3. Plan strategies and tactics Job Descriptions and Advocacy Postures 4. Supply leadership 5. Get to know decision makers and their staff Some workers who undertake an advocacy 6. Broaden base of support task are hired for that purpose as client advocates, lobbyists, or change agents, while others 7. Be persistent have job descriptions that emphasize service 8. Evaluate advocacy effort (Chapter 5). provision or counseling. In a clinical position, however, the need or the desire for advocacy This section seeks to clarify the terminology may still crop up. As one social worker com- and challenges surrounding client advocacy. It mented on a computer bulletin board, while dis-

BOX 13.10 NOT A RANCOROUS ROLE

Basic tenets of effective advocacy are sensitiv- thoughtfulness and fairness. This is important be- ity, caring and a commitment to other persons cause the objective of advocacy is to end with who, either out of incapacity or inexperience, favorable, beneficial changes (behavioral, envi- cannot resolve a problem without assistance ronmental, program or policy changes and prob- from others. . . . Advocacy involves confronting lem solutions) which can be understood and opposition, but seldom should result in hostility. upheld. An effective advocate uses an honest, construc- Source: From “Advocacy for Nursing Home Reform” (p. 28), tive and steadfast approach. An opponent may by Elma Holder, in G. L. Maddox (Ed.), Encyclopedia of Ag- be intensely challenged or displeased by an ad- ing (2nd ed.), 1995, New York: Springer Publishing Company. Copyright 1995 Springer Publishing Inc. Used with permis- vocate but ultimately should be able to recog- sion. nize, and perhaps acknowledge the advocate’s USING THE ADVOCACY SPECTRUM 373 cussing a mistreated patient, “I was developing Others in human services, such as patient ad- a pretty strong hankering to do some serious advocates in hospitals, also creatively combine the vocacy work here, even though it is not my job seemingly incompatible roles of ombudsperson as a clinician.” Hybrid jobs that combine service and advocate. The important thing is to have ad- and advocacy, advocacy and complaint han- equate authority, since the job involves ques- dling, advocacy and organizing, or administra- tioning professionals about their actions or in- tion and lobbying are common. As social work- actions and ruffling feathers. ers, we need not always act as advocates ourselves if we can steer the person to an effec- INTERNAL AND EXTERNAL ADVOCATES tive complaint handler, such as a fraud depart- Definitions. Advocacy can ensue inside or out- ment or media outlet specializing in solving side the agency. An internal advocate makes complaints. changes for the client through vigilance and intervention inside the agency, using decision- ADVOCATE AND OMBUDSPERSON making channels, where possible, and informal Definitions. The advocacy role and the om- influence systems. Schneider and Lester (2001) budsperson role are frequently confused. An ad- believe, “Internal advocates can be very effective vocate pushes a point of view or states a politi- in carrying out their role of representing the cal philosophy. An ombudsperson5 often serves as needs of those who cannot speak out or who do a go-between, an interpreter, and a problem not have natural advocates within a service de- solver, untangling various points of view. How- livery system” (p. 307). One advocate says: ever, an ombudsperson is not a conventional mediator or alternative dispute resolution player We can do things systemically to help an in- but rather an effective criticizer who tries to “set dividual or group of clients. I’ve done this on right” the government system that is “out of the clinical and administrative levels—bringing gear” (K. C. Davis, 1975, p. 286). An advocate of- about equity that impacts a particular client. . . . ten works outside government, while an om- I’ve worked in instances where it’s my own budsperson frequently works as a grievance system that’s decided to interpret a regulation handler and red-tape cutter for government or policy in a rigid manner that constricts the agencies. Some states, universities, and newspa- client’s ability to have an opportunity for pers have hired ombudspersons who, although change or growth . . . you have to begin with on their payrolls, work for citizens/consumers, your own . . . system. The success from that fre- not management. Tower (1994) argues that quently gives us data, information, and even client-centered social service agencies should self-confidence to move outside of an organi- similarly “establish ombudsmen or other client zation.6 assistance programs to resolve conflicts between the agency and its consumers” (p. 196). Mounting a major change effort in a system that The ombudsperson’s powers are “to investi- serves as one’s employer is obviously a chal- gate, criticize, recommend, and publicize” (K. C. lenge. Usually one can rely on some colleagues Davis, 1975, p. 286). Such ombudspersons often to help, but it may require “keeping community have license to constructively critique their em- groups informed of agency developments that ployers, even publicly, although they usually go against their community interests (Galper, function quietly, providing information, referral, 1975, p. 205). and complaint resolution. Advocates vary in Internal advocacy is pertinent for those who their license to criticize. work for large city, county, or state agencies. There is a 50-state system of paid long-term- One state child welfare administrator sees inter- care ombudspersons and volunteer assistants; nal advocacy and working the system effectively state units are usually located in departments as synonymous. of aging. To ensure independence, none are “Make the system work for you. At this level employed by the institutions they monitor. As of administration, which is the macro level, would be expected, the ombudspersons act as in- you’re not doing anything different in terms of termediaries and resolve disputes between facili- skills. The same insight you needed to under- ties and residents. Their activities include re- stand a family system, you need to understand porting violations. They help the facilities this system. In the same way you want to make too—for example, to get paid when a resident’s changes in that family, well, I want to make finances are in disarray. Social workers and these changes in this system. So I need to look at it and ombudspersons are resources for each other understand how it works, so I can make the (Netting, Huber, Paton, & Kautz, 1995, p. 355). change that I want to happen.” 7 Such systems 374 COMMUNITY PRACTICE SKILLS have to work for the advocate and for those be- licensing agency, only to be told to keep quiet ing served. Otherwise, workers in a system such and not risk losing a placement. as foster care will soon be targets of advocacy by Advocacy involves sizing up situations. We workers outside it (Spolar, 1991). need to determine if our supervisor views service Ezell (2001) explains that external advocacy oc- and advocacy as compatible (Hardina, 1995). We curs when change is sought in agencies other want to know what language is most acceptable— than one’s agency of employment” (p. 26). An is representation or negotiation preferred over ad- external advocate, either a volunteer or someone vocacy? Since managers also act as advocates, so- paid by an outside source, tries to hold an agency cial workers new to an agency might observe their accountable by using different tactics than an in- style as they go about their work—“representing ternal advocate would use. How might a social the agency, expressing management’s viewpoint worker become an external advocate? The par- to staff and vice versa, lobbying at the local, state, ent of a learning-disabled child assigned to a and national level, testifying, and establishing special education class might come to a child contact with legislators and government admin- welfare worker, employed outside the school istrators” (Menefee & Thompson, 1994, p. 18). system, desiring a due process hearing. A food This may reveal agency traditions or norms re- stamp recipient wanting to appeal a reduction in garding internal and external advocacy. aid might ask an advocate employed not in the More than supervisors’ temperaments, the public benefits office but in the community for organizational culture may dictate constraints. assistance. Public schools and the food stamp Tower (1994) urges administrators who care programs have rules that advocates can use to about the clientele to “support and enhance the (a) help individuals and (b) hold the agencies re- advocacy efforts of their frontline workers. After sponsible for these programs accountable. Agen- all, they are the ones most acutely aware of the cies must comply with their own regulations and client’s unmet needs. It is likely that the main rea- rules, as well as with rulings on court cases that son that more practitioners are not currently in- guarantee certain rights. volved in consumer movements is fear of repercussion, primarily from their employers” (p. 196). Realistically, certain positions constrain Complexities. We are, with a few exceptions, needed advocacy. Even though a particular em- expected to direct our advocacy attention to sit- ployee assistance program may be improving uations outside the agency. A social worker try- employee productivity and thus is on good ing to obtain health care for the homeless is ex- terms with employers, a consultant may hesitate pected to do external battle on behalf of the to advocate with them about the causes of job homeless with various health bureaucracies. stress problems (Ramanathan, 1992). Examples Similarly, the professional working with a bat- can also be found in correction systems, where tered woman’s shelter is expected to be an ex- social workers must advocate for inmates and ternal advocate with the police concerning pro- staff but where complete allegiance to either in- tective orders. Even so, some problems may also mates or the institution may be naive (Severson, be internal, especially in key government agen- 1994). We must think about our auspices and cies. In any instrumental organization, we will weigh the pluses and minuses of our particular be asked to intervene in-house on behalf of those slot or job requirements for success in advocacy. working elsewhere.

Organizational culture. Within the first weeks Views of Empowerment and Advocacy on a job, it is important to figure out who is likely to support or resist action taken internally or ex- EMPOWERMENT AS A JOINT PROCESS WITH ternally. A supervisor who encourages pulling SERVICE CONSUMERS out all the stops externally may not want em- Definitions. Employed early on by social work- ployees to rock the boat on internal issues. In ers such as Solomon (1976), the term empower- contrast, a supervisor may encourage testing ment is used to describe both the process of get- and prodding the internal bureaucracy but may ting stronger and the result. As Lee (1994) says, be wary and cautious about dealing with the me- “Empowerment is both the journey and the des- dia, city hall, or any other external institution. A tination” (p. 207). One robust definition of em- hospital discharge planner who is positioned to powerment, provided by Simon (1990), views it spot problems in places where patients are be- “as a series of attacks on subordination of every ing sent may want to report these problems to a description—psychic, physical, cultural, sexual, USING THE ADVOCACY SPECTRUM 375 legal, political, economic, and technological” (p. give them an address, make a phone call, track 28). Critical here is the notion of people devel- down a check, do whatever is necessary, but we oping and using skills to get needed resources try, always, to notify the people we assist about or to influence decisions affecting their lives whom we are calling, what the most useful tele- (Gutierrez, 1990). Empowerment should bring phone number is, how they might do the same about mutual responsibility, but this will not thing for themselves, and what to do if they do happen without genuine listening and openness not get help. on the part of the social worker (S. M. Rose, 2000; Sometimes, too, it is necessary for my staff to Weaver, 2000). intervene to rescue individuals from becoming Many interventive tools are used to enhance victims of the system. We recognize that it takes client empowerment. Vehicles differ as we work a mass effort by many people to make systems with clients in various social categories and in work better, but we do not . . . turn every prob- each case. Lee (1994) gives an example of a lem with the bureaucracy into a cause. Never- mother with AIDS who empowered herself by theless, we look for patterns in this work with writing a journal (at the worker’s suggestion) constituents and for areas in which it is of mu- that she could share with her children and leave tual advantage to organize a lobbying and ad- as a legacy (p. 206). vocacy force rather than just to give help. (p. Ackerson, Burson, Harrison, and Martin 216) (1995) studied the meanings of empowerment to clinicians and found that they usually thought Advocacy is appropriate in some situations, of it in conjunction with enablement and self- empowerment in others.8 Wood and Middleman determination—useful on a personal level when (1989) make an interesting point in regard to ob- clients “feel they are not in control of their lives” taining benefits for an entitled client: “We value (p. 10). This is consistent with the previous ex- the positive experience which people can have ample of the mother with AIDS. However, sev- as they work together and take action in their eral of the social workers interviewed had not own behalf, even if they do not succeed. . . . But found it easy to engage in empowerment as a when [rights] are at stake, we do not value the joint process with clients due to perceived client psychological experience above task accom- limitations, setting or program constraints, and plishment. . . . we believe that the positive feel- control (even liability) issues (p. 8). Those with ings associated with accordance of one’s rights mentally ill clients were most conflicted. A num- are more real and more lasting, irrespective of ber of the social workers interviewed did not the extent to which one has obtained it through associate empowerment with groups, social sys- one’s own efforts” (p. 145). Pressing needs tems, and larger processes, but some were con- may not wait for empowerment, and the social scious of tensions surrounding empowerment worker will have to make this judgment call. For and paternalism (p. 11). instance, one could still do advocacy on behalf Yet, empowerment is equally relevant at the of involuntary clients who resist mutuality and community level. There, many people must empowerment measures. Not every client can be come to envision what could be. The catalyst empowered; clients include babies and brain- may be a grassroots group, agency, church, damaged or comatose patients. Nor can every school, or government program (Itzhaky & York, client be empowered by every experience. 2002; Krajewski & Matkin, 1996). We are just Within an advocacy framework, there are many beginning to analyze which characteristics of roles still to be played. Lawyers argue on behalf community settings are empowering (Maton & of the families of people killed or people unable Salem, 1995). to speak for themselves due to accidents. Support groups may be empowered by advo- EMPOWERMENT AS A JOINT PROCESS cating for one of their own. Box 13.11 relates the WITH ADVOCACY success of a worldwide online mental illness dis- As Messinger (1982), a social worker and city cussion group whose members became advo- official, describes the ways in which she pro- cates for a delusional woman, whom they did vides constituent services, she pinpoints indi- not even know personally, who had attempted vidual advocacy, then empowerment, then to pay for coffee with a quarter and a packet of community advocacy: cocoa. Few people participating in support groups have training in advocacy. However, ex- Many people . . . [contact a] politician because perience teaches support group members, who they need something done. . . . I or my staff . . . are willing to go public, to carefully formulate 376 COMMUNITY PRACTICE SKILLS

BOX 13.11 ADVOCACY AND EMPOWERMENT VIA INTERNET

The schizophrenia discussion group (SCHIZOPH) I figure if everyone sends the money and a is an open, unmoderated group composed of ap- letter, it would make quite a statement, don’t proximately 250 individuals at any given point you? in time. They come from all over the world and their main interest is in discussing about issues Yes, I think we should send letters and $.79 related to severe mental illnesses, in particular to the restaurant and a copy of the letters to schizophrenia. The members of this forum are the police. consumers, parents, and professionals from various disciplines . . . If you call the TV station, you may be able It all started with a simple posting by one to find out the name of the restaurant. How- member of the group to the listserv. ever, it might have a greater impact to send the 79 cents plus letters to the TV station Are you familiar with the 44-year-old rather than the restaurant, anyway!!! woman with schizophrenia who has broken into David Letterman’s house on more than I SECOND THAT MOTION!!!!! one occasion, and had delusions that she was his wife? On Thursday, 20th of March 1997, less than Well, it seems this same woman had a cup a week after the first posting of the incident, the of coffee in a diner in Fon Du Lac, Wiscon- group got the news that someone was listening sin yesterday. She tried to pay her 79-cent to their voice. bill with a quarter and a package of instant That evening the WBAY news carried the hot cocoa mix. The diner called the police, whole story explaining what had occurred and and they arrested her. had interviews with psychiatrists and others in- She refused to have her mug shot taken volved. The group felt that they had made their and fingerprints taken because she believes point and affected the community. that the government can eliminate her from the human race if they are allowed to take The arrest of a woman in North Fond Du Lac these things from her. She is being held in last week touched a nerve nationwide . . . the city jail until she consents to the pho- Action 2 News has since received numerous tographs and fingerprints. letters containing 79 cents—the cost of the Pretty big deal over a cup of coffee. I’d coffee—as well as e-mail. say. . . . All expressed dismay that someone with This posting generated many responses from the a mental illness was arrested for not paying for group. a cup of coffee. (WBAY News) The judge in the case decided that the 17 days What’s the name of the restaurant? I’ll send the person served in jail was adequate punish- them their money with a (nice) letter at- ment and ordered her release. The members of tached. SCHIZOPH were euphoric about the success of their campaign. I certainly would write a letter and send the rest of the bill. How much was it? Source: From “The 79-Cent Campaign: The Use of On-Line Mailing Lists for Electronic Advocacy” (pp. 75–79), by G. M. Menon, 2000, Journal of Community Practice, 8(3), Copyright Hi. Thanks for your words of support and en- 2000 by Journal of Community Practice. Used with permis- couragement. The bill was only 79 cents, but sion.

their thoughts. Here is one illustration. A mem- statement might be “This victory on behalf of a ber of a support group learns to say to outsiders: mentally ill person who was jailed after not pay- “This [cruel depiction, promising reform, etc.] ing properly for a cup of coffee affects all of us affects my [friend, family, etc.] this way [adds to with this disease by showing that we can act to distress, gives us hope for our other child, etc.].” help each other and challenge the rigidities of To use our example in Box 13.11, an appropriate society.” USING THE ADVOCACY SPECTRUM 377

BEST INTERESTS VERSUS STATED WISHES OF CLIENT the consequences if the action fails. They insist Professional interpretations. Lawyers and social that the roles of broker and mediator must be workers agree that advocacy requires being in tried first (p. 142; see also Kolb, 1994; Parsons, tune with the desires of those requesting advo- 1991). On the other hand, Patti and Resnick cacy. Differences between professionals arise (1972) urge workers who want to change their when the lawyer seizes on the currently stated agencies to consider both collaborative and ad- wishes of the client, while the social worker be- versarial strategies, depending on circum- lieves that the government has an obligation to stances. One consideration should be whether or protect the young, helpless, or incompetent. not the target of change is “rational, open to new Consider the case of a 10-year-old boy (an in- ideas, and acting in good faith” (Patti & Resnick, voluntary client) who was physically abused by p. 224). We must strategize with colleagues to his parents and removed from their custody. De- decide whether a combative or a facilitative cisions are being made about his future. The boy stance will be most productive for each situation. says he definitely wants to go home. Lawyers for the child (or his family) will do all they can to get the judge to honor his request. Social work- The Legitimation of Advocacy ers (from the agency acting as his guardian) might wonder if he realizes that other options Advocacy for various population groups has may be preferable, even though their unfamil- been institutionalized by government through a iarity makes them a frightening choice. number of acts—Older Americans, Rehabilita- Compared with a lawyer, a social worker tion, Americans with Disabilities, and so on. The working in programs such as family preserva- advocacy agenda for such groups includes rep- tion, may find it less clear whether the client is resentation but also protection of citizen and hu- the child or the family and whether ultimate al- man rights, public awareness, and public policy legiance is to the child, the agency, or society as endeavors. This valuable work is carried out by a whole. Attorneys find this discomforting. institutions or offices such as the Legal Services Those who urge self-advocacy by clients or work Corporation (federal) and the Office of the Pub- with people who have disabilities sometimes lic Advocate (New Jersey), as well as through warn against the “best interests” approach programs or advocacy systems such as the Pro- (Moxley & Freddolino, 1994, p. 99). To ascertain tection and Advocacy Systems (P&As) for the children’s wishes and desires, guardian ad litem Developmentally Disabled, the Client Assistance programs and court-appointed special advo- Project (CAPs) in vocational rehabilitation, and cates (CASA) programs provide the child with a Protection and Advocacy for Individuals with personal advocate and friend (Courter, 1995). Mental Illness (PAIMI) These are congression- The case of the senior citizen who wants to be ally mandated, legally based agencies. For more left alone may sharpen these issues. Suppose information on this important representation, neighbors report that a 75-year-old recluse is access, and assistance resource, see the Web site feeding herself and 11 dogs on a meager income of the National Association of Protection and and that several rooms of her house are filled Advocacy Systems, Inc. (http://www.protection with waste. The health department and social andadvocacy.com). services start to intervene when the woman asks for help to stay in her home with her pets. The We are a federally funded program. If you lawyer will insist that she meet all city and hu- have a psychiatric disability and feel you are mane society regulations but will defend her being abused, neglected or denied your legal right to live as she chooses and will fight insti- rights, we can help you secure the rights and tutionalization. The social worker will think services to which you are entitled . . . We are about resources such as homemaker service, SSI, not psychiatrists, psychologists or social work- and possible guardianship. Coordination be- ers. We are not a government agency. We are tween the two professions would result in the advocates and lawyers who can work for you best advocacy in such situations. . . . Just call us on the phone and let us know if you, or someone you know, have been pre- CONCILIATORY VERSUS ADVERSARIAL STRATEGIES vented from getting appropriate services, ben- A second issue involves how long to cooper- efits, or treatment because of fear, discrimi- ate, coerce, or compromise before becoming ad- nation, abuse, neglect, or lack of information versarial. Wood and Middleman (1989) warn about individual rights. (Protection and Advo- against escalating too soon on behalf of power- cacy for Individuals with Mental Illness, n.d.) less clients, who, unlike the worker, will suffer 378 COMMUNITY PRACTICE SKILLS

Employees in such systems are advocates for ness” ( Jansson, 1990, p. 201) with a solid com- a class of people who seek full community mem- mand of the facts can be compelling. bership, not traditional client advocates who Rules of thumb for persuading others are as counsel or see clients on a regular basis. Besides follows: helping with their information clearinghouse function, these advocates may focus on revised Know what you want. research about the population, organizational in- Know the facts and have them available. terventions, or work with nonprofit organiza- Understand your source of power. tions statewide and client organizations such as Rehearse. the National Alliance for the Mentally Ill (Rapp, Dress conventionally and comfortably. Shera, & Kisthardt, 1993, p. 728). Such workers Use clear, simple, graphic images. may think of themselves as programmatic ad- Appeal to emotions and logic. vocates, government or systems advocates, po- Make eye contact (or be similarly effective litical advocates, or issue-oriented advocates. In in written or e-advocacy). bringing about reforms leading to “greater consumer involvement in other spheres of systems change,” for example, they may take action such REPRESENTATION as getting the mentally disabled on planning As societal transactions grow increasingly boards and councils that oversee their own pro- complex, it becomes more difficult for individu- grams (Segal, Silverman, & Temkin, 1993, p. 710). als to have the knowledge and capacity to conduct all of their affairs on their own behalf. KEY ADVOCACY SKILLS Consequently, most of us need an experienced person to lead us through certain areas. Just as This final section highlights four skills used in we turn to instructors to teach us first aid or how advocacy processes and summarizes practice to drive a car, others request our help to obtain wisdom that should be useful to those interested public housing, credit counseling, or job protec- in improving their performance as advocates. tion during pregnancy. When one’s house, insurance, or public benefits are involved, individuals and families can be downright panicky Basic Skills about their circumstances. Mr. Ayala, an 83- year-old Hispanic man, responded this way to a PERSUASION letter from Social Security accusing him of cash- The process of social influence has been stud- ing a check he was not due, “It embarrasses me ied in many fields interested in human behavior that they think I have done this. It will embar- (Cialdini, 2001; Simons, 1995). Persuasion is a rass me greatly if they tell the grocery store about key interpersonal skill used in both micro and this. Sometimes I cannot sleep wondering how I macro interchanges. It involves promoting, mar- am going to resolve this. They asked me to come keting, working for favorable interpretations for to the agency and they told me they would send a client or a cause, and changing minds (Mon- an investigator to check everything in my house. dros & Wilson, 1994). Persuasion is part of many What will they do with me? Not having anyone practice situations, as for example, during pro- to defend me or listen to me I feel defenseless gram development, case conferences, discharge before the government and educated people” planning, and many others. It is a pivotal skill (Anzaldua, Reed-Sanders, Wrinkle, & Gibson, in policy situations, which require knowing the 1988, p. 109). pressure points and how to use them (Flynn, Representation begins when one person asks 1985). Persuasion can take many forms; an ad- another, the second person agrees to become a vocate may win a public argument by using a spokesperson, and the two of them define the dramatic story that can “unify and energize com- nature of their relationship. To represent some- munity and reinforce values and inspire collec- one is to take that person’s view (or to work out tive action” (Felkins, 2002, p. 50). a meeting of the minds together) while being As Ezell (2001) states, “Many times the success forthright about chances, prospects, and when of advocacy is reduced to one’s ability to per- nothing can be done. Adeptness is required in suade another person in a certain way [using] communication, finding out the client’s real logic, emotion, or values” (p. 184). In addition, wants and needs—not our picture of them—and having personal persuasiveness (Burghardt, educating and motivating the client to assist in 1982) and projecting “personal authoritative- the process. USING THE ADVOCACY SPECTRUM 379

Rules of thumb for representation include the how to insist. This means defending and protect- following: ing an individual, getting those who hold power to change their minds or behavior, and holding Establish whether someone besides the af- one’s ground with intimidating people. The skill fected party needs to be involved. is knowing what to do and doing it in the face Share what you know with the client. of opposition. In most cases, advocates confront Discover and check out what your client sources of resistance. wants. Lay out options and let client decide which THOSE IN KEY POSITIONS ones are desirable and their order of im- Authority is the power to influence or com- portance. mand thought, opinion, or behavior, and an au- Investigate the particular situation. thority figure is a person in command who has Determine the level of formality of the pro- legitimate power to make decisions. Social work- cess. ers have different views than clients, citizens, Coordinate with each other. and service users on who is an authority figure. Guard against divide-and-conquer tactics. Therefore, let us think of an authority figure as a Allow the client to hire and fire you. person who holds or is perceived to hold power and influence in the situation at hand. The need Representation often involves a forum such as to dispute or correct such a person is difficult for a meeting or session or assembly (Schenider & novices, yet any professional who wants to help Lester, 2001, p. 96) where the advocate and others or make changes in a community must person seeking help together make a case. Non- deal with authority figures. The way such per- lawyers can act as authorized representatives, if sons are dealt with can be a major determinant requested, by an eligible person or recipient of the results. We must learn what rules and poli- for federal programs including Social Security, cies a given authority figure is subject to or must Medicare, SSI, veterans, and public housing. abide by, as well as those that she or he controls. Lurie, Pinsky, Rock, and Tuzman (1989) explain To students, field supervisors are authority the training needed to be effective in such a role. figures. To service users, the person who collects Here is an example of the type of representation a deposit before a telephone can be installed is form that is used by some agencies to formalize in a position to help or hurt them and is thus in the relationship. It could be used by Mr. Ayala a position of authority. There may be nothing to deal with Social Security. sinister or malevolent about authority figures, but they can exercise discretion and may be intimidating in their bearing, demeanor, or tone of AUTHORIZATION AND WAVER OF voice. Social workers may be perceived as au- CONFIDENTIALITY thority figures, based on knowledge or status, on To ______[agency]: their control over a client’s family, and on for- This is to notify you that I, ______[client’s mal and informal determinations they make, name], residing at ______[client’s address], such as whether to report certain behavior to a hereby authorize ______[representative’s name] court. of ______[advocate’s agency] to act as my rep- Advocates constantly bump up against people resentative regarding ______[program]. You are with different positions, people who dislike authorized to release any and all records and in- clients singly or en mass, and people who can formation relating to me and/or my case, includ- change a client’s present situation or future. ing confidential information, as my representative Years ago, Grosser (1965) argued that advocacy may request. was necessary because arbitrariness and discre- ______[client’s signature] tion can create an uneven playing field:

Often the institutions with which local resi- 9 Interacting with Authority Figures dents must deal are not even neutral, much less positively motivated, toward handling the is- There is an entire representation–persua- sues brought to them by community groups. In sion–advocacy–bargaining–negotiation contin- fact, they are frequently overtly negative and uum with concomitant skills. Yet, developing hostile, often concealing or distorting informa- one particular ability usually makes an advocate tion about rules, procedures, and office hours. effective. An advocate must know how to contend, By their own partisanship . . . they create an 380 COMMUNITY PRACTICE SKILLS

atmosphere that demands advocacy on behalf Consider all options about the time, place, of the poor. . . . If the community worker is to and manner of engagement. facilitate productive interaction between resi- Have materials organized in serviceable dents and institutions, it is necessary . . . to pro- fashion for use under pressure. vide leadership and resources directed toward Speak in an even tone. eliciting information, arguing the correctness of Listen carefully and take notes. a position, and challenging the stance of the in- Look for a clear decision. stitution. (p. 18)

ILLUSTRATING INTERACTION WITH AUTHORITIES These words are equally relevant today, yet confrontation is not inevitable. Many situations are A common example of a task-oriented en- resolved amicably. It is important for advocates counter involves the probable utility shutoff for to be aware that those in key positions view their a household unless negotiations with a utility reputations or jobs as being on the line, much as company representative are successful. See Box we feel about our clients and our jobs. We should 13.12. Utility payments can be difficult for low- respond to antagonism with firmness (see Chap- income households; think of California in recent ter 8). years where electricity costs quadrupled over- Social conflict can be uncomfortable. Exam- night. One of the first decisions an advocate ples of situations where we may experience dif- must make regarding a meeting with a corpora- ficulty or discomfort when we must—as an eth- tion representative is whether someone repre- ical or professional obligation—challenge an senting the household should be present. This authority could include the following: decision will depend on deciding how that individual might fare during the encounter and whether she or he wants to participate. If the • Informing an employer of his or her responsibilities on behalf of your client population utility customer is present, the advocate must (whether day laborers, teenagers, displaced show respect for that person (e.g., not talking homemakers, or persons who have seizures) over her or him) and must make sure that the authority figure shows respect; Simon (1994) en- • Arguing the merits of a group or halfway treats us to “interrupt contempt” (p. 189). How- house before a hostile zoning board ever, the advocate must anticipate a variety of • Contradicting an elected official who has responses from the authority figures involved wrongfully maligned your program in the because each company representative has a dif- press ferent personality. Advocates must know the chain of command “The impulse to obey authority and the rein any situation. In bureaucracies “the power of luctance to confront it are deeply ingrained in the advocate is the potential power to escalate the human psyche” (Bell, 1994, p. 136). Transac- the problem, to raise it to higher levels in the hi- tional analysts might say that many of us over- erarchy” (Wood & Middleman, 1989, p. 142). The adapt. We may become passive-aggressive. situation presented in Box 13.12 illustrates this. Workers and clients are likely to react similarly It also highlights how frequently language that to those who have the power to influence out- is unfamiliar to the lay person is used, whether comes—with awe, avoidance, and anger. As pro- in a utility or a psychiatric case. Note these other fessionals, those who make themselves interact points. We must not let others shift the burden anyway go on to become effective advocates. of responsibility on every point to us. We cannot assume that a person who has the authority PREREQUISITES FOR FACING AUTHORITY FIGURES to make a certain decision can decide or order There are certain hints for approaching and, if anything we want. We notice the directness with necessary, challenging a person who is in a po- which an advocate converses with a decision sition to grant or deny a request or to control maker. No time and effort is wasted in making someone’s future. Rules of thumb for dealing pleasant small talk, trying to appease, ingratiate with authority include the following: or bully, or overexplaining or excusing the client’s situation. Know the system you are up against. Know your facts. Be ready to demonstrate that you have done Negotiation your part. Know what you want (but also what you Community practitioners negotiate informally will take). and formally on behalf of neighborhoods, pro- USING THE ADVOCACY SPECTRUM 381

BOX 13.12 ADVOCATES CONFRONT MYRIAD PROBLEMS WITH CLIENTS

Setting: Office of customer relations representa- Advocate: We are prepared to pay $60 today. tive U. Rep: I just told you we need at least half Advocate: I am a community service worker of the amount in arrears. with the Neighborhood Center. Our office pro- Advocate: I’ve worked with your office before, vides assistance in housing and utility issues. and the policy has been to accept initial pay- This is Mrs. Edna Gardner. We requested an ap- ments as low as one-third of that amount. pointment because she received a telephone call U. Rep: $80. stating that her service would be terminated to- Advocate: Let me check with Mrs. Gardner day due to nonpayment of bills. (talks to her quietly, then to the utility rep). $70 U. Rep: Yes, I am aware of Mrs. Gardner’s is the most we can pay today, but we’ll assure bill. (To client) Mrs. Gardner, you are two you of three installment payments of approxi- months in arrears, plus the current bill for June mately $35 to pay the rest. is due. We have received no payment. You did U. Rep: How do you expect to make the pay- not contact us to say when we could expect payments if you can’t even come up with $80? ment, so we have no alternative but to discon- Advocate: We will manage that aspect of our tinue your service. agreement. What we need to do now is put the Client: Look, I have three children at home. terms of this agreement in writing, in Mrs. Gard- There has to be another way. Don’t turn off the ner’s file, and issue the stop order on the turnoff. gas. U. Rep: You’ll pay $70 today and $35 for 3 U. Rep: There is another way. Pay your bills months? on time like any other good citizen. Client: Yes. Advocate: That is exactly why we are here to- U. Rep: However, since Mrs. Gardner’s ser- day. To work out an arrangement so Mrs. Gard- vice was scheduled to be turned off today, the ner can pay her bill. Mrs. Gardner and I have service men are probably at the house now. discussed the situation and feel a deferred pay- Advocate: We just mutually agreed to a plan. ment plan might be a solution. U. Rep: Well, it’s all right by me, and if we U. Rep: In some situations deferred payment had entered into the plan yesterday or before the is a solution. When we feel there is a strong like- truck started on its rounds. . . . Now, once the lihood that individuals will live up to their oblig- reconnect charge is paid, our arrangement will ations to make installment payments, we agree go into effect. to such a plan. Quite frankly, Mrs. Gardner, you Advocate: Your company policy has been not don’t appear to fit into that category. to terminate service once a payment plan has Client: (Angry) What do you mean? I have been set up. There can’t be a reconnect charge tried very hard to pay all my bills and it’s not either under the circumstances. You must be easy. Have you ever tried coping as a single parable to stop the shutoff. ent? U. Rep: You came too late. There is no way Advocate: (To client) Just a minute, Mrs. Gard- I can reach the men now. ner. (To utility rep) Let me explain that Mrs. Advocate: Someone must have contact with Gardner moved in March, so she did not receive the service truck. a bill in April. Therefore, her bill in May was U. Rep: I don’t. over $175. She did try to explain her inability Advocate: Then let me speak to your supervi- to pay to your office, but unfortunately a pay- sor. ment agreement was not proposed at that time. U. Rep: You’d like to speak with my supervi- Also, Mrs. Gardner had not received written no- sor? tification that her service was to be terminated Advocate: Yes, we would. and did not realize how serious the situation was Source: National Public Law Training Center script in Advo- until today. Mrs. Gardner is prepared to make cacy Spectrum manual. an initial payment on her bill right now. U. Rep: Well, we require at least half of the amount in arrears, which would be approximately $85 to $90. 382 COMMUNITY PRACTICE SKILLS grams, and projects and during issue campaigns. school system on behalf of a slow learner. Know- Kahn (1991) uses this definition: “Negotiations ing the family has been hurt by unfeeling edu- occur when the two sides (or three or four) sit cators, the social worker may believe that a down together and try to come up with a reso- demonstration of concern by the school’s nego- lution that is acceptable, if not completely satis- tiator about the child’s humiliations may be as factory, to all parties concerned” (p. 175). Lappé significant as the kind and amount of services and Du Bois (1994) believe that the negotiation being offered. process maintains the dignity of all parties, Interest-based negotiation stresses the follow- makes resolution of problems more possible, ing elements of a successful, principled negotia- and makes it more likely that agreements will be tion (Field, 2000): upheld (p. 262). It is important to learn quickly whether the negotiator has decision-making au- 1. Interests (parties’ needs, desires, concerns and thority. The major approaches to negotiation are fears) bargaining and problem-solving. 2. Options (potential solutions parties can take together) BARGAINING OR PROBLEM-SOLVING 3. Alternatives (each party’s independent The negotiation literature on agreement- choices) building compares bargaining and problem- solving approaches. Those who emphasize bar- 4. Criteria (established standards for legitimacy, gaining (Halpern, 1999; Kolb & Williams, 2000) fairness) are more likely to stress control and tactics. Bar- 5. Communication (organized thinking; address- gainers ponder where to sit at the table, timing, ing misunderstandings, questioning, listen- reading the opposition, and so forth. In order to ing) know how to bargain during the actual negoti- 6. Relationships (establishing trust, working rela- ation, negotiators engage intensively with those tionship) they represent. The worksheet shown as Table 13.1 illustrates bargaining preparation and vari- 7. Commitment (forming clear, feasible agree- ous positions to plan together. The gas utility ments) case described in Box 13.12 provides our facts. In contrast, the parties can view themselves as This style of negotiation has been detailed in problem solvers, working toward a collaborative Getting to Yes by Fisher, Ury, and Patton (1981). solution which concludes in a workable agree- These authors coined the phrase “best alterna- ment. Ideally, each party leaves the negotiation tive to a negotiated agreement” (BATNA) to re- feeling that they have attained something that mind negotiators of possible results they can se- they wanted. Those who emphasize problem solv- cure without negotiating. To use our previous ing (Gibelman & Demone, 1990; Sebenius, 2001) example, the parents can remove the slow are more likely to stress the big picture, under- learner from the school or sue the school. How- standing, and what-if questions. ever, parties must be realistic about their Let us use interest-based negotiation, an out- options. growth of the Harvard Negotiation Project, as an illustration of the problem-solving approach. SKILLS AND RULES OF THUMB One key to success is vigorous brainstorming Reaching a successful negotiated agreement is about options—possibly a dozen—which can be not easy but the good news is that negotiation is put on the table because what could make the a learnable skill. There is a procedural and psy- other side happy may not be apparent. Perks, chological process to negotiation—of give and predictability, or evidence of respect may be as take. Author Jack Kaine (1993) believes that one important as money or compliance. Take, for ex- controls a negotiation by questioning not argu- ample, a social worker negotiating with the ing. Kaine gives invaluable advice on how to

TABLE 13.1 NEGOTIATING TACTICS: UTILITIES EXAMPLE

Issue Initial Position Ǟ Subsequent Ǟ Fallback Ǟ Bottom Line

Prevent shutoff $60 payment today $70 payment $70 today ϩ three $35 Unknown monthly payments Reconnect fee Demand no fee Etc. USING THE ADVOCACY SPECTRUM 383 steer negotiations, be clear, and make the other lousy conditions for years, now would be forced to side more receptive: “For example, before mak- find scarce affordable housing. The advocates entered ing a point, the expert negotiator says, ‘I would into negotiations with city officials, the owner-land- like to make a point.’ He then makes his point. lord, and the owner’s lawyer. A compromise was He says, ‘May I ask a question?’ and then asks achieved. The building was sold to the tenants for one a question. If he has a concern, he will say, ‘I dollar. Social workers and tenant leaders coordinated have a concern,’ and then states it. . . . Good ne- the cleanup and rehab of the building. The property gotiators do not label their disagreements. They owner paid for extensive repairs to the building. He do not say ‘I disagree with you because . . .’ [They was not jailed but was prohibited from owning any might say] ‘I have this point I would like to dis- more residential property in the city. cuss with you. It is . . . , and as a result, I dis- Explain how this example illustrates a win- agree’ ” (p. 40). win negotiation. What leverage was used to In their book on making deals, Gottlieb and achieve this result? Were the advocates negoti- Healy (1990, Chapter 3) give the following ad- ating with one, two, or three parties? vice. They say that negotiators should prepare to deal effectively with an adversary by taking PUTTING ONESELF TO THE TEST an inventory of their party’s assets and liabili- The following scenario will allow you to prac- ties; make thorough preparations by knowing tice negotiation skills. Decide if you will take a the needs of the other party and their end goal; bargaining or a problem-solving approach. not underestimate the amount of strength they As director of your county mental health program, possess in this process; project a belief that the you have been handed a hot potato assignment. Bor- deal they are offering is the best available; rely dering your headquarters is a parcel of land and a on their expertise as a problem solver; remem- boarded-up county mental hospital, relic of an earlier ber they can decide to walk away; exercise pa- era. The county has decided to sell the land and build- tience and control because many concessions ing with half of the proceeds going to your program’s take place late, close to a deadline. To engage group homes and transitional housing program. Zon- successfully in negotiation, Gottlieb and Healey ing regulations permit the property to be used for a (pp. 38-44) also say to variety of purposes. However, concerns about appropriate uses have been debated for months in the press. • Explore your possible options and alternatives The worth of the property has also been the subject of and closely examine areas of conflict to help intense speculation. County Council Head Beverly establish a creative, problem-solving climate Basey once asserted the land is worth at least $3 mil- where people collaborate rather than compro- lion. mise. Today, you receive a copy of a fax addressed to the Council from a prospective buyer, Douglas Younger, • Utilize trading off, which is the process of sorting, evaluating, and deciding which options the head of the Ballet and Modern Dance Academy. would work most effectively for your party Their organization has unexpectedly received a huge and the other side. Be sure and analyze how a bequest that will enable them to purchase the land trade-off affects the other variables in your and make massive renovations to the building. On be- equation and what you are getting for it from half of the Academy, Younger offers a total purchase the other party. price of $4 million to be paid in two segments three years apart, plus an annual payment of $75,000 for • Seek to control the pace of communication. Do 20 years in lieu of property taxes. Since he wishes to not allow yourself to be rushed into agree- immediately launch a capital campaign, Younger con- ment. Continually assert that issues are open cludes: until agreed upon, because they are interre- “I request an immediate meeting with you, lated and changes in one will affect the others. Madame Chair, or your authorized designee to nego- • Maximize your impact as a negotiator, by per- tiate a mutually acceptable purchase agreement, in sonalizing yourself and the situation. order that this important project may see fruition.” You get a follow-up e-mail from Chairperson Basey ILLUSTRATIVE EXERCISE: AN ACTUAL NEGOTIATION asking you to represent the county in negotiations Officials finally cracked down on slum landlords. and to quickly respond to Younger. County lawyers They condemned an apartment building that had will be involved after you have resolved any initial hundreds of housing code violations and announced sticking points. the owner would receive criminal penalties as well as What should your primary consideration be in fines. But the city insisted that the building had to be preparing to handle the County Council’s direc- emptied for repairs. Community advocates argued the tive? Are there creative ways to negotiate bene- plan was unfair to the tenants who, after living in fits for your client group?9 384 COMMUNITY PRACTICE SKILLS

Discussion Exercises

1. Read the works of Pertschuk, Shapiro, Tower, Pick someone you know who is successful at com- or Courter included in the reference list below and munity practice. What traits and skills does she or discuss the attributes of an individual advocate. he have? 2. George Wiley was admired by social workers 3. Read Bombyk’s (1995) Encyclopedia of So- who worked with him in the welfare and civil cial Work article on progressive social work. Bom- rights movements. His belief was that he should byk challenges us to name a social worker with use himself fully. His biographers (Kotz & Kotz, a national reputation for championing the inter- 1977) describe him as ests of underdogs: “Is there a Ralph Nader of social work?” • well organized, energetic, and uninhibited; • committed to obtaining information and 4. Read T. R. Lawson’s (1995) Encyclopedia of data; Social Work article on music and social work. • able to present information clearly and pow- What songs have you incorporated into practice? erfully; Do newer causes (disability, gay rights) use music the way the civil rights, labor, and peace move- • able to link diverse, strong-minded allies; ments did? and • able to get others involved. 5. As a research project, trace the legislative and Wiley’s biographers portray him as someone who advocacy history of the Mental Health Parity Bill (S. 1028, the Domenici-Wellstone coverage op- • believed he could convince others—even tion, 1996) and the Mental Health Parity Bill (dis- foes, crimination) considered by a conference commit- • juggled myriad tasks but kept his eye on the tee in 2002. Continue to trace bills S 486, S 1832, target, and HR 953 in the 108th Congress. Find out the • applied heady ideas in practical ways, names of the key individual lobbyists (social workers and others) who advocated for the mentally ill. • made and kept lists (e.g., resources, contacts), Who was most effective and why? For specific sug- • listened well, gestions on conducting an advocacy campaign, • sought out mentors and fund-raising help, see the Kansas Community Toolbox Web site at and http://ctb.ukans.edu/tools/advocateforchange/ • wanted to achieve concrete gains. outline.jsp

Notes

1. In this approach, corporations (and Republi- 30 years. After social work, the ministry is the pro- cans) are presumed to control the government fession that engages most in organizing, while po- apparatus and most forms of media. However, litical campaigns are where people from other inroads are possible, in part because of the self- fields get organizing experience. interest of these entities. For publicity and media advocacy tips, see Brawley (1985/1986, 1997), C. 4. Jim Evans, active in NASW, the Urban League, Ryan (1991), and Wallack, Dorfman, Jernigan, and welfare rights, in an interview by Brenda and Themba (1993). Kunkel in Powers (1994).

2. The late Bea Gaddy of East Baltimore, a re- 5. The United States borrowed the ombudsperson cipient of a national Caring award. Interview by concept. Sweden has had an ombudsperson since Jennifer Nelson in Powers (1994). 1809, Finland since 1919, and Denmark since 1955. 3. Many famous organizers (e.g., Wade Rathke) and training centers operate outside social work. 6. Rosalind Griffin, D.S.W., manager (drug de- Some associated with those groups have master’s pendency, mental health, cross racial-ethnic degrees in social work, like Arnie Graf, who has counseling expert), in an interview by Rachel worked with the Industrial Areas Foundation for Schwartz in Powers (1994). USING THE ADVOCACY SPECTRUM 385

7. Linda Heisner (clinical social worker turned tional Public Law Training Center (NPLTC), a for- children-and-family-services government leader), mer advocacy training organization. Robert Hoff- interviewed by Cathy Raab in Powers (1994). man and Pat Powers produced the video. George Hacker, William Fry, Barry Greever, Cathy How- 8. For more interweaving of advocacy and em- ell, and Pat Powers, among others, contributed to powerment, see “Case Complaint System” in F. NPLTC’s Advocacy Spectrum training manual. Brooks (2001, pp. 79-81). For an interesting look at specific ways that social workers react to and interact with homeless people, see Marvasti (2002). 10. Scenario inspired by American Arbitration As- sociation materials that were used for teaching 9. Some of the material on authority figures is purposes by Thomas Saltonstall and William Lin- taken from a videotape and manuals by the Na- coln.

References

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El pueblo, unido, jamás será vencido! (A people, united, will never be defeated!)

DIRECT ACTION CHANT

How can we bring together a community to This story illustrates why social workers must change the status quo? Think struggle. Think know how to act in concert with others to pro- engagement. Think stories. Those who seek to tect service users. strengthen the power of people, social connections, and community capacity1 frequently op- The Community Calls to Us to Stop erate from one of three distinct (though often Human Hurt overlapping) traditions: (a) organization and mobilization, (b) coordination and participation, In the social service world, those concerned and (c) innovation, narration, and liberation.2 It about fairness and accountability play the role is not suggested that there are only three. Chang- of caring critics, often intervening when others ing society is never easy, but this chapter will have not served the community well. Commu- describe ways to mobilize community within nal responsibility must substitute for individual each tradition, whether the focus is on a prob- responsibility in those cases, such as group lem, place, or program. The idea is to provide homes for teenagers or the physically and men- pictures of what is happening at the level of the tally challenged, where abuse and death can oc- street. cur (Levy, 2002a, 2002b, 2000c; Schwartz, 1992, Chapter 5). Professionals who monitor such VALUES-DRIVEN COMMUNITY homes must research the government oversight INTERVENTION: AN EXAMPLE structure and the private contractor network to determine who is making, or deferring, deci- Before explicating three traditional ways that sions and how to best access and influence them. community members are being connected with In Box 14.1, a newspaper reporter3 documents each other, we provide an account of abuse, ne- what can happen when a service delivery sys- glect and depersonalization in a group home. tem and a vulnerable group exist in isolation. 391 392 COMMUNITY PRACTICE SKILLS

BOX 14.1 INVISIBLE DEATHS: DELAYED TREATMENT

More than 1,000 people under city care are scat- A WORLD WITHOUT WORDS tered among 150 homelike facilities run by private contractors. . . . The services the retarded . . . There is a particular tragedy in being born receive—in their group homes, and in therapy, with very little and losing some or all of that. In skills training or work programs they attend daily being 22-year-old, retarded, paraplegic Robert, outside the home—cost as much, per person, per who has legs the length of rulers, feet short some year, as four years at Harvard. . . . The ideal of toes, chronically sopping Huggies—and a mind compassionate care and municipal accountabil- uncannily able to recall every song in the ity has yielded to a reality of profiteering and hymnal. fraud, facilitated by city agencies that have for Given up by his birth mother, then a foster years demanded little accountability and little one, he now has been sent by the city to his first human decency in return for a vast outlay of group home. [His] smile says, Stay and talk. . . . public money. For corporate wrongdoers, the “Where do you live?” Robert asks a rare visitor, consequences for cruelty and neglect have been fingering his bib. “Do you love me?” He allows negligible. For the city’s retarded men and that he has learned his address and his ABCs. women—men and women who are politically, But his attempts at dinner-table conversations and sometimes literally, voiceless—the conse- are interrupted. His profoundly retarded house- quences have been swift, direct and sometimes mates have forsaken their chicken noodle soup fatal. to hurl themselves against the living room walls. A review of tens of thousands of documents There are benevolent laws on the books. from four city agencies and the federal courts re- There is money in the budget. There is magic in vealed more than 350 incidents of abuse, ne- this lonely, miniature man. But officials have glect and robbery of retarded residents in the placed him in a world without words . . . ’90s. . . . Yet none of these and other docu- O beautiful, for spacious skies mented reports of abuse led to fines or criminal For amber waves of grain. penalties against the offending group home op- Urgently, exquisitely, Robert tries to do what his erators. . . . And then there are the dead. Fifty- city hasn’t done for him. He comforts himself. three group home residents have died in the last He sings until the heads hitting drywall over- three years. . . . only three [deaths] have received whelm. even cursory inquiry from the city. Source: Quoted excerpts from Boo (1999, p. A1)c. 2001. The Washington Post. Reprinted with permission.

We Respond to the Community found. Ask the deans to sign the letter and to meet with the reporter, because investigative re- BRINGING OURSELVES INTO READINESS porters, social workers, and policy makers can How would you address a case of human coalesce and build policy agendas. Second, in- degradation and government indifference such vite your elected representatives to visit the site as that described in Box 14.1? To spark an out- and let them meet—in person—those in need. cry that will lead to change, you must develop Put together a list of contacts in legal aid and or- many action plans. As a student, you could start ganizations for the developmentally disabled with student organizations or citizen groups en- with the help of each representative’s staff. Ask gaged in advocacy for the mentally disabled. the representatives to call their contacts in the Here is one way to start: First, pull together the mayor’s office. Third, involve any group home deans or directors of the social work, sociology, residents in the area who can participate in ac- and psychology programs in the area. (Make tion, fund-raising, and publicity efforts. your first call to the dean deemed to be most re- Put solutions on the table; think how to pre- form oriented.) Elicit their ideas, but make it vent recurrences; measure results (Itzhaky & clear that you expect them to put their values York, 2002). After the exposé (see Box 14.1), cha- into action. Before the meeting, draft a letter to grined city officials created an independently the investigative reporter, requesting a briefing governed $29 million monitoring foundation to so you can follow up intelligently on what she assure compliance with a plan agreed to by ad- USING ORGANIZING 393 vocates. Finally, be kind: Find Robert a suitable per coverage to all participants. If there is tele- home. vision coverage, alert participants to the time Throughout, let your outrage strengthen your and station. effectiveness: “The root layer of organizing is • Telephone people who planned to attend, but about passion, compassion, the firing line. Tech- did not, to ask about complications such as niques and skills can be built on top of this layer transportation or child care (no guilt tripping). of caring. They can be taught or transferred. . . . • Urge people to arrive early for activities to go I’m not sure gut level caring can. Organizing over talking points or last-minute concerns without the caring becomes a profession of day and to stay afterward to discuss what hap- planner totin’ technocrats” (Barry Greever, per- pened. sonal communication, June 20, 2001).

DRAWING ON COMMUNITY STRENGTHS THE ORGANIZATION AND Pulling in the community at large can aid peo- MOBILIZATION TRADITION ple who are living in grim institutions. In a parallel situation, nursing home reform groups have Organizing has a proud history. Victories won mobilized the public and influenced decision by organized people have improved multiple makers in various ways. Some organizers have facets of each of our lives. joined forces with frontline employees to improve the pay and working conditions of staff as a way to improve residents’ lives. Some groups Background train community volunteers to visit homes as objective observers. An Illinois group resolves in- According to social work professors Robert dividual grievances from many facilities, files Fisher and Eric Shragge (2000, p. 6), organizing complaints, holds inspectors accountable, and involves “building community and engaging in sends information on facility violations to local a wider struggle for social and economic justice.” news outlets. Traditionally, organizing emphasizes “mobiliz- It is easy to blame all social ills and individ- ing community residents to form their own iden- ual pain on the political party in power or tities, renew their interest in public life, and fight on huge social forces. Group homes, nursing for their rights across a broad range of issues” homes, and the spread of AIDS are “blindingly (Kingsley, McNeely, & Gibson, 1997, p. 27). Or- obvious” (Mallaby, 2002) situations in the pub- ganizing also entails economic and social analy- lic sphere where our profession should instigate sis. Success comes from “strong people skills to change, drawing upon community strengths in bring people together and keep them inspired the process. and working well; capable organization to assure that the work involved actually gets done; and strategic savvy in order to pick the right ob- CONVINCING OUR PEERS TO ACT jectives and the right public actions to win them” The social worker can operate at a personal (Shultz, 2002, p. 97). level to address social injustice or draw attention The Discount Foundation, which has sup- to an issue. Here are ways to engage sympathetic ported community organizing, uses five criteria people and those in your social circle: to examine an organization’s strengths, limitations, and potential. These exemplify the goals • Become knowledgeable about a subject so that of many organizing projects: others trust your expertise and recommendations. Share provocative newspaper articles and editorials. 1. Winning concrete improvements and policy changes through collective action • Ask people to do tasks and get engaged in projects, events, and actions. Figure out a con- 2. Permanently altering the relations of power crete way for peers to participate in 4-hour at the local, state, or national level stints. 3. Developing citizen leaders in poor, urban • Provide everything needed for a project: communities of color leaflets, poster paper, addresses, reports or 4. Increasing civic participation at local, state, documents, computers. and national levels • Convey your appreciation to people—at an 5. Building stable and viable organizations, ac- event and afterward. Send copies of newspa- countable to the communities in which they 394 COMMUNITY PRACTICE SKILLS

are located (Neighborhood Funders Group, though have-nots lack power and money, their 2001a, The Discount Foundation approach) numbers allow them to start and stop many things. Putting one’s body on the line to face po- Broad Orientations lice dogs is one example, but leaders speak more of justice, education, pressure, and action than Fisher and Shragge (2000) compare and con- of outright physical confrontation with targets. trast two approaches to organizing—social ac- Simply moving one’s body to the right place at tion versus community building and develop- the right time and bringing along 10 friends is ment. The latter approach was covered in also people power; rallies can draw thousands Chapter 5. These approaches are sometimes la- of people. Nationally, more than 50 mass-based beled conflict versus consensus organizing. They and church-based organizations hold or stage define social action as “an engagement in the “accountability sessions” with officials to guar- struggle for social change through organizing antee public input (Bobo, Kendall, & Max, 2001, people to pressure government or private bod- Chapter 8), often filling huge halls and ensuring ies” and say that “the use of conflict strategies plenty of news coverage. and tactics” is central, although not the only ap- For individual change leaders, the courage to proach (pp. 1–2). Here are two national exam- deal with conflict requires a willingness to be ples that fit their definition: bold and to “push” against foes. Former U.S. Congressman Parren Mitchell tells a story about his days of traveling around as head of Mary- 1. A sophisticated Web and mailing campaign land’s Human Relations Commission. by the Social Investment Forum Foundation and Co-op America, two nonprofit organiza- I was young and foolish. We had been on the tions, generated approximately 6,000 individ- Eastern Shore and I was friendly with this ualized emails and postcard protests to Citi- young white reporter. He said, “Do you want group in the 5-month period prior to the U.S. to go to a Klan meeting?” and I said “Sure;” so banking giant’s decision to cease the abusive I went. The Klan met in a yellow school bus. lending practice known as upfront premium We got on. Nobody spoke to us and we said credit insurance (personal communication July “How you doin?” They acted all befuddled. I 22, 2003 with Fran Teplitz). asked the guy sitting there, “Can I sit next to 2. The Aids Coalition to Unleash Power known you?” and he said “no” and I said, “Oh, come as ACT UP and other groups have organized on.” I sat down. The guy who was heading the hundreds of civil disobedience actions across meeting stood up in front with the driver. They the country, focusing not only on AIDS but kept conferring, and finally said, “There’ll be no on the increasing climate of homophobia and meeting tonight, the meeting is canceled.”5 attacks on lesbians and gay men. On October 13, 1987, the Supreme Court was the site of Having a witness, the element of surprise, and the first national lesbian and gay disobedi- a casual demeanor protected Mitchell as he em- ence action, where nearly 600 people were ar- ployed the tactics of disruption and calling rested protesting the decision in Hardwick vs. someone’s bluff. Bowers, which upheld sodomy laws (Act Up, n.d.) WORKING WITH CONSENSUS Social work leader Terry Mizrahi (2002) sug- WORKING WITH CONFLICT gests that we “assume the principle of least con- Authentic community initiatives are interac- test,” (p. 6) escalating or antagonizing only to the tive by nature. As community members ask for degree needed. Some organizers today talk of changes, eventually making demands, and seek reciprocal or shared power and choose to work more control of their lives, conflicts with the tar- closely with decision makers in the private sec- get are inevitable.4 “Change means movement. tor. For example, the Consensus Organizing In- Movement means friction,” explained organiz- stitute in San Diego (http://www-rohan.sdsu. ing virtuoso Saul Alinsky (1972, p. 21). See Box edu/ϳconsensu/) recommends bringing cross- 14.2. sectoral leaders together to find common ground Some organizers plan for friction and use it to as they work on an issue. Michael Eichler (1995), train and develop leadership. They want op- a proponent of the collaborative approach, depressed people to get their ire up when privi- scribes consensus organizing as “a yearning for leged people make statements of the let-them- partnerships—a desire by all the parties to suc- eat-cake variety. Alinsky proved that even ceed and a sense that everyone has to pull to- USING ORGANIZING 395

BOX 14.2 SAUL ALINSKY AND GRASSROOTS ORGANIZING

Saul Alinsky (1909–1972) was the son of a Rus- years until local leaders gained enough recog- sian tailor; his parents were Orthodox Jews. Af- nition that dominant employers such as Eastman ter studying sociology at the University of Kodak would negotiate with them. In the 1940s, Chicago, Alinsky married a social worker. He Alinsky organized the Back of the (Stock) Yards, started as a street worker concerned about the a working class Polish area in Chicago, in part social milieu of delinquents and eventually in- by uniting labor and Catholics—groups that his- spired thousands of organizing projects. Alinsky, torically had been at odds. He convinced peo- who hated to see fellow humans pushed around, ple that it was in their self-interest to form a demonstrated that (a) mass-based organizing can federation. His forte was strategic thinking, spon- be accomplished with unsophisticated people taneous tactics, and getting in with influential and (b) organizing skills can be taught. people. Marshall Field, III, heir to a department His time-honored book Rules for Radicals store fortune; Bishop Bernard Shiel; and Kathryn (1972) details conflict tactics involving simple Lewis (daughter of labor leader John L. Lewis) props—gum, baked beans, shopping carts, helped establish the Industrial Areas Foundation rats—and shows how he deliberately provoked (IAF) to support Alinsky’s work in furthering average Joes in order to observe their reactions democracy. Gordon Sherman used Midas Muf- and take their measure as potential leaders: “Do fler money to help Alinsky launch a training in- you live over in that slummy building?” “What stitute. Long after his death, Alinsky is remem- the hell do you live there for?” “Did you ever bered as a fighter for the disenfranchised and try to get that landlord to do anything about it?” someone who put democracy into action. For a (Alinsky, 1972, p. 103). detailed interview with Alinsky, see Norden Alinsky’s approach was to work with talented (1972); for a biography, see Horwitt (1989). individuals and to build a huge coalition for

gether in order to succeed” (p. 257). Once the tar- sure those who are dominant in the community. get comes to the table, there is a presumption of It is important to (a) be aware of both options consensus between the action system and the and (b) be willing to vigorously use either of target. For groups that make decisions mainly in them. consensus mode (e.g., Native Americans, Quak- ers), that could be the best way to mobilize them OTHER CONSIDERATIONS into action. (For additional background on con- Is it more essential to win power and respect sensus organizing, see http://www.cpn.org/ by building on commonalties or by assisting tools/dictionary/organizing.html at the CPN those labeled as different by society? Some schol- website.) ars link this debate to “new” social movements Consensus and conflict orientations are not di- that do not focus on class or economic issues, ametrically opposed. Eichler concedes that con- such as gay rights or antinuclear movements sensus building does not work when key part- (Cox, 2001); others discuss it in terms of prag- ners refuse to participate and will not be brought matism versus challenging existing frameworks to the table. Beck and Eichler (2000) believe “or- (Calpotura & Fellner, 1996). Progressives who ganizers and community practitioners should argue for a commonality focus believe that learn both techniques so that the issue can guide building on what unites is more strategic and the strategy” (p. 98). Organizer Bob Moses re- lasting. Those who support identity politics reminds us that even conflict organizing involves mind us to start where people are, and add that an underlying consensus among the nonelite, that an initial spotlight on uniqueness and differ- is, consensus within the action system: “Part of ences—with the attendant discrimination and what happened in Mississippi was . . . tapping alienation—may lead people later to broader so- into a consensus. People agreed that if they could cial concerns (Guinier & Torres, 2002). get the vote it would be a good thing and they Some organizers focus on one issue such as would be better off” (Moses & Cobb, 2001, p. shutting down the U.S. Army training school 111). Activists inevitably reach moments when formerly called the School of the Americas they have to decide whether to include or pres- (http://www.soaw.org/new/) to stop human 396 COMMUNITY PRACTICE SKILLS rights abuses, promoting the separation of for him but also to demand more for themselves. church and state, or challenging privatization of He befriended U.S. Capitol security guards and hospitals and prisons. Other organizers seek to brought them home to dinner” (Smith & Lopez, build community capacity to face a multitude of 2002, p. 1). Such behavior brought 20,000 people challenges. A single issue may be easier to win, to a memorial service and celebration of his life. but a broad base is needed to challenge institu- Having an affinity and respect for people is cru- tional power. Debates over campaign breadth cial; skills can be built on such values. tend to quiet down as accomplishments grow Building relationships is a necessary first step more visible. An example is the Idaho Commu- in “belief bonding” with the constituency, that nity Action Network, which “won expanded in- is, in creating a belief that, together, the orga- home care services for more than 1,200 people nizer and the group can effect a change. Earlier, with disabilities” and propelled “the restructur- we listed some ways to engage peers and mobi- ing of Idaho’s medical indigence program, re- lize those who already trust us. Organizers must sulting in $6 million in new Medicaid services” also gain the trust of strangers and create a cli- (Neighborhood Funders Group, 2001, “Health,” mate where people want to mobilize themselves para. 3). (see Box 14.3). Although the above distinctions are useful, Besides attending community events, orga- there are more commonalties among organizers nizers spend as much informal time in conver- than differences. Our position is that social sation with friendly residents as they can. They workers need to engage in far more organizing patiently gather information in easygoing ways: and social action, using whatever mode works “How’s work?” “What have you done since I best for those they serve (see Chapter 2, this saw you last?” They schedule as many planning volume). meetings as possible in living rooms. When the group wishes to reach out, the organizer may suggest “house meetings,” events held in homes Organizing Skills for base-building purposes, usually involving around eight people. Organizers try to talk to BUILDING RELATIONSHIPS new people every day. A born organizer, the late Senator Paul Well- Organizers frequently use food and beverages stone was “famous for talking not just to the cus- (a potluck or even a cocktail party) to create a tomers of the cafes he loved to frequent, but for relaxed environment and to advance one-on-one going into the kitchen, talking up the dishwash- recruitment to the cause. Cesar Chavez went to ers and fry cooks, urging them not only to vote the homes of migrant workers at mealtime and

BOX 14.3 THE RECRUITMENT OF A FAMOUS ORGANIZER

An anecdote about two well-known organizers young Chicanos. Thinking back, Chavez recalls, embodies the topics in this section. Legendary “I knew about the Bloody Christmas case, and organizer Fred Ross (who was being funded by so did everyone else in that room. . . . Fred did Alinsky) went to the Chavez home in San Jose, such a good job of explaining how poor people California, three nights in a row to ask the cou- could build power that I could taste it. I could ple to sponsor a meeting in their home. He first really feel it. I thought, Gee, it’s like digging a won the trust of Helen Chavez. At the meeting— hole; there was nothing complicated about it” over the babble of babies and children—soft- (p. 43). Ross got Chavez to attend another or- spoken Ross had to capture the attention of Ce- ganizing meeting with him that very night. sar Chavez (then a 25-year-old laborer), his Within months, Chavez was recruiting strangers pachucos (tough-guy friends), and his neighbors, himself through house meetings and canvassing as they sat on old couches that “sagged audibly and then a mass meeting. This made him “ner- under the weight of too many people” (Ferriss & vous to the point of illness, afraid no one would Sandoval, 1997, pp. 37–39). Ross described come”, but since he had organized well, a slow neighborhood problems but also his organiza- trickle eventually swelled to a crowd of over four tion’s success in the firing and jailing of Los An- hundred (p. 51). The man—with an eighth grade geles police officers who had nearly killed seven education—was a success. USING ORGANIZING 397 let them feed him as a means of bonding. The can be tapped. Organizers make it their business organizers who created the Solidarity Sponsor- to know who plays the piano, who likes taking ing Campaign, an association for low-wage minutes, who is happiest without assigned re- workers in Baltimore, were keenly aware of the sponsibilities but so she “choose” to set up or need to establish trust. On cold nights, social clean up. The organizer furthers relationships worker Kerry Miciotto set up a stand on the between members, too. In building bonds and street and served hot tea to janitors and other developing leadership, organizers find ways to workers as they came and went from office give strokes to members—in front of other mem- buildings. A member of the Association of bers—to bolster the self-confidence that leads to Community Organizations for Reform Now leadership. Pointing out skills and competencies (ACORN) takes the discussion beyond trust: of individuals to their peers in an even-handed “When you set up a meeting for poor people, manner eases interactions later, during situa- make sure to provide transportation and food. tions when people have to rely on each other’s The hungriest people are who you want at an strengths. Organizers also need to assess—and action” (Brooks, 2001, p. 73). be realistic about—who will be good leaders and work well in trying circumstances and who will Techniques. Gestures that say “we are listen- not. It averts later headaches to find meaningful ing to you” build relationships. Chavez success- roles for those constituents who are incompati- fully recruited farmworkers with a simple pro- ble with others. cedure: After passing around self-addressed three-by-five cards with space on the back for REFLECTING THE COMMUNITY the worker’s name and address, Chavez asked a The issues you choose to focus on must be of question that each person could answer on the interest to the community. Bob Moses (2001) re- card: “What do you consider to be a just hourly calls how, as civil rights organizers framed the wage?” His method of surveying farm workers community’s everyday issues, they had to was an instant hit—because these workers were slowly and deliberately “search out where [con- being consulted for the first time. As one worker sensus] was lodged beneath layer after layer of said, “It’s like letting us vote . . . on what we other concerns” (p. 85). Leaders should also rethink” (Levy, 1975, p. xxi). Likewise, ACORN or- flect the community. Though more and more in- ganizers visited 500 workfare sites in Los Ange- digenous leaders are being hired, the average les and asked workers about their concerns organizer may not match the neighborhood cul- (Brooks, 2001, p. 72). Local leader Gustavo Tor- turally or demographically. Bob Moses himself, res made a considerable effort with Maryland who is acclaimed for his work with uneducated day laborers to learn and provide what they people young and old, had a master’s degree wanted: a sign-up system, a work-pickup site, from Harvard when he started working in the and legal backup. In turn, the emergent leaders backwaters of Mississippi. Thus, although there began to control crowds that were gathering at was a racial match, there was not an education intersections and upsetting the neighbors (Ly, match. Moses succeeded because he was deter- 2001). mined to reflect the community’s wishes. More Clearly, successful organizing involves analy- recently, a Lutheran church in Milwaukee, Wis- sis of relationships, not just “banners, literature, consin, solved its diversity challenge by recruit- and personalities” (Robinson & Hanna, 1994, p. ing “peer ministers,” volunteers from the neigh- 80). Kerry Miciotto interviewed many workers borhood whose presence made the institution and potential allies by “taking a meeting.” Here more inviting and trustworthy (Staral, 2000, p. is how Robinson and Hanna (1994) describe the 90). Community people often expressed their careful listening and probing that occur in such true sentiments to them. Finally, direct action meetings: “The focus is on discovering the core tactics must be matched to the norms of com- motivational drives: Why did the person do munity participants (Alinsky, 1971). what they did; why does the person feel this way; why is the person concerned about this issue? Childhood experiences, pivotal life events, USING COMMUNITY TALENT and watershed personal decisions often figure Practice wisdom suggests that you follow in. The answers to these questions will reveal the these steps: person’s value system” (p. 85). 1. Recruit people to serve in specialized ways— Making each person count. Groups and actions a lawyer to keep your group out of trouble; a work best when the strengths of each participant writer to keep your message clear; someone 398 COMMUNITY PRACTICE SKILLS

to call local, regional, and national radio talk keys in your hands. Lawrence Wallack (2002) shows. points out that such messages “place almost to- 2. Meet key political figures at the local and state tal responsibility for safety on the rider,” and level. Get letters of endorsement from es- asks what would be required to “make the en- teemed people for your cause. vironment safe, regardless of what various individual passengers do? The stories did not focus 3. Use people in your group to recruit friends, on environmental factors such as lighting in the neighbors, and relatives. station area, cutbacks in station security person- 4. Convince a liberal group to move beyond talk nel, or the much larger issue of violence against in a particular sphere or limited way. Even if women” (p. 349). Immediate direct action such only a few members step forward, you can as vigils to raise consciousness are a start, but carry out an action such as picketing or test- organizers ultimately must hold the right parties ing for discrimination. accountable. The goal is to increase the number 5. Expect the best from everyone. Do not toler- of targets, that is, individuals and institutions ate sloppy, inaccurate, or late work from vol- who can fairly be held accountable. Ultimately, unteers or members. Expect leaders to prac- organizers will focus on those targets who can tice before they speak in public or to the accomplish X [in this case, change for women, media. The group’s credibility and reputation equity] and will enlist targets who want to be re- are at stake. sponsive to the larger public. (See Appendix A regarding widening responsibility.) To make the most of scarce resources, orga- WIDENING THE CIRCLE OF PARTICIPATION nizing requires what Ganz (2003) calls strategic Building internal relationships and a support capacity, as well as basic strategies to: network is not enough. Members should be encouraged to bring others to important meetings • concentrate resources at the point they will do and events. One way to promote this is to have the most good; members make lists of the people they pledge to bring. These lists are submitted in advance to • act at the moment when the group’s chances help the organization prepare for the expected of success are greatest; and turnout. At the event, guests and newcomers • undertake activities consistent with the who show up are compared with the lists to see group’s capacities (Devising strategies and which members met or exceeded their goals and tactics, para. 1). can be counted on in the future. In some organizations, members tell the entire assembly Formulating strategies involves a process and an whether they reached their pledge. Public ac- ability that are important to professionals in countability brings results but ought to be han- many fields who must function with little power dled in a fashion that avoids humiliation or and little money. (For David versus Goliath blame. Members need to feel involved and val- strategies, see Ganz, 2003; Rosin, 2003.) ued before they can turn difficulty into determination. Here, as in many contexts, it is prudent Formulating Strategies: Key Elements to learn what members want from an experience and to be there for them. The bottom line is that “Today the five hundred richest people on the organizers try to expand the number of sup- planet control more wealth than the bottom porters and allies who will support the cause.6 three billion, half of the human population” (Loeb, 1999, p. 3). The kind of people who are WIDENING THE CIRCLE OF RESPONSIBILITY drawn to social action naturally yearn to be able “To fulfill its promise, democracy must meet to immediately remedy that situation by any the challenges of equity, accountability and re- means possible, including revolution. It is ex- sponsiveness,” says Marshall Ganz (2003, intro, ceedingly difficult to focus on ambitious but para. 1) who teaches at the Kennedy School of more obtainable goals such as “improving the Government. The importance of his words is lives of half of those in poverty in the United highlighted by an incident in California where a States through the work of community organi- young woman was murdered after leaving pub- zations.” (Remember this goal because it will be lic transportation. The media played the story as mentioned again at the conclusion of the dis- a drama: Public safety was mentioned only in cussion of this tradition.) the form of warnings and advice about individ- Once activists formulate obtainable goals, they ual behavior such as the suggestion to carry your still need to formulate winning strategies and USING ORGANIZING 399 action plans or roadmaps (Shultz, 2002). Here is with them and vice versa. Opponents can usu- are key elements and practical points they can ally be identified through newspapers, broad- consider. cast news shows, and trade papers. If necessary, you can track down your opposition’s officers GOALS and directors by examining the organization’s The goals of organizers and the community incorporation papers on file at the courthouse. are most likely to coincide when everyone un- Here are questions to consider about allies: derstands and agrees on the larger purposes. Or- dinarily, organizers focus on a hot issue and later • Who are your major allies? How strong are the articulate underlining principles, but for action links between you? strategy purposes, the vision and resultant goals • Who are your necessary or potential allies? must be made explicit. What is your plan for enlisting their support? For instance, suppose our organizer’s vision • Are you aware of the wider circle of support- is to HELP LITTLE GUYS AROUND THE ive people you could call on? WORLD. Hundreds of goals could flow from this aim, but our organizer settles on the long- • Who is in your network of consultants? term goal of preventing unnecessary deaths and • What is the common ground between your injuries. On further reflection, our organizer fo- group and your potential allies? What larger cuses on an intermediate goal of banning land- perspective unites you? (Shields, 1994, p. 88) mines. From here on the goals must be more measurable; our organizer chooses as a nearer-term When strategizing, it is a good idea to make goal getting the United States to join the landmine lists of who on key issues is already with, pos- ban treaty. The next step is a specific short-term sibly with, or probably against your group. If goal such as win over an influential person (e.g., time permits, have small groups make the lists convince the Children’s Defense Fund to add this goal independently and compare their different per- to its issue agenda). Finally, our organizer selects spectives. For instance, a parent organization a strategic objective such as get an appointment dedicated to increasing and enforcing gun con- with Marian Wright Edelman. The goals element trol might come up with this list of players: makes us ask if we truly know what we are about and if we can identify doable steps to further our Potential constituents: Mothers (parallel to ends. MADD), siblings, and other students (parallel to SADD), peace churches and organizations, local chapters of Million ORGANIZATIONAL CONSIDERATIONS Moms March, handgun control groups Once organizers and residents have decided Potential allies: Emergency room personnel, what should be done, they must think realisti- community leaders in high-crime areas, cally about numbers of members or allies, bud- socially concerned faith-based organiza- get, time lines, reputation and history of the or- tions, police ganization, and other resources, such as office Potential opponents: National Rifle Associa- space or van transportation. Key questions in- tion chapters, gun dealers, pawnshop clude the following (Speeter, 1978, p. 68): What owners, hunters, farmers, gun-owning internal resources (from the group) do we need county council members in order to get where we want to go? What external resources? Who might support us? Given A role should be found for any interested per- time pressures on members and allies, MacNair son or task group, even if training is necessary (1996) recommends conducting an “energy as- for some constituents to be effective. Recognize sessment” to examine sources of individual en- that certain allies would be particularly valu- ergy and to ensure project energy will not be dis- able—in this case, doctors and nurses from sipated (pp. 193–194). This element makes us ask emergency rooms overburdened by gun victims. if we are truly prepared and equipped to act ef- This element makes us ask who can be enlisted fectively or to finesse our weaknesses. to act or form a coalition and whether we can outwit our opposition. CONSTITUENTS, ALLIES, AND OPPONENTS Constituents need not belong to your organi- TARGETS zation; they can be all those who identify with Selecting appropriate targets often combines your cause and who may benefit if you attain investigation, research, and organizing skills your goals. Your organization’s primary loyalty (see the illustration at the beginning of this chap- 400 COMMUNITY PRACTICE SKILLS ter). A case from Paul Speer and Joseph Hughey • What is their self-interest in this issue? reveals how targets are pinpointed. A commu- • Who would have jurisdiction if you redefined nity organization discovers that a service agency the issue (e.g., turned a tobacco advertising is- is paying absentee landlords to house its immi- sue into a fair business practice issue)? Does grant clients in buildings unfit for tenants and this help you? (p. 95)7 deleterious to nearby homeowners. When the agency refuses to demand that the landlords This element makes us ask if we know whom to bring the housing up to code, organization lead- hold accountable and how, and whether we can ers track down the agency’s funding sources and cogently explain the connection to the public. then gather 500 area residents. At the event, they ask for a show of hands from those willing to TACTICS send letters to the agency’s funders asking them Sometimes when a new group or organization to terminate funding if the agency does not pres- is eager for a victory, the organizer considers sure its landlords to improve the properties. a “fixed fight”—a sure winner—to build confi- “The collective power of a hall full of raised dence. To accomplish this requires tactical think- hands in the presence of the media and many ing. Perhaps the target is almost certain to say public and private officials produced the yes because public information is involved. Per- agency’s capitulation on the spot” (Speer & haps the organizer has inside information about Hughey, 1995, p. 743). This is traditional organiz- a decision that is soon to be announced. Perhaps ing in which opponents are made to feel the heat so the request is noncontroversial. (In the earlier that they will see the light. Smart organizers will group home example, the deans will agree to not call for a vote until they know they have a sign a letter asking the reporter to meet with clear majority. them.) A quick victory gives people a sense that Organizer Makani Themba (1999) recom- they are potent members of society. mends asking the following key questions in Involving organization members or towns- choosing a target: people in designing tactics is important. Tactics range from holding candlelight vigils to catch- • Who or what institutions have the power to ing someone on camera; the Organizer’s Collec- solve the problem and grant your demands? tive, which is particularly interested in electronic • Whom must you get to before you can influ- organizing, is compiling a database of 1,000 so- ence those with the real power? cial change tactics. (Also see Shaw, 2001; Box 14.4, which has a checklist from the Midwest • What are the strengths and weaknesses of each Academy; and Appendix A, for organizing potential target? How are they vulnerable? tactics.) • Which targets are appointed? Elected? The group will enjoy coming up with imagi- • How do you have power or influence with native tactics and the media will relish them. them (as voters, consumers, taxpayers, in- Alinsky said, “People hunger for drama and ad- vestors, shaming, etc.)? venture, for a breath of life in a dreary, drab ex-

BOX 14.4 CHECKLIST FOR PLANNING AN ACTION

• Will your action be both fun and based on real • Have you held a dress rehearsal? power? • Do you have a good turnout plan, including • Is everyone in your group comfortable with last-minute reminder phone calls? the plan? • If you want the media, have they been noti- • Will the plan be outside the experience of the fied and given a reminder? target? Are you going outside the “official • Do you know who will debrief the action with channels”? participants and where? • Are your demands clear and simple? Do you Source: Bobo, Kendall, & Max (2001, P. 79) Copyright 2001 have fallback demands? by Seven Locks Press. Used with permission. • Has the group decided who will present information at the action [and] who will be its spokesperson? USING ORGANIZING 401 istence” (1972, pp. 120–121). Hands-on exercises Goal: Converting some of the men’s re- are preparatory, creative, and mobilizing. Orga- strooms into women’s restrooms nizers help blend tactics so the group can do an Objective: Raising awareness and getting ac- action “on” decision makers (Bobo et al., 2001, cess to decision maker p. 70). Organizing is a serious and yet fun- Organizational considerations: No one who loving tradition. Experience has shown that par- wants to get fired or to be in trouble, no ticipants must enjoy or be challenged by tactics; money, no organized constituents, no ex- however, concrete wins are important, not just isting action group to lead the bathroom symbolic exercises (Rathke, 2001). brigade Debriefing sessions after an action encourage Constituents, allies: Female staff, visitors to not only participant responsibility but creativity, the building (analyze by gender), man- and they help cultivate leadership. (The U.S. agers oriented to productivity (possible Army calls debriefs of direct experience “after- allies); for leadership, female staffers with action reviews”.) In describing the aftermath of medical problems or female visitors with an accountability session with elected officials, children who have been inconvenienced one social worker explained, “Part of the teach- Targets: Company head and official who ing includes the next step, where do we go from makes decisions about the building/plant here, what happened during the action, laying Tactics: Consciousness raising, warning fly- out the political players, why did this happen, ers in restrooms, then placement of evaluating the press, how did our leaders do up “Women” sign over the “Men” sign on front, how did the mayor react or respond, and the restroom most want to convert, with what follow-up do we need to do now?”8 This females beginning to use it element makes us ask whether our plan will be effective and will influence decision makers. Infrastructure and Contributions Using a Strategy Chart Resources developed over the years are an un- Given the complexity of large-scale change, derlying strength of the organization and mobi- breaking problems into small, manageable steps lization tradition. There are networks of com- makes sense. A strategy chart is a macrolevel as- munity organizations run by such groups as the sessment tool whose simplicity and versatility Pacific Institute for Community Organizations make it a helpful planning process for seeing the (PICO) and the Gamaliel Foundation. In addi- terrain and for mapping out a route to change. tion, a growing national infrastructure supports It can be used not only in community projects community change work of many varieties but also in organizational settings. See Box 14.5 (Brooks, 2001). There are traditional organiza- for one example. Strategy analysis that can lead tions, such as the United Neighborhood Centers to coalition building is a central part of the or- Association and the Association for the Ad- ganizing training conducted by the Midwest vancement of Social Work With Groups, and Academy in Chicago (Felkins, 2002, pp. 380– there are new resources, such as the Neighbor- 389). The prototype of a strategy chart described hood Funders Group and the National Organiz- here was designed by the esteemed organizer ers Alliance (http://noacentral.org/). The com- and trainer Heather Booth and has been used to munity-based service system is sprawling, but educate thousands of organizers in workshops, the organizing network is tighter. In fact, over training sessions, classrooms, and in the field. the years, diverse organizers have shared train- Strategists can be creative as they fill in the chart ers, funders, or both (see Box 14.6). to fit their situation, formulating multiple strate- For example, building infrastructure among gies to raise their odds of success. organizers and state and regional issue collabo- Let us use the goal of achieving “potty parity” rations is one of the Charles Stewart Mott Foun- to illustrate the ease of developing an action plan dation’s stated goals. The foundation gives through informal strategizing. A strategy can be grants to “enhance the variety, geographic written in shorthand like this: spread, power and effectiveness of the community organizing field . . . by increasing resources Situation: In a building used primarily by to institutions, organizations, technical assistance females, restrooms are divided equally providers and networks that produce, nurture or between men and women, resulting in expand community-based organizations.” lines at break and lunchtime Some of the same organizations or founda- Vision: Obtaining equality for women tions have given money to diverse organizing BOX 14.5 STRATEGY CHART

Midwest Academy Strategy Chart After choosing your issue, fill in this chart as a guide to developing strategy. Be specific. List all the possibilities.

Organizational Constituents, Allies, and Goals Considerations Opponents Targets Tactics

1. List the long-term 1. List the resources that your 1. Who cares about this 1. Primary Targets For each target, list the tactics objectives of your organization brings to the issue enough to join in or that each constituent group campaign campaign. Include money, help the organization? A target is always a person. can best use to make its

2. State the intermediate number of staff, facilities, It is never an institution or power felt. goals for this issue reputation, canvass, etc. • Whose problem is it? elected body. campaign. What • What do they gain if they Tactics must be constitutes victory? What is the budget, including • win? • Who has the power to give How will the campaign in-kind contributions, for this • What risks are they taking? • you what you want? • In context. • Win concrete campaign? • What power do they have • What power do you have • Flexible and creative. • improvement in • over the target? • over them? • Directed at a specific target. • people’s lives? • Give people a sense 2. List the specific ways in • Into what groups are they • Make sense to the • of their own power? which you want your organi- • organized? 2. Secondary Targets • membership. • Alter the relations of zation to be strengthened by • Who has power over the • Be backed up by a specific • power? this campaign. Fill in numbers 2. Who are your opponents? • people with the power to • form of power. for each: • give you what you want? 3. What short-term or • What will your victory cost • What power do you have Tactics include partial victories can you • Expand leadership group • them? • over them? • Media events win as steps toward your • Increase experience of • What will they do/spend to • Actions for information and long-term goal? • existing leadership • oppose you? • demands • Build membership base • How strong are they? • Public hearings • Expand into new • Strikes • constituencies • Voter registration and voter • Raise more money • education • Lawsuits 3. List internal problems that • Accountability sessions have to be considered if the • Elections campaign is to succeed. • Negotiations

BOX 14.6 COMMUNITY CHANGING AND ORGANIZING

Along with some schools of social work, there are long-established organizations that initiate and sponsor community changes.

A SAMPLE OF WELL-KNOWN ORGANIZERS AND TRAINERS

Acorn (Association of Community Organizations for Reform Now): http://acorn.org/ Center for Community Change: http://communitychange.org/ Center for Third World Organizing (C2): http://ctwo.org/ Highlander Research and Education Center: http://hrec.org/ Industrial Areas Foundation: http://www.iafnw.com/ Midwest Academy: http://midwestacademy.com/ National Training and Information Center, National People’s Action: http://ntic-us.org/

A SAMPLE OF SUPPORTIVE PHILANTHROPIC ORGANIZATIONS

Annie E. Casey Foundation Edna McConnell Clark Foundation Ford Foundation Funding Exchange Robert Wood Johnson Foundation Kellogg Foundation John D. and Catherine T. MacArthur Foundation Charles Stewart Mott Foundation Ms. Foundation for Women Needmor Fund Pew Charitable Trust Rockefeller Foundation

networks and local organizations. Over a conclusion, organizing and mobilizing are part 30–year period, the Catholic Campaign for Hu- of a cosmic battle, and yet techniques developed man Development “provided nearly $300 mil- within this tradition can be used locally to fur- lion to more than 3,500 projects.” For example, ther the interests of constituents or any down- the campaign has given $375,000 to the Colonias trodden—or feisty—group. Development Council in New Mexico, one of our nation’s poorest states. According to an evalua- Illustrative Exercises tion study, the work of the diverse groups funded by the Catholic Campaign “benefited an 1. What could make a prospective leader feel estimated 38.5 million people, of whom 18.2 mil- like hot stuff? Put your ideas here: ______lion were poor. This represents half of the U.S. ______poverty population in 1994. . . . The groups Hint: Think opportunities or assignments. Let changed laws and policies and generated bil- the person achieve something—this is not lions of dollars for low-income communities and about building self-esteem through compli- their residents. Even the least successful groups ments. had some victories” (Neighborhood Funders Group, 2001b, How the Catholic Campaign for 2. Research the organization and mobilization Human Development approaches evaluation, accomplishments of Dolores Huerta (farm- para 3). workers), Ella Baker (civil rights), and Jody In the earlier section on formulating strategy Williams (landmines). goals, we pointed out that affecting half of the 3. Find comprehensive organizing ideas and ex- U.S. poverty population through organizing was ercises online in The Citizen’s Handbook an ambitious but realizable goal. Moving those (http://www.vcn.bc.ca/citizens-handbook). 18.2 million people out of poverty would be (An enlarged and revised print edition of the much better, of course. However, organizing handbook, entitled The Troublemaker’s Tea- deals with the art of the possible. Moreover, or- party: A manual for effective citizen action, by ganizers believe in celebrating accomplishments Charles Dobson is available from New Soci- as they are achieved, and the Catholic Campaign ety publisher). For action steps on world debt, statistics represent extraordinary outreach. In see the Jubilee USA Network website (http:// 404 COMMUNITY PRACTICE SKILLS

www.j2000usa.org/debt/edpac/organiz.ht Suppose we imagine a game being played by m). (Organizational information is available human players on a field covered with numer- at http://www.jubileeusa.org/start.htm). ous patches of dense fog. Due to the fog, the players cannot make out the boundaries of the field or even see the ground around their feet THE COORDINATION AND very well. In fact, they do not even know what PARTICIPATION TRADITION type of field it is or what game is being played. Community Coordination Nor are they sure of the rules under which they are playing or of what constitutes “winning,” or even of who is on which team. Often, the Being aware of and pulling together the pieces players become frustrated because just when is part of the social worker’s responsibility they think they have the game figured out, (Ross, 1958). Our profession stresses forms something will happen to offset any momen- of participatory democracy: partnerships for hu- tary gains they thought they had made. For ex- man empowerment, consumer involvement, ample, someone whom they thought was on client and community-led collaboration, co- their team all of a sudden behaves as if he were inquiry, and participatory research. In some not. rural areas, the few social workers must capital- Now, the story that has just been told is re- ize on local resources and create a community ally a story about coordination, or the lack of it, infrastructure (Martinez-Brawley, 2000, p. 250). and can be transposed to the context of deliv- Where there are many agencies, the challenge is ering services to . . . whatever service system to work together harmoniously, creatively, and we are interested in. (pp. 83–84) in interdisciplinary fashion. Things will progress best and benefit constituents most when each so- Fortunately, inventive thinking can come to the cial worker gives the best to the joint effort that rescue. Cohen’s entertaining metaphor addresses he or she has to give. We will describe inter- coordination strategies and attempts to overcome ventions and complications in accomplishing obstacles.10 these objectives. We see linkage as a vehicle for creating sys- CONTINUE ON tems where residents can use and shape com- Continuing to play in the fog has a downside; munity services, experience dignity and empa- players can waste time or do more harm than thy, and receive redress when coordination and good. (Think of ongoing communication and participation break down (Neiman, 1999). A pro- turf problems in U.S. intelligence agencies that fessional approach to enhancing community ca- surfaced after 9-11.) Often the strategy is to mud- pacity often involves improving community and dle through, hoping the fog will lift, and do social services and reaching the underserved. something in the clear patches. In an example of For example, the State of Washington Depart- continuing to work in the current health system ment of Health received a federal community- “game” but seizing opportunities to be creative, organizing grant to ensure the integration of oral Miyong Kim of Johns Hopkins School of Nurs- health with maternal, infant, and child health ing created a favorably received community pro- services through local coalition building. An or- gram for non-English-speaking older Koreans ganizer was hired to facilitate the process of net- who previously had no linguistic access to health working and to figure out how to get dentists to care (Carlson, 2001). A first-generation Korean 9 take Medicaid-eligible patients. American herself, Kim coordinates care for 50 in Coordination means assembling resources, syn- a weekly clinic held at a senior center. chronizing activities, providing order, and encouraging teamwork to connect and engage GO UPINABLIMP far-flung or disparate elements of a potential sys- Cohen (1980) uses a Goodyear blimp image to tem. Logical action outgrowths are block clubs, suggest the distance strategy, so the player “can neighborhood crime watch organizations, and look down and see the whole thing, or at least a lobby coalitions (Bobo et al., 2001; Kahn, 1991). larger portion than can be seen from the midst of it” (p. 85). For instance, Bruner and Parachini Types of Coordination Options and Strategies (2000) “looked down” and noticed three teams playing separately on the field of community To illustrate the challenges, we turn to Burton betterment. A synthesis of service systems re- Cohen’s (1980) metaphor about coordination in form, community organizing, and economic de- the complex realm of social concerns: velopment made more sense than duplicating or USING ORGANIZING 405 disrespecting each other’s efforts. This strategy ought to be connected? With whom are you co- enabled them to think big. ordinating? Other agencies? Families? Expan- sion of faith-based (Koch & Johnson, 1997) and APPOINT A REFEREE military programs may require coordination The film Traffic (2000) depicts the dire conse- with new players, and there is always a need to quences of a fog game. Each new presidential involve the greater community to end domina- administration appoints a czar to coordinate pre- tion from “parochial interests” (Masilela & vention, treatment, enforcement, and interdic- Meyer, 1998, p. 4). tion aspects of illegal drug activity. Appointing a heavy, who, through the weight of his posi- CREATE A NEW GAME tion, is supposed to straighten it all out, often Cohen (1980) asks what happens if the fog turns out to be a way of handing off authority does not lift and we cannot find out from others up the line or laterally. The risks are in creating what is going on. He is most interested in a strat- false confidence and more layers to coordinate. egy where, after a rare moment of startling re- The plus is that one person or place truly be- alization, the players can come together on the comes the focal point. Locally, court receiver- field and create “their own game” (p. 86). One ships play this role when human service, hous- historic example is the Christmas Truce of 1914, ing, or justice systems fail. A receiver or a judge when thousands of British and German soldiers becomes the referee who can make decisions met between their trenches for an informal hol- about interactions among players, enforce rules, iday from World War I. Currently, a campaign and ultimately decide who wins the game (Co- is being waged through the Children’s Health hen, 1980, p. 85). Insurance Program (CHIP) to aid the near poor, and yet the same effort could have gone into cre- EXCHANGE PLAYS ating a Canadian type of universal system (no Players in the game will be less lost, Cohen uninsured or underinsured). The point is not (1980) suggests, if they talk to each other to share whether that would have been wiser but that it observations, personal insights, and theories, would have been a new game. and form liaisons so “each member will have a better understanding of what the others are do- Coordination Description ing” (p. 86). Think of partnerships, collaboratives, cluster committees, alliances for service integration, and lobbying coalitions (Butler & See Box 14.7 for a positive example of com- Seguino, 2000; Mizrahi, 1999). Trust is central to munity coordination. The facilitator role is criti- such interconnection; in rural areas especially, cal because people are vague on how to involve getting to know the other person is more im- others and to sustain involvement once the be- portant than any details of the game (McNellie, ginning phases of the project are completed. 2001). Coordination can prevent turf wars, eliminate duplication, and encourage cross-sectoral COORDINATION THROUGH INFORMATION cooperation. In one city, after feuding among Townspeople can be connected by myriad key racial and cultural groups diminished their means: ballot initiatives, service credits, fund- clout with city authorities, seven multicultural raisers, citizen monitoring teams. While lots of leaders formed an executive council that regu- coordination is face-to-face, it also involves larly holds town hall meetings to make decisions clearinghouse and dissemination functions, as collectively. “They have slowly increased their when messages from one newsletter or website ranks, becoming a powerful force in that city” are picked up and promoted by other news- (Institute for Democratic Renewal, 2000). letters or websites—spreading central ideas. Certainly, communities are as likely to have in- SWITCH PLAYERS formation gaps as service gaps. Community edu- Scrutinize team composition. Who is most af- cation can be thought of as targeted coordination fected by the issue? Do any players have the of experts and outreach to (a) diverse lay audi- problem? Is everyone a professional? What ences that are able to respond to alerts and ad- about paraprofessional staff and client group vice and (b) opinion leaders who help diffuse participation (Arches, 1997)? Who has a vested information. interest (e.g., providers)? In short, maybe the wrong players are on the field. Bring in the hot- SELF-ASSESSMENT dog and peanut sellers or the fans, who may see Before tackling major information or service patterns more clearly than the players do. Who gaps through mutual cooperation, agency staff 406 COMMUNITY PRACTICE SKILLS

BOX 14.7 MISSOULA COORDINATES, CONNECTS

In a remarkable social experiment, a town and ences about the end of life. Meanwhile, a tiny county of 90,000 has come together to help peo- staff and 100 volunteers created a structure and ple have a positive dying experience. Back in office and raised funds. Among the task forces 1996, family practice doctor Ira Byock and developed and coordinated by volunteers are gerontologist Barbara Spring wanted to open a advance-care planning and linkage to faith com- public dialogue. Byock remembers, “We had munities, schools, workplaces, neighborhoods, this small group of people interested in hospice and the arts. Care circles are being created to care and we framed the challenge: ‘How can we help spouses practically and emotionally during integrate dying into the ongoing life of our com- the dying process. Efforts grow out of stated munity?’ Barbara and I said, ‘Let’s call a meet- needs, desires, and fears. One project printed ing and see.’ We took a small conference room hundreds of copies of a 1-to-10 pain rating scale at the Aging Services office and it was packed, on small cards carried by professionals and pa- people out in the hall. We got a bigger hall for tient alike. The scale enables patients to make the next meeting and again there wasn’t enough their degree of pain known. space for the turnout. And then, frankly the en- Note: Edited excerpts from Atcheson (2000, pp. 60–62) thusiasm became infectious.” Early on, a survey Reprinted with permission from Modern Maturity. Copyright examined townspeople’s attitudes and experi- (2002) AARP.

should ask themselves: Do we understand cur- gagement: tangible, such as a job, and intangi- rent service delivery problems? How well do we ble, such as inclusion or self-determination. use our own network to engage and empower In homecare and other direct services, in- citizens or to develop programs of social associ- creased attention is being given to consumer diation? Do we understand what is required in rection, consumer-guided services, stakeholder building a meaningful partnership? Up to now, control, and service user empowerment (self-de- have we ever established or led a local coalition? termination). People with problems may want to Do we understand the implications of federation proceed their own way. For instance, family or consortium building? Have we thought out members in Marietta, Georgia, decided to orga- collaborative agreements? Have the coalitions to nize the Suicide Prevention Advocacy Network which we belong evaluated themselves in terms (http://www.spanusa.org/). Eleven survivor of their stage of development and effectiveness support groups already existed in the state, and (Goldstein, 1997)? these people with suicide losses wanted to engage in a national advocacy effort. Similarly, Community Participation: Putting Service community residents want to influence their Users at the Center environments—not carry out someone else’s ideas—and think of “partnership arrangements Social workers agree with many others that a as a way of giving local people a major say over small group of decision makers ought not to run what happens in the area” (McArthur, 1995, p. towns or cities; instead, governments and large 66). If not control—in planning, service creation, local companies such as Hershey Chocolate are governance or evaluation—beneficiaries should better off including community members in at the minimum have peer representation planning from the “get-go.” This tradition (Masilela & Meyer, 1998). There should be larger stresses democracy, public participation in deci- numbers and more types of consumers in any sion making, multistakeholder accountability, collaborative or consortium. and maximum feasible participation by the poor (Gamble & Weil, 1995; Kramer, 1969; New Eco- Participation Programs and Precepts nomics Foundation, 1998; Potapchuk, 1996, p. 54). The goal of community participation is broad in- Mutual engagement with service users and the volvement of citizens in all phases of the improvement citizenry is more than a goal; it is our profes- process until residents “own” it and it is sustainable. sional obligation to do what is necessary to in- This usually requires benefits to flow from en- volve a diversity of community members (Daley USING ORGANIZING 407

& Marsiglia, 2000, p. 83). We mostly know our participation but things are more complicated own professional fields, our own circles, our than that phrase implies. Think of isolated rural group’s opinions. Rounding up “the usual sus- areas where there are few local resources to co- pects” for projects (Norris & Lampe, 1994, p. 6) ordinate, where reaching out means coordinat- or “the old reliables, all of whom hold essentially ing across distances, where there may not even the same point of view” (Ross, 1958, p. 8) for in- be telephones (McNellie, 2001). Moreover, ser- tergroup committees will not create the shared vice users may have little or no family support. ownership that leads to successful engagement. Add to this the fact that there are joiners and According to Miley, O’Melia, and DuBois nonjoiners in society. It is important to get par- (1998), three factors that increase the likelihood ticipation from all parts of the community, not of consumers’ successful participation are just those associated with the Rotary Club, 4-H, or the volunteer fire company or rescue squad. 1. a clear mandate for their participation If we coordinate solely with joiners and meeting-goers, we disregard most stakeholders. It is 2. a power base from which to assert their rights equally inappropriate to work only with those to participate, and who agree with us, who have pleasant person- 3. recognition of their legitimacy as spokesper- alities, or who can meet at times and places con- sons. (pp. 379–380) venient for us. Ironically, after outreach, we still should be prepared for disinterest or ambiva- In contrast, a community can be set up for fail- lence, lack of trust in the practitioner, and per- ure when residents are expected to (a) under- sonalized rather than communal outlooks. stand jargon and talk like the middle class, (b) donate considerable time as unpaid volunteers, Applications and (c) keep things going after professionals complete their project and more or less set them adrift (Lewis, Lewis, & Rachelefsky, 1996). Forming a representative group and enlarging Box 14.8 suggests ways to avoid being pater- the sphere of participation are worthwhile chal- nalistic. After the marginalized are included, the lenges, as the following examples illustrate. bottom line still remains: Do their views count? Involving people in task forces or coalitions A SYSTEM and sustaining their participation in oversight or Desiring participation from parents, students, community betterment efforts is not an easy task and residents, the Denver Public Schools created (Bennett, 1995). Some speak of a continuum of collaborative decision-making committees (CDMs) to

BOX 14.8 GUIDELINES FOR WORKERS URGING COMMUNITY INVOLVEMENT

• Identify your own values, agendas, interests, • Make realistic assessments with people of and goals and those of the people you are what is actually achievable in any given situ- working with and distinguish between the two. ation; what the possible outcomes are and • Own your own role and power; recognize the what the costs may be so that people can make skills and information you have and never as- an informed decision about what they want to sume that others share it. do. • Recognize that enabling people’s involvement • Be sensitive to the fears and uncertainties peo- is an essential community work task in itself ple have. and not something that can be taken for • Appreciate and respond to people’s need for granted in pursuit of other goals. self-confidence and assertiveness in working • Build on the skills and experience that people with you. have. Source: Croft and Beresford (1988, pp. 278–279). Copyright • Give people the opportunity to work out their Community Development Journal. Used with permission of Oxford University Press and the authors. own forms and objectives for involvement and be aware of the danger of unintentionally im- posing your own. 408 COMMUNITY PRACTICE SKILLS provide opportunity for systematic involvement sentative). Yet how much better to be faced with in local schools, including hiring and budget de- this dilemma than with apathy. cisions (Kreck, 2001). The CDMs are composed of the following members: A SUMMONS Since several Canadian provinces are working 1. The school principal to make the citizen the ultimate voice in health 2. Four teachers chosen by faculty vote planning, they encouraged communities to cut a wide swath in forming health-planning groups. 3. Four parents or guardians nominated by the The experiment, analyzed by Joan Wharf Hig- school’s PTSA or other parent/community gins (1999), found that certain Canadians were organizations, or self-nominated and elected heard from less than others, if at all: people with by the majority of parents who have children mental illness, persons with disabilities, single in the school parents, street youth, teenagers in general, and 4. One classified employee (not a principal or First Nation bands (tribes) on and off the reserve teacher) chosen by a vote of classified em- (p. 288). Professional people, often white and ployees at the school middle class, usually have the wherewithal to 5. One business/employer or community rep- work the system. Higgins found that Canadians resentative from the local community nomi- who participated in the planning “possessed the nated by a member of the CDM committee discretionary financial and personal resources and approved by other CDM members necessary to attend evening meetings and week- 6. In middle and high schools, two student rep- end forums, and to devote a large amount of resentatives selected by the student council. time and effort to the process” (p. 293). Such par- In middle schools, student representatives ticipants felt more connected to their locality be- will serve in an ex officio capacity (Kreck, fore they even started, so empowered people 2001, p. 25A). became more empowered (p. 295). Higgins conducted focus groups with the unintentionally excluded and found that “male, female, Caucasian But when issues get hot, things bubble up di- and aboriginal nonparticipants alike echoed a rectly from neighborhoods and people become desire to be valued as citizens” (p. 296). Higgins impatient. According to Kreck, several incidents criticizes a “reliance on a shallow repertoire of have occurred: participation techniques” that reach only the middle class, but adds that the burdens, alien- • In Montbello, frustrated residents bypassed ation and sense of inadequacy of the excluded the formal process, found the principal they cannot be easily overcome even with a bigger or wanted to lead the school out of troubled more flexible participation menu (p. 301). If times, and successfully lobbied to get him the agencies want more participation in community job. development from traditionally underrepre- • Padres Unidos [a group of Latino, African sented citizens, their staff must reach out to them American, and Anglo parents] bypassed the and become involved in their lives (p. 302). Fi- school’s CDM in its efforts to bring reform to nally, the socially marginalized need the ability Cole Middle School. . . . They knocked on more to act—tactics and means. Otherwise, “partici- than 400 doors in the neighborhood to talk pation” is a social therapy activity. about conditions at Cole. . . . Padres visited schools in New York City that did a particu- Including the Often Ignored larly good job with low-income students of color. They came back enthusiastic, armed Practitioners ceaselessly experiment with with ideas for reform (2001, p. 25A). ways, such as holding community dinners, to involve the public. This means that community Padres Unidos is organizing and connecting workers strive to be flexible in routine situations in the coordination-participation tradition. Such where representatives of the public are involved. organizations pose a dilemma for Denver’s To give one example, members with precarious school superintendent: how to balance feedback- health can be encouraged to send proxies to demands from the established decision-making planning meetings to ensure that their views get committees (who may be out of step with the heard (Cornelius, Battle, Kryder-Coe, & Hu, community) with feedback-demands from grass- 1999). It means that community workers strive roots groups (who may be only narrowly repre- to create partnerships of many types. Social USING ORGANIZING 409 workers often work with marginalized people, tion. Citizens understand “the difference be- with people who are unwanted in community tween participation and control” (Ewalt, 1998, p. activities because they are disabled, ugly or do 4).12 A savvy practitioner will consider these not look “put together,” have contagious med- points: ical conditions, or are labeled, for instance, as mentally retarded. John McKnight (1995), who 1. Have you consulted with members of com- has sought ways to incorporate ignored or ex- munities about whom they want appointed? cluded people into community life, has observed 2. Have you asked current consumer represen- good results when community leaders and tatives whom they look to for advice and help informed individuals serve as “community with decisions? guides” for such left-out people. Guides can spot 3. Have you identified those who are widely ad- the capacities of a left-out person and use an in- mired by their peers? or those who epitomize terest as a link, for example, hooking that person a segment of the community? up with a church choir (pp. 119–121). Or the community worker can tap interests and values 4. Are you conversing with grassroots critics of of community guides who are willing not only your program, agency, or organization about to connect personally with socially ostracized or who should be added to the team? Con- excluded persons but to take them along to their versely, are you considering only those indi- own ongoing activities (see Chapter 2 in viduals who are acceptable to agencies and Schwartz, 1992). political offices? 5. Have you checked around in the community to see if the prospective representatives are Ensuring True Representation viewed as feet kissers or Uncle Toms? 6. Once a name is suggested, ask, Would this When Great-Society, war-on-poverty, model- person bring a new perspective or speak for cities, or empowerment-zone programs expand an underrepresented aggregate? How many and look for indigenous leadership, certain peo- followers could this nominee turn out for an ple often push themselves forward. Social event? What might this person need in order worker Nat Branson puts it this way, “When you to serve (transportation, child care)? have social programs coming into areas, there is a tendency for the more upwardly mobile elite In summary, the authors of this text agree with to take charge and to profit at the expense of the Stukas and Dunlap (2002), who call for “greater 11 poor.” This is a participation challenge. While attention to be paid to all of the constituent hustlers and the upwardly mobile may not be groups in the community involvement spectrum the most representative people, at least they are and the necessarily respectful and equitable re- from the neighborhood. Much worse, as orga- lationships that must be forged among them” (p. nizer Si Kahn (1970) reminds us, the power struc- 411). This means that ultimately neighbors must ture historically cultivated leaders: “Your lead- allow other neighbors to belong, join, and lead, ers, the poor community was in effect told, must regardless of religion, race, gender and other be people you can be proud of: well-dressed, characteristics (Horwitt, 1989). well-housed, educated, articulate. By implication, a poor man, a man who wore overalls and work shoes, who stumbled in his speech and Illustrative Exercises used ‘ain’t’ instead of ‘isn’t,’ who lived in a shack instead of a brick house, who walked instead of The purpose is to involve all stakeholders in riding in a Chrysler, who worked in a field or community building, especially the powerless. mill instead of an office or classroom, had no business representing himself in the centers of 1. Maternal and Child Health is offering Com- power” (pp. 40–41). Actually, a leader is some- munity Integrated Service System organizing one whom others follow. Young Minnesotans grants. You are pulling together street youth who voted in large numbers and affected the and their advocates to improve services and outcome chose television wrestler and radio obtain a clean-needle program. Plan how to talk-show host Jesse Ventura to be their gover- approach (a) provider agencies, (b) youth net- nor despite, or because of, the establishment’s works, and (c) different groups within the ad- view of him. dict population. Select an example from each Saul Alinsky talked about the difference be- and prioritize. The form below may be of help tween self-determination and phony participa- in this exercise or in your agency work. 410 COMMUNITY PRACTICE SKILLS

Whom would you involve? (be specific) Why would you involve that entity? How and when?

2. Your community foundation awards grants nect people to issues, literature, and each other to augment ongoing linkage projects. As a staff (National Public Radio, 2001); other cities also member of the foundation, you will be ask- are trying this experiment. Vehicles as diverse as ing each organization for references. Who community gardens and algebra/math-literacy could give you the best information and why? projects have been used to pull people together Put the ideal reference here: and to help them stand up to uncaring authori- ______ties. The Community Development Institute, a program of the Social Planning and Research 3. Your task is to establish an advisory board Council of British Columbia, has offered these composed of former and current clients. In the workshops: “Storytelling Ways: Exploring the past, several service users said that the agency Narrative Form,” “Creating Political Street The- needed a more suitable way to handle gripes. atre: A Crash Course,” “Building Community The director has given you a telephone num- Through Song,” “Drumming: the Heartbeat of ber for one client who had a gripe in the past. Life,” and “The Medicine Wheel—Creating Sa- Put below what you will do (action steps) and cred Space.” In short, community workers oper- in what order. ating out of this tradition creatively use what is a. ______at hand. Innovation can stave off burnout and b. ______release the energies of both grassroots activists c. ______and professionals. Box 14.9 summarizes the types of programs being undertaken across the country at the THE INNOVATION, NARRATION, AND community level, as tracked by progressive LIBERATION TRADITION fundraisers. If any of the above sounds far out, it may be Background reassuring to community change funders and administrators to hear that Robert Putnam The third connecting tradition is grounded in (2000), an influential academic, concludes his creativity and positive group consciousness book Bowling Alone with this agenda-for-change (Delgado, 2000; Walz & Uematsu, 1997). In con- item: trast to the mass-based tradition where folks speak of putting their bodies on the line, this ap- To build bridging social capital requires that proach asks people to put their minds on the line. we transcend our social and political and pro- It draws more upon cultural action and com- fessional identities to connect with people un- munications work, discourse, and dialogue than like ourselves. This is why team sports provide on the organizing-mobilizing principles, tactics, good venues for social-capital formation. and methods covered earlier. Equally important and less exploited in this Professionals in this tradition leave the trod- connection are the arts and cultural activities. den trail to explore alternative paths. Culture Singing together (like bowling together) does workers seek fresh ways to connect with not require shared ideology or shared social or denizens of the city or country and to connect ethnic provenance. . . . Let us find ways to en- them with each other and society. Much of the sure that by 2010 significantly more Americans population of Rochester, New York, for instance, will participate in (not merely consume or “ap- read and talked about the same book (Ernest J. preciate”) cultural activities from group danc- Gaines’s A Lesson Before Dying), as a way to con- ing to songfests to community theater to rap fes- USING ORGANIZING 411

BOX 14.9 WHAT’S GOING ON OUT THERE

Arts and cultural work Constituency organizing Coalition building Film, video, and radio productions Direct action Legal action Economic strategies Electoral work Grassroots organizing Long-range planning Mass mobilization Infrastructure Labor organizing Leadership development Popular education Public education [The italicized items fit our innovation, liberation, and narration tradition.]

Source: From Chapter 3 of Robin Hood Was Right: A Guide to Giving Your Money for Social Change, by Chuck Collins and Pam Rogers (with Joan P. Garner), 2000, New York: W. W. Norton. Copyright 2000 by Haymarket People’s Fund. Used with permission of W. W. Norton & Company, Inc.

tivals. Let us discover new ways to use the arts one need not care who should make the laws of as a vehicle for convening diverse groups of fel- a nation” (Cultural Environment Movement, low citizens. (p. 411) 1999). Thus, cultural activism can arise from any population; for example, francophones who Young people already are leading the way in want to preserve French culture in Canada, or these experiments (e.g., rap festivals), and we singing revolutionaries in South Africa. Artists can learn from them. and other culture workers use cultural symbols in their organizing. Cultural activism is a means to dramatize and Different Types of Change in the expose injustice and strengthen those who strug- Innovation Tradition gle by connecting them to their history, according to Richard Hofrichter (1993) who has co- Certain approaches to change ask us to step ordinated a network of environmental justice outside our comfort zones and be with others. groups. As a social change strategy, cultural ac- Cultural activism, multicultural organizing, tivism also seeks the rewriting of political con- feminist organizing, and the Freirean approach sciousness and political unity. Organizers con- are “interflowing” (Bradshaw, Soifer, & Gutier- sider how to challenge the dominant view and rez, 1994, p. 32) mainsprings of this tradition. These to connect disregarded people in vision and ac- approaches share common elements: (a) a strong tion, as director Spike Lee did in Do the Right oral tradition, (b) self- and group realization, (c) Thing (1989). Tactics vary: guerilla theater, rap cognitive liberation, and (d) the resilience and and slam contests, documentary film (for a good expressive power of people. A word about items resource, see Appalshop.org); for decades, Bread c and d: Cognitive liberation (Ash, 1972; McAdam, and Puppet from Vermont created gigantic fig- 1982) is freedom from prevailing dogma and ures to augment parades and marches. Here is openness to new possibilities—that other species one action. The 64 Beds Project involved artists can be treated unjustly, for instance, or that God who made beds to use in an all-night street is feminine. Resilience embodies the human ca- performance, community people who slept or pacity for laughter and for festivals or carnival thought in them, and homeless representatives (Irving & Young, 2002, p. 25; also see Felkins, who spoke at the event. Activist Sally Jacques 2002, p. 55). Self-expression can serve the pur- took this participatory project to many cities pose of liberation and rebellion, as when Kore- (Hofrichter, 1993, p. 93).13 ans sang coded folk songs during the Japanese Cultural activism creates opposition to perva- occupation. sive but invisible consciousness shaping. The activist does this by asking questions: Why is there CULTURAL ACTIVISM a business but not a labor section in the news- Scottish patriot Andrew Fletcher once wrote, paper? (Hofrichter, 1993, p. 88). Knowing that “If one were permitted to make all the ballads, people are ill equipped to resist corporate cul- 412 COMMUNITY PRACTICE SKILLS ture, the change agent helps people analyze links Beyond identity politics, Salcido (1993) urges between communication, power, and politics. “I culturally appropriate interactions, such as the watch soap operas,” said Paulo Freire, “and I interactions that occur when Anglos reach out to learn a lot by criticizing them. . . I fight with [tele- Latinos. Yet, when the culture and community vision], if you can understand. A commercial are unfamiliar (Daley & Wong, 1994), this is hard rarely catches me unawares” (as cited in Gadotti, to do. How much, for instance, does a native- 1994, p. 78). born African American social worker know To create concrete applications, we must be- about West Indians and foreign-born blacks, let come attuned to others’ experiential realities. Si alone Bosnian or Afghan immigrants? To give Kahn (1997) urges social workers to reach peo- another example, there are challenges—and sat- ple through “cultural work,” which he defines isfactions—for most social workers in working as “the conscious and strategic use of culture, with newcomers from Southeast Asia: craft and art to achieve political goals . . . The power of culture can also be an antidote to peo- Monks in orange robes dashed through a ple’s racialized and gendered inertia, to their in- muddy field . . . passing out pamphlets printed ability to see beyond their own eyes. . . . Cultural in Laotian, Burmese, Tibetan, and Vietnamese work can transform consciousness, can perform . . . [at] an all-day Buddhist festival celebrated the acts of political education that, combined yesterday by an estimated 2,000 people at the with community organizing, make social change Fauquier County Buddhist temple. . . . Wearing transformational” (p. 128). a suit with a yellow flower pinned to his lapel Like Woody Guthrie and Pete Seeger before was Souk Sayasithsena, an organizer of the fes- him, Kahn has inspired many through his own tival that celebrates the birth, enlightenment, music. (See Berger, 2000, for a thoughtful look at and passing of the Lord Buddha. All he could the role of protest music in organizing and so- do was feel proud. “When I first came to the cial movements.) Kahn is urging far more than Washington area, there was one Buddhist cen- entertainment by folk or mariachi players at the ter,” said Sayasithsena, who came here from end of a program or rally. Given the opportu- Laos in the late 1960s. “Now there are 53 cen- nity, we all have the capacity to express our- ters.” (Wax, 2001, p. C4) selves, to make rather than consume culture. Still, the issue is who gets heard and who gets News stories such as this one can provide us ignored, “which stories are legitimated and by with (a) the names of indigenous organizers or whom?” (Rappaport, 1995, p. 805). leaders and (b) times and places to introduce ourselves to them.14 Rubin and Rubin (1995) suggest that, to begin, we “elicit illustrative stories, MULTICULTURAL ORGANIZING narratives, and examples and infer the taken-for- “Disenfranchised, abandoned, and under- granted rules” (p. 175); also see Liese (2003). served communities of color need organizers . . . The better acquainted we become with reli- [to help] these communities establish and gious customs other than our own, the more reestablish dignity and opportunity,” Rivera and commonalties we see. Unfortunately, many ref- Erlich declare (1998, p. 256). Other subjugated erences from outsiders are discounting or nega- groups in liberation struggles also need new tive. Before and after the 2000 presidential elec- ways to engage, inspire, and unleash the imagi- tion, pundits and Republicans continually made nation. Since transformation can be visceral and sarcastic references to the Buddhist temple as a emotional, old organizing approaches may not shorthand for questionable fund-raising. “It’s work. Intellectual education methods “aren’t weird and unsettling for Buddhists to see that always adequate to deal with a transformative this is the only reference to Buddhism, in a con- process, particularly one which challenges text subject to ridicule” (Kraft, 2000, p. 23). We racism, sexism, homophobia, anti-Semitism, have to be in communication to even learn about and other barriers that divide people from each such hurts. After the terrorist attacks in 2001, a other,” asserts Kahn (1997, p. 128). Glugoski, number of religious groups reached out to local Reisch, and Rivera (1994) recommend that we Muslims. Friendships developed during joint “identify similarities as well as differences activities—ice skating, light suppers, visits by shared by all groups” (p. 85) and “adopt the role young people to the other group’s religious ed- of an active listener interested in discovering the ucation classes. Such activity promotes “inter- people’s world through dialogue” (p. 90). To do group solidarity” (Gutierrez, Alvarez, Nemon, & so requires in-depth exploring of least one facet Lewis, 1996) like that promoted by old and new of another’s world. settlement houses (Koerin, 2002). USING ORGANIZING 413

In multicultural organizing, we are learners sponse about pornography, harassment, and vi- and, surely, in the area of religious diversity, olence against women. After a fervent inter- there is much to learn about each other’s reli- change about identity, sexuality and power, a gions (Magida & Matlins, 1999). Who was Joseph feminist group often unites in a way that leads Smith? Why do Sikhs take the name Singh? to political action. Should we write “Koran” or “Qur’an”? Which From early youth on, boys hear that they are faith communities will join in political coali- meaner (more mischievous, violent, and selfish) tions? than girls. Once in a while an alternative narrative puts aside stereotyped views of gender, con- FEMINIST ORGANIZING siders the human ability to bond, and fortifies Women often focus on different social change other traits of caring, thoughtfulness, and friend- goals and concerns, for example, quality day ship. For example, a Responsive Community piece care, and prevention of the hundreds of thou- detailed the following: “When sixth-grader Ian sands of rapes and sexual assaults every year. began losing his hair because of cancer treat- Goals such as “taking back the night,” defending ment, 13 of his San Marcos, California, class- abortion clinics, and guaranteeing fairness to mates went to the barber and shaved their own prospective lesbian and gay adoptive parents are heads ‘because we didn’t want Ian to feel left feminist. Yet, feminist organizing tactics—from out.’ It started when Ian’s friend Taylor Herber community education to field organizing to use visited him in the hospital after an operation for of the Internet—may not be that different from non–Hodgkin’s lymphoma: ‘I thought it would those of organizing people in general. So what be less traumatizing for Ian.’ The other boys is feminist organizing? Certainly, some organiz- joined Taylor and laughingly called themselves ing by and for women is simply standard good the Bald Eagles. ‘What my friends did made me organizing: think of securing increased funding feel stronger,’ says Ian. ‘It helped me get through for breast cancer research. However, many fem- all of this. I was really amazed that they would inist organizers emphasize emancipatory or dis- do something like this for me’ ” (Communitar- course change and other unique features (Hyde, ian Skinheads, 1994, p. 79). Feminist organizers 1986; Peterson & Lieberman, 2001; Weil, 1986). can reprint such anecdotes to show that the prac- A list of feminist methods and techniques for tice of caring about others is not inherently fe- liberating practice developed by Bricker-Jenkins male; both genders exhibit it when encouraged suggests that we (a) use dreams, fantasies, and and socialized to do so.16 stories to surface strengths and perceptions of power; (b) use symbols, myths, and rituals FREIREAN APPROACH grounded in actual and desired realities; (c) en- Indigent and indigenous communities are the courage woman-affirming reading in profes- focus of this approach. To get a sense of the po- sional and popular literature; (d) use client jour- litical world as Paulo Freire saw it, imagine the nals, creative writing, art, dance, play, and Southern Hemisphere with a giant mouth— theatre;15 and (e) make women’s strengths and forced open—into which the North pours its cul- culture visible in the environment (Bricker-Jenk- ture. Then imagine the poor and illiterate, pro- ins & Lockett, 1995, p. 2934). These points tie to hibited from resisting, while the dominant in Gutierrez and Lewis’s (1994) philosophy about their own country demand passivity and the ed- feminist organizing: “Organizing involves both ucated force-feed knowledge down their throats. the rational and nonrational elements of hum- By contrast, Freire thought that everything an experiences, with emotions, spirituality, and was political and that humans had critical cu- artistic expression used as tactics for unifying riosity ready to be triggered in a situation of women and expressing issues. Involvement in learning among equals. Consider this scenario: social change is considered organic, not an ad- A child or adult is eager to read. Such a skill is junct, to women’s lives” (p. 31). To illustrate, a ticket to voting, economic survival, liberation. zany performance artist Pat Oleszko creates Freire directed literacy teachers to spend time elaborate costumes, in fact inflatable sculptures, learning the idiom, the phrases, the potent which have been displayed in the National Mu- words and themes of the area. The teacher or al- seum for Women in the Arts. In one video, she phabetizer had to figure out approximately two appears in a black dress covered with white dozen words that not only taught the vowels but gloves and starts a rhythmic chant that lasts min- were relevant enough to stimulate reading. (See utes: “Git yer hands off her, git yer hands off Box 14.10.) Drawings were often used. her.” Oleszko’s sometimes silly, sometimes Freire (1994) viewed popular education as shocking videos can trigger an impassioned re- nonformal interchange with people who dis- 414 COMMUNITY PRACTICE SKILLS

BOX 14.10 PAULO FREIRE AND LIBERATION

Born in 1921 in Recife, Brazil, Paulo Freire (in in 13 weeks. Paulo Freire wrote books such as Portuguese, pronounced Pall-ou FRAY ree) stud- Pedagogy of the Oppressed that still sell world- ied law, but became a teacher. His philosophy wide. Exiled from his own country for 15 years, was to relate education to a social context and the good-natured Freire made common cause to avoid “banking”—where students are empty with others, including social workers who ad- vessels into which teachers pour their accumu- mired his bottom-up change model. During his lated knowledge and maintain external author- career, he held government positions in educa- ity. Interested in illiterates, who would benefit tion and worked for diverse institutions—the In- from social transformation, Freire started work- stitute of Cultural Action in Geneva, Harvard ing in cultural circles, exploring liberating University, and the World Council of Churches. themes and words (hunger rather than food) that With a goal of political transformation, Freire related to problems lived by the group. modeled quiet ways to liberate the oppressed. What a track record he had. In northeast An optimist, he experimented his entire life with Brazil, he taught 300 adults to read and write in ways to enable people to break out of passivity 45 days. At Con Edison in New York, he used and silent subjugation. an inner-city vocabulary to teach functional il- Sources: Based on Associated Press (1997), Cashmore & Ro- literates to read at a sixth- to seventh-grade level jek (1999), and Gadotti (1994).

cover that they are capable of knowing (pp. ations, i.e., concrete realities (Freire, 1994, pp. 46–47). Such education, he believed, could trig- 205–207; Sachs & Newdom, 1999, p. 98); and (e) ger reflection and action (praxis) and social bringing forth social, political, critical consciousness transformation. For empowerment education or (Gadotti, 1994, pp. 147–149; Reisch, Wenocur & program development, Wallerstein (1993) says, Sherman, 1981). The last two points are illus- “Freire offers a three-stage method. The first step trated in Box 14.11, which shows Freire con- is listening for the key issues and emotional confronting fatalism. cerns of community people. . . . The second step is promoting participatory dialogue about these Using Narration concerns. The third step is taking action about the concerns that are discussed” (p. 222). While Freire’s work has challenged social As a person who was able to politicize as he workers for decades, narration is now coming to taught literacy, Freire grew in influence as or- the fore as a tangible way to recognize and sup- ganizers looked for role models that not only report strengths and to create a public conversa- spected oppressed and discounted peoples tion. A narrative can tell us something about but also immersed themselves in their world. people, their worldview, and their needs. Nar- Among the U.S. models were Dorothy Day, who ration is a dimension and a tool of cultural ac- established Catholic Worker hospitality houses, tivism, multicultural organizing, feminist orga- and Myles Horton of the Highlander Center in nizing, and Freirean popular education. Tennessee (Horton & Freire, 1990).

DEFINITION AND TYPES Social Work Connection Narrative deals with meaning, myth, metaphor, dialogue, and culture transmittal. A nar- Community practitioners are experimenting rative can lament or celebrate an individual, a with many ideas from Freire’s philosophy. These group, a community, a tribe, a quest. It can ex- include (a) basing nonformal education on everyday emplify shared experience or convey respect for experience (Castelloe & Watson, 1999, pp. 73–76; roots. It can crystallize professional values and Gadotti, 1994, pp. 18–19); (b) giving up the supe- highlight whether we do what we say we value, riority of being more learned (Carroll & Minkler, practice what we preach (Walz, 1991). A narra- 2000, p. 28; Freire, 1994, pp. 46–47); (c) becoming tive can be in the form of stories, rap, or con- humble to empower someone else (Blackburn, 2000, versation and its message may be overt or covert, p. 13; Freire, 1994, pp. 22–27; Glugoski, Reisch & such as resistance to oppression (Themba, 1999, Rivera, p. 90) (d) facing and overcoming limit situ- pp. 22–23). Julian Rappaport describes three USING ORGANIZING 415

BOX 14.11 DIALOGUE: A “SPACE OF POSSIBILITY”

Members of popular (populist) groups and other Almost all raised their hands, and said they illiterate people looked up to Paulo Freire for were. [Freire] picked out one of them and asked having studied. In the following excerpt from his him, “How many children do you have?” book, Pedagogy of Hope (1994), Freire recalls “Three.” the dialogue that occurred at one of his meet- “Would you be willing to sacrifice two of ings: them, and make them suffer so that the other [Freire] “And why couldn’t your parents send one could go to school and have a good life, in you to school?” Recife? . . .” [Audience member] “Because they were peas- “No!” ants like us.” “Well, if you, . . . a person of flesh and bones, “And what is ‘being a peasant’?” could not commit an injustice like that—how “It’s not having an education . . . not owning could God commit it?” . . . anything . . . working from sun to sun . . . hav- A silence . . . Then: “No! God isn’t the cause ing no rights . . . having no hope.” of all this. It’s the boss!” . . . “And why doesn’t a peasant have any of this?” [Freire concluded:] From that point of depar- “The will of God.” ture, we could have gotten to an understanding “And who is God?” of the role of the “boss,” in the context of a cer- “The Father of us all.” tain socioeconomic, political system. “And who is a father here this evening?” Source: Freire (1994), p. 48. Used with permission.

types of narratives: dominant societal-cultural (Loeb, 1999, p. 212). Thus, narratives offer “new narratives, community narratives, and personal possibilities for staging a resistance to the dam- stories (Salzer, 1998, p. 570). Joseph Davis (2002) aging effects of social, cultural, and political contrasts self-narratives that are personal with dominant narratives and for inviting subjects to movement-narratives that are oppositional and write for themselves more empowering, less subju- subversive, that is, war stories that help form col- gated narratives [italics added]” (Wyile & Paré, lective recognition and identities (pp. 22–26). 2001, p. 171).

BACKGROUND AND ROLES Inclusion, expression. A desire to bring out and Liberation. Professionals can elicit, hear, and give respect underlies ethnographic writing, steer narratives to encourage empowerment and which can be defined as accounts of the cultural- liberation. Clinicians may use narrative therapy, social world frequently rendered in the form of which holds that “people can continually and tales (Van Maanen, 1988). Kearney reminds us actively re-author their lives” (Freedman & that “any story represents other stories unheard, Combs, 1996, pp. 15–16). Community practi- untold, and unknown; we need to bring out tioners can shape or direct narrative to help peo- those stories also, especially for groups of people come together, achieve something, overcome ple whose stories have not been heard” (as cited a difficulty or change, or regain self-respect. Oral in Soska, 2001, p. 17). Hence, we want to listen histories, a form of narrative, can reveal journeys to the oldest narratives of our land from the Inuit from accommodation to self-determination and and other First American tribes, stories that can effective resistance. To wit, in interviews he con- trigger profound insights (Storm, 1972). In any ducted, Couto (1993) found “common elements town or city about which we care, we want to in the stories such as a member of the commu- listen to large and small aggregates through nity looking at a dominant person in the eye and “community telling.” the art of challenging a dominant person without incurring retaliation” (p. 70). If the conven- Transformation. It is possible, communications tions of daily life in society so dominate us that professor Norman Denzin (1997) proposes, to we are unable to challenge, as some theorists be- integrate narration with community change lieve, then narratives may provide a means to through a feminist, communitarian, and ethical stumble into, arise into, or discover means of form of ethnography: “It seeks to produce nar- liberation from conventionality and passivity ratives that ennoble human experience while fa- 416 COMMUNITY PRACTICE SKILLS cilitating civic transformations in the public (and nizer maintains a low profile and supports grass- private) spheres. This ethic promotes universal roots leaders, the storyteller who connects peo- human solidarity. . . . The ethnographer discov- ple and problems can be famous or unknown. ers the multiple ‘truths’ that operate in the so- Social workers can look for dedicated commu- cial world—the stories people tell one another nity stars that can help an issue “become pop”; about the things that matter. . . . These stories or, to get the story heard, can themselves adopt move people to action” (pp. xiv–xv). Denzin also the earmarks of Bono’s leadership: confidence, suggests merging ethnography with applied ac- commitment, knowledgeability, and flair. The tion research and the new public journalism (see key is reaching audiences. This chapter opened Chapter 3, this volume). In his view, caring pro- with a group home news article that illustrates fessionals could take on new roles. These would how compelling the story can be (also see Kot- include acting as a scribe or “cultural critic” (p. lowitz, 1997). 225) and as a “watchdog” for the local community, one who tells “moving accounts that join private troubles with public issues” (p. 282). The Purposeful Use of Narrative

Narratives have potency at the macro level. Consciousness Raising and Persuasive arguments embedded in a story form Activism with Flair can be an effective springboard for internal transformation of an organization, says Stephen Significantly, narratives are told and heard by Denning (2001), and for gaining support from inactive as well as politically active members of external constituencies, according to Pursey society. The average person rarely tunes out sto- Heugens (2002). Change agents use narratives to ries as quickly as manifestos, which is why most achieve a practical outcome, to help people make U.S. citizens know about the Trail of Tears or a leap in understanding, to encourage groups to Japanese internment camps. Here we mean al- bridge across differences, to create confedera- ternatives to the imposed narratives that often tions, and to forward causes. One sociologist ar- flow from partisan politics. Wyile and Paré gues that social movements consist of “bundles (2001) speak of unhorsing privileged narratives of narratives” (Fine, 2002). Joseph Davis (2002) and letting common people “seize the reins of explains, “Through stories, participants, actual meaning” (p. 156). and potential, are called . . . to identify and em- An amazing variety of influencers emerge from pathize with real protagonists, to be repelled by this tradition, both uncelebrated citizens and fa- antagonists, to enter into and feel morally in- mous performers. To use a dramatic example, volved in configurations of events that specify who or what did more to expose and change injustice and prefigure change. . . . [Key] public feeling about lynching: prominent law- events—be they sit-ins, nuclear accidents, or makers or anonymous news photographers? court decisions—are interpreted and made the Lofty sermons or Billie Holiday’s song “Strange basis for action through stories. . . . [Storytelling] Fruit”? Such change agents can be at risk just like specifies valued endpoints and stimulates cre- political dissidents. Some years ago the worst ative participation” (pp. 24–27). happened in a Chilean stadium. The political The purposeful use of narrative has other right publicly killed beloved singer Victor Jara. functions too. At a practical level, narrative allows A variety of spokespersons for the wretched of the us to reach those who cannot read. Song stories have earth have emerged, including the lead singer often served this purpose. Mexican revolution- for the Irish rock group U2. Bono (BAWN-oh) ary leader subcomandante Marcos (2001) has has been more than a concert fundraiser (Live composed free verse about values, which is more Aid); he once brought the United Nations a pe- easily memorized than most expository political tition signed by 21.2 million people. “It’s hard to statements. “Zapatismo poses the question[s]: imagine, but Bono is a serious player on Third ‘What is it that has excluded me?’ [and]’What is World debt, one of those vital but arcane issues” it that has isolated me?’ ” (p. 440). Marcos writes (Memmott, 2001, p. 1A). Bono explains, “Unless parables and updates old stories that can be re- these types of issues become pop, they don’t be- lated and discussed around a bonfire, part of come political. . . . As a performer I understand normal social practices. Some poke fun at the it takes a picture of me with the Pope or a pres- weaknesses of the establishment (“The Parrot’s ident to get debt cancellation onto the front Victory”), while others encourage acceptance of pages. Otherwise it’s just too obscure a melody differences such as sexual orientation (“The Tale line” (Memmott, 2001, p. 2A). While the orga- of the Little Seamstress”). Zapatistas use the In- USING ORGANIZING 417 ternet to spread their message, so they reach groups and a variety of human situations. There computer literate sympathizers around the globe are narratives by and about a Tuskegee World as well as illiterate indigenous people. Thus, the War II airman, a 25-year-old succumbing to narration method can include broad use of sim- muscular dystrophy, and a teenage girl living in plified stories to liberate and to combat oppres- a homeless shelter—“all members of a silently sion, to provide information, mental images, separated community,” (p. 1). As Abdulezer and coordinated messages (Themba, 1999, pp. (2001) summarizes, “The Clubhouse has become 140–141). a testbed for connecting communities around a At a psychological level, narratives allow the pow- digital hearth” (p. 1). erless to reframe their lives. Just as many individ- Stories can be powerful in unexpected ways. uals spend time in therapy ridding themselves Much of society operates by fiat: Here is how it of limiting personal scripts inculcated in them is! But stories are more unpredictable and can- by others, so people in certain aggregates cope not be controlled by the authorities. For instance, with social typing that limits them. Narratives before the change in governments in Czechoslo- can also disempower (Rappaport, 1995, p. 805). vakia, political leader and playwright Vaclav Those who live in public housing deal with Havel used the country’s black light theater tra- “pathological narratives” from outsiders. In re- dition and the underground press to send polit- sponse, residents tell defending stories and group ical messages. These messages contributed to a enhancement stories (Salzer, 1998, pp. 578–579). “velvet revolution,” where millions marched up Despite people’s reluctance to forgo their de- the main street and took over leadership with- fending stories, there are transforming possibil- out a shot fired. ities in their group enhancement stories. People Conversely, listening to stories can also be like to hear about “imminent possibility and tri- powerful in unexpected ways. Shields describes umph grounded in real circumstances,” notes a situation in which scores of Australian men re- Saleebey (1994, p. 354). He continues eloquently: acted with name-calling and near violence to the Tales of the quest for respect, relief, or re- fact that some Australian women had decided to demption or the creation and reviving of sym- demonstrate, alone, against the U.S. military. bols that unite hopes with action have moved Several male peace activists decided to listen to people and have encouraged them to alter or the angry, intoxicated men: “With a few chairs defy their circumstances. . . . So stories and and a simple sign, ‘Men Willing to Listen,’ they myths and narratives can be the instruments of set themselves up near the self-proclaimed ‘Men empowerment—individual and collective (p. Against Dykes (M.A.D.)’ camp. . . . Anger and 354). fear dominated their talk—that they, as men, As the growing literature on narration were excluded, not needed, rejected. As they stresses, ultimately the storyteller should come were allowed to talk out this anger and fear, a to view himself or herself as a story maker. more pressing fear was able to surface: that this [near riot] situation, which they had created, was getting out of control and lives could be in dan- Telling or Hearing Stories ger. . . . With a sense of urgency [those who had Establishes Connections been listened to] left to have a ‘pow-wow’ which led to the M.A.D. camp breaking up” (Shields, It is worth noting that the Midwest Academy, 1994, pp. 47–48). which trains social activists and community or- To recap, this change approach has been used ganizers, now includes a session on storytelling in myriad ways to link disparate people and as an organizing tool. The focus of the session is unify communities, build revolutions, or stop on the need to know people’s life stories as a nec- conflict between human groups. Bringing it back essary step in developing leadership and fram- home, direct service practitioners can elicit client ing issues (also see Ganz, 2001). In the same vein, narratives and highlight them as they stage pub- author and lecturer Paul Loeb (1999) believes lic issues. Through client narratives they can find that social involvement takes us into new worlds common patterns of collective identity and a where we will “take on new priorities, gain new common sense of grievance and community dis- skills, meet new people, hear and heed new sto- content. Similarly, rural and urban practitioners ries” (p. 214). can help get narratives disseminated, draw link- Some organizations use stories to connect peo- ages with community problems and assets, and ple who are physically apart (Ball-Rokeach, Kim, note commonalties between narratives that al- & Matei, 2001). The Digital Clubhouse in Sun- low disparate groups to find common ground. nyvale, California, draws stories from 10 ethnic Social workers can create awareness in change 418 COMMUNITY PRACTICE SKILLS groups of dominant community and societal- (banker), Judy Chicago (artist), and Jacob Riis cultural narratives so such narratives can be (photographer and author). How would you challenged and transformed. distinguish between innovative and trendy? Look up Dr. Patch Adams (humor in medicine) and Dr. Madan Kataria (laughing clubs). Illustrative Exercises17 Discuss the pros and cons of ego in a change agent. Watch the movie Bowling for Columbine 1. Narrative is not just speaking, signing, and by effective liberal communicator Michael writing; stories are told through videos, pup- Moore (2002), and discuss his use of self as pets, cartoons, and so on. This exercise is de- the narrator. rived from Augusto Boal, who developed the Theatre of the Oppressed, and Douglas Pa- terson (1995) of the University of Nebraska- Omaha, who extended it: THE THEME OF CONNECTING Write a short scene about someone (pro- It is clear that community practitioners can tagonist) dealing with oppression and failing play the role of connector. We complete our dis- because of obstacles (antagonists). Present it cussion with some worthwhile advice from a before your class. The exercise facilitator then cultural historian (p. 335, p. 336). Gene Wise tells the audience that the scene will be pre- (1979) urged the necessity for a “connecting sented again and when you would behave imagination . . . since few critical problems ever differently from the protagonist, stand up and get understood, let alone resolved by attacking yell. At that point the ‘actor’ sits down and the problem alone. Contemporary cultural prob- the audience member joins the troupe to show lems require understanding in their full inter- his solution (to audience applause). The fa- acting context. . . . [We need] a different quality cilitator has the class discuss the proposed so- of mind, a ‘connecting mind’ which can probe lution and offer more alternatives. beyond the immediacy of the situation to search 2. Research the innovation-narration-libera- for everything which rays out from it” (pp. tion accomplishments of Muhammad Yunus 335–336).

APPENDIX A: SKILLS VIGNETTE

A TRUE STORY ABOUT PUBLIC PRESSURE A different politician asks her name and the name of the facility and commiserates about We’re in our building’s auditorium. On loved ones getting old. A few more questions stage, six liberal and conservative mayoral come from others in the audience about trash candidates—having given their individual and bus routes. Then a man too nervous to stand pitches—are answering questions in phleg- speaks from his seat. He says the newspaper re- matic fashion. Scattered throughout the hall ported people had died from neglect in two are folks waiting for the right moment to bring board-and-care homes. up our issue, our solution, and our demand. One after another of the now alert mayoral Ah, here we go. candidates proclaims that they will be looking A person in our group stands up to declare into the board-and-care situation (obviously a his dismay with conditions at board-and-care hot topic for this audience). The moderator homes. Politicians are accustomed to hearing seizes on the motif and asks if anyone in the au- about people’s self-interest and seem surprised dience has positive suggestions about how to im- to be asked an altruistic question. One candi- prove the facilities. As planned, a woman who date asks how a 20-year-old became interested, is widely known in local politics states that, as and he explains. I smile across the room at our a nurse, she worries about many of the facilities young fellow after he sits down. Someone else she has to send the frail and elderly to from the in the audience asks about taxes and another hospital. Standing in the middle of the audito- about roads. Then at the back of the room a rium and speaking so all can hear, she states her young woman from our group holds up her hand eagerness to help if the city will support citizen and talks about how worried she is about her involvement. A long discussion ensues among nana who resides in a big, understaffed facility. the candidates on the stage about what oversight USING ORGANIZING 419

exists now and how the city could legally or ad- PRACTICE WISDOM ON ministratively get involved. ADVANCING THE CAUSE At a critical point, I rise to point out that the mayor signs the fire licenses for board-and-care Why did the plan work? It was easily grasped facilities, which could be a handle. I offer as a and did not cost the city anything. The spokesper- social worker to pull together a citizen moni- sons knew the problems, solutions, regulations, toring team to check up on the facilities and of- and licensing requirements and gave succinct fer help, if the new administration will endorse personal examples. With a huge contingent, sit- it. There is sudden note-taking by reporters elec- ting in a block is effective; with fewer activists, trified to have news from a routine candidate fo- being scattered conveyed broad support. Politi- rum. There are big smiles from the moderator cians grasp what troubles the public, maneuver and the candidates, who are relieved at having to avoid scenes, and take the path of least resis- a solution for a problem they had not even tance. The issue was new so candidates had no thought about before. To our amazement but established position. Board and care operators great satisfaction, all six candidates promise—if were not big campaign donors, but every voter elected—to vigorously support a citizen moni- has elderly relatives. Scandals and deaths cap- toring team to oversee and improve board-and- ture the attention of politicians, who do not want care homes. The meet-the-candidates event ends to be held accountable. Usually they hear, “You and reporters interview several of those who do something,” not “We want to do something.” spoke for us. The Organizing for Social Change manual (Bobo Four months later, we celebrate on behalf of et al., 2001) includes this statement: “The prin- poor, institutionalized, oppressed elderly per- ciple of this tactic is deceptively simple and di- sons when the real victory happens. After the rect. You ask for something, and more often than election, the social workers, nurses, and citizens not, you get it. It’s like magic and you say, ‘Why on our team are deputized by the mayor to co- didn’t we do this months ago?’ The answer is that ordinate, have access, write reports, and provide it probably wouldn’t have worked months ago assistance. Immediately, we begin visiting facil- because you hadn’t built up your organized ities. Eventually, a coalition forms around the strength, nor had you made the necessary strate- project, and a year later a Senate committee gic calculations” (p. 71). You cannot get what commends our monitoring team project. you do not ask for: Grab the moment.

Discussion Questions

1. Using the Skills Vignette, discuss how things Resource Center website (http://www.studycir- could have gone wrong or fallen apart. What cles.org). These may involve people in a town; would get the effort back on track? Red Deer, Alberta, Canada has a study circle. These may involve a common interest; Middle- 2. Some change agents are interested in public bury College in Vermont has an Arabic study cir- service; others want public transformation. Where cle. In which tradition of connecting people does does the coordination and participation tradition the study circle best fit? fit? What does it mean to let people define their own issues? 6. A challenge: Reread Norman Denzin’s (1997) suggestions for new roles. Review earlier chapters 3. Given discrimination, coming out about one’s to clarify terminology. Are you able to explain his sexuality is an act of defiance (Stockdill, 2001). rather complicated ideas in your own words? Debate this question: Is coming out, by itself, a 7. Role-play: You tell your governing board that gesture that epitomizes the social action tradition you plan to involve interested indigenous leaders, or the innovation-narration-liberation tradition? service users, and service providers. Board mem- 4. Interpret the following adage: “When you’re bers ask (a) how you will identify interested and pushing the wagon, don’t forget to sing.” indigenous stakeholders, and (b) why you want to line up those already interested rather than those 5. Using the Internet, look up “study circles,” a who never participate but should be interested? popular new phenomenon, on the Study Circles Respond. 420 COMMUNITY PRACTICE SKILLS

Notes

1. For background on community capacity, see vice, coordinate systems building efforts, and sup- Bowen, Martin, Mancini, & Nelson (2000); port community organization activities. CISS is Chaskin, Brown, Venkatesh, & Vidal (2001). part of the U.S. Maternal and Child Health Bu- reau. 2. The organization-mobilization tradition is similar to Rothman’s social action mode and to Jef- 10. Copyright is held by the Administration in So- fries’s direct action and social campaign modes cial Work journal. Excerpts from Cohen are used (see Chapter 2, this text). The coordination-par- with permission from Haworth Press. ticipation tradition is similar to Rothman’s social 11. Nathaniel Branson, University of Maryland at planning and Jeffries’s partnership promotion Baltimore, interviewed by Maria Luisa Tyree mode. The innovation-narration-liberation tradi- (March 27, 2001). In Horwitt’s biography of Alin- tion can be likened to Rothman’s locality devel- sky (1989), a powerful contrast is made between opment mode and Jeffries’s capacity and aware- the roles taken by upwardly mobile Robert J. ness promotion mode but is a more encompassing Dunham and Dan Carpenter versus true commu- and experimental practice model. For more on nity member James R. Norris. community organizing practice models, see Hardina (2002, Chapter 4). 12. Community engagement and public consultation materials can be found on-line at the web- 3. In 2002, journalist Katherine Boo received a sites Principles of Community Engagement (http:// MacArthur “genius award” for her writing about www.cdc.gov/phppo/pce) and Association for the less fortunate; earlier, the Pulitzer Prize pub- Community Organization and Social Administra- lic service committee singled out her work. tion (www.acasa.org). For more on identifying 4. Experienced organizers know that connecting leaders, see Kahn (1991) and Bobo et al. (2001); through action, for example, in a political cam- on identifying stakeholder groups, see Chrislip paign or a social movement, usually brings an in- (1995); on stakeholder management, see Huegens crease in power (see Chapter 4, this text) and that (2002). standing up for social justice may trigger red-bait- 13. For advice on planning cultural actions, see ing and name-calling (“anti-American”); see Hor- Incite! Women of Color Against Violence (avail- witt (1989, Chapter 16). Yet, as the old labor song able through P. O. Box 6861, Minneapolis, MN). “Joe Hill” tells us, it takes more than names, elections, or even guns to kill the organizing spirit. 14. Keep an eye and ear out for resource people. For example, a radio show on ethnic media had 5. Parren Mitchell was interviewed by Michael four guests concerned about various immigrant Oppenheim for Powers, P. (Ed.). (1994). Chal- groups: Andrew Lam (Vietnamese), Pilar Marrero lenging: Interviews with Advocates and Activists (Latino), Ibhrahim Nidal (Arab) and Mei Ling Sze [Monograph]. Baltimore: University of Maryland (Chinese). Expand your contact list by culling at Baltimore, School of Social Work. names from media outlets. 6. For more on recruiting members, see Bobo et 15. Think of the Vagina Monologues play. See al. (2001) and Kahn (1970, 1991). For 20 strate- Halperin (2001) for group work and theatre. gies used to reclaim a park by involving more and more people, see Steve Coleman’s article, “Orga- 16. At a practical level, rape victim and author nizing and Programming Across Cultural Bound- Anne Marie Aikins of AMA Communications has aries” (Urban Parks Online, 2002) at the Project written “Authentic Boys/Safer Girls: A Teacher’s for Public Spaces Web site (http://www.pps.org/ Guide to Helping Boys Break Free of Gender topics/parkuse/coleman2). Stereotyping” (133 Morse St., Toronto, ON Canada M4M2P9) to bust the negative “boy code” 7. Copyright 1999, by Makani N. Themba. that distorts the boys’ real selves. At a theoretical Reprinted by permission of Chardon Press and level, while our example exemplifies sincerity, not John Wiley & Sons, Inc. performance or farce, identifying the artificiality 8. Kerry Miciotto, formerly of Solidarity Sponsor- of gender distinctions and moving toward a de- ing Committee (SSC) and IAF, interviewed by construction of traits would fit with feminist the- Karen Sokolow and Sharronda Jackson. Janice orist Judith Butler’s idea of gender as a form of Fine (n.d.) calls Miciotto “a talented organizer “drag” with no core (Klages, 1997). who interned with Solidarity as part of her MSW 17. Here is an online experiment with nontradi- training and subsequently joined the staff” (p. 14). tional change. For an introduction to issues about 9. The example in the text is a project funded by the Nike corporation, see the home page of Pro- Community Integrated Service Systems (CISS). fessor David Boja at New Mexico State Univer- CISS seeks ways to assist communities to better sity (http://cbae.nmsu.edu/ϳdboje/) and click on meet consumer identified needs, fill gaps in ser- the link “Nike Studies”. USING ORGANIZING 421

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Mrs. J., a 30-year-old white female, was referred to a family services agency (FSA) for help. Her husband chronically physically and emotionally abuses her. Mrs. J. quit high school in her sophomore year because of pregnancy with her first child. She didn’t return to school or obtain a high school equivalency certificate. The child, John, is now 14 years old. Mrs. J.’s current husband is not John’s father. This is a source of conflict in the family. John and Mr. J. do not get along. Mr. J. is repeatedly physically and emotionally abusive to the boy. John is habitually absent from school, insolent, and a member of a loose-knit gang of antisocial white youth who call themselves skinheads. He often is out of Mrs. J.’s control. Mrs. J.’s second child, Susan, is 10, She is Mr. J.’s daughter, and he adores her. Su- san worships John, and Mrs. J. is worried that Susan is picking up John’s wild ways. The family moved to the community about 6 months ago from another state. They moved so that Mr. J. could find employment. He obtained work as an auto mechanic (his occupation) and has been working consistently since their move. He financially supports the family. John’s biological father provides neither financial nor emotional support. He doesn’t have any contact with John. Mrs. J. has not worked outside the home for the decade of her marriage. Prior to her marriage, she worked for about 3 years as a waitress. Her mother babysat John. Mrs. J. met Mr. J. at her waitress job. She has no other paid employment experience. She now wants to find a job so that she and John will be less financially dependent on Mr. J. Her desire for a job is a source of friction between her and her husband. He believes that supporting the family is his responsibility, and that Mrs. J. is responsible for the children’s upbringing. He tells her she is not doing a good job raising the children. They are “going bad.” How does she expect to both work outside the home and properly bring up the children when she can’t bring up the children now? She should, her husband believes, devote her energy to being a homemaker and supervising the children. He does want John to get a job, because John is not passing or attending school regularly. Their discussions on these matters generally result in violent arguments. Mrs. J. has neither close friends nor relatives in the new community and rarely gets out of the home except for household duties. She does not have a primary social support system. She feels socially isolated and marginalized, in addition to her marital and family problems. 426 COMMUNITY SOCIAL CASEWORK 427

Mrs. J. came to the FSA on a referral from an emergency room doctor treatment for an injury apparently caused by her husband’s abuse. Mrs. J. told the emergency room doctor that she fell, although the indications were that the injuries were from abuse. The physician made no police referral, because Mrs. J. was adamant that it wasn’t abuse. The doctor urged her to go to FSA in any case. Mrs. J. did tell the FSA intake social worker about her violent arguments with Mr. J. and that she would like to figure out a way to either end Mr. J.’s abusive behavior toward John and her or to find a job and leave the home with her children. John has told her that he will leave home and live with his skinhead friends if the abuse continues. Mrs. J. is afraid that John’s violent friends may seek revenge on Mr. J. For now, Mrs. J. is at a loss to do anything, because she has no close friends or family supports in this community, no place to go, no money of her own, no source of income other than Mr. J., and no idea where to turn for help.

WHAT IS COMMUNITY SOCIAL CASEWORK? by formal tertiary social agencies and social services providers (Adams & Nelson, 1995; Bar- Mrs. J., like many clients, is caught in a web ber, 1991; Gordon & Donald, 1993; Henderson, of social conditions requiring myriad commu- Jones, & Thomas, 1980; Karabanow, 1995; Payne, nity resources and social supports and her own 2000; Phillips, Bernard, Phillipson, & Ogg, 2000; capacity and strengths to improve her life. Un- Quinn, 1995; Smale, 1995; Whittaker, Garbarino, fortunately, if community resources exist, they et al., 1983; Whittaker & Tracey, 1989). Commu- usually are not organized in ways conducive to nity social casework views the community as (a) easy access and use by clients. Often, clients like a source of resources for addressing and resolv- Mrs. J. (and the social workers they turn to) are ing concerns and (b) the locus of problem-per- ignorant of the social reasons for their problems petuating interaction. Social workers should and the community resources available to ad- work with and within the community and the dress them. They are also often naive of the im- family and other secondary groups rather than portance of primary and secondary resources. attempting to substitute for them. Community The social worker retreats to a biopsychological social casework accepts that professionals are problem construction and intervention leading not at the center of helping systems. Others do to a mental illness diagnosis out of fear of ven- most of the caring and managing: families, kin, turing into the community. For successful inte- neighborhood networks, informal groups, and gration of a client into the community, the client formal organizations such as churches and and social worker have the tasks of community schools. Effectiveness depends on how well the assessment to locate and then use community professional caregiver interacts with the whole skills to network with primary, secondary, and complex of formal and informal elements to tertiary resources and social supports. The so- strengthen a community’s capacity to care for its cial worker needs to be a community social members and address shared needs and con- caseworker. cerns (Adams & Nelson, 1995, p. 6). Community social casework draws from a rich Community social casework draws heavily heritage and antecedents of prepsychotherapeu- from the British models of casework with their tic social casework (Richmond, 1917, 1922). The community and network analysis and patch ap- International Association of Schools of Social proach (Adams & Krauth, 1995; Gordon & Don- Work (IASSW) and the International Federation ald, 1993; Payne, 2000). The patch approach of Social Workers (IFSW) drew from this her- focuses on neighborhood-sized geographic itage in their joint definition of social work in- catchment areas or patches where the resources tervention. “Social work intervenes at the point of informal networks of kin and neighbors are where people interact with their environments. used and built upon to address individual and . . . Social work in its various forms addresses community problems (Adams & Krauth, 1995, p. the multiple, complex transactions between peo- 89; Adams & Nelson, 1995). The patch is gener- ple and their environments (“IASSW, IFSW An- ally the neighborhood, but it can be a geographic nounce Joint Definition,” 2001, p. 31). area with a population as large as 20,000, to al- Community social casework recognizes that low for a sufficient resource base of assets (see most social supports are provided by a commu- Chapter 5, this text). The patch approach local- nity’s primary and secondary groups rather than izes and integrates services at a neighborhood 428 COMMUNITY PRACTICE SKILLS level without overly clientizing the client. Clien- Management language with its rhetoric of clients tizing means making the client dependent on the as customer and evidence-based practice defines caseworker—or therapist—and social agencies. the helping process rather than the profession’s Community social casework is inherent in good language. patch work. It calls for a unitary practice ap- We discussed in the first edition of the text proach recognizing the integrality of social sup- several unifying themes for social work. These ports, social problems, and client problems. It underlie community social case work: acknowledges a need for client involvement in neighborhood and community’s formal, infor- • All people have the capacity to improve. mal, and political organizations and processes. This is vital to solving both client and commu- • Individual lives are entwined with the social nity problems. Community social caseworkers environment. use a patch approach to weave clients into pri- • Social networks and organizational infrastruc- mary social supports, a neighborhood’s sec- ture affect professional practice. ondary social supports, and a community’s more • Strengthening community can solve individ- formal tertiary social supports (Adams & Nel- ual and community problems. son, 1995, p. 8–9; Adams & Krauth, 1995; Barber, 1991; Smale, 1995). • Community is cardinal in current views of per- Community social casework stresses what sonhood and nationhood. Sheppard (1991) calls indirect helping as “activ- • Knowledge of the larger world is empower- ities that the worker undertakes on behalf [italics ing. added] of the client to further mutually agreed • Collective, as well as individual, activity is of upon goals” (p. 3). Indirect helping is work with value. others designed to influence a client’s behavior • At every system level, there are myriad ways and/or circumstances. Sheppard’s British con- to exert influence. ception of indirect practice differs from the more typical U.S. conception of indirect helping put forth by Taylor and Roberts (1985, p. 18), which Our model of community social casework un- equates indirect helping or practice with com- derstands, as do Swartz (1995), Raheim (1995), munity organization and administration using a Smale (1995), and Lee (1994), that all social work direct-indirect practice dichotomy along a micro– is political and must be directed toward client macro continuum. This model of indirect practice empowerment. It is political because it is con- is client focused. Community social casework cerned with the power distribution in commu- views community practice as indispensable in nities. Change in an ecological model must casework. Casework requires understanding, involve community as well as individual. The modifying, and using the community to mold client must be community involved. Although and pursue case objectives. It assesses, modifies, using social marking skills and market analysis, and uses a client’s social and cultural context. this model rejects the commercial rhetoric and Community social casework is radical because it constructions of practice as products and clients goes back to the profession’s roots. as consumers and customers. Client community Community social caseworker continues the involvement is an instrumental action toward ef- development of the comprehensive case man- ficiency and effectiveness in addressing client prob- agement model discussed in the previous edi- lems. It is a normative action because it is right, tion of this text. We have discarded the case man- as well as a client right and community citizen agement label as antiquated in this text. Case responsibility. Interventions either preserve or management has been co-opted by agencies and change the status quo for clients. Everything in has lost its original community flavor.1 Walker treatment, intervention, and social services pro- (2001) asserts that the language and modeling of grams can be presented in a way that promotes management and protection of the enterprise client consciousness, change, and empower- have become more dominant. Case management ment. There is no objectivity or professionalism as a social work practice model has been co- in maintaining a socially marginalized client’s opted from its social work roots by the agency. status quo. A social worker has a responsibility The social work mission has become confused to demystify and help clients understand (a) the with its organizational and institutional con- processes of services, (b) their regulatory func- texts. Management controls the worker’s relations, and (c) how both services and a client role tionship with clients to the detriment of both promote the status quo. The scarcity of social workers, as professionals, and service users. welfare resources and extreme concentration of COMMUNITY SOCIAL CASEWORK 429 resources in the upper strata of society pits var- (f) evaluating the service system’s effectiveness ious client and community needs, client groups, (Dinerman, 1992; Morrow-Howell, 1992; Rubin, community constituents, and service providers 1987; Washington, 1974; Wolk, Sullivan, & Hart- against each other. This is heightened by the mann, 1994). elite’s current infatuation with globalization, the market model, and the privatization and com- Social Casework Skills mercialization of education, health, and social welfare services. It is a professional responsibil- Community social casework incorporates the ity and part of empowerment to radicalize range of direct service knowledge and skills clients and communities and help them under- characteristic of and necessary to a social case- stand the political nature of social welfare. Hid- work and clinical social work practice case plan: den injuries of class and caste should be re- client assessment, developing case theory, es- vealed. The social worker needs to take sides tablishing case and intervention SMARRT ob- when people are wronged, if the professional jectives, contracting with the client on SMARRT value of social justice is to be meaningful. objectives, implementing and monitoring inter- Community social work, by its many labels, ventions, teaching and modeling of intervention recognizes clients as partners and necessarily ac- skills for a client and others in the action system tive participants in any change processes, and to use, and the evaluation with the client and not as passive recipients of services. Community other significant stakeholders of objectives’ suc- social casework is a unitary and holistic practice cess. Modeling and teaching are essential case- approach. The change partnership of client and pro- work intervention tasks. The intent of teaching fessional with community civic structures al- the knowledge and demonstrating and model- lows and provides the client with opportunities ing the skills to clients is to enable clients to do to reciprocate the community for service, recog- their own assessment, development, and man- nizes client strengths, enables clients to contrib- agement. Clients better able to develop and man- ute to building community strength and cohe- age their own social support systems will be able sion, and promotes both client and community to better manage their lives. Modeling and teach- empowerment. ing improves client self-efficacy and promotes client empowerment (Pecukonis & Wenocur, 1994). Clients will need the skills to manage their COMMUNITY SOCIAL CASE WORK lives long after the social caseworker is gone. KNOWLEDGE, SKILL, AND TASKS These skills ought to be common to all direct ser- Case Management Skills vice practice.

Community Practice Skills Individual clients like Mrs. J. face a resource management and coordination challenge. Es- sential resources are integrated into a total sys- Community social casework recognizes the tem for goal accomplishment (Wolk, Sullivan, & social component and context of the client’s con- Hartman, 1994, p. 154). The community social dition and problems and uses formal and infor- caseworker and client’s tasks include case man- mal community resources in the intervention. agement tasks. The disparate and unorganized, The community social work approach empha- but potentially available community resources sizes primary and secondary networks as much and primary groups support groups as well as as tertiary resources. A good understanding of the client’s personal resources, need to be ac- the local community, including the client’s per- cessed, organized into a system, and managed sonal community, is fundamental. Different (Travillion, 1999, p. 53). Community social case- communities have different patterns of behav- work approaches social intervention with the ior, power, and resources. This requires com- logic of management by objectives. It is a client- munity assessment skills. centered, client-level, service-coordinated, goal- oriented approach to service integration (Chaz- PATCH ANALYSIS don, 1991). Fundamental management skills of Community practice skills of community so- community social casework include (a) plan- cial casework are set forth in Box 15.1. Most have ning; (b) organizing and managing the services been discussed extensively elsewhere in this system; (c) directing and controlling; (d) advo- text. The foundation for all community practice cacy, negotiation, brokerage, and contracting is community and network analysis, ecomapping, with other service providers; (e) reporting; and and patch analysis. The first sets of skills have 430 COMMUNITY PRACTICE SKILLS

BOX 15.1 COMMUNITY SOCIAL CASEWORK TASKS

• Interpersonal communication (verbal, writ- • Client advocacy, brokering, negotiation, and ten, nonverbal), self-awareness, and oral and contracting visual physical presentation of self • Direct casework • Outreach to reach potential clients and po- • Teaching and modeling tential primary social supports • Reassessment and evaluation • Client assessment, SMARRT objective set- • Problem staging, public education, social ad- ting, and case theory building vocacy, and social marketing • Ethnography • Monitoring quality • Community, patch, and network assessment • Network development, management, and consultation

been extensively discussed elsewhere in this and participates with a client in the client’s text, so we will not review them at length here. community. Ethnography’s is concerned with Patch analysis is a specific form of community events, relationships, and, most significantly, the analysis. It is an intensive form of microcom- meaning of these to their participants. People in- munity assessment that is neighborhood and terpret stimuli and events, and these interpreta- client centered. It inventories a neighborhood’s tions, continually under revision as events un- primary, secondary, and tertiary resources and fold, shape their actions. The same physical the networking requirements that are potentially stimulus and events can mean different things most available to a client population. It enables to different people and to the same person at dif- the localization and integration of neighborhood ferent times (Blumer, 1969; Hammersley & level services and social supports assessable to Atkinson, 1983, p. 7). The community social case- clients. It is client focused and intimate. True worker needs to appreciate these meanings. patch work involves both worker and clients in Community, patch, network analysis, and ecomap- the community (Adams & Krauth, 1995; Dalton, ping are not ends but only means to developing Elias, & Wandersman, 2001; Dutton & Kohli, client supports, achieving community integra- 1996; Payne, 2000). tion, and reaching case objectives. These skills will need to be accompanied by the skills necessary to create, access, and integrate clients into ETHNOGRAPHY primary social supports and a community’s sec- Patch analysis and the patch approach require ondary and tertiary social support systems. Ne- ethnographic skills with the worker functioning gotiating, brokering, bargaining, and client ad- as participant observer. A community social vocacy skills enable networking, exchange, and caseworker’s research expertise must go beyond social support to occur. Advocacy, as Payne quantitative and survey research ski1ls to profi- (2000, p. 323) asserts, goes beyond arguing and ciency in ethnography. Ethnography is “associ- includes social action on behalf of and with the ated with some distinctive methodological ideas, client. Advocacy promotes client community . . . the importance of understanding the per- empowerment and humanizing the client into spectives of the people under study, . . . observ- full citizenship status. ing their activities in everyday life, rather than Community social casework skills are client relying solely on their accounts of this behavior centered but are not limited to a single client. or experimental simulations of it” (Hammersley Community problem staging and advocacy for & Atkinson, 1983, p. ix). resources development are used to translate Ethnography draws on a range of philosoph- clients’ private troubles into public concerns. So- ical and sociological ideas: symbolic interaction- cial marketing and social activism for services ism, phenomenology, hermeneutics, naturalism, and community change are part of a complete and linguistic philosophy, to mention but a few. community social caseworker’s repertoire. Its field methodology is participant observation. Again, these are done with and not just for A community social caseworker both observes clients. COMMUNITY SOCIAL CASEWORK 431

COMMUNITY SOCIAL CASEWORK PROTOCOL munity resources appropriately coordinated and managed. 1. Preliminary Community Assessment and Assessment results in a theory of the case. The Patch Analysis case theory explains a client’s situation and organizes case information to provide a map, a A requisite step in any community social case- plan, of intervention to accomplish the SMARRT work protocol is a preliminary community and objectives (Bisman, 1994, pp. 111–121, Bisman & patch analysis. The analysis is get the basic lay Hardcastle, 1999, pp. 44–62, 151–162). At the end of community: resources and requirements, val- of the first assessment phase, there must be mu- ues and norms, and behavior patterns. The as- tual understanding and agreement between sessment is baseline and preliminary and must caseworker and client leading to a shared con- be refined for each client and client grouping. struction and understanding of problems and SMARRT objectives. Joint agreement by casework and client on an assessment and a case plan 2. Assessment, Refinement of Community is critical to its success if a plan requires the and Patch Analysis, and Establishing caseworker and client to work together to SMARRT Objectives achieve a plan’s SMARRT objectives. As yet, we know of no social work methodologies that Client assessment, refinement of a community can achieve SMARRT objectives without client assessment and patch analysis, and establishing participation. SMARRT objectives are interdependent components. SMARRT objectives are specific, measurable, acceptable, realistic, results oriented, and time Application of SMARRT Criteria to specific (see Chapter 1 of this text for the Mrs. J.’s Case SMARRT format). SMARRT objectives are stated in behavioral and measurable language. Their Mrs. J. can have a series of related goals viability is dependent on the available resources such as the following: (a) to establish and and a client’s strengths. Resources necessary to maintain a physically and emotionally safe assist a client to achieve SMARRT objectives are home for herself and her family; (b) to finan- contingent on the specific SMARRT objectives cially support herself and her children at her selected. Conversely, availability of resources current income level and be financially inde- will expand or constrain the capacity to realize pendent of her husband; (c) for John and Su- specific SMARRT objectives. The SMARRT for- san to achieve grade-level school perfor- matted objectives guide the social worker and mance, graduate from high school, and not client in their resource assessment, develop- engage in antisocial activities; (d) for the fam- ment, coordination, and management. ily to become socially integrated into the com- A community social casework process uses munity and develop social support networks. marketing’s outside-inside philosophy, begin- Each of these objectives can be stated in a ning with an assessment of the client’s concep- SMARRT format. In establishing the objection and meaning of the problems and objectives tives, Mrs. J. and her caseworker need to com- rather than a preconceived agency boiler plate plete a community assessment and patch diagnosis. Assessment calls on the caseworker’s analysis to establish her potential social sup- ethnographic skills. It is mutual, a task per- port resources, develop information for net- formed conjointly with a client, and involves working and community integration, and lo- understanding a client’s construction and mean- cate and assess secondary and tertiary ings of problems and social ecology, a client’s resources potentially available and their re- strengths and resources, establishing SMARRT quirements for networking and exchange. Po- objectives, and refining the community and tential interventions necessary to achieve patch analysis to be client focused and to assess each essential objective and any requisite se- its resources relative to the SMARRT objectives quencing and requirements of the change (Bisman, 1994, pp. 111–176). It must be recog- agent system are elaborated in the case the- nized that a client’s situation usually is both ory. Mrs. J. and her family are components of unique and multifaceted. Overly reductionist the change agent system. If the resources and views of cause and effect should be avoided. The interventions are not available, objectives will causes of any problems lie in a range of complex be modified to fall within the constraints of social phenomena. Solutions will probably also potentially available resources. require an array of personal, primary, and com- 432 COMMUNITY PRACTICE SKILLS

The first objective, to establish and maintain home. If it is projected that Mr. J. will leave a physically and emotionally safe home for the home, then an alternative physical and herself and her family, can be operationalized safe living arrangement will have to be es- and evaluated by the SMARRT criteria: tablished or a way for the family to remain in the house without Mr. J. The criterion 1. Specific: Establiching a physically and emo- that objectives must be realistic assesses the tionally safe home, one absent of physically probability, given the potential resources and emotionally traumatic behavior in in- and strengths of the interventions, that the teractions between family members, is a objectives will be accomplished. If Mrs. J. specific criterion. It is an outside-inside ap- and the caseworker project that none of the proach focusing on the client’s concept of options are accomplishable, unfortunately needs and not on a specific intervention or this objective will need to be recast. product offered by the caseworker. Physi- 5. Results oriented: The objective is changes cally and emotionally safe and traumatic in Mrs. J.’s and Mr. J.’s behaviors, lifestyles, behavior will have to be conceptualized and social interactions rather than a pro- and operationally defined in language cess of treatments and interventions. In- meaningful to Mrs. J., her husband, and the terventions and networks are used because children, with a shared understanding if not of their theoretical potential to achieve the acceptance of the meanings. Interventions objectives. The objectives are outcomes, can range from a combination of family not the means used to produce outcomes. therapies, from expansion of the family’s The value of the casework and networks social support networks to relieve and al- are determined by how well they achieve ter internal dynamics, to the extreme of an absence of physically and emotionally Mrs. J. and the children’s leaving the home. traumatic behavior in interactions between The objective doesn’t dictate a specific in- family members. Their value doesn’t rest tervention but guides along with the case on adherence to a model of a process or theory in selecting interventions most likely techniques used. to achieve the objective. It’s the objective, not the intervention, that is critical. 6. Time specific: The caseworker and Mrs. J. will need to arrive at a specific projected 2. Measurable: Physical and emotional time for a safe home to be established. The trauma and their absence can be measured projected time is based on their assessment by observations and the judgment of Mrs. of the potential resources, including the J. J., the children, and the caseworker, as well family’s strengths and the power of the as by medical measurements. Care needs available intervention technologies. As to be taken to avoid spurious precision and Mrs. J. is new to the community, without incoherent meaning for the J. family. The many social supports in the community and phenomena of concern are the physically with low economic skills, the time needed and emotionally abusive interactions ex- to achieve the specific target will be longer perienced by Mrs. J., John, Susan, and per- than if these social supports were more haps even Mr. J. The critical feature of any available immediately or if Mrs. J. had a measurement process is its truthfulness and greater and more recent employment his- meaning to the family’s experiences. tory. The time frame can be modified with 3. Acceptable: The objective needs to be ac- unfolding circumstances, but a realistic ceptable to Mrs. J., the J family, and anyone time-specific target is needed to guide the voluntarily providing resources and coop- intervention and provide a basis for re- eration in the change effort. Mr. J. will need assessment. Without a time-specific objec- to accept the objective and its measurement tive, Mrs. J. might indefinitely remain in an if he remains a part of the household. Ac- abusive situation and be involved in an in- ceptance by all participants is critical, un- effective intervention. less the caseworker has the ability to coerce compliance with an objective and to com- The other case objectives need similar pel the provision of resources and behavior. SMARRT formatting. 4. Realistic: The caseworker and Mrs. J. need Assessments and theory construction rest to assess the potential of any intervention on basic and abstract assumptions of the na- and resources available to establish and ture of client behavior and the importance of maintain a physically and emotionally safe the client’s community and social ecology. COMMUNITY SOCIAL CASEWORK 433

THE NATURE OF CLIENT BEHAVIOR psychological content and behavior. These mod- The biopsychomedical reductionist models of be- els emphasize social variables and conditions havior generally hold that dysfunctional client that are useful to community social casework. behavior results from biological and emotional Biopsychosocial models of human behavior pro- pathologies, whether due to genetic content or mote a more complex view of client behavior as faulty early socialization. Psychological theories a function of the client’s biological and psycho- such as psychoanalytic psychology fall within logical content in a social context. Behavior is the this set of models. Treatment involves altering result of a complex interaction of biological, psy- the client’s emotional content separately from chological, and social factors and forces. Behav- the social context. Interventions applied to in- ior has social elements. Poverty and limited so- trapsychic content frequently are called psy- cial environments, social marginalization and chotherapies. Community social casework re- isolation, abuse, and limited interpersonal and jects these models as overly reductionist, limited social skills all affect behavior. All components in explanatory ability, and naive. The biopsy- need considering in the case theory and inter- chomedical reductionist models make commu- vention. As with the psychosocial models, inter- nity social casework a largely irrelevant intervention must address the context as well as the vention. Intervention is centered on the client’s content of behavior. It can include providing ed- disease, pathology and physiology, and psycho- ucation and improving management skills as logical deficits and aberrations. The models em- well as altering a client’s environment. This phasizing therapy and treatments rather than so- model is the most comprehensive and adaptable cial resources development and management to community social casework. don’t hold community social casework’s as- Obviously this classification schema of the sumptions central or necessary to successful models of human behavior, like biopsychomed- client treatment. Treatment compliance, biopsy- ical reductionist models, suffers from oversim- chological condition management, and provid- plification. Empirically, the models rarely exist ing services to compensate for client deficiencies or are applied in some kind of pure form. How- are the major features of any social intervention. ever, a social worker’s selection of a model of If a biopsychomedical model is used by Mrs. J.’s human behavior has implications for case theory caseworker, social and community influences, and implementing an intervention plan. Com- constraints, and primary, secondary, and ter- munity social casework is more compatible with tiary social supports and resources are unlikely the social models with their strong social content to be pursued. Intervention will focus on pathol- and context. ogy in the family. Educational models see problems in client be- THE CONCEPTION OF THE COMMUNITY, THE SOCIAL havior and in management of social relations RESOURCES, AND THE TASK ENVIRONMENT and the social environment as learned inappro- We have emphasized in this text the impor- priate behavior. If learned behavior, it can be un- tance of community as a major force in shaping learned and functionally appropriate behavior and limiting behavior and the lives of people. learned. Interventions address unlearning inap- Community social casework holds to this systems propriate behavior and learning and substitut- approach to community and the individual. A ing socially appropriate behaviors. Operant and system’s elements must be coordinated and behavioral theories reflect these models. The ed- share some common purposes (Churchman, ucational models require, in treatment based on 1965, p. 29; von Bertalanffy, 1967; Leighninger, social learning theory, that the caseworker dem- Jr., 1978; Martin & O’Connor, 1989). A client’s onstrate or teach (generally by operant condi- physical and social environment can be a cor- tioning, cognition, or a combination of the nucopia of potential social supports and re- two) the functional behaviors. Community so- sources, but the resources don’t exist as a sys- cial casework also rejects these models again as tem until they are coordinated and integrated. being an overly reductionist and simplistic view Each potential resource may have no or limited of human behavior that ignores the fundamen- interest in a specific client’s life. An employment tal and multiple impact of different social vari- agency’s interest is limited to employment. A ables on behavior. landlord’s concern for a client may be limited to Psychosocial models posit that client behavior the client’s ability to rent space without damag- and management of the environment are a func- ing it. Each service vendor and resource tion of an individual’s psychological content in provider can achieve its limited objective with- interaction with a social context. Interventions out much interaction, coordination, compatibil- confront the psychological content in its social ity, or meeting a client’s objectives. An individ- context and the social context’s impact on the ual client may need a support system in this 434 COMMUNITY PRACTICE SKILLS turbulent and complex environment; it is not Self-responsibility comes first and is linked di- equally crucial for any unit in the set’s survival rectly with autonomy, empowerment, self-effi- or functioning to support an individual client. A cacy, and self-determination. To not consider the community social caseworker’s and the client’s client as a primary source of strength and re- tasks are to create and manage a client-centered sponsibility promotes powerlessness and de- support system from a set of sometimes indif- pendency. Primary group responsibility comes ferent and often competing resource suppliers. second. Primary support groups provide the most help. This is where reciprocity and interdependence, rather than dependency, are most The model of behavior used by the com- balanced and the client is least vulnerable. Mu- munity social caseworker and Mrs. J. will tual support is best given and received under guide the assessment and provide a basis for conditions of mutual obligation and responsi- constructing its case theory. A limited biopsy- bility. Community and network cohesion, as chomedical model or educational model will well as primary group efficacy, are enhanced, direct information gathering and assessment trust is facilitated, and interdependence is pro- to focus on family members as individuals and moted with primary group reciprocity. The their interaction. Explanations of causation client and community social caseworker should and projections of interventions and solutions seek, whenever possible, to strengthen primary will center on these same units. If more ex- structures and build or rebuild primary support pansive models are used, although family networks. These networks help the client reinte- members and their interactions are still as- grate into the community, reduce the social and sessed, the impact, limitations, and opportu- emotional isolation, and provide some buffering nities provided by the social environment are from the stresses of larger social institutions. A basic to developing a case theory and plan. client’s primary system includes immediate family and other personal support networks that can 3. Determine Resources Necessary and be called on to support and assist a client in ful- Required to Achieve Goals and Objectives filling the case plan. As the protections, the safety nets, of the welfare state are eliminated or reduced with the devolution and reformulation Once the objectives have tentatively been es- of the welfare state and the social environment tablished and SMARRT formatted, the necessary becomes more competitive and demanding, pri- resources to achieve the objectives need to be de- mary support systems are more vital to clients. termined, located, and acquired. The community Community, patch, and network assessment assessment and patch analysis is made specific are used to determine, locate, and appraise ac- to this case. tual and potential primary and secondary social support networks and systems. The social sup- A. ASSESS THE CLIENT STRENGTHS, THE CLIENT’S ports are largely unique to each client, and a case PRIMARY SUPPORT SYSTEMS, AND THE COMMUNITY plan should be individualized accordingly. SOCIAL CASEWORKER’S RESOURCES RELATIVE These should be explored and developed prior TO THE RESOURCES REQUIRED TO ACHIEVE THE to referral to tertiary systems. SMARRT OBJECTIVES The community social caseworker recognizes The first potential source of resources and the and helps Mrs. J. understand her own and her first with responsibility to help achieve the case family’s strengths. Strengths include recogniz- plan’s SMARRT objectives, are the client and the ing a problematic situation for herself and her client’s primary systems. The sociologist and family, wanting to change the situation, and communitarian Amatai Etzioni (1993) contends, wanting to reduce her dependency on Mr. J. Al- “First, people have a moral responsibility to help though she has not worked outside the home for themselves as best they can” (p. 144, italics origi- several years, she has worked. She wants to pre- nal). All people have an obligation, no matter serve the family and strengthen her relationship how disadvantaged or handicapped, to be re- with Mr. J. by altering the nature of the rela- sponsible for themselves as best they can and to tionship. Leaving Mr. J. is the option of choice the maximum extent of their capacity. This is the only if the abuse and the nature of their rela- fundamental basis of empowerment, self-effi- tionship are unchanged. Even without a more cacy, and self-determination. Etzioni continues, thorough assessment of Mrs. J.’s current and po- “The second line of responsibility lies with those clos- tential intellectual and social capacities, it is clear est to the person, including kin, friends, neigh- there are many strengths. By recognizing and borhood, and other community members” (p. acting on these strengths, Mrs. J. will increase 144, italics original). her sense of self-efficacy. COMMUNITY SOCIAL CASEWORK 435

Members of the J. family, especially Mrs. J., are Mr. J.’s strengths are also considered in de- socially isolated and marginalized. She is also veloping the case theory. Although he has becoming more marginal within the family. abused Mrs. J. and John, he has been a con- Social supports are needed for a range of sistent provider and feels strongly about his intervention efforts to achieve the SMARRT responsibilities as the breadwinner. He wants objectives. the children to be responsible citizens. He doesn’t want a family breakup. Like Mrs. J., 4. Assess the Community to Locate Needed he wants change, although they do not agree Resources and Their Exchange Requirements on the specific change needed. These are strengths to use in beginning the case theory Etzioni (1993) holds that the third imperative and plan. for support beyond the client and primary groups is the community. “As a rule every com- B. ASSESS THE DIFFERENCES BETWEEN THE CLIENT, munity ought to be expected to take care of its COMMUNITY SOCIAL CASEWORKER AND AGENCY own. . . . Last but not least, societies (which are RESOURCES AVAILABLE, AND THE RESOURCES nothing but communities of communities) must help REQUIRED TO ACHIEVE THE CASE PLAN’S GOALS those communities whose ability to help their mem- AND OBJECTIVES bers is severely limited” (p. 146, italics original). Community, patch, and network assessment The community and the society or state im- will need to locate potential social supports for peratives of responsibility come into operation the family to achieve their objectives and the re- after the client and the primary support systems. quirements of the supports for networking. The Responsibility works outward, with personal, community resources including secondary and primary, neighborhood, and community re- tertiary resources needed from the set of social sponsibility explored before state responsibility. agencies is determined by any deficit of client re- The community social caseworker recognizes sources and strengths and community social that public education, social marketing, and caseworker’s and host agency’s resources com- staging of social problems often are necessary to pared to the resources required to achieve the help the community and state recognize their case plan’s SMARRT objectives. If the commu- responsibilities. nity social caseworker and the client possess all After the client and the community social case- the required resources, or if the client has the worker have assessed the resources they and the necessary network assessment and management primary groups possess relative to the case skills, there is no need for additional resource plan’s goals and objectives, the location, the do- development and networking by the community mains, and reciprocity requirements of the ad- social caseworker. However, the basic biopsy- ditional required resources indicated by the chosocial model assumes behavior is a function community and patch analysis are reviewed. of social factors. It is unlikely that all resources The basic questions of this protocol’s phase are will be contained within the family unit. These (a) What are the additional resources needed? (b) resource deficits determine the required sec- Where are the resources located? and (c) How ondary and tertiary resources and guide social can the resources be secured? The assessment us- support network construction. The client and ing community, patch assessment, networking, community social caseworker should look to re- and market research methodologies discussed sources from the larger community only when elsewhere appraises the agencies and commu- the client, the client’s primary groups, and the nity structures with the resources, the social community social caseworker and the host prices of the resources, and the networking and agency do not possess them. The client partici- reciprocity requirements. pates in the assessments, development, and The community social caseworker and Mrs. J. management of the networks to the maximum assess the community resources needed to extent of the client’s capacity. achieve the case SMARRT objectives. These re- If Mrs. J. and her family have either the resources will allow Mrs. J. and her family to cre- sources or the knowledge and skills to assess em- ate a new social environment and community of ployment resources, to manage John’s and Su- interaction. The ability of Mrs. J. to access the re- san’s socialization and education, to establish sources of agencies and organizations providing any needed social support system, and to man- family counseling, education, and job training age their relationship, there is little need for the and placement is critical. Client advocacy and caseworker to do it. However, it appears that preparing the family for the exchanges is re- supportive primary and formal tertiary services quired. Before embarking on intervention, the in addition to family resources are needed. community social caseworker determines how 436 COMMUNITY PRACTICE SKILLS legal aid and a possible safe haven can be es- changes and obtain the resources for the client. tablished for Mrs. J. and the children, if needed. This establishes a client-centered network. This Mrs. J. will need to explore social supports (the protocol entails marketing the client or commu- more primary groups and also the secondary or- nity social caseworker’s resources as a resource ganizations such as churches, neighborhood as- to a trading partner or resource holder meeting sociations, and PTAs) to reduce her social mar- their objectives or needs. It requires brokering, ginalization and emotional isolation. She will negotiating, linking the client to social supports, also need to develop an understanding of how and the community social caseworker’s use of her husband’s conception—and her prior con- power (Dinerman, 1992; Hagen, 1994); Levine & ception—of a woman’s role is a political con- Fleming, 1985). struction contributing to her marginalization. Community social caseworkers need to un- Although Mrs. J. is new to the community, she derstand and be able to use power in their net- shares her social isolation and a lack of appro- working. Power has been discussed here in the priate primary and secondary social support net- theories of community practice. The crucial con- works with many clients. John need tutorial as- sideration in power is the willingness to use it. A sistance and an alternative secondary social source of power inherent in a case plan is the support group to replace the skinhead gang he power derived from the client as a potential re- is now using. source to another service provider (Dinerman, 1992, pp. 5–6). The client may bring with him or 5. Evaluate the Case Plan’s Goals and her resources such as vouchers and third-party Objectives Relative to the Total Resources payments. The client and the community social Available From the Client, the Client’s caseworker, or both, can help the trading part- Social Support Networks and Potential ners achieve their goals. Both exchange and Networks, the Community Social Caseworker, learning theory, discussed earlier, tell us that a and the Community trading partner, the holder of the resources needed by the client, is more likely to engage in If the currently and potentially available re- exchanges when its needs are met and the ex- sources do not appear appropriate and adequate changes are perceived as fair. to meet the case plan’s SMARRT objectives, they The community social caseworker also will need to be modified to fit within available should possess and use the power derived from resources. This, however, should be an incre- the expertise and skill in assessment, system de- mental modification, not a wholesale discarding velopment and management, and bargaining of the original objectives. The client and com- and client advocacy discussed earlier. Negotia- munity social caseworker may want to pursue tion and bargaining is advocacy for the client the original goals and objectives with a subse- or case. Advocacy can cause strains in network quent case plans after some more preliminary relationships, but the strains can be minimized objectives have been achieved, or the client can if the negotiations are cast in a win-win or non- independently pursue the objectives after devel- zero-sum construction and are viewed as fair oping greater self-case-management skills. by all participants. Advocacy calls for profes- Community social caseworkers should not as- sional judgment in when to engage in it, and sume that resources are unavailable simple be- skill in how to use client advocacy without end- cause the community social caseworker doesn’t ing the collaborative relations with other net- have contacts with the domain (the holder) of the work professionals. desired resource. The task, as discussed in Chap- ter 11 (networking), is to assess and establish the The community social caseworker negoti- linkage or chain of contacts between the client ates for needed resources and prepares Mrs. and the desired resource. When resources are not J. to be a resource in exchanges and her own available or not even potentially available, the advocate. She affects the quality of services task is a community development and staging received by what she contributes to the re- task to establish a community-shared perception source provider in exchanges. Mrs. J. and of need for and develop the essential resources. other family members are resources to the other units in the network if they can help the 6. Negotiate Exchanges and Link the Client other network units achieve their objectives. With the Resource Domains Mrs. J. will need to demonstrate that she is indeed a resource by reciprocating appropri- After the potential resources have been iden- ately. For example, for training agencies to be tified, located, and their exchange preferences successful, they need trainable clients who determined, the next task is to make the ex- COMMUNITY SOCIAL CASEWORK 437

worker to teach and model (Kunkel, 1975, pp. can and will be employed. As Mrs. J. learns 51–76; Pecukonis & Wenocur, 1994; Weiser & Sil- what she can bring to the exchange (how she ver, 1981;). As clients learn and use appropriate can reciprocate), her self-efficacy and sense community practice skills—community assess- of power increase. ment, bargaining, negotiation and self-advocacy, construction of client-centered networks and 7. Monitor the Network and the Exchanges systems, systems management and monitor- for Fair Exchanges ing—their sense of efficacy should increase and dependency on the community social case- Networks as systems do not automatically worker should decrease. maintain themselves (Churchman, 1965, p. 33). Mrs. J. is empowered when she recognizes They require managing, monitoring and intelli- what she has to exchange and learns how to ac- gence, and maintenance to ensure that the ne- cess and negotiate with social and community gotiated fair exchanges occur and all parties in resources. The resources can be job training, ed- the exchange network fulfill the bargains. With- ucational and social supports for her children, or out attention, a network as a system will un- financial and emotional supports from the chil- dergo entropy. Entropy, an enduring property of dren’s fathers. As Mrs. J.’s skills in assessment, systems according to systems theorists (Ander- bargaining, negotiation, advocacy, and manage- son & Carter, 1984, pp. 3–36; Hearn, 1969, p. 66; ment increase, Mrs. J.’s dependency on the com- Martin & O’Connor, 1989, pp. 38–109), is a ten- munity social caseworker deceases. Equally crit- dency of systems to deteriorate, becoming dis- ical is Mrs. J.’s need to increase her necessary organized and random. Entropy in a client- knowledge and skills to access, negotiate, man- centered system or network occurs when net- age, and reciprocate with the range of social sup- work units, often including the client, no longer ports required in any healthy, functional life. The engage in the agreed-upon resource exchanges community social caseworker recognizes that an necessary to achieve the objectives. integral part of community social casework is Monitoring and evaluating by Mrs. J. and modeling and teaching skills to Mrs. J. the community social caseworker address the contributions of network service and resource EFFECTIVENESS OF COMMUNITY providers and Mrs. J.’s participation in the ex- SOCIAL CASEWORK changes. For exchanges to be fair, all parties in a network have to uphold their part of a con- As yet there have been few studies of com- tract. Mrs. J. needs to reciprocate appropriately. munity social casework’s effectiveness in this country. Research in the United Kingdom, where 8. Teach and Model the Networking Protocols the concept of community social casework is to the Client So the Client Can Assess, more advanced, is promising (Bond, McGrew, & Construct, and Manage His or Her Social Fekete, 1995; Dutton & Kohli, 1996; Gordon & Support and Resources Networks Donald, 1993; Karabanow, 1999; Payne, 2000; (Client Empowerment) Phillips et al., 2000). The literature assessing the effectiveness and efficacy of case management, Client empowerment is both an ethical obli- a subset of community social casework, gener- gation and practice objective. A practice task is ally presents a positive picture, although the lit- to teach and model the knowledge, skills and be- erature is not methodically rigorous. The case haviors so that clients can assess, develop, ac- management models generally have not been cess, and manage their social support systems fully developed or tested (Cheung, Stevenson, & and mediating structures. Client empowerment Leung, 1991; Fiene & Taylor, 1991; Kantor, 1991; is enhanced as their capacity to control their own Korrs & Cloninger, 1981; Polinsky, Fred, & Ganz, lives is increased. 1991; Rapp & Chamberlain, 1985; Rife, First, Social learning theory (Bandura, 1977; Bushell Greenlee, Miller, & Feichter, 1991; Rothman, & Burgess, 1969; Kunkel, 1975; Minhauyard & 1991; Rubin, 1992; Sonsel, Paradise, & Stroup, Burgess, 1969; Thyer & Hudson, 1986/1987) 1988; Wright, Sklebar, & Heiman, 1987; Zim- states that personal and environmental influ- merman, 1987). ences are bidirectional, interactional, and inter- Washington and his colleagues (Washington, dependent. Over time they can become self- 1974: Washington, Karman, & Friedlob, 1974) reinforcing, with less need for external stimuli concluded, as a result of their seminal and most and reinforcements. Client involvement in de- extensive case management social research and veloping and implementing a case plan allows development work, that the model of case man- the client to learn and a community social case- agement used can achieve outcomes beyond 438 COMMUNITY PRACTICE SKILLS client satisfaction. The models of choice moved (c) All communities potentially have toward a community social casework model. Ef- strengths, with primary and secondary fectiveness was related to the manager’s assess- supports, if not tertiary supports. ment, negotiation, and broker skills; it was also associated with available funds to purchase If the client and community propositions are needed services. With cutbacks in government valid, a reasonable case model can be described and private financial resources, this ability will as follows: continue to be reduced. Case management was not particularly effective in overcoming the limitations of a resource- 1. Case objectives are behavioral and measur- starved task environment. Community social able and in a SMARRT format. casework will have the same difficulties in this 2. Case objectives, the dependent variable, are era of devolution and declining public support client behavior and social functioning, and for social services. However, with its emphasis the independent and intervening variables on primary and secondary social supports, it are the client’s community and support sys- may be more promising. tems, including the community social caseworker and the service system. SUMMARY: A COMMUNITY SOCIAL 3. A case plan’s strength is in its emphasis on CASEWORK MODEL specified objectives stated in behavioral and Community social casework requires the measurable terms and a shared clarity of ob- knowledge and skills explicated in this text. It jectives with client, community social case- rests on several assumptions regarding the client worker, and other critical resource providers and the community. in the service delivery and social support networks. A fundamental generic goal of com- 1. The community is the context of an individ- munity social casework is to integrate clients ual’s behavior, provides both opportunities into a supportive social environment. and limits, and behavior can only be under- 4. Community social casework’s strength is in stood in this context. its flexibility that allows the community so- (a) People live in communities and often are cial caseworker and client to use an array of beset by a range of living and environ- possible primary, secondary, and tertiary mental management problems or social supports to achieve objectives and integrate isolation. clients into the community rather than limit- (b) Human behavior is not solely the ing interventions to specific agency services. province of an individual’s biopsycho- 5. Community social casework’s service proto- logical capacity and content. col flow requires that the community social (c) Regardless of the model of human be- caseworker understand a client’s construction havior used, social coping needs are real of reality, the client’s community or social and require addressing if a person is to context, and an ability to help a client perceive function more effectively in the commu- and define realistic objectives in a given so- nity and be empowered. cial context. (d) Human problems and coping needs are usually embedded in their social margin- 6. The community social caseworker’s network ality to and isolation from community management for a client depends on the supports. client’s capacity, knowledge and skills to 2. Community social casework’s objectives are to function in the social context. improve a client’s social context and assist the 7. A fundamental goal of all intervention is client in managing the social context to im- client empowerment. Empowerment occurs prove social functioning. in a social context. Therefore, community so- (a) The community is the situs of a client’s cial caseworkers need knowledge and skill in life, not the service center, social agency, client, community, patch, and organizational or therapist’s office. Intervention should assessment; negotiating, bargaining, contract- occur in the community. ing, advocacy; and social support networks (b) While clients vary in their individual ca- development and management, as well as the pacity to cope with and manage their so- capacity to model and teach a client these cial context, all clients have strengths to skills. Self-management as self-control is the be used. essence of empowerment. COMMUNITY SOCIAL CASEWORK 439

Note

1. To review the community base of comprehensive case management, see the 1997 edition of this text.

References

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Acceptance preparation, 400 box 14.4 relationship, 363–64, 364 box of concepts by public, 186 research, 357 13.5, 378 of others by practitioner, 79 and social problems, 66, 81, and resource scarcity, 24, of practitioner by community, 83, 84 25d.5, 362 box 13.3 151, 169, 407 “where the action is”, 147 roles, 377, 378–83 of vulnerable by community, Action system, 15, 24 techniques and skills, 9, 356 175 box 7.1, 179 box 7.2 Addams, Jane, 217, 365–66, 366 box 13.1, 369 box 13.8, Accepting facets of humans, 130 box 13.7, 367 376 box 13.11, 378–83 Access/accessibility Advocacy , 21, 328, 349, 436 Affinity (nonplace) community, client, community, 20, 190, and assessment, 187, 188 box 150 195 7.5 African-Americans, 38, 43, 74, to powerful people, 152–57 defined, 356–57, 372 box 13.10 78, 79, 82 box 3.5, 148, to resources, 358 electronic, 261, 369 box 13.8, 161, 222–23, 358, 371, to services, 81, 162, 238 376 box 13.11, 416–17 394 ACCORN, 397, 403 box 14.6 and empowerment, 374–76 Agency. See Human service Accountability/responsibility as ethical requirement, 21 organizations agency, 374 forms of Alienation, 102 assertion and, 219 case, 356–57 Alinsky, Saul, 138n.6, 357, 394, assessment and, 192 cause, 357, 392 box 14.1 395 box 14.2 for causing problem, 62, 63 client, 272–73, 365 box 13.6 Antipoverty, 77, 124 principle of, 145, 358, 367 internal-external, 373–74 Analysis of social worker to client/ marketing, 328 community, 146, 157–62, 199 consumer, 186, rural-urban, 366–67 critical, 66–67 392 box 14.1 institutionalization of, 366 box network, 144 Action. See also Social action; 13.7, 377–78 Arab-Americans, 76 box 3.4, 77, Social change lay, 363 214 agenda, 66, 72, 210, 399 levels of/spectrum of, 360–61 Arab public, 74 barriers to, 217 community, 365–68 Middle East, 83 collective, 73, 84, 357, 371 group, 364–65 Islamophobia, 85d.2 course of (options), 70, individual, 363–64 Arbitration, 305 399–403, 401 political/policy, 368–70 Asian-Americans, 160, 186, 252 failing to act, 216 self-, 361–62 Cambodian, 66, 77 field of, 50 systems, 370–72 Chinese, 78 individual, 84 media advocacy, 349 Japanese, 62 on own behalf, 357 as part of problem Korean, 77, 404 possible, 197–98 development, 70, 73 Vietnamese, 78, 146

441 442 SUBJECT INDEX

Asians in UK, 133 177, 178 box 7.2, 188 Bureaucracy, 34–35. See also Assertion/assertiveness box 7.5, 383 Human service and archetypes, 219 scope of, 177, 192 box 7.6 organizations as behavior, 220–21 of social support networks, can’t-do thinking, 238 313 Campaigning, 331 as character, 223 stakeholders, 186, 198 Capacity building, 122 class/gender/race, 221–23 ties to community, 94 Caring, 130–32, 131 box 5.2, 391 coaching, 235, 237 Assets, 124–30, 173, 175 box 7.1, Case finding/recruitment, 195 combined with other skills, 185 fig. 7.1. See also Case management, 428–29, 437 237 Community building effectiveness, 437 defined, 218, 224 Associations, 120–21, 128, 136d.5 skills, 429 as helpful to clients, 209, Auspices, 174, 246–47 Case theory, 11, 12, 14, 176 237–38 Authority, 110, 254, 254–57. Center for Research on Religion and power, 227 See also Power and Urban Society, 324 as professional competence, appeal to, 211–12 CEOs, 96 219 box 8.4, 224–26, 228 challenged, 227, 228, 234, 236, Change, agency, 262–65 and social work, 217, 223, 370–71, 380 from within, 262–65 224–26 clients as real authorities, rules of thumb for, 263 techniques 86n.1, 165 Change agent system, 15 broken record, 234–35 defined, 110, 255, 379 Charity Organization Society, 7 direct, declarative and figures of, 153 Chavez, Cesar, 396–97, specific, 225, 231, 232, handling antagonism from, 396 box 14.3 234 279–80 Churches/religious organizations, fogging, 235–36, 238 organizational, 254–57, 374, 50, 147, 154, 158, 161, uses for, 224–28, 237–39, 380 176, 178, 226, 247. See 379–81 projection of, 222, 378 also Faith based Assessment, 12–14, 12–13, 16, 18, authority structure, 255 Citizenship, 107–8 401, 434, 436 types of authority, 255–56 Civic participation, 108, 122, 154, auspices, 174 charismatic, 256–57 190, 210, 308, 356, 367, collaboration/interaction, formal, 256 419d.5 182–84, 187–88 rational/legal, 257 and democracy, 106 of community(types), 312, traditional, 256–57 Claims-making, 69–74, 331 431, 436 Authority-responsibility- defined, 69 affirmative, 185 accountability examples, 70–73 comprehensive, 177 (A-R-A), 257, 274 players, 70 familiarization, 177 Awareness process, 72 links with community, benefits of, 79, 211–14 stages, 70 174–77, 200–201 cultural, 79, 165 techniques, 72 problem-oriented, 177–78 of issues, 64, 175 box 7.1, 186 Class and economic differences, subsystem, 178, 178 box 7.2 of others’ feelings, 209 63, 65, 84, 212, 362 box resources in community, as perception (mindfulness), 13.3, 364 box 13.5, 395 180–81, 181 box 7.3 82, 211, 214, 222, 357, box 14.2, 396 box 14.3, cycle, 197–99, 199 box 7.9 360 398, 413 definitions of, 12, 173 self (scrutiny, reflection), 63, blue-collar workers, 62, 63 ethics, 197 85, 135, 196, 197, 208, box 3.1, 149–50, 176, frameworks, 173, 176 217 411–12 informed by experience, 179, shifts in (clicks), 152 box 6.2, classism/contempt, 79–80, 200 359 166, 176, 196, 409 individual, 175 box 7.1 of skills, 135 in conflict theory, 44–45 individual versus dangerous classes, 64 environment, 174–77, Balkanization, 100 discounted peoples, 414 178 box 7.2 BATANA/BATNA, 304, 382 economic and social justice, level of, 183 box 7.4, 192 box Bargaining, 303–5 77, 355 7.6 Belief bonding, 215 income disparities, 122 methods of, 188–96 Beliefs, 83, 85, 214–17 public transportation, 159, 163 needs, 185, 191–92 in human agency, 360 box 6.8 outreach as, 194 Boards (advisory, community) stratification, 65, 147, 152–53, participatory rural appraisal, 154–55, 187, 247, 378 153 box 6.3, 155 box 6.4, 184 Booth, Heather, 401 156 box 6.5 philosophy of, 184–88, 197 Boundary spanning, 252–53 walks of life, 147, 398 box 7.8 Brockovitch, Erin, 172–73, 198 Clients, 23–24, 428 process of, 173, 175 box 7.1, Buchwald, Art, 74 in community practice, 23–24 SUBJECT INDEX 443

Client orientation, 327 geographic, 94 foundation support for, 123, Client referral systems, 294, 350, of identification, 11, 94 124 352 healthy and positive, 11 partners, 122, 123 Client system, 15 inventory of assets, 128 private sector, 394 Coalition building examples, 82 leadership, 129 program, 125, 126 box 3.5, 123, 361, as local and global virtual pulls people together, 121 box 392–93, 395 box 14.2, networks, 109 5.1, 123 399, 406 loosely coupled, 109 ties to past efforts, 121, 123, Coalition for Health Insurance mediating structures, 107 130 Choices, 332 mutual support, 101, 107–9 Community change Cobell v. Norton, 127 nurturing or hostile, 5, 10, 175 success through, 121 Cognitive appraisal, 312–13 box 7.1 Community education, 50, 75, Cognitive liberation, 411 place in social work 196, 359, 365, 368, 372, Collaboration, 80, 81, 121 box practice, 5 405 5.1, 123, 182–84, 227, place and nonplace, 94–95 Community engagement, 209. 303, 406. See also difference, similarities, 95 See also Engagement Partnerships relevance to clients, 5 in health, 124, 183, 200 Collaborative decision-making residents, types, 94 in policing, 200 committees, 407–8 drifters, 94 in student service, 199 Collective good/common natives, 94 Community intervention, 120 welfare, 196, 200, 209 relocators, 94 context, 123 Commercialization/commercial- settlers, 94 earlier government programs, ism, 98, 323 revitalization, 10–11, 359 121, 134 Commons, The, 91, 108 radio stations, 128 problem solving, 123 Communication, 345–46, 350 as a social system, 101–3 programs, 120–21, 123–30 assessing, 346 sociodemographic view, realism, 132–34 communicative competence, 100–101 resiliency 120 135–36 as social systems, 100–101 Community liaison role, 372 developing, 346 social work practice and, 5, Community openness and needs assessment, 192, 10–11 embracing diversity, 131 box 198 status of, 10–11, 94–100 5.2 nonverbal, 135–36 theories of, 5 enlarging one’s clan, 120, 135 Communitarian, 11, 79, 80 understanding of, 79–80, 150, Community organizing, 54 fig. Community(ies). See also 151–52 2.1, 366 box 13.7. See Community studies conceptual and experiential, also Social change analysis, 145–46, 157 146–47 acting in concert, 391–93 basic concepts of, 92 uniqueness, 146, 157, 161, 173, contrast with claims-making, 69 building/strengthening, 200 definition of, 3–4 209–10 vertical and horizontal locality development, 52, 54 change, 94 patterns, 100–103, social action, 3, 4, 53, 393–404 changes (in American), 10–11, 300–301 social planning, 3, 4, 53 94–100, 102, 164 Community building Community orientation, 167, clients and, 5 asset-based, 124–30 200, 201 competence, 92, 105 associations, 128, 133 Community participation community competence, 92 assumes strengths, 120, 122, goal, 406 conflict, 110 133 reasons for, 11, 406 box 14.7 decision-making, 114 caring and justice based, Community practice, 33–34, defined, 5, 91–92, 101 130–32, 131 box 5.2 113–14, 365–68 neighborhood, 92 cautions regarding limits, 122 accreditation standards, 8 place and nonplace, 94, 95 community improvement array of skills, 135 box 4.2 undertakings, 122, 124, client in, 24 development, 52–53, 185 134, 210 code of ethics, 7 different conceptions of, 5 community practice, 120–21 challenges of code, 24 emotional identity, 5 community sensitive, 132–34 components, 4 functions, 101, 122 comparison with organizing, definition of, 3–4 mutual support, 100, 107–9 122–23 domains, 4 production-distribution- comprehensive, 124 importance, 3, 5 consumption, 100, current forms of, 121 box 5.1, fiduciary responsibility, 21, 23 102–4 123–30 marketing as, 328 social control, 100, 105 definition, 122 our position, 8 socialization, 100, 104–5 elements/features of, 122 relation to direct practice, 3–5 social participation, 100, 105 examples, 124, 135–36 skills, 4 444 SUBJECT INDEX

Community social casework, oppositional, 82 as part of problem solving, 426–38 political, 46, 210 179, 198 application of, case example, raising (feminist), 45, 86n.5 and power structure, 111–13 426–27 state of mind, 88 and practitioner, 180, 219, 281, definition, 427 Consent, 21, 24 377 effectiveness, 437 Conservatism, 8–9 Diagnosis, 11–13 model of, 438 Consumer ignorance, 323 Diagnostic and Statistical Manual skills, 429–30, 434–37 Consumer orientation, 327, 339 of Mental Disorders, 176 tasks, 430 box 15.1 Consumers, 325, 336–38. See also Diffusion, 345 Community studies Participation Dignity and worth, 73 box 3.3, applications/uses, 151–52, complaints, 187, 190–91 367, 371 box 13.9, 376 156–57, 162, 165 involvement, 374–75 box 13.11 community analysis, 157–62 rights, 358 “interrupt-contempt”, 380 field study, 147–52, 191 of services, 43, 188 box 7.5, Direct service. See also integrating and applying 227–28, 359, 373, 374–75 Community practice methods, 166–67 Contradictions, 67 casework, 7 power structure study, Control, 251 and change, 226, 356, 370, 112–13, 152–57 Controlling system, 15 371–72 problems/services, 162–66 Coordination, 164, 182, 208, 295, and community practice, 4, 9, social work slant on, 146 299–300 146, 208–11 Competition, 40, 41, 251, 302, Coordination and participation and public officials, 179, 180, 323, 328, 342, 351 tradition 226 Complex organizations, 256 community involvement, 407 Directors, boards of, 257 key features, 256 box 14.8 Disabilities Computer resources, 261–62 citywide coordination, 406 chemically dependent, 219 Compliance, types of, 256 box 14.7 box 8.4 coercive, 256 coordination, types of, 404 developmental, 231, 237, 369 normative, 256 defined, 404 box 13.3, 377 utilitarian, 256 exercises, 409–10 legal protection for, 377 Conflict, 202–4, 302–3 goal of participation, 406 mentally challenged, 229, 363, community as area of, 110 indigenous leadership, 409 364 conflict resolution, 302 participation mobility/movement, 209 box nonzero sum solutions, 303 in schools, 407–8 8.1, 214 zero sum solutions, 303 in health planning, 408 as program users, 221 conflict resolution strategies, success with participation, responses to, 79, 175 303 407 speech and hearing, 178–79 accommodation, 303 true representation, 409 box 7.2, 190, 365, 368 bargaining, 303–5 Cortes, Ernesto, Jr., 357 Disability identity, 79, 178 box retreat, 303 Council on Social Work 7.2 subjugation, 303 Education, 7 Discrimination, 65, 76, 160, 358, dialectical defined, 44 accreditation standards, 8 365, 384d.5 in groups, 283 Creativity, 211, 410 Disruption tactic, 357, 394 inevitable conflict, 394 Critical thinking, 66–67, 211–15, Distress/misery, 64, 197 box 7.8, in organizational change, 360 229, 356 262–68 Culture, 78–81. See also Reality Diversity, 81, 98–100, 147, 199, intermediaries, 373 construction 214, 222–23, 397 resolution, 302–6 assertion and, 222–23, 230–31 of functioning levels, 81 social work and community, bicultural, 230 Domains, 251, 295, 301, 436 185 common, 78, 80 domain consensus, 251, 295, Confrontation defined, 78 301 with authority figures, 379–80 differences, 78 establishing and with townspersons, 186 as a filter, 78 maintaining, 301, 305 Connections (links), 84, 120, 174, as life of a people, 148, 229 Drab existence, 400–401 200–201, 209 box 8.1, 368 and organizing-connecting, caring, 131 411–12, 415 Ecomap, 174, 201, 313–16 traditions of community, 391 framework for analysis, Consciousness Decision-making 314–16 critical, 360 box 13.2, 362, 414 community, 152, 156 Eco-matrices, 313 developing, 356, 357, 415 box community conflict, 110 Economy, 103–4 14.11 influencing, 232, 364, 367–68 and communities, 104 false, 45 participation in, 195, 201, Eco-systems perspective, 3, 6, 8, and meaning, 39 363–64 313, 428 SUBJECT INDEX 445

approach, 6 Examining contradictions, 46, 67 Gideon, Clarence Earl, 71 P-I-E, 8, 313 Exchange field, 51 box 2.1 “Giraffes”, 228 box 8.6. See also Efficacy Exchange theory, 295, 296, 310 Standing up collective, 36, 37 Expectations/expectancy, 78–79, Giuliani, Rudolph, 217, 256 and helplessness, 36 80, 216, 227, 364 Globalization, 9, 97, 102, 104, individual self-, 36 107, 308–9 self, 84, 362 Fair exchange, 297 Goals, 12, 198 of worker, 215 Faith-based organizations, 248, advancing goals. See Action Election of 2000, 8, 49, 412 323–24, 359, 405. See Governing boards, 257 Effective demand, 321 also Churches/religious functions, 259 Emic and etic perspectives, 80, organizations Graf, Arnie, 131, 138n.7, 384n.3 81 False-front organizations, 332 Grassroots, 4, 92, 107, 126, 274, Emotions/feelings, 83, 211, 233 Fatalism/futility, 84, 131, 227 410 Empowerment, 306, 327, 355, Fear (apprehension, discomfort), Groups 362, 437 218–19, 225, 374 process, 275, 283 and advocacy, 374–77, 376 concept, 209–10, 211, 218 stages of development, 276–78 box 13.11 of crime, 73 box 3.3, 194 adjournment, 278 and assertion, 227, 229 box 8.7 personal danger, 226 box 8.5 forming, 276, 278 client, 306 Feedback, 187 norming, 278 community, 122, 357 Feminism, 78, 79, 359. See also performing, 278 group, 69 Gender; Women storming, 278 instruments of, 417 definition of power, 110 tasks, 275, 283 social work and, 84–85 and patriarchy, 38, 370 Government regulations, 524 zones, 199 theory, 48–49 Group homes, 264, 268, 392–93, Engagement, citizen, 134, 210, Fiduciary responsibility, 20–21 392 box 14.1 407 Field theory, 263–26 Entrepreneurial approaches, 323 Focus groups, 167, 183, 188–90, Habitat for Humanity, 125, 130 Environmental assessment, 335, 408 Harry and Louise television 176–77 Force field, 263–64 advertisement, 212, Environmental modification, 3 analysis steps, 264, 269 331–32 Establishing a bond, 132–33 Formal organizations, 256 Health Insurance Associations of Ethics/ethical behavior, 19–24 Framing, 67–69, 215, 357 America, 331–32 Ethics Free riders and suckers, 108–9 Hechman, James, 97 advocacy as, 21 Friends of the Chosen People Helpers, natural, 78, 196, 200, 307 and assessment, 197 Ministries, 320 Helping person/profession, 70 Code of Ethics, NASW, Freire, Paulo, 69, 84, 360, 412, Heros, 81, 367, 371 20–24 413–14, 414 box 14.10, Hidden agendas, 278 in community practice, 21 415 box 14.11 Hispanic statistics, 98–99, 99 definition of, 20 Functioning levels, 81 table 4.1. See also dilemmas, ethical and Latino/Hispanic pragmatic, 22 Gaps in service, 180, 181 box 7.3, Homeland, 99 examples, 22–23 191 Hope, 37, 84, 123, 137 d.7, 358, fiduciary responsibility, 20–21 Gay men and lesbians (LGBT) 371 box 13.9 informed consent, 21–22, 327 community/culture, 167d.2 Hope Meadows, 215 principles, 25 homophobia, 61, 360, 412 House parties/meetings, 120, self-determination, 21–22, 327 movement, 78, 224, 384n.4, 368, 396. See also in social work practice, 19–22 394, 395 Organizing and in soliciting client testimony, outrage controlled, 82 mobilizing 370 queer theory, 49 Human Service Organizations, Ethnocentrism, 78, 80, 148 shifts in thinking, 78 245 Ethnography, 415–16, 430. See violence against, 73 auspices, 246–49 also Communities Gender. See also Feminism; proprietary and for profit, studies Women 246, 248–49, 323, 326 defined, 148 effects, 78, 221–22, 230, 231, social work proprietary field notes, 152 box 6.2 246, 307, 404 and for profit practice, immersion, 148 immutable trait, 358 249 informants, 149 problems of males, 189–90, public, 246–47 local knowledge, 148 413, 417 voluntary not for profit, role, 80, 148 Geographic Information Systems 246–47, 257, 326 “thick description,” 149 (GIS), 164–65 501(c)(3), 247, 524 Evaluation, 11, 14, 16–17, 238, General systems model, 245 faith-based, 248, 323–24 327, 393, 406 Getting to know people, 132 service mission, 247 446 SUBJECT INDEX

Human Service Organizations methodologies, 335–36 Living wage, 126–27 (continued) naturalistic, 148 Locality-limited horizontal feminine value orientation, 246 qualitative, 165 community systems, funding of, 246–47, 352 social autopsy, 162 100, 102–3 masculine value orientation, An Inquiry into the Nature and “Locals”, 168n.3 246 Causes of the Wealth of Loosely coupled systems, 250 people processing, 245 Nations, 103–4 people changing, 245 Insider and outsider, 80 Macro-practice, 3, 24–25 political nature, 246 Interdependency, 296 “Making a difference,” 80 International Federation of Making each person count, 397 Ignored people, 357, 408–9 Social Workers, 21, 427 Mandates, 190, 253–54, 377 Illiteracy or language barriers, Intervention, 14 Marcos, Subcomandante, 359, 184, 196, 414 box 14.10, Interorganizational theory, 42–44 416 416–17 Intervention Marginalization, 102, 103, 107–9 Immigrants/refugees, 77–78, and assessment, 11–12, 173 Markets, 321–28 150, 164, 195, 252 approaches, 11–14, 61 markets defined, 321 conflict involving, 364 examples of, 17–19, 265–67, example, 321 Implementation, 183, 199 363 box 12.4, 381 box new market development, 351 Implementing system, 15 13.12 primary and secondary Impolite, 228 with group problems, 281 markets, 333 Inclusion, 130, 408–9, 415 knowledge of, 357, 361 positioning, 333 Indigenous culture, 67 range and level, 192 box 7.6, requisites, 329 Indignation/indignant, 83, 355 361 target market, 321 Individual and society social work, 11–19 target market segment, 321, “me” or “we,” 210 steps, 198 328, 334, 340 the One and the Many, 196, types of community-based, target market segmentation, 200 box 7.8 121 box 5.1, 197–98, 411 333–36 private troubles and public box 14.9 segmentation research issues, 356 Intraorganizational systems, 249 questions, 335 Individual Development Involvement, facilitated, 135–36, and social work values, 337 Accounts, 126 357 segmentation guidelines, Inequality, 96–97 Irish Travelers, 148–49 337–38 compensation and wages, 96 Issue stages, 69–70 segmentation protocols, 338 economic, 96 Market matrix, 336 social, 96 Jeffries, Ann, 54–55, 420n.2 place, 333, 343–44 Informal organizations, 258–59, Johnson, Byron R., 324 and benefits, 344 262 Joining with communities, 132–34 price, 333, 340, 343–44 Information and referral, 164–65, Justice as fairness, 131 benefit, 341 181 cost, 340 Informed consent, 21–22 Key informants, 149 demand, 341 Initiator system, 15 Knowledge, 20, 145, 209 types, 342–43 Innovation, narration, liberation street learning, 229 value, 340–41 tradition Kuhn, Maggie, 130, 362 probing, 333 consciousness raising, 416 products, 333, 338 critical consciousness, 414 Lack of program resources, 62 product design, 339 cultural activism, 411–12 La Colonia, 26n. product image, 341 cultural symbols, 38, 411 Latinos/Hispanics, 17–19, 86n.4, product management, 339 exercises, 418 145, 160 product mutability, 338 feminist organizing, 413 Bolivians, 77 product positioning, 339, Freiren approach, 413–44 Cuban-Americans, 146, 129 341 innovation, 410 Mexican-Americans/ promotion, 333, 344–48, 351 liberation, 411, 414 box 14.10, Chicanos, 195, 364–65 and client empowerment, 415 Puerto Ricans, 129, 146, 196 345, 437 listening, 415, 417 Leadership, 52, 62, 128–29, high intensity, 345 narration, 414–18 135–36, 221, 223, and informed consent, 345 popular education, 411 box 239n.1, 272, 362, 380 low intensity, 345 14.9, 413–14 Leadership Institute, 332 readability, 346–48 stories as connectors, 417–18 Lee, Porter, 7 purchasers, 333, 335–36 Inquiry/information gathering, Liberatory/liberation, 33, 49 Market mix, 340 12, 15–16, 151–52, “Little guys/fellers,” 130, 368, Market research, 333–37 163–64, 208, 355 399 audits, 335–36, 350–52 “intelligence,” 186 Lived geographies, 174 audit guide, 350–52 SUBJECT INDEX 447

advisory boards and 286–90 general, 12, 163, 173 committees, 335 staffing, 283 informal, 191, 192 box 7.6 case studies, 335 Meeting planning, 280–81 Negotiation, 304, 436 focus groups, 335 Meetings Neighborhood, 92. See also mall surveys, 335, 336 community, 190–91 Community research questions, 334–35 group, 279–84 changing, 124, 145 surveys, 335 house, 368 “client” neighborhood, 185 Marketing, 321, 328, 350 lobbying, 368 contrasted with community, as advocacy, 328 public forums, 190–91 92 as community practice, 328 workplace, 221 differences in, 162 defining traits, 330 Mega-structures, 107 exploring, 152 box 6.2, 155 marketing defined, 321, 322, Metropolitan Statistical Area box 6.4, 160 box 6.7, 330 (MSA), 95 167 strategic marketing, 333 Microenterprise, 125–26 familiarization, 177 social marketing defined, 322 Milford Conference of 1929, 7 image as “troubled,” 124, 185 Market data, 325 Mizrahi, Terry, 394 fig. 7.1 Market model, 302 Mobilizing resources and study of, 159 Meaning people, 393 Networks, 113, 293 concept, 5, 6, 62, 131 Models of human behavior defined, 294 and culture, 78 biopsychomedical reductionist dimensions, 295 and reality construction, 38, 76 models, 432–33 centrality, 298 Measuring effectiveness biopyschosocial models, 433 cohesion, 297 bottom-line, 325, 327 educational models, 433 control, 299 difficulties, 325 psychosocial models, 433 coordination, 299 Mediation, 305 multiculturalism, 98 density, 298 Media, 74–75, 348–49 Moore, Michael, 86n.4 density formula, 298 as advocacy staging, 349 Moral work, 246. See also Ethics; dependency, 296 as agenda-setter, 66 Values domain consensus, 295 as institution, 370 Moses, Bob, 132–33, 395, 397 exchange, 295–96, 310, 436 interactive, 191 Mutual aid/responsibility, 11, horizontal network media information files, 348 187, 195, 210, 406 box relations, 300–301 media outlets, 349 14.7 influence, 296 electronic bulletin boards Mutual exploration, learning, locus of authority, 300 and networks (WEB), 174 power, 296 349 Mutual support, 100, 107–9 power equation, 296 journalists, 349 Myths, 84, 215 reciprocity, 295, 309 print, 349 size, 295 radio, 349 Nader, Ralph, 65, 70, 384d.3 structural complexity, television, 349 Narrative, 81, 196, 414–18 298–99 volunteers, 349 National Association of Social chain, 298 as negative societal element, Workers, 7 group, 299 74–75 Native-Americans/ segmented, 299 and power, 156 Indians/Indigenous star, 299 publicity, 125 people, 38, 75, 78, superordinate-subordinate as resource 79, 146, 218 box 8.3, relationship, 297 events, 357 239d.1, 293, 410, 415 symmetry, 297 information, 75, 159 Natural helper, 130, 174, 309 units’ social status, 300 sympathetic/supportive, 74, Natural leader, 136, 157, 362 vertical, network relations, 177 Natural support systems, 300–301 uses of, 75, 348, 369, 373 312, 362. See also families, 77–78 and social problems, 74–75 Helpers interorganizational, 113, 25, Mediating structures, 11, 107, Need, 321 294 113, 113–14 broad types, 192 mandated networks, 300 Meeting management, 281 concept of, 359 purposes, 294 chairing, 282–83 contrasted to desire or management, 299 guidelines for effective complaint, 191 naturally occurring, 3 meetings, 282 degree of, 191 social networks defined, 294 problems, 282 exploration of, 162 and clients, 306 problem-solving framework, firsthand knowledge, 165 exchanges, 329, 436 286 Needs assessment social support networks, application of problem- formal, 191–93 306–8, 436 solving framework, gaps, what’s missed, 182–88 assessment, 313, 434, 436 448 SUBJECT INDEX

Networks (continued) house meetings, 396–97, 396 and agencies, 252, 253 and benefits, 307–8 box 14.3 altering power relationships, and costs, 309 infrastructure, 401, 403 box 122 primary social support 14.6 authority, 110 networks, 310–12, 434 mass-based, 395 box 14.2, 410 balancing, 40 secondary social support modes, 52–54, 396 dependency, 40, 296–97 networks, 310–12, 434 organizational considerations, distribution, 111 tertiary social support 399 and exchange relations, 39–40 networks, 310–12, 434 public pressure, 418–19 feminist view, 110 socially constructed, 3 service system reform, 392 and groups, 70, 357 voluntary networks, 300 box 14.1, 404 networks of organizations, 113 Networking, 253, 436 social action versus and organizations, 44. See also defined, 294 community building, Human service Nonplace (identity) 394 organizations communities, 151 skills, 396–401 personal-interpersonal- strategies, 398–401, 400 box political, 111 box 4.3, Office of Faith Based and 14.4, 418–19 210 box 8.2 Community Initiatives, strategy chart, 402 pluralism, 112–13, 152 324 tactics, 399–400 relations with clients, 360 Older/elderly/aging, 133, 150, targets, 400–401 sources of, 39–42, 110, 113 151, 160, 164, 187–88, Outreach, 146, 151, 194–96 structure, 110–13, 110 189, 194, 231, 362, 365 vehicle for needs assessment, superordinate-subordinate box 13.6, 377, 404, 406 195 relationship, 297 box 14.7, 418–19 Overcoming inertia, 83–84, 215 theories of, 111–13 Ombudspersons, 373 elitist, 111–13 Opportunistic surveillance, 252 Paradigm shifts, 78 pluralist, 111–12 Oppression/silencing/subordin- Participant observation and uncertainty, 252–53 ation/subjugation, 7, methodology, 148–51 Power elite, 111 49, 82, 84, 357, 412, 414, Partnerships, 127, 165, 199, 209, Power structure study, 146. 418 210 box 8.2, 406, 408 See also Community Organizations, 244–45 sustaining strategic. See studies attributes, 244–45 Networks for agencies, 156 auspices, defined, 246 Participatory democracy, 309 in agencies, 254–57 culture, def., 259–60 Patch analysis, approach, 427, approaches goals, 253–54 429, 431, 434 decisional (issue analysis), operative goals, 254 system of intervention, 123, 153 mandate, 253 125 positional, 153, 154 mission, 253–54, 350 Perspective/perception, 64–65, reputational, 153, 154–55 mission statement example, 73 box 3.3, 79, 147, 149 in communities, 152–57 254 181, 179 box 7.2. See locating power studies, 153 purposes, 244–45 also Awareness; Reality Practice error of condescension, structure, 250 Personal Responsibility and 151, 407 technology, 250 Work Opportunity Practice wisdom, 136, 419 variability, 250 Reconciliation Act of Preconceived ideas, 157 Organizational chart, 255 1996, 248, 324 Preferences, 321, 326 Organizational centered mind Petronius Arbiter, 291 Prevention, 51 box 2.1, 198, 201 set, 322 Philanthropy, 98 Pride, individual or communal, Organizational orientation, 322 Phillip Morris Companies, 320, 331 126, 209, 398 Organizing and mobilizing Photovoice, 183 Price, types, 342–43 tradition Place (locality) communities, 151 social price, 342 allies, 399 Political right, 331–32 time price, 342 commonality versus identity Popular education(Freire), 411 direct time, 342 politics, 395 box 14.9, 413 disruption/simultaneity, 342 connecting through action, Population, USA, 99 flexibility/fixity time, 342 395 box 14.2, 420n.4 aging of, 100 performance time, 342 consensus versus conflict Potemkin organizations, 332 effort and energy price, 342 394–95 Poverty, 7, 66–67, 77, 97, 121, lifestyle price, 343 defined, 393, 399 122, 124, 397. See also psyche price, 343 economic comprehensive Class and economic stigma, 343 development, 122, 404 differences social price, 342–43 exercises, 403–4 Power, 39–42, 110–13, 110–11, 252, Primary and secondary groups, goals, 393 296–97, 303, 331, 436 108 SUBJECT INDEX 449

Privatization, 98, 326 definitions, 45 Rural/small-town, 81, 96, 121, “Privileged”, 48 shared, 5, 77, 80 123, 145, 154–56, 178, Problem solvers, 81–83, 185 Reality construction, 37–39 184, 366–67, 407, 417 Problem solving, 11–14, 286. See as a dialectical process, 38 also Skills; Social “Realm of we,” 210 Safety problems Reassessment, 199 of community advocates, 134 analysis tools, 67 Reciprocity, 102–3, 295, 297, 309, of social workers, 225, 226 box application of group problem- 434 8.5 solving framework, Redlining, 124 Scalar principle, 255–56 286–90 Religion Scott, Chainie, 265–67 community, 198 Buddhism, 223, 412 Self-determination, 21–22 conceptual frameworks, Christianity, 154, 186 Self-discovery, 69 65–67, 285 Judaism, 131, 150 Selling orientation, 323 community practice case Muslim, 133, 412, 413 Segregation, 99 example, 17–19 Sikh, 133, 413 September 11, 2001 (9–11), 9, 76 direct service case example, Resilience, 66, 185, 411 box 3.4, 95, 99–100, 105, 14–17 hardy spirit, 208 217 guide, 198 Resistance, 33, 198 Service commitment, 10, 248 perception and, 64–66 Resources, 251 Service delivery system problem-solving systems, assets, 185 adequacy/suitability, 150, 162, 14–15 availability/delivery, 4, 162 178, 180, 182 social work strategy, 11–14 development of, 4 Six Degrees of Separation, 294 systems, 14 computer, 260–61 Skills in task groups, 285–86 directories, 183 box 7.4 active/careful listening, 208, Product orientation, 322, dispersion, 306 397, 407 box 14.8 326–327, 339 information tracking/retrieval addressing common concerns, Production-distribution- advocate sources, 187 62, 69, 365 consumption, 100, 102 agency sources, 182 advocating, 9, 39, 208, 378–83 Profession as calling, 19 assessment, 191 analyzing, 62–91, 83, 93 fig. service mission, 19, 248 government sources, 164 4.1 Professional orientation, 323 infrastructure, 121 field of action, 50, 51 box Program development, 199 box networks, 9 2.1 7.9, 362 box 13.3 richness, 306 force field, 264, 268 Programs in communities, strategic, 398 group problems, 286–90 120–30 Respect organizations, 261–68 Progressive ideology, 371, 395, earning, 370 articulating interests, 210, 359, 410 fighting for, 85d.4 418–19 Promotoras, 194 insisting on, 358, 380 asserting, 208, 231–39 Propriatarization, 98 showing, 136, 151, 186, 224, assessing, 14, 16, 18, 188–96, Psychic numbing, 209 409 200–201, 285, 286, 288, Public information, 345–46 standard/principle of, 68, 122 290 Public life, 92–93, 93 fig. 4.1 Responsibility attending to self and others, Public price, 343 devolving to local 212–14 Public relations, 345–46 governments, 9, 97, 98, political attending, 84 Putnam, Robert, 100 100 bargaining, 39, 210, 265, 303–6 media, 74–75 bringing people together, 6 Race/ethnicity, 78–79, 73 box moral, 228 brokering or linking, 120, 128, 3.3, 98, 146, 214, 358, personal, 197 box 7.8, 219–20, 130, 176, 182, 194, 404, 359, 412–13. See also 223 410 Arab-Americans; professional, 20, 183, 373–74 capacity building/ African-Americans; shifting of, 380, 398 development, 360 box Asian-Americans; societal, 358, 370 13.2, 362, 376 box 13.11, Immigrants; Responsive Communitarian 396 box 14.3, 397–98, Latinos/Hispanics; Platform, 11 403 Native Richmond, Mary, 7 claims making, 69–74 Americans/Indians/ Rights, 21, 200, 218, 227, 358–60, chairing, 135–36, 190–91, Indigenous 363 box 13.4 282–84 white privilege, 73 Risks, 20–21, 130–31, 218 challenging, 379–80 Reality Role play, 232, 236, 418 community building, 92 box alternative/differing/ Rothman, Jack, 52, 54 fig. 2.1 4.1, 122–30, 166, 176, fluctuating/multiple, Rowe, Brother Cyprian, 19 210 61–62, 75–78, 76 box 3.4 Rules of engagement, 304 contending, 379 450 SUBJECT INDEX

Skills (continued) negotiating, 39, 265, 303, 380–83 Social embeddedness, 314 coordinating, 208, 404–6, 406 networking, 39, 293, 306, 369. Social exchange, 294, 322, 436 box 14.7 See also Networks. Social exchange theory, 294, 329 counseling, 7, 195, 208 observing, 147, 160, 285 Social exclusion, 102–3, 308 data or information gathering, peacemaking, 215 Social learning theory, 437 11, 12, 15–16, 17–18, persuading, 33, 210, 378, Social justice 135–36 418–19 activities, 208 debriefing, 393, 401 planning, 4, 146, 163, 226 civil rights, 358, 371 defining, 67–68, 69, 70 preparing, 119, 173 ideals, 355 detecting, 75 problem-solving. See Problem injustices, 71, 355 developing a plan of action, solving; Social interventions, 358 197–98, 392–93, problems Social mapping, 312 398–401, 402 box 14.5 protecting and preventing, Social marketing defined, 322, documenting, 163, 365 71–72, 135, 225, 227, 330–32 establishing competence, 262 359, 361 defining traits, 330 evaluating, 14, 16–17, 18–19, relationship building, 135–36, social marketing defined, 322, 285–86, 287, 289, 290 365–66, 378, 366 box 331 exercising power, 224, 418–19 13.7, 396–97 Social movements facilitating, 135–36 representing, 378–79 against evils of life, 357 familiarizing, 158, 177 researching, 51 box 2.1, as bundles of narratives, 416 focusing discontent, 83, 85–86d.7, 164, 191 as changing victim status, 371 265–69 box 9.5 sets of, in community box 13.9 fund raising, 156, 225, 401, practice, 135 legacy of, 371–72 403, 403 box 14.6 spotting patterns, 69, 365 box as resource mobilization, holding responsible/ 13.6 370–71 accountable, 62 seeing, 62–66, 81 Social order examples, 394 influencing, 155, 262, 363 strategizing, 70, 361, 363, Social participation, 100, 105, informing, 21, 358, 359 399–401 107, 109, 309 intelligence gathering, 186, thinking, 211–12 Social planning, 4. See also 198 transformation by people, 69 Community organizing intervening, 14, 16, 18, 24, 198, using chain of command, 380 definition of, 4, 286–87, 288–84, 290 witnessing to social ills, 51 Social problem(s), 61–78 interviewing, 79, 185, 208 box 2.1, 84, 210, 355, approaches as part of studies, 147 box 391–92 critical, 66–67 6.1, 150–51, 153 box 6.3, working the system, 261–62 labeling, 66 154–55, 159 box 6.6, SMARRT objectives, 12–13, 276, “blaming the victim,” 63–64 161, 163 box 6.8, 165, 429, 431–32, 434, 436 and claiming, 71–74 194, 415 application, 431–32 as common denominators, 83 investigating and exposing, definition of, 12–13 and culture, 78–81 208, 228, 358, 359 evaluation check sheet, 13 community problem involving others, 81–82, 82 SMOG readability formula, intervention, 198 box 3.5, 166, 182–83, 346–48 conceptions/constructions, 63 190, 367–68 calculation protocols, 347–48 box 3.1, 64 box 3.2, joining with communities Social action, 3, 9, 357, 400 box 65–66 132–34 14.4 as construct, 66 leadership development, 393, Social capital, 121, 134 defining, 68, 361 401 Social change, 355–58 elements of, 67–69 listening, 135, 186, 209, 213, campaigns, 262–68, 358 frameworks, 67–69 417 challenging groups, 357 historical perspective, 64–65, active-careful, 208, 397 mobilization, 198, 356, 370 64 box 3.2, 73 box 3.3 lobbying, 4, 9, 155, 231–32, modes hit parade, 74 361, 368–70, 369 box ensuring individual rights, human service, 62 13.8, 384d.5 357, 358 lay and practitioner mapping public interest advocacy, perspectives on, 62 resources/relationships, 356–57 media and, 74–75 175 box 7.1, 178, 184, transformation, 358, 359–60 moral interpretations, 69 185 fig.1 progressive versus stagnation, nature and formulation of, marketing, 9, 39, 328 356 62–63 mediating, 305 Social cohesion, 102, 107 as perceived violations of modeling behavior, 7, 414 box Social control, 100, 105 standards, 67 14.10 Social costs, 343 personal problem contrast, 64 monitoring, 358 Social Diagnosis, 7 problem solvers, 81–85 SUBJECT INDEX 451

and reality, 75–78, 76 box 3.4 lobbyist, 9, 372 disability example, 79 receptivity, 65 manager, 4, 356 farm worker example, 397 remediation, 68–69, 81 mediator, 11, 377 historical use, 162 research, 85d.7 negotiator, 4, 380–83 methodology, 192 box 7.6, social conditions versus, 63–65 opportunistic searcher, 252 193–94, 335 social cost of, 68, 343 organizer, 4, 133, 372 nursing home advocacy solutions, 64–65, 81–85 partner, 165, 183 example, 188 box 7.5 staging, 69–70 planer, 3, 4, 191 obesity example, 193–94 tractability, 69 problem identifier/framer, pitfalls, 165 worldviews and, 75 62–69, 83, 160, 163 program examples, 163–64 Social reform, 7, 223, 357, 358 problem solver/supporter, provider examples, 182 Social regulations, 324 81–82 public housing example, 180 Social solidarity, 103 program developer and Systems, 14–15, 100–103, 245, Social supports, 306–7 service provider, 122, 249–50, 294, 307–16, enacted social supports, 314 128, 184, 192 350, 352, 433 perceived supports, 314 referrer, 8, 372–73 system’s entropy, 436–37 Social work researcher, 4 Systems thinking, 51 box 2.1 careers, 9, 120 staff to groups, 284–85 changing environment, 8–9 teacher, 4 Taken-for-granted assumptions, compared to dance, 208–11 trainer, 372 75, 179 history, 6–7, 365–66, 371 watch dog, 416 Taping (audio, video) 151, 190, mission, 6, 7, 10 Socialization, 100, 104–5 191, 411 box 14.9 problem-solving strategy, 11–19 media, 104 Target market, 321, 322, 334–35 profession, 7–8 Solidarity, 130 target market defined, 321 Social work practice Spirit, 198, 208 target market segment (tms), changing environment of, 8–9 Staging, 331–32 321, 335–36, 328, 340 clinical social work, 8, 10 as media advocacy, 349 exchanges with, 340 communities and, 5–6 as social marketing, 331 target market segmentation, definition of, 7, 427 staging defined, 331 333–36 history of, 6–7 Stakeholders, 186, 192, 406, 407, segmentation research as networking, 312–16 409 questions, 335 purpose and mission of, 6–7 Standing up and social work values, 337 political landscape, 8–9 as assertion, 218–19, 218 box segmentation guidelines, Social work roles, 4, 372–78 8.3, 229 box 8.7, 230 337–38 advice giving, 7 to authority, 236 segmentation protocols, 338 advocate/champion, 4, 21, 372 Statistical Abstract of the segmentation protocols for box 13.10 United States, 100 pricing, 343 ally, 227 Stories. See also Innovation, and social work values, 337 boundary spanner, 252 narration, and Target system, 15 broker, 4, 9, 377 liberation Task environment, 251, 350 client advocate, 372–73 counterstories, 80 Task forces, 275 clinical activist, 360 of the problem, 80 Task groups, 274–75, 279 coach, 4, 372 Strategic planning, 252 effective decision-making, 280 communicator, 4 Strength assessment, 173 Teams, 274–74 community educator, 354, 368, Strengths perspective as networks, 274 372 assertive personal strengths, Technology, 250 community liaison, 372 218–19 Technology revolution, 100 confronter of inertia, 83–85 client/citizen strengths, 186, Terrorism, 99–100, 105 coordinator, program, 372 210 box 8.2, 218 Tertiary social structures, 106, cultural critic, 412, 416 community view of its 309–12, 434 expert, 146, 162, 166, 191–92 strengths, 161 Testimony facilitator, 4, 362 identifying/building on, 209 assertive writing, 231–32 frontline, 181–82, 199–200, box 8.1 collaborating with affected 359–60 self-fulfilling prophecies, 185 party, 370 fundraiser, 372 tapping community strengths, influence of Hill testimony, 73 information provider, 162, 120, 122 Theory 187, 195 Suburban, 96 assertion, 218 issue director, 372 Support groups, 11, 195 conflict, 44–6 liaison to community group, Support systems, 294, 307–16 constructionism(ist), 37–9, 76, 200, 375 Surveys 359–60 liaison to officialdom, 156, as assessment, 193–94, 335 chaos, 49–50 179–80, 187, 373 community example, 194 critical, 47–48 452 SUBJECT INDEX

Theory (continued) Unfaithful Angels, 6, 10 Voice/voicing, 186, 210, 228, ecological, 47 U.S. Census Bureau, 100, 101 359, 378 ethnographic, 148 Unthinkability, 77 Voluntary associations, 106–7, explanatory frameworks, 46 Urban, 96, 137d.8, 383 309–10 feminist, 48–49 Urbanization, 95 Volunteers, 11, 84, 226, 231, 349, feminist standpoint, 79 Use of self, 135, 208–17, 282–90, 398, 407 force field, 263–64 418–19 Voting, 8–9, 64, 226, 368 group development, 272–79 interorganizational, 42–44 Values, 19 Walking a beat, 200 motivational, 46–47 and agencies, 246, 252 Wealth, 37, 65, 77, 132, 228 box power structure, 110–13 and assertion, 222, 226 8.6, 360 box 13.2 practitioner’s use of, 33–34 and assessment, 196–97 WEB, 260–62 reality construction, 37–39 complexity, 149 Welfare state, 9, 97, 100 social exchange, 39–42 configurations, 68 devolution, 9, 97, 100 social learning, 35–37 conflicts, 70, 78, 79, 186, Wellstone, Paul, 228 box 8.6, 368 symbolic interactionism, 55 371–72 West, Cornell, 73 box 3.3 systems, 34–5, 101–3 consensus, 368 What Is Social Casework, 7 uses and limitations, 55–56 democratic, 248, 356 Whistle blowing, 23, 268 Thought structure/patterns, 77, service commitment, 10 guidelines, 23 78, 357 social work, 20–21, 208–9, 211, Wiley, George, 371, 384 Tragedy of the commons, 108 355–56 Will (volition), 4, 62, 228 Trust/distrust, 165, 174 Valuing human beings, 132, 392 Women. See Feminism; Gender building, 165, 195 box 14.1 and assertiveness, 221–22, relationship, 100, 172–73, 212, Vertical integrated community 230–31 364 systems, 101–3 problems of, 193 Trust, 109 Victim, 69, 71 social action more beneficial, 9 public trust, 325 blaming the, 63–64 social movement, 78, 86n.5, descriptors, 189 218, 371 Uncertainty, 35, 250, 252–53 label, 72 status of, 78, 156 Undertakings mentality, 227 strength example, 210 box 8.2, community, 120 services for, 180, 237 215 successful, 120, 121 box 5.1 Victimization, 375 Worldview, 61, 75–78. See also United Way, 98 Viet Nam war, 95 Culture Name Index

Abatena, H., 124, 183 All, A. C., 173 Atherton, C. R., 49, 59 Abbott, A., 147, 168 Allen, J. T., 77 Atkin, J., 308, 319 Abdulezer, S., 417 Allender, J. A., 124 Atkinson, D. R., 186 Abelson, P., 98 Almond, G. A., 309, 316 Atkinson, P., 312, 317, 437, 439 Abelson, R., 9, 26, 115 Alstott, A., 359 Attkisson, C. C., 162, 171, 191, Abercrombie, N., 49, 57 Alter, C. F., 301, 316 192, 193 Abramovitz, M., 356 Altschuld, J. W., 191 Auerswald, E. H., 195 Abramson, L. V., 36, 57 Altschuler, D. M., 248, 271 Auslander, A., 311, 316 Abu-Lughod, J. L., 119 Alvarez, A. R., 212, 213 table 8.1, Auslander, G. K., 311, 316 Accardo, P., 191, 193 214, 357, 412 Austin, N., 208, 220, 222, 227, Acción New York, 126 American Association of Social 237 Accordino, J., 134 Workers, 7, 26 Auwal, M. A., 125 Ackerman, B., 359 Amezcua, C., 183 Avner, M., 369 Ackerson, B., 375 Ammerman, A., 127 ACORN, 126, 27 Anderson, C., 238 Baard, E., 76 box 3.4 Act Up, 394 Anderson, D. B., 195, 306, 316 Babbie, E., 335, 353 Adams, P., 427, 428, 430, 439, 440 Anderson, E. A., 308, 318, 352 Bachrach, P., 113, 115 Adams, P., 123 Anderson, J., 182 Baker, F., 271 Addams, J., 366 Anderson, R. E., 5, 26, 294, 316, Balgopal, P. R., 307, 316 Addams, R. G., 150, 168 437, 439 Ballard, H. B., 117 Administrative Systems for Andreasen, A. R., 321, 322, 323, Ball-Rokeach, S. J., 417 Church Management, 12, 26 324, 325, 326, 327, 328, 330, Balogh, P. A., 194 Agarwala-Rogers, R., 260, 271 333, 345, 352, 353 Bamford, C., 179 box 7.2 Agne, K. J., 216 Angel, G., 225, 227, 228, 237, 238 Bandler, S., 276, 277, 292 Ahmad, N., 46, 51, 57, 131 Anthony, R. N., 325, 352 Bandura, A., 36, 37, 57, 437, 439 Alba, R. D., 306, 317 Anzaldva, H., 378 Banerjee, M. M., 96, 113, 125 Alberti, R. E., 219, 223, 224, 230, Appiah, K. A., 98, 99, 115 Banfield, E., 110, 112, 115 237 Apted, M., 65 Baratz, M. S., 113, 115 Alcorn, S., 190, 192, 193 Apter, M. J., 46, 57 Barber, B., 210 Aldrich, H. E., 44, 57, 244, 270, Arches, J. L., 135, 405 Barber, J. G., 428, 439 299, 316 Arean, P., 238 Bardoe, C., 137n.5 Alexander, L. B., 265, 270 Armey, D., 8, 27, 99, 326, 353 Baretta, A. G., 222 Alibrandi, M., 164, 168 Armstrong, J., 145, 168 Barlett, D., 115, 301, 317 Alinsky, S. D., 359, 394, 395 box Asch, A., 9, 26 Barnes, M. D., 69 14.2, 397, 400 Ash, R., 411 Barrow, C. J., 202n.2 Al-Krenawi, A., 80 Atcheson, R., 406 box 14.7 Barth, R. P., 310, 317

453 454 NAME INDEX

Basch, R., 261, 270 Bolland, K. A., 49, 57 Burghardt, S., 46, 58, 137n.6, 209, Baskin, D. B., 260, 270 Bombyk, M., 356, 384 211, 357, 359, 368, 378 Bass, D. J., 298, 317 Bond, A. F., 195, 203 Burkhardt, M. E., 298, 317 Bates, E., 152, 168 Bond, G. R., 437, 439 Burson, I., 375 Bates, M. E., 261, 270 Boo, K., 392 box 14.1 Burt, R. S., 295, 317 Batson, C. D., 46, 57, 131 Borgatti, S.P., 200, 203 Bushell, D. Jr., 437, 439 Battle, M., 121, 408 Borgsdorf, D., 124, 138 Butler, S. S., 223, 405 Baumann, E. A., 72 Boshara, R., 77, 87 Butler-Jones, D., 51 box 2.1 Bayne Smith, M. A., 191 Bourquard, J. A., 261, 270 Butterfoss, F. D., 188 Bayona, N. C., 184 Bowen, G. L., 124, 308, 319, Beal, C., 164, 168 420n.1 Cairns, J. M., 173 Beck, E. L., 395 Bower, G. H., 218, 225, 237 Calpotura, F., 395 Becker, J., 195 Bower, S. A., 218, 225, 237 Cameron, M., 177 Beckett, J. O., 47, 57 Bowles, D. D., 316 Campoverde, C., 192 Beeman, S., 296, 306, 317 Boyle, J., 48, 57 Canda, E. R., 46, 55 Beetham, D., 318 Boyle, T. C., 145, 168 Candy, T. A., 164, 168 Bell, D. A., 380 Boyte, H. C., 359, 385 Capparell, S., 129 Bellah, R. N., 5, 10, 26, 76, 84, Bracht, N., 157, 169, 199 Carlson, E., 404 101, 102, 115, 310, 317 Bradshaw, C., 411, 421 Carroll, J., 414 Bellamy, E., 196 Bradshaw, J., 321, 352 Carson, L. G., 162, 171, 191, 192, Bennett, S., 407 Brager, G., 262, 264, 265, 269, 193 Beresford, P., 407 box 14.8 270, 370 Cart, C. U., 122 Berger, B. M., 109, 115 Bragg, M., 256, 270, 296, 300, 317 Carter, I., 5, 26, 294, 316, 437, Berger, L. M., 412 Bragg, R., 93, 116 439 Berger, P. L., 11, 26, 37, 38, 39, Brandriet, L. M., 148, 168 Cashmore, E., 414 box 14.10 45, 57, 107, 113, 115 Brandwein, R. A., 78, 87 Castelloe, P., 294, 317, 414 Bergesen, A., 47 Braum, H. J., 98, 117 Castex, G. M., 63, 87 Bergman, L., 163, 168 Braverman, L., 361, 385 Castle, A., 238 Berkman, C. S., 211 Brawley, E. A., 346, 352, 384n.1, Castles, K., 66 Berman, J., 249, 270 385 Catalano, R. F., 237 Bernard, H. R., 335, 352 Bregman, S., 237, 240 Caughey, J. L., 78, 87 Bernard, M., 294, 311, 312, 318, Brennan, E. M., 307, 318 Chamberlain, R., 437, 440 427, 437, 440 Breul, F. R., 28 Chapin, R. K., 62, 87, 370 Bernstein, A., 359 Bricker-Jenkins, M., 122, 413 Chaskin, R. J., 122 Bernstein, L., 66, 87 Bridger, J. C., 49, 58 Chaskin, R., 420n.1 Bernstein, N., 75, 87 Brieland, D., 365, 366 Chatterjee, P., 46, 55 Berry, J. M., 369 Broad, W. J., 100, 116 Chazdon, S., 12, 26, 429, 439 Berry, M., 11, 26, 97, 103, 115 Brooks, D., 109, 116 Checkoway, B., 122, 356 Berstein, N., 98, 115 Brooks, F., 384n.8, 385, 397, 401, Chesapeake Foundation for Best, J., 49, 57, 71, 72, 73, 87 421 Human Development, Inc., Biddle, L. J., 134, 216 Brooks, N. A., 362, 385 254, 270 Biddle, W. W., 134, 216 Brower, S., 94, 116 Chesney, M., 313, 317 Bishop, K. K., 165, 171 Brown, B. R., 304, 305, 319 Chetkow-Yanoov, B., 301, 302, Bisman, C. D., 6, 12, 26, 176, 215, Brown, P., 97, 116, 117, 367, 317 285, 292, 312, 313, 317, 431, 420n.1 Cheung, K. F., 437, 439 439 Brown, R. J., 122, 138 Chiang, T., 65, 87 Black, A. E., 152, 171 Brownell W. A., 307, 309, 310, Chin, A., 238, 239n.7 Blackburn, J., 414 319 Chipenda-Dansokho, S., 122 Blackwell, D., 195 Brownell, P., 174, 203 Choi, J. M., 5, 28, 38, 39, 76, 79, Blanchard, K., 220 Browning, T., 158, 168 81, 89 Blank, B. T., 132 Brueggeman, W. G., 81, 87, 369 Chow, J., 164, 168 Blau, J. P., 306, 317 Bruner, C., 404, 421 Christensen, P., 212 Blau, P. M., 39, 57, 296, 297, 317, Bruno, F. J., 7, 26 Chrystal, S., 80, 87 329, 352 Bryant, S., 78, 90 Churchman, C. W., 294, 433, 317, Blezard, R., 86d.8, 87 Bryce, H. J. Jr., 324, 325, 352 436, 439 Bloom, L. A., 178 Bryne, J., 164, 171 Cialdini, R. B., 378 Blumer, H., 55, 57, 70, 71, 87, Bryson, J. M., 253, 270 Cinnamon, A., 82 box 3.5, 87 332, 352, 430, 439 Bucher, R., 250, 271 Clark, C. L., 261, 270 Blundo, R. G., 38, 58, 261, 270 Bullen, P., 128, 140 Cleage, P., 146, 169 Bobo, K., 41, 57, 394, 400 box Bulmer, M., 147, 168 Clifton, R. L., 223 14.4, 402 box 14.5, 404, 419, Bunghardt, S., 137n.6, 138 Cloninger, L., 437, 439 420n.6, 420n.12 Burgess, R., 437, 439 Cloward, R. A., 46, 115, 118, 295, Boland, K. M., 357, 388 Burghardt, E. M., 149, 171 318 NAME INDEX 455

Clymer, A. C., 100, 116 Dahrendorf, R., 45, 58, 97, 116 Duberman, M., 79, 87 Cnaan, R. A., 367 Daley, J. M., 151, 169, 406, 412 DuBois, B. L., 174, 407 Coates, J., 55, 57 Dallaire, L., 308, 317 Dubose, L., 356 Coates, T. J., 313, 317 Dalton, J. H., 296, 297, 306, 309, Dufort, F., 308, 317 Cobb, C. E., 133, 395 317, 430, 439 Dugas, C., 66, 87 Coch, J. R., 405 Das, V., 58, 356 Duneier, M., 149, 169 Cochran, M., 306, 317 Davenport, J. III., 145, 169, 312, Dunlap, M., 409 Cohen, A. P., 5, 27 317 Durst, D., 178 Cohen, B., 404, 405 Davenport, J., 145, 169, 312, 317 Dutton, J., 430, 437, 439 Cohen, J., 202n.2 Davis, E. M., 183 Dye, T. R., 152, 169 Cohen, M. H., 133 Davis, J. E., 57n.2, 58, 415, 416 Cohen, R., 79, 87 Davis, K. C., 373 Early, T. J., 360 Cohen, S., 66, 87 Davis, L. E., 173 Eberhardt, L. Y., 220 Colburn, L., 225 Davis, L. V., 360 Eccles, R. G., 294, 295, 297, 318 Colby, I. C., 183 Davis, M. H., 46, 58 Eckenrode, J., 317, 318 Coleman, P. A., 223 Dawson, S. E., 173 Ecklein, J. L., 199 Collins, C., 411 box 14.9 Day, K., 96, 116 Economic Research Service, 96, Collins, J. L., 75, 88 de Jasay, A., 108, 116 116 Combs, G., 415 Deacon, B., 8, 27, 97, 98, 116, 118 Edgerton, R. B., 147, 169 Commission on Accreditation, Dean, R. G., 48, 58 Edmonds, S., 188 Council on Social Work Deane, C., 100, 118 Edwards, R. L., 29, 57, 58 Education, 9, 26 Deane, J., 128 Ehrlich, D., 250, 271 Compton, B. R., 11, 27 Dear, R. B., 369 Eichler, M., 394, 395 Congress Online Project, 368 Dekker, P., 107, 116, 308, 309, 317 Eitzen, D. S., 81, 85d.5, 87 Congress, E. P., 174 Delbecq, A. L., 299, 319 El-Bassel, N., 163, 170 Conklin, N. F., 78, 87 Delevan, S. M., 123, 188 Elias, M. J., 296, 298, 306, 309, Connelly, M., 9, 27 Delgado, M., 129, 130, 165, 169, 317, 430, 439 Contractor, N., 130 180, 191, 312, 317, 410 Elizer, Y., 47, 58 Cook, D., 195, 203 Dellums, R. V., 121 Eljera, B., 145, 169 Coombs, E., 261, 271 Demone, H. W., Jr., 98, 116, 382 Elkin, F., 64, 65, 87 Cooper, P., 322, 324, 325, 352 Denby, D., 173 Elliott, D., 356 Corbett, K., 199 box 7.9 Denning, S., 416 Elliott, H., 179 box 7.2 Cornelius, L. J., 408 Denny, R., 118 Elliott, N., 183 Corrigan, P., 46, 57 Denzin, N. K., 149, 169, 415, 419 El-Nawawy, M., 74, 87 Coser, L. A., 301, 302, 303, 304, DePanfilis, D., 269, 270, 271 Elsberg, C., 49, 58 317 Deutsch, M., 302, 304, 317 Elwood, S. A., 164, 169 Cotler, S. B., 218, 235 Dewan, S. K., 115 Emenhiser, D., 156, 156 box 6.5 Cournoyer, B. R., 174, 238 Diament, J., 62, 90 Emerson, R., 39, 58 Courter, G., 377 Diner, S. J., 28 Emery, F. E., 35, 44, 58 Courtney, M., 6, 10, 11, 171 Dinerman, M., 429, 436, 439 Emmons, M. L., 219, 223, 224, Couto, R. A., 121, 415 Dodds, I., 97, 116 230, 237 Covey, S. R., 180 Doherty, W., 7, 9, 10, 11, 27 Encena, V. C., II, 184 Cowger, C. D., 40, 57, 173, 174, Dolnick, E., 178 box 7.2 Enis, B. M., 321, 352 224 Domhoff, W. G., 112, 116, 117 Enns, C. Z., 218 Cox, E. 0., 395 Domini, A., 98, 116 Ensel, W. M., 307, 308, 318 Cox, F. M., 28, 116, 157, 163, 169, Donahue, J., 65, 68 Epstein, L., 11, 27 170, 171, 178 box 7.2 Donald, S., 427, 437, 439 Erlich, J. L., 412, 170, 171 Cragin, J., 212 Donaldson, K., 80, 87 Erlich, J., 28, 116 Croft, S., 407 box 14.8 Dooley, D., 124 Espinoza, R., 183 Croner, C. M., 164, 171 Door, The, 254, 270 Etzioni, A., 9, 11, 27, 102, 105, Cronson, G., 313, 317 Doreion, P., 294, 295, 297, 300, 116, 256, 270, 434, 435, 439 Cross, R., 200, 203 319 Evan, W., 43, 58 Crozier, M., 252, 270 Dorfman, L., 384n.1 Ewalt, P. L., 6, 10, 27, 409 Cruz, B. C., 162, 169 Dorfman, R. A., 148, 169 Executive Pay Watch, 96, 166 Cullinane, P., 200 Dowd, M., 9, 27 Ezell, M., 365, 366, 374, 378 Cultural Environment Drake, R. E., 149, 171 Ezell, M., 4, 27 Movement, 411 Dressel, P. L., 246, 270 Cummerton, J. M., 238 Dreyfuss, R., 320, 352 Fabricant, M. B., 46, 58, 122, 359 Cunningham, J. V., 122 Drucker, P. F., 20, 27, 211 Fairbanks, J., 69 Cyert, R. M., 250, 270 Drury, S. S., 219, 224, 230, 235, Faircloth, C. A., 151, 169 237, 238 Fayol, H., 255, 270 Dahl, R. A., 152, 169 Du Bois, P. M., 42, 93, 117, 215, Feichter, M. A., 437, 440 Dahms., A. M., 223 217, 369, 382 Fein, E. B., 98, 116 456 NAME INDEX

Fekete, D. M., 437, 439 317, 318 Gollaher, D., 357 Feldstein, L. M., 122 Galaway, B., 11, 27 Gonzales, R., 195 Felkins, P. K., 378, 401, 411 Gallardo, W. G., 184 Goodstein, L., 324, 353 Fellin, P., 91, 92, 94, 105, 115, 116 Galper, J. H., 373 Goodwin, C., 212 Fellner, K., 395 Gamble, D. N., 3, 4, 27, 29, 406 Goodwyn, L., 370, 370 box 13.9 Fenby, B. L., 48, 58 Gamble, M., 234 Gordon, D. R., 64 box 3.2, 88 Ferrante, J., 261, 270 Gamble, T. K., 234 Gordon, D. S., 427, 437, 439 Ferrell, O. C., 352, 353 Gambrill, E. G., 12, 118, 211, 216, Gordon, W. E., 6, 27 Ferriss, S., 396 box 14.3 239n.4 Gortner, H. F., 247, 259, 270 Fesenmaier, J., 130 Gamson, J., 357 Gottlieb, M. R., 383 Festenstein, M., 131 Gamson, W. A., 357 Gottsegen, M. G., 47, 58 Field, C. G., 382 Gamson, W., 113, 116 Gowdy, E. A., 37, 58, 86n.1, 88 Fiene, J. I., 437, 439 Gans, H. J., 66, 87 Grace, D. J., 79, 88 Fine, A. P., 321, 352 Ganz, M., 417 Graham, J. R., 80 Fine, G. A., 416 Ganz, P. A., 398, 437, 440 Graves, B., 191, 193 Fine, J., 420n.8 Garbarino, J. G., 3, 29, 293, 294, Gray, J., 11, 27, 97, 98, 116 Fine, S. B., 237 311, 312, 319, 427, 440 Gray-Felder, D., 128 Fine, S. H., 321, 333, 338, 339, Gardella, L. G., 47, 58, 137n.1 Greaney, M., 173 342, 352 Garson, B., 176 Green, J. W., 79, 88, 149, 169 Finn, J., 80, 87, 100, 116, 281, 270 Garvin, C. D., 163, 169, 239 Greenbaum, T. L. 335, 353 First, R. J., 437, 440 Gates, H. L., 73, 87 Greenberg, M., 62, 88 Fisher, B. J., 187 Gaudin, J. M., 238 Greenberg, P., 270 Fisher, C. D., 253, 270, 304, 317 Gaventa, J., 152, 169 Greene, J. R., 200 Fisher, M., 217 Geertz, C., 168n.3, 169 Greene, M. S., 124 Fisher, R., 52, 53, 58, 72, 87, 122, Gehrke, R., 127 Greene, R. R., 38, 58 370, 382, 393, 394 George, M., 212 Greenhouse, S., 96, 116, 261 Fitchen, J. M., 178 Germain, C. B., 6, 27, 47, 58, 176, Greenlee, R. W., 437, 440 Flanagan, W. C., 161, 169 307, 318 Greenley, J. R., 245, 270 Fleming, M., 436, 439 Gersick, C. G., 275, 292 Greenwood, G. E., 216 Flynn, J. P., 232, 378 Gerth, H. H., 110, 116 Greever, B., 186, 393 Folkman, S., 313, 317 Gestan, E. I., 306, 317 Greif, G. L., 79, 88, 195, 203 Ford, B., 306, 318 Ghose, R., 165, 169 Greil, A. L., 64, 88 Ford, H., 128 Gianino, E. A., 238 Gretz, S., 137n.5 Forrester, J. W., 49, 58 Gibbs, L., 211 Griesel, E., 358 Forte, J. A., 78, 87 Gibelman, M., 9, 27, 96, 98, 116, Griffin, S.P., 66, 88 Fowler, L., 137n.1 246, 372, 382 Griffin, W. V., 225 Fox, K. A., 330, 332, 352 Gibson, G., 378 Grisham, V. L., 146, 169 France, A., 56, 58 Gibson, J. O., 128, 393 Grobman, G. M., 49, 58 Francis, R., 331, 350, 354 Giffords, E. D., 261, 270 Grogan, P. S., 124 Franklin, C., 294, 307, 311, 313, Gilbert, D., 226 Grosser, C. F., 356, 358, 361, 379 314, 319 Gilbert, N., 21, 24, 27, 352 Groze, V., 360 Franklin, C., 49 Gilbert, R., 371 Gruber, M., 239 Fred, C., 437, 440 Gilchrist, A., 133 Guerra, J. J., 218, 235 Freddolino, P. P., 173, 362, 377 Gillespie, E., 8, 27, 326, 353 Guinier, L., 395 Fredin, E. S., 94, 119, 174 Gilson, S. F., 212, 214 Gulia, M., 109, 119 Freedman, J., 415 Gingrich, N., 8, 27, 326, 353 Gustafson, J. A., 10, 19, 27 Freidson, E., 271 Ginsberg, L., 28, 29, 62, 64, 87, Guterman, N. B., 177 Freire, P., 84, 87, 360, 413, 414, 94, 100, 116 Gutman, A., 116 415 box 14.11 Gist, M. E., 222 Guttierez, L. M., 228, 357, 362, Freudenheim, M., 97, 98, 116, Gitlin, T., 74, 87, 370 375, 411, 412, 413 248, 270 Gitterman, A., 46, 47, 58, 176 Friedlob, F., 437, 440 Gladwell, M., 70, 73, 76, 87, 88 Haase, C. C., 180, 191 Friedman, R., 126 Glasgow, R. E., 199 Habel, J., 178 Frost, D., 359 Glass, L., 179 box 7.2 Hage, J., 299, 317 Fuller, R., 128 Glazer, N., 118 Hagen, J. L., 360, 436, 439 Fullinwider, R. K., 108, 116 Gleick, J., 49, 58 Hagland, B., 157, 169 Furstenberg, A. L., 216 Glogoff, L. G., 195 Hahn, A. J., 163, 169, 370 Glogoff, S., 195 Hairston, R., 261, 270 Gabriel, J., 67, 87 Glueckhauf, R. L., 238 Haley, J., 109, 116 Gadotti, M., 412, 414 box 14.10 Glugoski, G., 63, 78, 88, 412, 414 Hall, J. A., 28, 29, 116 Gaedeke, R. M., 353 Goldberg, R. A., 74, 88, 370 Hall, S., 45, 58 Galant, J. P., 46 Goldman, R. L., 202n.2 Hallett, C., 11, 27, 97, 103, 115 Galaskiewicz, J., 294, 295, 297, Goldstein, S. M., 406 Halperin, D., 420n.15 NAME INDEX 457

Halsey, A. H., 97, 116, 117 Hirsch, K., 159, 169 Isaac, K., 359 Halter, M., 345, 353 Hodges, M. H., 66, 88 Iskander, A., 74, 87 Halterman, H. L., 121 Hoefer, R. A., 164, 169 Itzhaky, H., 375, 392 Hammersley, M., 312, 317, 430, Hoefer, R. M., 164, 169 Ivins, M., 356 439 Hofrichter, R., 411 Iyengar, S., 75, 88 Hancock, T., 184 Hokenstad, M. C., 29, 97, 117, Handel, G., 64, 65, 87 119 Jackson, B., 185 Handler, J. F., 358, 359 Holder, E., 130, 372 box 13.10 Jackson, J. F., 356 Hanna, M. G., 397 Hollenbach, D., 11, 27 Jacob, S. G., 192 Hansen, K. A., 159, 171 Holloway, S., 262, 264, 269, 270 Jacobs, C., 316 Hanson, P. G., 275, 292 Holmes, J., 326, 353 Jacobs, R. H., 165, 170 Hardcastle, D. A., 9, 10, 12, 19, Homan, M. S., 145, 169 Jakubowski, P., 223, 224, 227, 20, 26, 27, 66, 67, 88, 202n.5, Homans, G. C., 39, 329, 353 232, 235, 236, 237 313, 317, 431, 439 hooks, b., 33, 58 Jansen, G. G., 125 Harden, B., 228 box 8.5, 332, 353 Hopkins, K. M., 189 Jansson, B. S., 227, 378 Hardina, D., 61, 21, 27, 88, Hopps, J. G., 9, 29 Jason, L. A., 306, 317 137n.1, 238, 239, 303, 317, Horn, L., 358 Jeffries, A., 54, 55, 58, 173 356, 374, 420n.2 Horton, M., 414 Jenness, V., 61, 88 Hardy, A., 237 Horwitt, S. D., 130, 138n.6, 147, Jensema, C. J., 190 Harkins, J. E., 190 169, 395 box 14.2, 409, Jensen, M. A. C., 276, 277, 292 Harris, C. C., 218 420n.4, 420n.11 Jernigan, D., 384n.1 Harris, D. R., 218 Houle, C. O., 250, 257, 258, 270 Jett, K., 78, 88 Harris, J., 179 box 7.2 Houseman, C., 188 Johannesen, T., 123 Harris, J., 137 n.1 Howe, E., 19, 23, 27 Johnson, A. K., 92, 117, 137n.1, Harris, R. P., 49, 58 Howell, J. T., 149, 150, 151, 169, 275, 292 Harrison, W. D., 375 364 Johnson, D. P., 405 Hartman, A., 28, 29, 80, 88, 111, Howing, P. T., 238 Johnson, D. S., 313, 317 116, 209, 223, 360 Hsu, C. J., 237 Johnson, G. T., 134 Hartmann, D. J., 429, 440 Hu, D., 408 Johnson, H. C., 47, 57 Hartsock, N., 48, 58 Huber, R., 184, 373 Johnson, L. C., 173, 193, 201n.2, Harvey, M. R., 180 Hudson, W. W., 437, 440 357 Harwit, S. D., 395 box 14.2 Huff, D. D., 48, 58 Johnson, L. D., 215 Hasenfeld, Y., 43, 58, 245, 246, Hughes, M., 165, 169 Johnson, S., 220 251, 253, 254, 255, 270 Hughey, J., 400 Johnston, D. C., 92, 96, 97, 98, Haub, C., 98, 117 Hull, Jr. G. H., 216, 272, 292, 303, 100, 117, 147, 270 Haug, M. R., 228 304, 317 Jones, D., 427, 439 Havens, C. M., 238, 239n.1 Hulse, M., 8, 27, 97, 98 116 Jones, J., 64, 88 Hawkins, J. D., 237 Humm-Delgado, D., 312, 317 Jones, M. H., 371 Haynes, K., 369 Hunkeler, E. F., 183 Jones, P., 195, 203 Healey, L. M., 238, 239n.1 Hunt, S., 195 Jordan, G., 107, 117, 309, 318 Healey, W. J., 383 Hunter, A., 168n.3, 169 Jorgensen, J. 0., 64, 89 Healy, J., 300, 317 Hunter, F., 112, 117, 169 Joseph, M. R., 122 Heap, K., 276, 292 Hunter, J. D., 47 Juba, D. S., 34, 58 Hearn, G., 27, 28, 294, 317, 437, Hunzeker, J. M., 182 Julian, D. A., 186 439 Hyde, C., 48, 54, 58, 137n.1, 360, Heilbroner, R. L., 95, 103, 117 413 Kahn, K., 210 Heiman, J., 437, 440 Kahn, S., 84, 88, 129, 382, 404, Heith, P., 212 Icard, L. D., 163, 170 412, 420n.6, 420n.12 Heller, K., 306, 310, 317 Ignatieff, M., 100, 117 Kaine, J., 382 Henderson, P., 50, 58, 135, 145, Imber, J. B., 170, 171 Kaminer, W., 66, 85n.2, 88 372, 427, 439 Ino, S., 237 Kammerud, M., 193 Henderson, Z. P., 129, 168 Institute for Democratic Kantor, J. S., 437, 439 Henkel, D., 26, 27 Renewal, 405 Karabanow, J., 54, 58, 149, 170, Henley, P., 359 Intercom, 199 427, 437, 439 Hepworth, D. H., 11, 27, 173, International Association of Karger, H. J., 96, 117 237, 238, 356 box 13.1 Schools of Social Work, 427, Karls, J. M., 8, 27 Hernandez, S. H., 64, 89 439 Karman, M., 437, 440 Hertz, R., 170, 171 International Federation of Karten, S. J., 238 Heugens, P. P. M. A. R., 416, Social Workers, 21, 27, 427, Katruska, A., 148, 170 420n.12 439 Kauffman, S., 49, 58, 88 Hick, S., 356 Iowa Alumni Magazine, 63 box Kaufman, G., 218 Higgins, J. W., 408 3.1 Kaufman, H. F., 115, 117 Hill, S., 49 Irving, A., 46, 58, 416, 411 Kaufman, S. R., 64 458 NAME INDEX

Kautz, J. R., III, 373 Kotz, M. L., 370, 384 Lee, J. F. J., 79, 88 Kavanagh, K. H., 78, 80, 88 Kotz, N., 370, 384 Lee, P., 173 Kay, T. L., 323, 353 Kozol, J., 64, 88, 145, 170, 355, 356 Lehmann, S., 310, 319 Kaysen, S., 238 Kraft, K., 412 Leiby, J., 46 Kelley, C., 218 Kraft, S., 370 Leighninger, L., 67, 89, 356 Kelly, M. J., 186, 368 Krajewski, B., 375 Leighninger, R. B., Jr., 67, 294, Kelly, P., 309, 317 Kramer, D., 98, 117 318, 433, 439 Kelly, V. R., 309, 317 Kramer, R. M., 257, 270, 271, 406 Lengermann, P. M., 48 Kemp, S. P., 48, 58, 174 Krauth, K., 123, 427, 428, 430, 439 Leonard, P., 46 Kendall, E., 184 Kreck, C., 408 Leonhardt, D., 96, 117 Kendall, J., 41, 57, 394, 400 box Kretzmann, J. P., 128, 170, 173, Lerner, H. L., 223 14.4, 402 box 14.5, 404, 419, 185 Lester, L., 4, 28, 182, 357, 369 420n.6, 420n.12 Kreuger, L. W., 260, 270 box 13.8, 373, 379 Kennedy, E. T., 360 Kreuger, R. A., 335, 353 Letiecq, B. L., 308, 318 Kennedy, P. H., 78, 80, 88 Kriesberg, L., 302, 318 Leung, P., 437, 439 Kennelly, I., 73, 88 Kropf, N. P., 225 Levenson, D., 98, 117 Kern, J. M., 238 Kryder-Coe, J. H., 408 Levine, E. S., 192 box 7.6 Kern, J., 127 Kuhn, M., 362 Levine, I. S., 306, 318, 436, 439 Kett, J. F., 64, 88 Kuhn, T. S., 55 Levine, M. L., 200 Kettner, P. M., 3, 28, 65, 69, 74, Kuipers, P., 184 Levine, S., 42, 195 88, 89, 163, 170, 178, 180, Kunkel, B., 269 Levy, C. J., 391 182, 190, 255, 271 Kunkel, J. H., 437, 439 Levy, J., 397 Khinduka, S., 28, 29, 116 Kuper, A., 47, 57n.3, 57 Lewin, K., 265, 270 Kidder, T., 146, 170 Kuper, J., 47, 57n.3, 57 Lewin, T., 331, 353 Kielhofner, G., 176, 177 Kurtz, P. J., 238 Lewis, A., 71, 88 Kim, Y-C., 417 Kurzman, P. A., 29, 319 Lewis, C. E., 407 Kingsbury, L., 199 Kurzweil, E., 47 Lewis, E. A., 306, 318, 412, 413 Kingsley, G. T., 128, 393 Kutchins, H., 20, 27 Lewis, M. A., 407 Kirchhoff, S., 109, 117, 369 box Kuttner, R., 98, 117 Li, Y., 145, 170 13.8 Kwon, J., 222 Liberman, A. A., 413 Kirk, S. A., 245, 270 Liebow, E., 147, 148, 170 Kirst-Ashman, K. K., 215, 272, Ladd, E. C., 9, 27, 106, 109, 117 Liese, H., 412 292, 301, 302, 303, 304, 317 Lamb, C. W., 352, 353 Limbaugh, R., 202n.3 Kisthart, W., 172, 378 Lamb, R. K., 158, 170 Lin. N., 307, 308, 318 Kitsuse, J. I., 70, 83, 85d.6, 90 Lamb, S., 49 Lincoln, K. D., 294, 306, 311, 318 Klages, M., 420n.17 Lamberti, J. S., 225 Lindblom, C. E., 113, 117 Klein, K., 226 Lampe, D., 407 Linstone, H. A., 186, 193 Kleinfield, N. R., 98, 118 Lange, A. J., 223, 224, 227, 232, Lippitt, R., 11, 28 Kleinman, A., 57n.4, 58, 356 235, 236, 237, 238 Lipsky, M., 65, 88 Kleinman, J., 57n.4, 58 Lanier, M. W., 180, 191 Little, S., 194 Klinenberg, E., 65, 75, 88, 164, Lappe, F. M., 42, 93, 117, 215, Lobe, V., 367 170, 357 217, 369, 382 Lock, M., 58, 356 Kling, J. M., 357 Lappin, B. W., 28 Lockett, P. W., 413 Knee, R., 227 Larsen, J. A., 11, 27, 173, 237, 238 Locust, C., 215 Knoke, D., 296, 318 Larsen, J. J., 308, 319 Loeb, P. R., 120, 398, 415, 417 Knotts, L. S., 222 Larson, M. S., 245, 270, 356 Lohmann, R. A., 260, 270 Koblinsky, 308, 318 Lasch, C., 5, 10, 27 Long, N. E., 115, 117 Koenig, R., 300, 319 Laskas, J. M., 77, 88 Longes, J. F., 99, 117 Koerin, B., 412 Lauder, H., 97, 116, 117 Lopez, P., 368, 396 Kohli, R., 339, 430, 437 Lauer, R. H., 302, 318 Lopez, S., 61, 88 Kolb, D., 202n.2, 377, 382 Lauffer, A., 173, 199, 269, 270, Lord, S. A., 360 Kollock, P., 119, 271 318, 333, 334, 353 Lordan, N., 222 Koopmans, R., 107, 116, 308, 309, Lavin, B., 228 Loseke, D. R., 66, 88 317 Lavoie, F., 308, 317 Lourie, M. A., 78, 87 Kornhauser, W., 111, 112, 117 Lawson, A., 360 Lovaglia, M. J., 110, 119, 271, Korrs, W. S., 437, 439 Lawson, T. R., 384 296, 319 Kosicki, G. M., 94, 119, 174 Lazarri, M. M., 128 Lovelock, C. H., 322, 324, 325, Koss, M. P., 180 Le Guin, U. K., 196, 197 box 7.8, 326, 335, 352, 353, 354 Kosterlitz, J., 65, 88 202n.4 Lowe, J. I., 23, 24, 28, 268, 271 Kotler, P., 321, 322, 323, 324, 325, Leavitt, H. J., 211 Lowry, R. P., 64, 66, 84, 88 328, 329, 330, 332, 333, 338, Lee, H. L., 212, 224 Lubove, R., 10, 19, 28 345, 352, 353 Lee, J. A. B., 297, 306, 318, 374, Luckey, I., 190 Kotowitz, A., 146, 170, 416 375, 428, 439 Luckmann, T., 37, 38, 39, 57 NAME INDEX 459

Luey, H. S., 179 box 7.2 Mary, N. L., 191 Menendez., R., 364 Lukus, S., 312, 318 Maryland, University of, 19, 28 Menolascino, F. J., 163, 170 Lull, J., 86n.5, 66 Masi, D. A., 225 Menon, G. M., 376 box 13.11 Lum, A. L. P., 79, 88 Masilela, C. O., 405, 406 Mercer, S. 0., 70, 88 Lum, D., 76, 88 Mason, M. A., 191 Merritt, D., 75, 88 Lurie, A., 379 Massey, D. S., 99, 117 Messinger, R. W., 375 Lutz, C. A., 75, 88 Mastrofski, S. D., 200 Metcalf, S., 98, 104, 117 Ly, P., 397 Matei, S., 417 Meyer, C. H., 173, 185 Lynch, R. S., 147, 358, 359 Mathiasen, K., 257, 271 Meyer, M., 124 Lynd, H., 147, 170 Matkin, M., 375 Meyer, W. A., III, 405, 406 Lynd, R., 147, 170 Matlins, S., 412 Mickelson, J., 369 Maton, K. I., 309, 318, 375 Middleman, R. R., 360, 365, 375, MacDonald, D., 352, 353 Matsuoka, J. K., 122 377, 379 MacDonald, J., 178 Mattaini, M. A., 49, 176, 201 Midgley, J., 29, 97, 117, 119 MacKay, H., 294, 318 Matthews, D., 183 Mikulski, B. A., 355, 359 Mackelprang, R. W., 362 Max, S., 57, 394, 400 box 14.4, Milam, L. W., 76, 88 MacNair, R. H., 137n.1, 399 401, 402 box 14.5, 404, 419, Mildred, J., 62 Macpherson, J. E., 224 420n.6, 420n.12 Miley, K. K., 174, 407 Madigan, S., 124 Mayadas, N. S., 117, 356 Milgram, S., 295, 318 Mádii Institute, 128 Mazmanian, D. A., 69, 89 Miller, B., 238 Madsen, R., 5, 10, 26, 84, 101, McAdam, D., 411 Miller, D. T., 5, 28 102, 115, 311, 317 McAlister, A., 183 Miller, H., 63, 88 Magagnini, S., 127 McArthur, A., 406 Miller, J. B., 110, 117, 362 Magida, A. J., 412 McAuley Institute, 129 Miller, L. D., 216, 430, 440 Magladry, J., 224 McCarthy, J. D., 370 Miller, M., 61, 88 Mahler, J., 247, 271 McCarthy, J., 306, 318 Miller, P., 199 Mallaby, S., 393 McCollough. T. E., 106, 117 Miller, V., 81, 90 Mallinckrodt, B., 237 McCormack, W., 46 Mills, C. W., 71, 88, 110, 111, 118 Maloney, W. A., 107, 117, 309, McCormick, P. J., 94, 117 Mills, D. L., 19, 29 318 McCurdy, D. W., 78, 79, 90, 148, Mills, F. B., 66, 88 Maluccio, A. N., 186 168n.3, 171 Minahan, A., 11, 14, 28, 440 Manalo, V., 368 McDougall, H. A., 114, 117 Minhauyard, D. E., 437, 439 Mancini, J. A., 420n.1 McEntee, M. K., 179 box 7.2 Minkler, M., 90, 122, 414 Mancoske, R. L., 182 McEwen, M. M., 194 Mintrom, N., 368 Mandell, B. R., 356 McFarland, A. S., 369 Mishra, R., 8, 28, 97, 98, 118 Mansbridge, J., 82, 84, 89 McGeeham, 96, 117 Mitchell, A., 100, 118, 162, 170 Mansfield, P. K., 64, 90 McGrath, S., 212 Mitchell, J., 358, 359 Manzall, M., 311, 318 McGrew, J. H., 437, 439 Mitroff, I. I., 186, 193 March, J. G., 250, 271 McIlvain, G. E., 322, 324, 325, Mizrahi, T., 83, 88, 137n.1, 394, Marcos, S., 416 326, 352 405 Marcus, E., 80, 88 McIntyre, E. L. G., 294, 318 Mizruchi, M., 295, 294, 318 Marger, M. N., 170 McKee, M., 55 Moe, R. C., 98, 118 Markovsky, B., 110, 119, 256, McKnight, J. L., 128, 170, 173, Moffatt, K., 212 271, 296, 319 185 Mogil, C., 152, 170 Marley, M., 186, 191 McKnight, J., 409 Molnor, D., 193 Marsiglia, F. F., 407 McKusick, L., 313, 317 Mondros, J. B., 52, 58, 137n.1, Marthas, M., 285, 290, 283, 292 McMurtry, S. L., 3, 28, 65, 69, 74, 170, 359, 367 Martin, A., 375 88, 163, 170, 180, 182, 255, Monroe, K. R., 46 Martin, J. A., 420n.1 271 Moore, G., 138n.8 Martin, L. L., 69, 88, 178, 182, McNeely, J. B., 128, 393 Moore, M., 86n.4, 88 190 McNeil, B., 183 Moore, S. T., 186 Martin, M., 76, 375 McNellie, R. B., 405, 407 Moore, S. T., 333, 344, 353 Martin, P. Y., 294, 433, 437, McNutt, J. G., 164, 170, 356, 357 Morales, J., 146, 170 439 McQuail, D., 86n.5, 88 Moreau, M. J., 360 Martin, R. R., 146, 170 Meeks, K., 73, 88 Morgan, D. L., 335, 353 Martinez, R. C., 261, 270 Meenaghan, T. M., 112, 117, 161, Morgan, P., 8, 28, 98, 118 Martinez-Brawley, E. E., 34, 122, 170, 193 Morin, R., 100, 118 123, 148, 153, 156, 161, 168, Meitzner, L., 184 Morningstar, 323, 353 170, 177, 185, 189, 197, 199, Mele, C., 222, 261, 270, 271 Moroney, R. M., 69, 88, 178, 182, 404 Memmott, J., 307, 318 190 Marvasti, A. B., 66, 89, 384n.6, Memmott, M., 416 Morrell, M., 129 404 Menefee, D. T., 252, 265, 271, Morris, B. A. P., 51 box 2.1 Marx, J. D., 98, 117 306, 318, 356, 374 Morris, R., 163, 170 460 NAME INDEX

Morrison, J. D., 190, 192, 193 Nisbet, R., 103, 107, 109, 118 Parsons, D., 178 Morrow, A. L., 188 Noguchi, Y., 77, 89 Parsons, R. J., 64, 89, 377 Morrow-Howell, N., 429, 439 Nohria, N., 294, 295, 297 Passell, P., 97, 118 Morten, G., 186 Norden, E., 395 box 14.2 Paterson, D. L., 418 Moses, R., 133, 395, 397 Nordheimer, J., 98, 118 Paton, R. N., 373 Mothershead, M. S., 238 Norris, T., 407 Patterson, C. H., 215 Moxley, D. P., 173, 362, 377 North, C., 165, 171 Patterson, O., 98, 118 Moynihan, D. P., 295, 318 Notaro, P. C., 308, 319 Patterson, S., 307, 318 Moyser, G., 107, 118, 308, 318 Novotny, P., 165, 170 Patti, R. J., 262, 271, 369, 377 Mudrick, N. R., 189 Nuccio, K., 38 Patton, B., 304, 317, 382 Mullard, M., 8, 28, 98, 118 Pawlak, E. J., 262, 271 Mulroy, E. A., 43, 122, 212 O’Carroll, A., 75, 89 Payne, M., 272, 274, 281, 292, Murase, K., 62, 89, 362 O’Connell, B., 306, 318 293, 294, 312, 318, 427, 430, Murphy, J. W., 5, 28, 38, 39, 76, O’Connor, G. G., 294, 433, 318, 437, 440 79, 81, 89, 196 437, 439 Pear, R., 97, 100, 118 Murphy, P. W., 122 O’Looney, J., 185 Pearlstein, S., 96, 118 Murray, C., 295, 318 O’Melia, M., 174, 407 Pearson, C. S., 219 Murtagh, B., 177, 193 O’Neill, P., 9, 24, 28, 123, 211, Pecukonis, E. V., 36, 37, 429, 437, Murty, S. A., 164, 170 246, 249, 271 440 Musca, T., 364 O’Donnell, R., 299 box 8.6 Perl, P., 367 Myerhoff, B., 150, 151, 170 O’Donnell, S. M., 137n.1 Perlman, E., 261, 271, 367 Myerson, A. R., 98, 118 O’Donnell, S., 358 Perlmuttter, F. D., 367 Myllyluoma, J., 248, 271 Oestreich, D. K., 221 Perrow, C., 254, 271 Office of Cancer Perrucci, R., 113, 118 Nader, L., 239n.7 Communication, 346, 353 Pertschuk, M., 384d.1 Nagel, T., 50 Ogg, J., 294, 311, 312, 318, 427, Peters, T., 186, 187 Naparstek, A. J., 124 437, 440 Peterson, K. J., 413 Naples, N. A., 48 Ohbuchi, K., 222 Petronko, D. K., 225, 227, 228, Nartz, M., 193 Oldenberg, R., 109, 118, 151, 159, 237, 238 Nasar, S., 39, 57n.1 170 Pew Partnership, 81, 89 National Association of Social Olejnik, S. F., 216 Pfleeger, J., 249, 271 Workers, 4, 7, 8, 20, 21, 22, Oliner, P. M., 46, 131 box 5.2 Pfost, K. S., 238 23, 28 Oliner, S. P., 46, 131 box 5.2 Phelps, S., 208, 220, 222, 227, 237 National Association of Social Oliver, M., 79, 89, 178 box 8.6 Phillips, J., 294, 311, 313, 318, Workers, Maryland Ollove, M., 155, 170 427, 437, 440 Chapter, 255 Olsen, M. E., 170 Phillips, K. P., 98, 106, 115, 118, National Civic League, 177 Olson, M., 46 122, 248, 271 National Organization for Onyx, J., 128, 140 Phillipson, C., 294, 311, 313, 318, Women, 45 Orlando, B. P., 184 427, 437, 440 National Public Law Training Orosz, S. B., 238 Pilisuk, M., 113, 118 Center, 381, 38n.9 Orr, G. A., III, 221 Pilotta, J. J., 196 National Public Radio, 129, 410 Osgood, N. J., 70, 89 Pincus, A., 11, 14, 28 Neighborhood Funders Group, Ostrander, S. A., 153, 170 Pinsky, S., 379 381, 385n.9 Ott, J. S., 270, 271 Pippard, J. L., 125 Neiman, T., 404 Piven, F. F., 46, 115, 118, 295, 318 Nelson, G., 306, 318 Page-Adams, D., 126 Planells-Bloom, D., 237 Nelson, J. D., 420n.1 Panitch, A., 356 Plotkin, S., 225 Nelson, K., 427, 428, 439, 440 Pantoja, A., 362 Polen, M. R., 183 Nemon, T., 412 Papa, M. J., 125 Polinsky, M. L., 437, 440 Nepstad, S., 359 Parachini, L., 404 Pollack, A., 332, 353 Netting, F. E., 3, 11, 14, 16, 28, Paradise, F., 437, 440 Polsky, H., 6, 28 65, 69, 74, 89, 163, 170, 180, Pardeck, J. T., 5, 28, 38, 39, 47, Poplin, D. E., 115, 118 182, 255, 271, 373 50, 76, 79, 81, 89, 238 Poppendieck, J., 65, 89 Neuber, K. A., 192 Paré, D., 81, 90, 415, 416 Posner, P. S., 356, 357 Neuhaus, R. J., 11, 107, 113, 115 Parietti, E. S., 183 Potapcheck, W. R., 406 New Economics Foundation, 406 Park, E., 94, 119, 174 Potter, H. R., 113, 170 Newdom, F., 414 Park, K. S., 97, 98, 118 Potter, J. F., 163 Newman, B. I., 331, 353 Parkay, F. W., 216 Powell, J. W., 183 Nezu, A. M., 238 Parker, A., 200, 203 Powers, P., 49, 57n.6, 58, 86n.6, Nezu, C., 238 Parker, J. C., 238 89, 138n.7, 225, 229, 239n.1, Nicholson, J. B., 247, 271 Parker, V., 188 239n.6, 239n.8, 269, 271, 358, Niebrugge-Brantley, J., 48 Parks, C., 127 359, 362, 384n.4, 385n.8, Nimmons, D., 77, 89 Parry, G., 118, 308, 318 420n.5 NAME INDEX 461

Pozatek, E., 39, 56, 76, 79, 86n.4, Rife, J. C., 437, 440 Ryan, R. M., 112, 117, 161, 170, 89 Risley-Curtis, C., 165, 171 193 Prentice, D. A., 5, 28 Ritzer, G., 47 Ryan, W., 63, 64, 89 Price, J. L., 225 Rivas, R. B., 276, 277 Proenca, J. E., 186 Rivera, F. G., 63, 78, 88, 223, 412, Saari, C., 76, 78, 79, 89 Profit, N. J., 49 414 Sabatier, P. A., 69, 89 Project for Public Spaces Inc., RoAne, S., 220 Sachs, C. E., 49, 58 57n.6 Robbins, S. P., 46, 55 Sachs, J., 414 Prokopy, J., 293, 317 Roberto, E. L., 338, 353 Sacken, D. M., 186 Proscio, T., 124 Roberts, R. W., 428, 440 Sacks, O., 76, 89, 179 box 7.2 Protection and Advocacy for Robinson, B., 397 Saegert, S., 129 Individuals with Mental Robinson, K., 174 Salamon, L. M., 98, 118, 247, 248, Illness, 377 Robinson, V., 188 271 Pumphrey, R. E., 7, 28 Roche, T., 75, 89 Salcido, R. M., 10, 28, 230, 368 Putnam, R. D., 11, 28, 308, 311, Rock, B., 379 Salcido, R., 368 318, 319 Rodriquez, C., 128, 167, 171 Saleebey, D., 34, 37, 39, 80, 81, Putnam, R. D., 122, 130, 134, 170, Rodwell, M. K., 148, 168n.3, 171 90, 355, 417 410 Rogers, E. M., 260, 271 Salem, D. A., 375 Rogers, R., 411 box 14.9 Salsgiver, R. 0., 362 Quinless, F. W., 183 Rogge, M. E., 34, 173, 186, 191, Salus, M., 269, 271 Quinn, W. H., 427, 440 359 Salzer, M. S., 415, 417 Quittner, A. L., 238 Rojek, C., 414 Sampson, E. E., 283, 285, 290, Roman, C. P., 276, 277 292 Rabinow, P., 76, 89, 169 Romanyshyn, J. M., 357, 388 Sanchez, R., 199 Rachelefsky, G., 407 Room, G., 8, 28, 97, 98, 103, 118 Sandoval, R., 396 box 14.3 Ragan, C., 269, 271 Rose, N., 98, 118 Sands, R. G., 38 Raheim, S., 125, 428, 440 Rose, R., 348, 349, 353 Schachter, B., 194 Rakos, R. F., 218, 219, 220, 221, Rose, S. D., 237 Schatzman, L., 250, 271 224, 228, 230, 236, 237 Rose, S. J., 366, 367 Schein, E. H., 259, 271 Rakowski, W., 199 Rose, S. M., 63, 89, 362, 375 Schellhas, B., 8, 28, 326, 353 Ramanathan, C. S., 374 Rosen, J., 75, 89 Scherch, J., 47 Ramas, R., 147, 170 Rosenberg, G., 323, 353 Schervish, P. H., 9, 27, 96, 246 Ramirez, A., 183 Rosenblatt, A., 27 Schiller, H. I., 86n.5, 90 Rankin, T., 366 Rosenfeld, L. B., 308, 319 Schilling, R. F., 163, 170, 215 Raphael, L., 218 Rosenthal, B., 137n.1 Schinke, S. P., 310, 317 Rapp, C. A., 172, 378, 437, 440 Rosenthal, S. J., 173, 188 Schmidtz, D., 21, 28, 108, 118 Rappaport, J., 308, 319, 412, 414, Rosenthal, S. R., 192 box 7.6 Schneider, D., 62, 88. 417 Rosenzweig, J., 76 Schneider, R. L., 4, 28, 182, 357, Raskin, M. S., 192 Rosin, H., 398 369 box 13.8, 373, 379 Rathke, W., 401 Ross, J. W., 369 Schoech, D., 193 Rauch, J. B., 165, 171 Ross, M. G., 404, 407 Schoenfeldt, L. F., 253, 270 Rawls, J., 131, 132, 202n.4 Ross, M., 3, 28 Schopler, J. H., 300, 319 Reagan, T., 178 box 7.2 Ross-Sheriff, F., 28, 29, 116 Schore, L., 308, 319 Reamer, F. G., 19, 20, 28 Rothman, J., 3, 28, 52, 53, 170, Schorr, L. B., 124 Reddin, B. A., 12, 28 171, 182, 323, 437, 345, 353, Schwab, B., 149, 171 Reed-Sanders, D., 378 440 Schwartz, B., 46, 306, 319 Reeser, L. C., 67, 89, 356 Rothman, S., 152, 171 Schwartz, D. B., 391, 409 Reichert, K., 323, 353 Rounds, K. A., 165, 171, 216 Scott, J., 96, 98, 118 Reid, W. J., 339, 353 Rowe, C. L., 165, 171 Scott, W. G., 259, 271 Reisch, M., 23, 24, 28, 39, 63, 78, Royce, S., 173 Sears, V. L., 218 box 8.3 88, 118, 137n.2, 245, 265, Ruben, D. H., 238 Sebenius, J. K., 382 268, 271, 412, 414 Ruben, M. J., 238 Seek, E. T., 10, 28 Resnick, H., 262, 265, 271, 337 Rubin, A., 335, 353, 429, 437, 440 Segal, S. P., 378 Reynolds, D., 127 Rubin, B. R., 332, 353 Seguino, S., 405 Rhode, D. L., 360 Rubin, H. J., 304, 319, 412 Seibold, M., 129 Rice, D., 129 Rubin, I. S., 304, 319, 412 Seligman, M. E. P., 36, 57 Richan, W. C., 238, 369 Rubin, J. Z., 304, 305, 319 Sen, A., 57n.5 Richards, T. B., 164, 171 Rubington, E., 66, 67, 89 Severson, M. M., 374 Richeport-Haley, M., 76, 89 Rubright, R., 352, 353 Shafritz, J. M., 270, 271 Richman, J. M., 124, 308, 319 Ruffolo, M. C., 199 Shapiro, B. P., 323, 325, 344, 353 Richmond, M. E., 7, 28, 427, 440 Ryan, B., 48, 370 Shapiro, J. P., 363, 384d.1 Riecken, G., 326, 353 Ryan, C., 384n.1 Shapiro, R., 9, 28 Riesman, D., 112, 118 Ryan, K. D., 221 Sharp, P., 173 462 NAME INDEX

Shaw, J. B., 253, 271 308, 319, 329, 352, 353, 357 Tallman, I., 65, 66, 69, 81, 82, 90 Shaw, R., 400 Spector, M., 70, 83, 85d.6, 90 Tangenberg, K., 49 Shaw, S. L., 195, 306, 316 Speer, P. W., 400 Tannen, D., 220, 221, 222 Shay, S., 43 Speeter, G., 399 Tannen, D., 302, 304, 319 Sheppard, M., 428, 440 Spicker, P., 8, 28, 98, 118 Tannenbaum, N., 137n.1 Shera, W., 378 Spolar, C., 374 Taylor, B. C., 64, 90 Sherman, W. R., 39, 225, 246, Spolin, V., 237, 239n.1 Taylor, P. A., 437, 439 271, 360, 414 Spradley, B. W., 124, 171, 177, Taylor, S. H., 428, 440 Sherraden, M. L., 9, 28, 77, 126 178, 188, 194 box 7.7 Teasdale, J. D., 36, 57 Sheth, J. N., 331, 353 Spradley, J. P., 78, 79, 90, 145, Temkin, T., 378 Shields, K., 84, 85, 86n.8, 90, 217, 151, 168n.3, 171 Teplitz, F., 394 399, 417 St. Louis Post Dispatch, 201d.4 Teresa, J. C., 323, 354 Shinn, M., 310, 319 Staples, L., 83, 89 Theisen, S. C., 64, 90 Shor, N., 49 Staral, J., 397 Themba, M. N., 62, 90, 188, 331, Shragge, E., 72, 87, 122, 370, 393, Staub-Bernasconi, S., 357 354, 384n.1, 440, 414, 417, 394 Steele, J. B., 115, 301, 317 420n.7 Shreve, P., 170 Stein. B., 104, 118 Thomas, D. N., 50, 58, 135, 372, Shreve, S. R., 170 Stern, G. J., 340, 345, 354 427, 439 Shultz, J., 356, 393, 399 Stevens, C. K., 222 Thompson, J. J., 252, 271 Shumaker, S. A., 307, 309, 310, Stevens, M. J., 238 Thompson, Ann, 164 319 Stevenson, K. M., 437, 439 Thompson, Audrey, 187 Siegel, L. M., 162, 191, 192, 193 Stevenson, N., 86n.5, 90 Thompson, J. D., 43, 58, 250, 251, Sillitoe, P., 148, 171 Stiffman, A. R., 173 252, 253, 271 Silver, M., 35, 50, 437, 440 Stille, A., 97, 118 Thompson, J. J., 356, 374 Silverman, C., 378 Stockdill, B. C., 419d.3 Thompson, J. P., 129 Simon, B. L., 79, 86n.2, 90, 228, Stoesz, D., 96, 117, 187 Thompson, L., 208 356, 364, 374, 378 Stone, I., 86, 90 Thompson, N., 245, 271 Simons, H. W., 224 Stoner, M. R., 333, 354 Thurow, L. C., 97, 118 Simons, R. L., 378 Storm, H., 415 Thursz, D., 357 Singer, J., 369 Strauss, A., 250, 271 Thyer, B. A., 437, 440 Singh, V., 62, 88 Streeter, C. L., 49, 294, 307, 310, Timberg, C., 52 Singhal, A., 125 313, 314, 319 Timms, N., 7, 28 Siress, R. H., 218, 237 Stringer, L., 76, 90, 231 Tipton, S. M., 5, 10, 26, 76, 84, Sirolli, E., 168, 171 Strom-Gottfried, K., 98, 118, 303, 101, 102, 115, 310, 319 Sklebar, H. T., 437, 440 304, 319 Tobias, R. A., 164, 169 Slack, M. K., 194 Stroup, S., 437, 440 Tong, R., 48 Slepian, A., 152 Stubbs, P., 97, 98, 116 Torczyner, J. L., 265, 271 Smale, G. G., 427, 428, 440 Stukas, A., 409 Torres, G., 395 Smith, A. D., 86n.4, 90 Subramanian, K., 237 Toseland, R. W., 276, 277, 292, Smith, A., 97, 103, 118 Sue, D. M., 237 364 Smith, D. E., 48 Sue, D. W., 186 Tower, K. D., 63, 90, 228, 358, Smith, D., 368, 396 Sue, D., 237 373, 374, 384d.1 Smith, J. C., 225, 237 Sue, S., 222 Tracy, E. M., 427, 440 Smith, M. A., 119, 191, 271 Sullivan, K., 153, 154, 171 Trattner, W. I., 105, 118 Smith, M. J., 228, 234, 235, 238 Sullivan, W. M., 5, 10, 26, 76, 84, Travillion, S., 293, 297, 312, 319, Smith, M. L., 261, 271 89, 101, 102, 115, 169, 310, 429, 440 Smith, S. A., 238 319 TRI, 128 Smith, S. G., 65, 88 Sullivan, W. P., 172, 184, 187, Trickett, E. J., 123 Smith, W., 215 196, 429, 440 Trist, E. L., 35, 44, 58 Soifer, J. A., 411 Summers, C., 127 Tropman, J., 3, 28, 170, 171, 279, Soifer, S., 123, 369 Sun, L. H., 77, 90 281, 282, 284, 285, 292 Solomon, B. B., 374 Sundet, P. A., 368 Tsang, J., 46, 57, 131 Sondheim, S., 66, 87 Swarns, R. L., 98, 118 Tuchman, G., 86n.5, 90 Sonsel, G. E., 437, 440 Swartz, S., 428, 440 Tuckman, B. W., 86n.5, 276, 277, Sorensen, G., 199 box 7.9 Swenson, C. R., 48, 356 292 Soriano, F. I., 191 Swidler, A., 5, 10, 26, 76, 84, 101, Tully, C. C., 225 Soska, T. M., 415 102, 115, 310, 319 Tully, C. T., 78, 90 Southern Rural Development Swigonski, M. E., 79, 90 Turner, B. S., 49 Initiative, 123 Swope, C., 136 Turner, G., 146, 171 Spain, D., 217, 366 Szegedy-Maszak, M., 363 Turner, J. B., 122, 198, 202n.5 Spano, R., 7, 28 Turner, J. H., 44, 329, 354 Specht, H., 6, 10, 11, 21, 24, 27, Takahashi, Y., 222 Tuzman, L., 379 28, 171, 265, 270, 271, 298, Tallichet, S. E., 49, 58 Twomey, S., 92 box 4.1, 118 NAME INDEX 463

U.S. Bureau of the Census, 9, 28, Wang, C. C., 183 Whitworth, J. M., 180, 191 95, 96, 97, 99, 119 Ward, J., 159, 171 Whylie, B., 194 U.S. News & World Report, 120 Ward, M., 49 Whyte, W. F., 147, 149, 171 U.S. Department of Agriculture Warner, M., 78, 90 Wiatrowski, M. D., 192 Rural Information Center, Warner-Smith, P., 367 Wiley, C., 193 115 Warren, D. I., 155, 158, 171 Willer, D., 110, 118, 256, 271, Uchitelle, L., 98, 118, 126 Warren, K., 49 296, 300, 319 Uchitelle, L., 98, 118, 126 Warren, M. R., 122, 129 Williams, J., 382 Uematsu, M., 211, 410 Warren, M., 273, 292 Williams, L. F., 9, 29 Uncapher, W., 109, 119 Warren, R. B., 155, 158, 171 Williams, P. N., 228, 359 Ury, W., 304, 317, 382 Warren, R. L., 101, 104, 110, 115, Willits, F. K., 192 Useem, M., 156, 171 119, 157, 171, 265, 271 Wilson, A., 164, 168 Washington, M. H., 47 Wilson, S. M., 52, 58, 137n.1, 170, Van de Ven, A., 299, 319 Washington, R. O., 112, 117, 161, 359, 367 van den Broek, A., 107, 116, 308, 170, 193, 429, 437, 440 Winston, W. J., 333, 334, 344, 309, 317 Wasserman, S., 294, 307, 309, 354 van Deth, J. W., 29, 106, 107, 317, 319 Wise, G., 418 118, 119, 123, 308, 309, 317, Watkins, T. R., 195 Wiseman, F., 178 318, 319 Watson, J., 11, 28, 261, 271 Witkin, B. R., 191 Van Dyck, T., 98, 116 Watson, T., 414 Witkin, S. L., 77, 90, 356 Van Maanen, J., 415 Watts, T. D., 117 Wodarski, J. S., 238 Van Soest, D., 78, 90, 360 Wax, E., 412 Wolfe, S. M., 35 Vardi, D., 237 Wayne, J., 237 Wolk, J. L., 429, 440 Vaughn, A., 261, 270 Weaver, H. N., 83, 90, 375 Wolvovsky, J., 260, 270 VeneKlasen, L., 81, 90, 356 Webb, S. A., 20, 29, 245, 271 Wong, N. W., 310, 319 Venkatesh, S., 122, 420n.1 Webber, R. A., 250, 257, 271 Wong, P., 412 Ventis, W. L., 237 Weed, E., 49 Wood, D. B., 127 Verba, S., 309, 316 Weick, A., 172, 209 Wood, G. G., 360, 365, 375, 377 Vergari, S., 368 Weick, K., 299, 319 Wood, P. S., 237, 379 Vidal, A., 122, 420n.1 Weil, M. 0., 3, 4, 29, 52, 165, 171, Woodard, K. L., 294, 295, 298, Vidal, C., 78, 90 406, 413 300 Vigilante, F. W., 55 Weinberg, C. B., 322, 324, 325, Woodlee, Y., 124 Violence Policy Center, 48 326, 334, 335, 340, 352, 353, Worth, A., 174 Vissing, Y., 62, 90 354 Wright, R. G., 437, 440 Viswanath, K., 94, 119, 174 Weinberg, M. S., 66, 67, 89 Wrinkle, R. D., 378 Vodde, R., 46 Weiner, A., 178 Wrong, D. H., 110, 118, 319 Volling, B. L., 308, 319 Weisbrod, R. R., 157, 169 Wuthnow, R., 46, 47 Vollmer, H. W., 19, 29 Weiser, S., 437, 440 Wyile, H., 81, 90, 415, 416 von Bertalanffy, L., 433, 440 Weisman, R. L., 225 Von Bretzel, N. C., 356 Weiss, J. 0., 209 Yaffe, J., 261, 271 Vourlekis, B., 227 Weissman, A., 323, 354 Ye, X., 307, 308, 318 Wellman, B., 109, 119, 307, 309, Yeich, S., 215 Wagner, A., 8, 29, 97, 98, 119 319 Yin, R. K., 312, 319, 335, 354 Wagner, D., 148, 164, 171, 357, Wells, A. S., 97, 116, 117 York, A. S., 375, 392 359 Wells, B., 164, 171 Yoshioka, M., 222, 230 Wakefield, J. C., 26n, 29, 217, 355 Wells, E. A., 237 Young, D. W., 325, 352 Waldfogel, D., 27 Wells, L. M., 194 Young, D., 163, 170 Walker, L. A., 215 Wells, P. J., 76, 90 Young, J. T., 9, 28 Walker, M. E., 307, 309, 319 Wenocur, S., 36, 37, 39, 123, 225, Young, T., 46, 58, 411 Walker, S., 245, 271, 428, 440 245, 246, 265, 271, 360, 414, Walker, S., 46 429, 437, 440 Zald, M. N., 43, 370 Wallack, L., 384n.1, 398 Wernet, S. P., 43, 319 Zander, B., 127 Wallerstein, N., 357, 414 Wessels, B., 308, 319 Zander, R. S., 127 Walljaspe, J., 137n.1 West, C., 73 box 3.3, 90 Zane, J. P., 349, 354 Walls, D., 125, 372 West, D. M., 212, 331, 352, 354 Zane, N. W. S., 222 Walsh, M. W., 96, 119 Westcott, J., 307, 318 Zastrow, C., 278, 281, 282, 292 Walsh, R. O., 174 Westley, B., 11, 28 Zimmerman, J. H., 437, 440 Walter, C., 122 Wheatley, M. J., 49 Zimmerman, M. A., 308, 319 Walz, T., 211, 360, 410, 414 White, P. E., 42 Zinberg, G., 211 Wandersman, A., 296, 297, 306, Whitman, B. Y., 191, 193 Zinn, M. B., 81, 85d5, 87 309, 317, 439 Whittaker, J. K., 3, 29, 293, 294, Zuker, E., 218, 219 box 8.3, 235 Wandrei, K. E., 8, 27 306, 310, 312, 319, 427, 440 Zunz, S. J., 223