ROTHMAN, J., ERLICH, J.L., TROPMAN, J.E.: Strategies of Community intervention. F.E.Peacock Publisher, Itasca 2001 28 / Parameters of Intervention could not be encompassed comfortably by one practice orientation, and that it would be useful lo think of different approaches that addressed each of the three empirically distinct groupings represented by the students. I began to stake out these three approaches conceptually, delineating a set of practice variables to be used to analyze variations among them. This was, perhaps, a risky departure from the prevailing casework mode, but, in time, clinical practice also brolce from its solitary theoretical mold and began to include behavior modification, cognitive diernpy, ecological practice, and other frameworks. Social action presented a special challenge. Professional fields are typically conservative and eschew any taint of militancy—and that was especially true in the wake of the conformity-drenched decade of die 1950s, when any connection with radicalism was viewed with supreme suspicion. I needed to create an intellectual framework that would legitimate social action as an academic activity as well as an area of practice on par with other forms, something that did not exist in professional schools at that time. I thought of the three approaches, or models, as ideal-types. They did not exist to a large extent in pristine, full-blown form in the real world, but were useful mental tools to help describe and analyze reality. Over time I have come to deem-phosize or soften the notion of "models," which gives greater importance and internal validity to the approaches than seems warranted, and to accent the overlap and intermixture among approaches. The next section of this discussion will sketch out the original approaches as ideal-type constructs, and will also make a cross-comparison of them against a set of twelve practice variables. The last section, which is mere practical and the place where the analysis leads, will consider combined and variant patterns that serve to integrate the different modalities. Cobe Modes or Community Intervention THREE MODES OF INTERVENTION Planning has been defined as the act of deciding what to do about some community affair while, meanwhile, life is bringing it around to a firm conclusion. And a typical committee assigned to deal with the task is, of course, merely a form of human organization that takes hours to produce minutes. These quips express a widespread popular view of social intervention os it is commonly carried out. Here, we will try to conceive of disciplined human reckoning that plays tricks on the natural course of life and actually begets intended effects, in furtherance of community well-being. Differing and contrasting formulations of community intervention currently exist, which has been a source of perplexity and discomfort for the struggling practitioner and teacher. Taylor and Roberts (19S5) describe the fluid nature of theory development, stating that in this field, "eclecticism, pragmatism and practice wisdom of professionals foster a turbulence and diversity that makes categorization and model-building especially difficult tasks" (pp. 24—25). In the founding issue of the Journal of Community Practice, editor Marie Weil states: that in order to "reclaim and strengthen community practice, theoretical approaches, guiding values and practice strategies need to be articulated so that they are both clear and carefully connected , . . a grounding ... in reality and theory should be part of that movement forward" (Weil, 1994, pp. xxvii). A special issue of The Journal on Conceptual Approaches to Community Intervention / Models of Practice was issued in 1996 Administration (or management) (vol. 3, no. 3/4). another form of social practice that to) Three important approaches to purposive place in the community within organi community change can be discerned in con- tional settings. It involves developing or temporary American communities, both nizntions and keeping them runa . urban and rural, and internationally. We will through obtaining funding and oti refer to them as approaches or Modes A, B, resources, arranging staffing, establish and C, and they can be given the appellations and carrying out procedures, maintain respectively of locality de\'elopment, social records, and similar activities. Orgi planning/policy, and social action. Within izations constitute the vehicle thror each mode there are several variations and which social goals are pursued and relev distinct emphases, but in this initial discus- tasks are carried out Thus, they provide sion we will select out and treat one promi- machinery for steering the endeavors of nent form within the mode for purposes of three modes of community interventior analysis. The three basic Modes of action do in addition to direct-service agencies an not necessarily exhaust all possibilities, but wide spectrum of other programs in ' they offer a serviceable framework for a community. Administration practice ha: broad inquiry. These strategies are general in crucial bearing on the performance of nature and are applicable across professional organizations, but it exists in a differ, fields and academic disciplines. However, dimension than community intervene the author's grounding in social work and and will be treated independently and ap sociology will give a particular slant or tinge from this analysis. to the discussion. In the presentation, community inter- Mode A, Locality Development. T. vention is the general term used to cover approach presupposes that commun the various forms of community level prac- change should be pursued through brc tice. "Community' organizing" ordinarily participation by a wide spectrum of peo; implies social action and sometimes at the local community level in determini includes neighborhood work involving goals and taking civic action. Its prototy. self-help strategies. But it excludes social form will be found in the literature of a si plojining/ policy development approaches, jnent of the field commonly termed co Community organization has traditionally munity development. As stated by an ea been the inclusive nomenclature, but it U.N. publication: "Community Dev often becomes confused with more nar- opment can be tentatively defined as rowly focused radical community organiz- process designed to create conditions ing. Community work is frequently used to economic and social progress for die win convey a locality development outlook. On community with its active participation o the other hand, social planning usually fails (he fullest possible reliance on the comn to embrace grassroots organizing efforts, nity's initiative" (United Nations, 1955). Recognizing that there is no standard termi- Locality development is a communi nology, community intervention seems to building endeavor with a strong empha "be a convenient and useful overarching on what Selznick (1992) terms the "mo term to employ, although "community commonwealth." He describes this practice" has similar attributes and will be words such as mutuality, identity, partici] used occasionally as an alternative. tion, plurality, and autonomy. Local 30 / Parameters ofIntervention Approaches to Community Intervention / 31 development fosters community building by promoting process goals: community competency (the ability to salve problems on a self-help basis) and social integration (harmonious interrelationships among different racial, ethnic, und social-class groups—indeed, among nil people). Leadership is drawn from within, and direction and control are in the hands of local people (Dionne, 1998; Matlessich and Monsey, 1997; Minlder, 1997), It is a type □f activity that has been initiated and sponsored by religious nnd service groups such as The Catholic Church nnd The American Friends Service Committee, and it reflects highly idealistic values. The style is humanistic and strongly people-oriented, with the aim of "helping people to help themselves." The process of educating participants and nurturing their personal development has high priority. "Enabling" techniques that are nondirective in character and foster self-direction are emphasized. Many of the precepts of the feminist perspective on organizing overlap with the locality development approach, including stress on wide participation as well as concern for democratic procedure and educational gaals—including consciousness-raising (Hyde, 1989; Naples, 1998; Halsetli, 1993). The approach is also used, some would say misappropriated, by political and business leaders who espouse local initiative and privatization, relying an enterprise zones and like programs that essentially intend to scale back social programs for the poor that are carried out under governmental auspices. Some examples of locality development as conceived here include neighborhood work programs conducted by settlement houses and other community-based agencies; federal government programs such as Agricultural Extension and The National Service Corps; and village-level work in some overseas community development programs, including the Peace Corps and the Agency for International Development (AID). To these can be added community wort in the fields of adult education and public health education, as well as self-help and informal helping network activities conducted through neighborhood councils, block clubs, consumer cooperatives, and civic associations (Burns and Taylor, 1998). Thinkers who contributed intellectual roots for locality development include John Dewey, Mary Follett, Kurt Lewin, and Eduard Lindeman. Among professional writings that express and elaborate this mode are Blakely (1979); Chavis et al. (1993); Cnaan (1991); Henderson and Thomas (1987); Lappin (1985); Mayer (1984); Ross (1955). The terms "community development" and "locality development" have been used to identify the approach. The locality development nomenclature was employed in the original version of this analysis to convey this perspective on intervention in a precise way. Community development is a more polymorphic term, which sometimes connotes institutional and policy means to strengthen communities from above (Mier, 1993), or suggests industrial expansion through economic development (Bingham and Mier, 1993), Sometimes it has a national or international frame rattier than an explicitly local one (Goetz and Clarke, 1993). Locality development will be the terminology of choice here, and When "community development" is used it will connote a Mode A strategy. While locality development espouses highly respected ideals, it tins been criticized for its performance record. Khin-dukn, in the prior edition of this book, characterizes it as a "soft strategy" for achieving change. He indicates that its preoccupation with process can lead to endtess ■; meetings that are frustrating for participants \: and conducive to a slow pace of progress. |;: Khinduka further argues that concern with modifying attitudes nnd values may divert attention fam important structural issues 'i: that need more dirEct engagement. Also, [■ many projects drnw their participation largely from racial and ethnic minorities and i the poor, when it is the attitudes of the nfflu- li-- ent and well-placed that need rearranging. V. Embracing consensus as a basic modus _ operandi precludes arbitrary actions from ]■ . occurring, but it puta those who stand to [• lose from needed reforms in a position to fi veto effective action. The heavy emphasis | on the local community may be inappropri- ate at a time when the locality has lost =■ much of its hold over people nnd patterns of f- life are influenced significantly by power-f' ful national and regional forces, Khinduka f admires locality development for playing a S gentleman's game in the often sordid arena of community affairs, but he worries about l'. whether it can win. it \. Mode B, Social Planning/Policy. This !'i emphasizes a technical process of problem |, solving regarding substantive social prob- ■ (• lems, such as delinquency, housing, and s. mental health (Kettner, Monroney, and |- Marlin, 1999; Burch, 1996). This particular orientation to planning is data-driven and I- cnncEives of carefully calibrated change r; being rooted in social science thinking and ;: empirical objectivity (unlike other existing f. forms of planning that are more political j and emergent). The style is technocratic, and rationality is a dominant ideal, i Community participation is not a core ;< ingredient and may vary from much to lit- $■ tie, depending on the problem and circum- !;'. stances. The approach presupposes that {• . change in n complex modern environment \- requires expert planners who, through the ';■ exercise of technical competencies— including the ability ta gather and analyze quantitative data and to maneuver large bureaucratic organizations—are needed to improve social conditions. There is heavy reliance on needs assessment, decision analysis, Markov chains, evaluation research, delphi techniques, computer graphics, and a plethora of sophisticated statistical tools. The design of formal plans and policy frameworks is of central importance, as is their implementation in effective and coBt-efHcient ways. By and large, die concern here is with task goals: conceptualizing, selecting, establishing, arranging, and delivering goods and services to people who need them. In addition, fostering coordination among agencies, avoiding duplico-tion, and filling gops in services are important concerns in achieving service ends (Austin, 1997; Mandell, 1999). Within the field of social work, educational programs in planning and policy typify the social planning/policy approach. It also finds expression in university departments of public administration, public health, urban affairs, city planning, and policy studies. It is practiced in numerous federal bureaus and departments, in United Ways and community welfare councils, and in city departments and voluntary agencies geared to planning for mental health, health, aging, housing, and child welfare. The National Association of Planning Councils has been formed to strengthen these local community planning efforts. Intellectual roots for the approach can be found in the tliinking of scholars such as Comte, Lasswell, Keynes, Herbert Simon, and Jesse S teiner. Some professional writings that reflect this mode include Gil (1976); Gilbert and Specht (1977); Kahn (1969): Lauffer (1981); Moroney (1991); Morris and Binstock (19G6); and Tropman (1984). SI / ľarameiers oj miervennon While this approach emphasizes rationality in an explicit and formal way, and leans on it lo lend legitimation for recommended actions (aften by way of voluminous and impressive reports), the other approaches (Modes A and C) also need to be firmly embedded in rationality. Developing a means to successfully achieve broad civic participation or carrying out a protest demonstration to place pressure an public officials each require a high level of strategic calculation, linking chosen means logically to intended ends. The rationality may not be as overt and public, but it is equally related to effective and professionally sound intervention. Planning and policy are grouped together in this discussion because both involve assembling and analyzing data to prescribe means for solving social problems. They overlap in some measure, but they also probably have distinct features. Frequently, in scholarly and practice writings, the two are treated as though they are mutually exclusive. Policy is often associated with higher social levels—with national and state, governmental structures, and the act of selecting goals and framing legislative or administrative standards rather than actually establishing programs and services. No clear basis exists for this compart-mentaläzation of policy functions. There is policy development at the local level as well as at higher echelons (Flynn, 1985). It is conducted under private auspices as well as under governmental sponsorship (Pierce, 1984). And it has implementation and monitoring functions in addition Id the goal-setting aspect (Pressman and Wildavsky, 1984). Gilbert and Specht (1974) conceive of a "policy planner" nnd define policy as "a course or plan of action," thereby essentially blending the two. In this discussion we are addressing policy as professional practice rather than as a method for conducting an analysis to understand social welfare programs (Tropman, 1984; Jansson, 1984). Ironically, many planning and policy scholars write as though the other area does not exist, although upon examination these authors cover a great deal of similar ground. A divergence or different emphasis {areas of less overlap) lies in policy practice's concern with megagoals or quasi-philosophical frameworks that guide legislative enactment and program development, while planning is interested to a greater degree in the details of program construction and service delivery. In this discussion, "planning" will serve as a shorthand and convenient designation for the planning/policy approach. The data-driven form of planning and1 policy practice has a certain currency and appeal. With its coherent intellectual struc- ■ ture and ostensible ease of implementation. Urban planning schools and policy studies programs place a great deal of emphasis on providing students with ever mote complex and elegant statistical procedures and computer modeling methods. This may be because these are readily available, can be manipulated easily in a technical sense, and have an aura of mastery and complete-, ness that is missing in more political forms of planning; Webber and Rittel (1973) state that die data-driven approach is flawed because it is based on the assumption that problems arc easily definable, well-bounded, and responsive to professional intervention. Instead, they say, contemporary problems are "wicked" in nature—unique, intractable, intermeshed with others, and situated in a constantly changing and turbulent social environment. Two important factors place constraints on the prototypical rationalistic made. The; first is the intensification of constituency ■■ politics, a contemporary development that ryjyt uut-ricu lu i^ummumty intervention / 33 ; makes planning highly contentious and fs;:..rinteractive. Interest groups of various inlands feel they should have a say and have acquired a voice, and they place them--'selves vigorously into the pluralistic ^process through which decisions are made. >^%Mnny planners and policy professionals tbelieve that interests Df various kinds ^frightfully should go into the defining of M^ligools and setting the community agenda, jst&ilhecause these are socially constructed ,TOBBK)^?-Pnenomena and involve value choices that : '^^^S^EXtend: far beyond the purview of the gjj^jj*; expert or bureaucrat 'Another factor confounding prototypical JKtrau'onalistic intervention is the impact of ^Jpfiscal constraint There is public aversion to ffi||Slaxation and to governmental spending for Jj||$,apclal programs. Concrete economic condi-^jfe^tipns involving Industrial decline and reces-«5§$aipiiaiy trends also place objective limits on fejSDciiil program options. These public atti-lJ^iiudes and economic strictures have shifted IpTjIanrring from an optimizing stance to what Sf'Serbert Simon refers to as "sadsficing." jmM'Pie dual effects of contentious community ||p|;poUtics and n public leaning toward a "get Tiff f.byV level of social programming place into ŕjWa 9uestion the utility of elaborate, data-driven -'^planning modalities. ftj» Made C, Social Action. This approach ( presupposes the existence of an aggrieved ^fefor disadvantaged segment of the population •r that needs to be organized in order to make 1 - p demands on the larger community for ~ja increased resources or equal treatment 'c* (BdUo, Kendall, and Max, 1996). The par--hcular approach we are describing has a tov-militnat orientation lo advocacy with v'lespect to goals and tactics (although not all |%advocncy is imlitant). It aims at making f£ iundamentfll changes in the community, ^including the redistribution of power and '^resources and gaining access to decision making for marginal groups. Social action intervention seeks to change legislative mandates of political entities such as a city council, or the policies and practices of institutions such as a welfare department or housing authority. Practitioners in the social action arena generally aim to empower and benefit the poor, the disenfranchised, the oppressed. The style is highly adversarial, and social justice is a dominant ideal (Karp, 1998). Classically, stemming from the high point of social action in the 1960s, confrontational tactics have been emphasized, including use of demonstrations, picketing, strikes, marches, boycotts, tench-ins, civil disobedience, and other disruptive or attention-1 gaining moves. Disadvantaged and aggrieved groups frequently do not have at hand the funds, connections, and expertise available to others, and consequently they rely heavily on the resources of "people power," which has (lie potential to pressure and disrupt Training institutes sponsored by the Mid-West Academy nnd Industrial Arena Foundation have been established to equip low-power constituencies with the skills to impact higher circles of power. The social action approach has been used widely by AIDS activists, feminist organizing groups, gay and lesbian organizations, consumer nnd environmental protection orgnnizations, civil rights and black power groups, and La Razn and victim rights groups. It has been embraced by Industrial Areas Foundation and ACORN (Association of Community Organizations for Reform Now) projects, labor unions, including the United Form workers, and radical political action movements. Thinkers providing an intellectual foundation for this approach include Marx, Fourier, Bakunin, and Habermas and it was advanced in part by advocacy activities of Jane Addams and her Progressive Era allies. 34 / Parameters of Interventioit Approaches to Community Inten'ention / 35 Alinsky's Reveille far Radicals (1946) and Rules for Radicals (1972) have typified (he orientation of the social action mode. Newer writings also reflect this orientation {Boyte and Riessman, 1986; Burghardt, 1987; Clownrd and Piven, 1977; Delgado, 1986; Fisher, 1994; Freire, 1974; Kahn, 1992). In recent years, social action movements have expanded their strategy bent beyond the confrontational style, and "new wave" organizing now employs a wider range of adversarial tactics. Political and electoral maneuvers that are more fine tuned and diversified are being used in considerable measure. This is because the groups have' become more sopltisticated over time, there is less public tolerance for disruptive methods, and power elites have become skillful in counteracting confrontations. Organizing has become less stridently ideological, and middle-class groups (and right-wing factions) have been drawn into campaigning on their own behalf or in joint actions. However, there is a great deal of frag-mentotion among groups engaged in social action. Advocacy has taken on a particularistic caste, with each aggrieved constituency advancing its own special goals and interests in a "politics of identity" (Byrd, 1999; Gitlin, 1996). Even among people of color, African-Americans, Hispanics, Asian-Americans, and Native Americans go their own ways, independently and often competitively. Thus, coalition building has become a central concern in social action, since groups are typically not strong enough to achieve significant results on their own. But these coalitions are fluid, shifting, and irregular; new configurations have to be formed for different issues on a continuing basis—thus draining off energy that might be focused on external targets. Fragmentation is especially handicapping because of the growing concentration of political and economic power locally, nationally, and even globally (see the discussion by Fisher on Political Economy). Relatively weak local entities that are disunited find themselves contending with powerful extracommunity entities that are functionally consolidated. Human service professionals have not been prominent in the social action area, but there has been continuing participation on a small-scale basis over the years. Major national organizations such as ACORN and the United Farm Workers Union have been headed by social workers. There are relevant professional groups, such as the Union of Radical Human Service Workers in Boston and the Bertha Capen Reynolds Society nationally, and there is also a specialized periodical, the Journal of Progressive Human Services. Modest salaries and the absence of professional perquisites are u deterrent to long-term involvement. But new graduates with an interest in basic social change are in a position to take this on as a communal responsibility for a limited time at the beginning of dieir career. The Nader organization's publication Goad Works (Anzalone, 1985) and the "Community Jobs" newsletter list a multitude of positions and career opportunities. The richness of die experience, the chance to join hands with aspiring members of oppressed and dispossessed groups, and a sense of accomplishment in advancing a valued and meritorious cause can compensate for temporary material loss. Some professionals have and will continue to make this a lifetime commitment. A PERSPECTIVE ON DISTINCT PRACTICE APPROACHES Taking an overview, this three-pronged orientation, as a broad cognitive mapping device for community intervention, has n certain intuitive logic. Historically, several schools of social work have developed specialized programs for training according to the three modes. Thus, a community development program that was situated at the University of Missouri epitomized Mode A; the doctoral program in planning at Brandeis University, Mode B; and a social action program based at Syracuse University, Mode C. Morris and Binstock (1966), based on an empirical examination of community organizations, suggested a similar threefold division. Friedmann (1987) attaches different language to these same approaches— social learning, policy analysis and social mobilization, as does Lyon (1987)—self-help, technical assistance and conflict. The formulation has also provided an effective conceptual framework for a historical volume on community intervention (Betten and Austin, 1990). Empirical studies of the formulation lend general support Cnaan and Rothman (1986) found that a sample of community workers in Israel distinguish between these approaches in their perception of their work and in their practice activides. Several studies in progress have replicated the inquiry with apparently similar results in Sweden, Egypt, Japan, Chile, India, and several other countries. (In the original study, social action appeared to be a more complex phenomenon than the other interventions.) In a series of case studies in Canada, Wharf (1979) observed that locality development and social planning were dislincfly discemable, but that social action, while evident, again was more diverse. (We will discuss this disparity in the next section, "The Interweaving of Intervention Approaches.") Practitioners ■ in Wharf's project found the framework particularly useful as an assessment tool, as did those in another Canadian study (Johnson, 1974). The studies also suggest the existence of variations and mixed configurations, which is the subject of the next section. However, here, for analytical purposes, we view the three approaches as relatively "pure" expressions. The merit in this is suggested by Morris and Binstock (1966) when they refer to their own classification system: The categories are somewhat arbitrary, for it is sometimes difficult to say that a particular experience fits one category but not another. For these reasons it is particularly important to achieve as narrow a focus as possible in analyzing [intervention]: Otherwise a systematic treatment is virtually impassible (p. 15). Examining ideal-types, while recognizing they are to some degree artificial, has the particular benefit of allowing us to perceive practice variables and intervention components witiiin the modes in explicit and crystallized form. This generates a wide range of distinct practice options, across intervention orientations, that con be employed selectively and in combination. (This will be expanded upon subsequently.) PRACTICE VARIABLES AND COMMUNITY INTERVENTION APPROACHES In order to proceed with the analysis, we will specify a set of practice variables that help describe and compare each of the approaches when seen in ideal-type form. Each of die orientations mokes assumptions about the nature of the community situation, goal categories of action, concepts of the general welfare, appropriate tactics, and so on. A set of twelve such variables will be treated in the passoges that follow. The variables are based on the writer's long-term experience and review of the analyses of practice by others. They are assumed to be salient but by no means exhaustive. A 42 / Parameters of intervention Approaches to Community Intervention / 43 Locality Development. Intended beneficiaries ore likely to be viewed as average citizens who possess considerable strengths Hint are not fully developed and who need the services of a practitioner to help them release and focus these inherent capabilities. The Biddies (1965) express this viewpoint as follows: I. Each person is valuable, and capable of growth inward greater social sensitivity and responsibility. a. Each person has underdeveloped abilities in initiative, originality, and leadership. These qualities can be cultivated and strengthened (p. 60). Social Planning. The beneficiary group is more likely to be thought of as consumers of services, those who will receive nnd utilize those programs and services that are the fruits of the social planning process— mental health treatment, public housing, health education, recreation, welfare benefits, and so forth. Weyers (1992) makes this clear in highlighting the provision of social services as a key objective of social planning, "According to this point of view the efficiency of the community's social functioning will depend on the quantity nnd quality of professional services rendered to the community, as well as the way in which the community's concrete needs are provided for" (p. 132). In policy settings beneficiaries may be conceived as both consumers and constituents. ■Sociai Action. The intended beneficiaries are seen as aggrieved victims of "the system": of slum landlords, the medical establishment, government bureaucracies, racist institutions, patriarchal entities, and corporate polluters. Those on behalf of whom action in initiated are often characterized in "underdog" terms. 11. Conception of the Role of Intended Beneficiaries Locality Development. Beneficiaries are viewed as active participants in an interactional process with one another and with the practitioner. Considerable stress is placed on group discussion in the community as the medium tlirough which learning and growth take place. Beneficiaries engage in an intensive group process of exploring their felt needs, determining desired goals, and talcing appropriate action. Social Planning. Beneficiaries are clients, consumers, or recipients of services. They are active In using services, not in the determination of policy or goals. Opportunities for members and consumers to dclermJne polioy arc severely limited because limy ere not usually organized for this purpose ■ .. the opportunity to control policy is short-lived because the coalition will fall apart, Inciting sufficient incentive to bind together Ibe otherwise diverse constituent elements (Morris and Binslock, 1966, pp. 109-110). Decisions, then, are made through die planner, often in collaboration with some community group—aboard or commission, usually composed of business and professional elites, who are presumed lo represent either tlie conununity-at-large or the best interests of those being served. The data-driven policy specialist is likely to be looking over his or her back through this process, realising that' constituency interests and pressures could have an impact on policy enactment. Social Action. The benefiting group is likely to be thought of as an employer of the practitioner or constituents, In unions the membership ideally runs the organization. The Industrial Areas Foundation will usually not enter a target area until the people diere have gained a controlling and independent voice in tliE funding of the organization. The concept of the organizer as an employee and servant of the people is stressed. Kahn (1982) holds that the "staff director of the organization, if there is one, should be directly accountable to the board and should be held accountable by Hie board" (p. 70). Those not in key decisionmaking roles may participate more sporadically in mass action and pressure group activities, such as marches or boycotts. 12. Uses of Empowerment Empowerment is a highly valued concept in contemporary thinking nnd parlance (Colby, 1997). However, in some ways it seems to be a buzzword IhHthos to do more with creating a warm feeling dinn conveying a precise meaning. In the context of our discussion, each intervention approach values empowerment, but uses it in a different, sometimes contradictory, fashion. Locality Development. Empowerment signifies the gaining of community competence—the skills to make decisions that people can agree on and enact together. It also implies the development of a sense of personal mastery within residents, as individual growth in people is considered a component of community building and a gool of practice. Social Planning. With its reliance on facts and rationality, this approach tends to associate empowerment with information. Empowerment occurs when residents and consumers ore asked to inform planners about their needs and preferences, so that they can be incorporated into plan design. Such information may be obtained through community surveys, including focus group techniques and public hearings, or through anolysis of data from agency service records. Tlirough (his arrangement, consumers are afforded the right and means lo have their views enter into the process by which decisions affecting them are made. Consumers are also empowered when information is provided lo them about the various services that are available and particularities about these services, so they become equipped to make the best decisions about what programs and services to use. Information plays an important part in tiles oilier approaches also, but is given special emphasis in data-driven planning intervention. Social Action. Empowerment means to acquire objective, material power—for residents to be an equal parry in decisionmaking bodies such ns agency boards or municipal commissions, or to have the political clout to directly affect decisions made by these bodies. Electoral campaigns are mounted to win seats on legislative units by representatives from the group, who will thereby have the outhority lo vote and engage in tangible trade-offs on the group's behalf. There is also attention to participants' personal sense of empowerment, because those individuals with a feeling of potency are more likely to lend themselves aclively to She cause, and to contribute to the number count necessary for "people power" tactics of social action. There is still another way that empowerment is viewed, emanating primarily from the conservative camp. Empowerment is equated with the elimination of governmental regulations and involvements, so that citizens presumably gain the freedom to conduct their lives without restraint. The popular slogan, "get the government off our backs," characterizes this way of looking at empowerment. It is reflected in the wnrk nf 44 / Parameters of Intervention neocanaervative planners nnd action groups on the radical right. Getting the government off the backs of Game people at the Home time removes protections and assistance given to other, disadvantaged, people and simultaneously disempowers them. USES OF A MULTIMODAL APPROACH This analysts puts us in a better position now to describe what an ideal-type intervention mode would look like. For an ideal-type mode to be in operation it has to include, in well-developed form, a large proportion of the variables attached to that mode in Table 1.1 (within its column), and to exclude all or nearly all of the components peculiar to any other mode. This is a tough and rare standard la reach in the emergent, disorderly arena of community affairs. Modal tendencies arc a more realistic prospect Still, there are advantages to viewing intervention from the land of multimodal perspective that has been presented. In the first place, it is important for practitioners who are grounded in a particular organizational situation to be aware of their moorings. This framework provides a means for assessing the strategic leanings in the practice context: What are the basic assumptions and preferred methods of action in the particular setting? In this way, the practitioner is more likely to perform appropriately, consistent with the expectations of supervisors, colleagues, participants, and other relevant actors. Going beyond conformance to what exists, the practitioner may be in a position to create a form of action to deal with specific problems. Some rough rule-of-thumb guidelines can be posited. When populations are homogeneous or there is a willingness to exchange among various community subparts and interests, it would be useful to employ locality development. When problems are evident and agreed upon in the community and lend themselves to programmed solutions through the application of factual information, social planning/policy approaches would be a viable way to proceed. Finally, when subgroups arc hostile and interests ore not reconcilable through usual discussion and negotiation methods, it may be functional to engage in social action. By assessing when one or another form of intervention is or is not appropriate, the practitioner takes an analytical, problem-solving stand and does not become the rigidified captive of a particular ideological or methodological approach to practice. Consequently, practitioners should he attuned to the differential utility of each approach, particularly to the tactics used in each, nnd should acquire (he knowledge and sldll that permit them to utilize these in disciplined and flexible fashion. We will be expanding on that theme in the next section. This discussion has focused on a comparison of practice variables by following Table 1.1 horizontally across the community intervention approaches. For a feel of how each intervention mode would be implemented using its own set of variables interactively in combination, the tabie should be examined vertically, down the columns. This highlights the particularity and coalescence of each of the approaches, but it also encapsulates them synthetically. The next section demonstrates why that is so. Before proceeding with the expanded treatment, it is useful to lake a moment to clarify the domain of discourse and to indicate what is excluded. Any analysis carves its area of inquiry out of the infinite possibilities in the empirical world. The domain in this instance is the community Approaches to Community Intervention / 45 TABLE l.l Tiircc Community Intervention Approaches According to Selected Practice Variables Mode A (Locality Development) ModeB (Social PInflnlng/Pollcy) 1. Goal categories of community action 2. Assumptions concerning community structure nnd problem conditions 3. Basle change strategy 4. Characteristic change Incites nnd techniques 5. Salient practitioner rolea 6. Meduiia of change Mode C (Socio! Action) Community capacity and integration; self-help (process gunk) Community eclipsed, anomic; lock of relationships and democratic problem-solving capacities; static traditional community Involving n broad cross section of people in determining and solving their own problems Consensus: communication among community groups nnd interests; group discussion Ennbler-calaiyst, cnordlnntor; teacher of problem-solving skills and ethical values Guiding small, task-oriented groups 7. Orientation toward power slniclurefs) S. Boundary definition of the bcoeliclary system Members of power structure as collaborators in a common venture Total geographic community 9, Assumptions Common interests or regarding Interests of reconcilable differences community subparts ID. Conception of beneficlnrjes II. Conception of beneficiary role. Citizens rortlcipnnls In nn Interactional problem-snlving process Problem solving with regard to substantive community problems (task goals) Substantive social problems, mental and physical health, housing, recreation, elc. rjadtering data about problems and making decisions on the most logical course of action Consensus nr conflict Fact gatherer and anolyEl, pragmm Implcmcnter, expediter □uldlng formal organizations and treating data Power structure as employers and sponsors Total community or community segment Interests reconcilable or in conflict Consumers or recipients Shitting of power relationships and resources; basic InstituUonal change (task or process goals) Aggrieved populations, social injustice, deprivation, inequality Crystallizing issues nod mobilizing people to lake action Bgainsi enemy targets Conflict confrontation, direct action, negotiation Activist advocate: agitator, broker, negotiator, partisan Guiding mass organlzndons and political processes Power structure ns external target of action: oppressors to be coerced or overturned Community segment ConQIcting interests which are not easily reconcilable, scarce Victims Employers, constituents, members 46 / Parameters of Intervention TABLE 1.1 (continued) Mode A {Locality Development) Mode B (Social Planning/Policy) ModeC (Socio! Action) 12. Use of empowerment Building the aspneity of □ community Id mnlte collaborative nnd Informed decisions; prcmatlnß reeling or penronnl mnslery by residents Finding out from consumers nbput their needs for service; informing consumers of (lielr service clioiccs Achieving abjective power far beneficiary system—the right end means to impact community dcclsinns: promoting o Feeling nf mnstery by participants FiaunE 1.1 Intervention Modes ns Ideru-Types and, in particular, purposeful community change. This analysis is concerned with how such change is brought about by people at the community level, rather than through societal currents or federal policies. In other words, the community is examined as both the vehicle and the target of change. Further, the analysis is concerned with the domain of strategy, the broad inlerven-tive initiatives employed to create change. These entail general strategic options available to anyone, but the discussion emphasizes actionB token by professional change agents—who may be identified with any professional field or discipline. However, because of the author's background, the discussion is tinged by social work and sociological language and perspectives. There are other interesting and important areas of community intervention (hat do not fall within this domain, nt lenst in terms of substantive coverage. Some of these include work with special populations (cultural or ethnic groups, and warnen), coalition building, interorganizalionnl coordination, metiopolilonizntian, and so forth. Nor does the analysis attempt to provide a ubiquitous theoretical framework for all of macro practice. Any of these areas, and others, are worthy of sustained theoretical development in their own right, and cumu- Approaches to Community Intervention / 47 FIGURE 1.2 Intervention Modes Shown Overlapping' So eta teiVn 3 '«5 hi Vis* ing the art of application of the strategic initiatives, or developing specialized addi-.tlu-iionat constructs. * ■ The Intehweavwg of iNTEnVENTION AprnOACEIES latively will provide a rich, expanding intellectual and conceptual base to inform community intervention. The approach taken is at the level of nud-dle-range theory. It does not try to develop a grand theory formulation that is highly abstract and comprehensively encompassing. In keeping with, a middle-range perspective, there is use of grounded theory. :|| which involves the observing of real-worm A empirical patterns, identifying them, nam- M ing them, and constructing indicative ™g-.-|»j nillve categories to reflect them. OUtflr,||! approaches to IheoreUcal development could have started more deductively. With concepts such as power structure or; exchange theory, and built complex constructs concerning community interventloa from these. . ....... Obviously, it would not be realistic ta4»|g^pMB supporting the effort to harness corn-expect middle-range theory to carry to Mgl Jfyjicaied processes, he also alerted us to the burden of embracing all the dimensions ^J|fe^^BIBide' We may come to actually community intervention, and if it tried to-**- „ Jbehove the original facts are simple accomplish that it would certainly becDffloafe|grbecliuse our quest was to arrive at a simpli-unwieldy and incoherent Conversely, hov #'Fd construction. The French social critic ering at the middle range, this con tractJ Jf^ond Aran once spoke of this as delire ' 'logical delirium. Therefore, J%tehead went on to admonish; "Seek does not provide the level of detail do by some: how community develops should work with task groups, hov/ planners should use data, how social nctionists should organize demonstrations or conlltionB. These questions require cxerci 114k I analysis has attempted to delineate ^i|Jj\foUier: distinct and coherent categories of sl^^comnumity intervention practice. Alfred ^Otforth Whitehead offered a rationale for ft etfl"T"0 a™ of science is to seek the sim-isS^r^fplc t explanations of complex facts." But .- - - —*u uLuuuiuⅈ oeeic Dbcity anrJ dis(jU3[ tt„ Follovvmg [imt ctum we win naw rEexamine the previ. Oua discussion, bringing to it the eye of the Up until now we have treated each community intervention approach as though it were a rather self-contained ideal-type. That conceptualization is depicted visually in Figure 1.1. Actually, intervention approaches overlap and are used in mixed form in practice (Rolhmnn, 1999). Figure 1.2 reflects broadly the movement toward overlapping. Practice in any mode may require tactics that ore salient in anodier approach. For example, neighborhood social actionists interested in aiding the homeless may find it necessary to draw up a social plan in order to obtain funding for desired service projects from DIIHS (Modes C and fl). Or social planners may decide that the most effective way of establishing a viable ]aw-income housing project is to engage potential residents in deciding on the geographic layout and common facilities, and to organize a tenant action council to fight drug pushers (Modes B.A, and C). A more true-to-life depiction of the character of overlapping is in Figure 1.3. Here we see that the ideal-type modes have a limited scope of frequency nnd that mix- 70 / Parameters of Intervention sense, tlie American counterpart to the Marxist una historical schools of thought in Europe wliicli tried to apply the evolutionary process to social thinking. This intellectual base made possible, os i( also expressed, the political reform movement from Theodore Roosevelt to Franklin Roosevelt'9 Liberalism. According to Lerner the credo of liberalism "has been progress, its mood optimist, its view of human nature rationalist nnd plastic; it has used human rights rather than property rights as its ends but has concentrated on social action as its means."20 Despite its problems, he slates, "liberalism has nevertheless emerged as a central expression of the American democratic faith."21 Liberal ideas have been importnnt in building support among the privileged for the voice of the underclasses to be heard in the councils of government and for them to reap the benefits bestowed by government. Community Organization Institutions As we have stated, community organization activities during the period between the Civil War and World 'War I can be divided into two categories: the first are those which were carried on by individuals or institutions related to present-day social welfare activities. The charity organization societies, settlement houses, and urban leagues are important examples. A second category of activities are those that were conducted by those with no direct connection to contemporary community organization programs but which have become areas of interest for community practitioners. Examples inctnde (lie organi- "Lcrner, op, cit„ pp. 722-723. ,DibiA, p. 729. 31Ibld., p. 730. A History of Community Organizing / 71 zation of political, racial, and other action groups. 77ie Charity Organization Society: A number of factors noted above contributed to the emergence of charity organization societies in England in 1869 nnd, by 1873, in the United States.22 These societies initially came into existence to coordinate the woric of the private agencies which provided for the needs of the poor. Soon, however, these societies began to offer direct relief and other services, as well as to coordinate the work of other agencies.23 Murphy summarized their program as follows: They established social service Indexes or exchanges Hating individuals ar "cases" known to cooperating agencies. They evolved the "case conference," in which workers from different agencies interested in tlie flame "case" or the same family—workers from the settlement house, the relief-giving agencies, the child-placing ogencieg, the agencies established to prolecl children from cruelly, the viaittng nurse association, and othsrs—would meet to plnn a constructive course of notion in behalf of the "cnac." In some instances, loo, lire charity organization societies made broad studies of social and economic problems nnd recommended specific remedial mensures.M These social forces contributed to this development in several ways. The movement of large populations into the cities, as well as the waves of immigration which met the manpower needs of growing industries, led to many social problems ossoel- ;§ ated with poverty, inadequate housing, ~|J ^Charles Loch Mowat, TTte Cfairffy Orgaitiaitteit Saclmy, 1S69-J913 (London: Methucn and Co., IMD.pp. 16-21 and 94. ••!3I uThe direct services Which had significance for ItM^i emergence of social casework wili not be pursued ra-3* this paper. Only the community organlCTtloa. ;3 antecedents will be nolerl. "Campbell G. Murphy, Community OrgmifoinW; Practice (Boston: Houghton. Mifflin Co., 1954), p. ^'^l illness, and exploitation. Both humanitarian impulses and fear of what these people might do in desperation produced agencies directed to ameliorating conditions. In a sense, this was an effort to counter the more radical ideologies. Separate efforts also were made by groups associated with different neighborhoods and ethnic and religious groups, and those with different problems. Difficulties which arose repeatedly were: (1) The same people were approached over and over again, to provide resources for such agencies, and they began to look far ways to make charitable solicitations more efficient nnd less demanding on the few. (2) Duplication of aid was apparent, and those who offered it sought ways to avoid this nnd prevent the pauperization of the recipients which they believed was the inevitable result of indiscriminate relief, (3) Paid , functionaries arose-who sought to rationalize these' activities, drawing their inspiration from the same weilsprings that fed a developing pragmatic philosophy. (4) The resources of some charitable societies were insufficient for the maintenance of required . services, prompting an incessant search for new sources of funds. During this period, leaders of charity organization societies harbored serious reservations about the wisdom of public activity on behalf of the poor. In general, they doubted government's ability to administer aid so that it would be rehabilitative. Darwinian ideology and a hedonistic theory of motivation strongly influenced their views on the mntier. The Social Darwinians regarded relief as interference With the operation of natural law, and the hedonists held that the only assurance of hard work among the poorer classes was fear of hunger and exposure. This was •tempered somewhat by humanitarian 'htpulses. The charity organization societies distinguished between the "worthy" and the "unworthy" poor and chose to aid the former who, for reasons beyond Iheir control, were unable to support themselves and who, through the moral example of the societies' "friendly visitors," could be rescued from pauperization. Tlie rest were relegated to tlie not-too-tender mercies of the public poor law authorities, never to be supported at a level .equal to the lowest wages in the community so that they would constantly be goaded toward self-support. The functions of the charity organization societies were cooperative planning among charitable institu lions for the amelioration or elimination of various social problems and die creation of new sacia! agencies and the reform of old ones. Charity organization leaders were actively engaged in securing reforms in tenement housing codes, developing antituberculosis associations, obtaining legislation in support of juvenile court and probation work, establishing agencies and programs for the care of dependent children, cooperating witii the police in programs for dealing with beggars and vagrants, and supporting legislation requiring absent fathers to support their children.33 Some of the most significant contributions of the charity organization societies to community organization were the development of community welfare planning organizations and of social survey techniques. One of the earliest and most important examples was that of the Pittsburgh organization. Writing in 1922, Frank Walson discussed tlie significance of the Pittsburgh survey: w1ľF<"' íWl5, m 1!,e5B unMtia see Prank D 72 / Parameters of Intervention Few of tlie offspring of (he charity organization movement hove had mote far-reaching consequences or given greater promise of the future titan the Pittsburgh Survey, the pioneer social survey in this country. Interpretation of hours, wages, housing, court procedure and all the rest, in terms af standards of living and the recognition that the basis far judging af social conditions is the measure of life they allow to those affected by them, constitute (lie very essence of the developments that have since lalten plncc in social work.36 Out of the Pittsburgh survey come a council of social agencies which took upon itself the responsibility far acting upon the recommendations of the survey and conducting additional studies and reforms. The Social Settlements:.17 Setdements emerged Fifteen years after charity organization societies. Samuel Burnett opened Toynbee Hall, one of the first settlements, in the slums of East London in 1884. Stanton M!bid„ pp. 305-306. "This section rests heavily oa the analysis of Allen F. Davis In his Spearheads for Reform: The Social Settlements and Hie Progressive Movement 1B9Q--Í914 (New York: Oxford University Press, J 967). Although Toynbee Hall is commonly referred to as the first social settlement, It was opened, althonc.il only half-completed, on Christmas Eve oF IBM by two Oxford University students (see Davis, p. 3). A. P. Young and E. T. Aslilon, In dielr British Social Warle in the Nineteenth Century (London: Roullcdge & Kcgan Pool, 1956) claimed that Oxford House was opened In October 1 BB>1, while Toynbee Hall was nnt opened until January 1BB5 (p. 230), Thus Toynbee Hal! was one of the first settlements to open its doors. Although Oxford House was technically (Its first, Samuel Burnett, who fathered the settlement house convenient In Great Drilnia, was QSEOCiBlcd will] Toynbee Halí. This may account for the fact that a number of scholars erroneously regard Toynbee Hall as die first settlement house. See: Frank J. Bruno, Trends in Socinl Waik (New Ynrk: Columbia University Ptess, 1948), p. 114; Arthur Hillmnn, "Settlements and Community Centers," in Hany L. Lurie (ed.), Encyclopedia of Social Work (New York: National Association af Social Wnrkera, 10555, p, 630. The nulliuiB (hank David Gilbert far bringing Uds to nor attention. Colt, who visited Toynbee Hall in 1886, established the University Settlement on the Lower East Side of New Yorklater that year. Although charity organization societies and social settlements were prompted by the same social conditions, their analyses of the problems created by industrialization and immigration were quite dissimilar, leading them to different objectives and programs. Bamett, an Anglican clergyman influenced by the Christian Socialists, and John Ruslrin sought to bridge the gap between the social classes and restore human values to n society dominated by materialism. Colt, strongly affected by Felix Adler and the Society of Ethical Culture, believed that nothing short of a moral and intellectual renaissance in city life was required. This could best be approached, he believed, by bringing together people of ail descriptions into joint efforts, breaking down the barriers of interest, age, social class, political and religious affiliations.28 Rather than looking to individual character as the root cause of social problems, settlement house leaders typically saw environmental factors ns responsible for the conditions they deplored. Thus, while the charity organization societies seemed more ideologically related to the Darwinian ideology, the settlement appeared to draw more heavily upDfl the liberal, or even the radical, ideologies of the day. The types of individuals who became involved in these two movements also were different. Charity organization leaders were persons closer to the upper classes in society and epitomized noblesse oblige. They favored either reforming the poor or modifying the most adverse of their social circumstances. Although exceptions on both sides can be cited, the settlement house workers were a different breed. Typically well educated and drawn from the middle classes, they were frequently critics of the social order who identified with and shared Lhe lives of the poor in same measure. Their writings usually lack the condescension so often found in those of the charity organization workers. Perhaps the most striking quality of the settlement program was its pragmatism. Unlike tlie charity organization societies, setdements had no predetermined scheme for solving the problems of society. In fact, they had hd coherent analysis of ihB problems tiiey confronted. Instead, with a general concern about the impact of such phenomena as industrialization, urbanization, and immigration upon society, they searched for answers that would be bodi feasible and effective. Services were a major theme in their activities. They organized kindergartens and' cluhs far children, recreational programs, evening schools far adults, public barbs, and art exhibitions.19 Social reform was, perhaps, the most basic and self-conscious thrust of the settlements. ServieeB were often initiated as experiments which, if successful, could serve as models for other Institutions. Indeed, many of the programs demonstrated by the settlements were taken over by other agencies. The setdements' reform efforts went much beyond the organization of new or improved services. They included legislative campaigns at the loco], state, and national levels. In the field of education, iaStantnn A. Coit, Neighborhood Guilds: An Jniinintenf of Social Reform. 2d ed. (London: Swan, .,. Sammerschien end Co., IB92), pp. 7-16. 46-51. 11 Contemporary group WDrk also Iroce: its origins to these settlement activities. On the other hand, the jiutjar thrust uf group work is inward personal and interpersonal problems, and community organization, Inward social conditions In a wider context. There Is some Indication, however, that group work may again be emphasizing its earlier social commitments. A History of Community Organizing / 73 they worked for the development of vocational education and guidance in the public schools, as well as for the addition of school nurses, hot lunch programs, and education for die retarded and handicapped. They urged the creation of small neighborhood playgrounds, housing code improvements, reduction of congestion through city planning, and the transformation or public schools into neighborhood social centers. Although settlement workers could not agree on the value of immigration restrictions, they organized such groups as Uic Immigrant Protective League to ease die immigrant's adjustment to the new world. Setdement workers fought for laws to protect employed women and abolish child labor, and they helped organize the National Child Labor Committee and the Nntional Women's Trade Union League. They were often involved in municipal reform activities, botli at the ward and the city-wide levels, and many contributed to the platform and organizational work af die Progressive parry in I912.3D One theme ran tlirough both the service and reform efforts of the settlements—participation and democracy. Many of ineir service activities were designed to permit dialogue between working people and settlement residents. The residents involved themselves in the life of the community so that they might know what services were needed. They worked to reduce the barriers [hat separated them from their neighbors, and the neighbors from one another. They invited labor leaders and radicals of their day to use their facilities. MA study indicates that, after his defeat in 1912, Roosevelt terminated Ids relationship with social workers and returned to e mate tnuJiUDnnl Republicanism, See W. I. Trnttner, "Theodore Roosevelt, Social Workers, and die Election of 1912: A Note," Mid-America 50, No. 1 (1968), pp. 64-69. 7| great. The first major effort to remedy these $ conditions was taken by the Cleveland ''| Chamber of Commerce. After initiating a :Jj study of the problem in 1907, the chamber -;f| launched the Federation for Charity and j;j Philanthropy in 1913. Cleveland's federation ^ Is generally considered to be a major land- -7| mark in die history of community chests,71 a name which was first used in Rochester, New York, in 1919.™ % "Ibid., pp. 24-29. i 10Ibld„ pp. 29-3D. ■"Ibid., pp. 6B-71. :? 71Ouy Thompson, "Community Cliesls nnd United „ ( Fuods," Social Work Year Book, 1957, ed. Russell H. $ Kurti (New York: National Association of Social S= Worhers, 1957), p. 17fi. .:« Community chests were dominated by three kinds of people: contributors, particularly those who gave large suras; solicitors, thB small businessmen, service club members and middle management types who helped to raise the chests' funds; and volunteers representative of the health, welfare, and recreation agencies that were supported by the chests. The membership delegated much of the decision making to a hoard of directors, which hired an executive. In die beginning, most of the work was dnne by volunteers. Volunteers still continue to play an important part in community chests. World War I gave a great impetus la the ■ development of chests. Overseas relief and other war-created welfare needs stimulated the development of nearly four hundred "War Chests." During the 1920a die number of communities with community chests increased from 39 to 353,73 The Council of Social Agencies and Community Welfare Council. The first decades of the twentieth century saw the development of an increasing professionalism among those who helped the poor. The friendly visitor was replaced by the paid agent The charity organization societies founded schools of philantliropy which, beginning around the turn of the century, became graduate schools of social work. The development of die social survey—a disciplined effort to obtain factors necessary for planning—was another manifestation of the growing professionalism. In short, the growing cadre of welfare professionals, with the support of many volunteers who served as board members of charitable societies, was interested in organizing a rational, systematic approach to "Ford, an. clt., pp. 327-328. the welfare needs of communities. Their interest included providing for the gaps in service, detecting problems, and looking to future needs. This combination of professionals and volunteers formed councils. The first councils were organized in Milwaukee and Pittsburgh in 1909. By 1926 there were councils in Chicago, Boston, St Louis, Los Angeles, Detroit, Cincinnati, Columbus, and New Yorlc7'' Because of the potential conflicts noted earlier, one of the problems experienced by councils was their relation to community chests or united funds. Often councils have been regarded as the planning arm of the chest or fund, and this limited their rcla-tionslup to publicly supported health and welfare agencies. Yet when councils maintained some degree of independence from chests and funds, they seldom could provide the necessary incentives to gain compliance widi their plans. Those councils that were heavily influenced by chests or funds were often assigned responsibility for distributing the money raised in the united appeal, a function seldom performed by independent councils. Another problem of welfare councils was their relation with constituents. In Hie beginning, most councils were confederations of welfare agencies, largely those supported by chests. Within such a federated structure, councils often found it difficult to take forceful action, not wanting to seriously offend their agency constituents, which had a major stake in welfare plans. With the growing professionolization of councils, they often were reorganized as councils of individual citizens with nn interest in welfare problems and services. This shift was indicated in the change in name from "council of agencies" to "com- "Ibid., p. 37. ■52 / Parameters of'Intervention A History of 'Community Organizing / 83 mumty welfare council." Efforts were made to recruit those with a reputation far influence, and decisions have increasingly reflected the views of professional planners and tiieir volunteer constituents rather than Welfare agencies. In spite of this, welfare councils have not enjoyed a reputation for effective planning.73 The Social Unit Plan. Roy Lubove76 described a local development which anticipated one trend that later became important in community organization. This plan was launched in 1915 when the National Social Unit Organization was founded. A pilot area was selected in Cincinnati. The sponsors desired to test: Ihe theory tlinl a democratic and effective form of community organization which stimulated people to define nnd meet their own needs lias to divide (lie citizens Into small, primary unita, organize the occupational specialists, and insure an "organic11 and coordinate worlring relationship between the representatives of groups having special knowledge or skill for service to the community nnd the representatives of the residents.77 The social unit plan led to the development of block councils, block workers, and federations of such groups, referred to as the Citizens Council of the Social Unit Occupational groups also elected a council. This program lasted fliree years and "concentrated on health services."78 The movement did not expand in this form, perhaps indicative of the fact that the dme for this idea had not yet come. "These chonees did not occur uillU the Inle 1910s nnd 1930s, but ore reported hero tD complele the discussion of community welfare councils. ,8Lubove, up, at., pp. 175-17B. "Ibid., p. 176. "Ibid. The Organization of Ethnic Minorities and ] Women. Particularly in the South, many institutions developed among blacks because > of the patterns of discrimination and segrega- • tkm which existed during this period. Out of S school segregation, educational organiza- j lions arose. Black newspapers also came into j existence because news of the black commu- 1-nity was ignored by the white press. The j| exclusion of blacks from white churches led to a variety of black religious organizations.79 ] Many black soldiers hoped that their ! return from World War I would see a change j in the patterns of racism they had suffered ':] for so long. This was not to occur, as the Klan and other groups intensified their cam- ■] paigns and "returning Negro soldiers were :jj lynched by hanging and burning, even while j still in their military uniforms."80 One reac- j tion to this was the Universal Negro i Improvement Association of Marcos Garvey. This organization rapidly become (he largest nonreligiaus black organization. I The purpose of the movement was to send .:; blades bock to Africa, and the attraction of .-•! this to many blacks was a clear indication of { their disaffection with America. :i There was also militancy, and as ; Franklin stated: j This was the spirit af what Alain Locke called ;| 'The New Negro." He Fought the Democratic | while primary, made war on the whites who coa- ,.| signed him to the ghetto, allocked racial dis- -sj crimination In employment, and pressed far J legislation to protect his rights. If he was seldom ■ | successful during the postwar decode and Ilia :| depression, he mode it quite clear that lie was J unalterably opposed Id the un-American chorac- J ler af the two worlds of race.8' | ■"Much of die material In this sccdon lias beca . | drawn from John Hope Franklin, "The Two Worlds nF . j| Race: A Hialarical View," Daedalus 94, No. 4 (Fill igfi5). pp. B99-920. I ™Ibld.. p. 912. J »>Ibid.,p.913. | During this same period, a major thrust of Mexican-American organization was toward integration.87- This represented the desires of the growing middle class to sccutb their share of the American wealth. An example was (he Order of the Sons of America, founded in San Antonio in 1921. An inlent of this organization was to show Anglos that its members Were different from Mexicans who cause problems.83 The League of Latin American Citizens had similar objectives. Meanwhile, Chicano laborers were waging their own struggle. Lopez y Rivas poinls out that "all over California, Arizona, Texas, New Mexico, and other states they went on strike for better wages and living conditions as well as an end to racist employment practices," These efforts, however, met with "violent repression."84 Nevertheless, an important development was the founding in 1927 of La Confederation de Vniones Obreras Mexicanos. This organization held its first general convendan in May 1928. Delegates atlended from twenty-one unions as well as mutual aid societies. Farm labor groups also Btruck the fields throughout California. The Confederacion itself engaged in major organizing activities Uiraughout the 1920s and 1930s.83 The actions of the federal government which had the effect of undermining Native American institutions continued during this period. One piece of legislation, the Snyder Act of 1921, continued to affirm the objective of the Bureau of Indian Affairs to provide "for the general support and civilization of Indians."56 However, the BLupeL y Rivas, op, ctt., p. 62, ,3Jbld. E*Ib!d. "Alvarez, op. cii.. pp, 211-212. "Ttylor. op. dL, p. 19. Mcriam Report of 192B recommended "nn acculturation program on an understanding of the Indian point of view."111 Even titougli these actions may have heen inspired by good intentions, (heir patronizing nature was unsupportive of indigenous institudons. One author, in an attempt to characterize efforts to organize women after the adoption of the Nineteenth Amendment, titles tier chapter "Forty Years in the Desert: American Women, 1920-1960."BB In the first place, there was no indication of a women's bloc vote, which some had feared. This was not to deny the fact, however, that in specific elections in those states that had adopted women's suffrage, the proportions of women voting differently than men made a difference in the outcome. An example was the defeat of antisuffraga senator John Weeks in 191B.M The National Women's Party, however, continued to operate. It maintained a platform committed to full equality and supported the first introduction of the Equal Rights Amendment into Congress in 1923. However, it was quite small and in 1923 had only eight thousand members as compared lo fifty thousand Uiree years before,'" The League of Women Voters was founded in 1920. This group was much [ess milium! than the National Women's Party and it declared in 1931 that "nearly all discriminations have been removed."9' The League was less concerned about women's issues than child lobar laws, pacifism, and other general reforms. The general conservatism of the 1920s took its toll on the women's movement The s'ntM. !BDcckard. op. ciL, p. 285. "Ibid., p. 286. snJbid„ p. 287. ' "Ibid. 84 / Parameters of Intervention I A History ofCommunity Organizing / 85 prohibition against child labor, which women's groups favored, was attacked as a subversive plot.92 It wns even charged that all liberal women's groups were part of a Communist plot.83 Despite this, women continued to found organizations including the National Federation of Business and Professional Women's Clubs (1919) and the American Association of University Women (1921). Development of the Profession Most of those who trained far social work in die first two decades of the twentieth century were Btudying to became caseworkers. However, by 1920 Joseph K. Hart had written a text entitled Community Organization, and between then and 1930 at least five books were written on the subject9'1 It is EUBy to beg why the casework emphasis existed in view of the prevalent ideologies and issues of the period, emphasizing individual conformity to the "system." In fact, community organization practice during this period was aimed largely at enhancing agencies oriented toward personal adjustment. Except, perhaps, for tile workerB in settlement houses, the "social unit plan," and (lie organizations developing in the black community, little thought wns given to die changing social institutions to meet the needs of individuals. Even in the case of settlements, (lie workers there often thought of themselves as educators, recreation leaders, or group workers. In the black community, organizers rarely identified with social work. Nevertheless, some different ideas were beginning to emerge. Mary Follett foresaw the advantages to democracy of the organization of primary groups in the local communities.35 Eduard Lindemon, who taught for many years at the New York School of Social Work, also spoke of the value of "on attempt on the part of the people who live in a small, compact local group to assume their own responsibilities and to guide their Dwn destinies."95 The emphasis of this period, however, was aptly summed up by Lubove when he wrote die following: Federation employed the rhetoric of the early community organization movement, but its intensive concern with the machinery and financing of social welfare diverted nttentian from cooperative democracy and the creative group life of the ordinary cilizen to problems of agency administration and service. It subsd-tuted the bureaucratic goal of efficiency through expert leadership for what had been a quest for democratic nelf-dBterminntion through joint efforts of citizen and specialist. Community organization had bareiy emerged as a cause before It had become a function absorbed into the administrative structure of social work.97 1929 TO 1554 Social work, as well as other institutions in the UnitEd States, was deeply affected by the two major cataclysms of Uiis period: the depression and World War II. To regard these years as a single period in American lilstoiy may seem odd to some readers, but they cover a coherent period in the devel- nIljid, pp, 2UB-2B9. "aid. "Meyer Schwartz, "Community Organization," Encyclopedia of Social Work, op. clt, 1965. p. 177. B]5ee far example, lier book, 77ie New Slate: Group Organiuition, the Solution of Popular Government (New York: Longmans, Clreen and Co., 19IB), p. 217. 9CHdu!sri! C. Lindeman. The Community: An Introduction to the Study of Community Leadership and Organization (New Yoilc Association Press. 1921), p. 5fl. <"Lubnve, op. clL, p. lSD. opment of ideas and issues in community organization practice, A departure from this pattern took place in the fifties, marked by the desegregation decision of the Supreme Court and die end of McCartliyism, that period of ideological repression which received its name, as well as much encouragement, from the late Senator loseph McCarthy of Wisconsin. Social Conditions lb set the stage for the discussion of the history of community organization during the period, one should call attention to several social forces. Depression Issues. The mast apparent of the social forces at play was the vast increase in unemployment The bank and slock market failures also removed whatever reserves people might otherwise have utilized in such b crisis. Mortgage foreclosures deprived many of their homes, farms, and small businesses. 27ie Growth of Government. The expansion of government programs was a direct result of the depression. Government expenditures, programs, and controls grew in unprecedented ways. The government became an employer, a producer of goods and services, and n vast resource to restore the industrial processes. The federal gov-'ernmBnt also became die most significant planner and promoter of welfare programs through the enactment, in the mid-thirties, of such legislation as social security and the minimum wage. Tile Growth of Unionism The depression also stimulated a major upsurge of trade unionism. The founding of the CIO showed that the labor movement was nt last free frutn tlie limits of a craft basis for organiza- tion. The passage of the National Labor Relations Act in 1935 marked the beginning of an era in which government facilitated the development of unions and thereby became less the biased protector of business interests. The development of strong unions in the auto, steel, electrical, meat-packing, and. other industries had a major impact upon die industrial scene. The organization of the Brotherhood of Sleeping Car Porters gave the black community an important labor spokesman, A, Phillip Randolph. The International Scene. During this period, it became evident that the Communist party was Firmly entrenched in the USSR, In Spain, Italy, and Germany, fncist governments seized poWEr. American counterparts of these movements were apparent in the developments within the United States. On the international level, these developments had consequences of the most serious nature for the United States, Just at the time in die thirties that many programs to solve the social problems of the country were being tested, the need to prepare for and Uien wage World War II increasingly absorbed the attention and resources Df the American people. In fact, only with the war did die country clearly come out of die depression. The Condition of Minorities Blacks. The creation of many New Deal agencies "added credence to the emergent fact that for the first time the federal government had engaged and was grappling with some of the fundamental barriers to race progress."9" On the other hand, there "Fishcl and Quarlcs, op. clL. p. "147. 09 150 / Parameters of Intervention CONCLUSION Small groups constitute an ubiquitous element in community organization. Yet, very little of group theory is reflected in both its theory and its practice, One wonders if many committees and oUier groups flounder because insufficient consideration is given to important aspects of group structure and process. In this paper, only a few components have been discussed. There ate others, such as group conflict and its resolution, norm development, decision maldng, and so on, dial are of equal relevance. Given the different nature of client groups, goals and strategies of intervention in community organization, there is need for more rigorous study and research on (lie application of small group theory within this area of social work practice. REFERENCES Bales, R. F. "The Committee Meeting." In William A. Gtasser and David L. Sills, eds. The Government of Associations. Ibtowa, New Jersey: The Bcdmlnster Press, Inc., 1966. CORE ELEMENTS OFPRACTICE Bradford, L. P. Making Meetings Work. La Jolla, California: University Associates, 1S76. Brager, G. and H. Specht. Community Organizing. New York: Columbia University Press, 1973. Burghardt, S. "The Toclical Use of Group Structure and Process in Community Organization." In Fred M. Cox, John L. Erlich, Jack Rothman and John E. Tropman, eds. Strategics of Community Organization, 3rd ed, Itasca, Illinois: RE. Peacock Publishers, Inc., 1979. Hartford, M. E. Groups in Social Work. New York and Loadon: Columbia University Press, 1971. Houle, C. O. The Effective Board. New York: Association Press, 1960. Jay, A. "How to Run a Meeting." In Fred M, Cox, John L. Erlich, Jack Rothman and John E. Tropman, eds. Tactics and Techniques of Community Practice. Itasca, Illinois: F. E. Peacock Publishers, Inn., 1977. Pinous, A. end A. Mlnnhnn, Social Work Practice: Model and Method. Itasca, Illinois: F. E. Peacock Publishers, Inc., 1973. Rothman, J. "Three Models of Community Organization Practice," In Fred M. Cra, John L. Erlich, Jack RoUunnn and John E. Tropman, eds. Strategies of Community Organization, 2nd ed. Itasca, Illinois: F. E. Peacock Publishers, Inc., 1974. 7. Fred M. Cox COMMUNITY PROBLEM SOLVING: A GUIDE TO PRACTICE WITH COMMENTS This problem-solving guide was developed by the original editors and their students. Community practitioners will find that the guide directs their attention to a number of factors central to assessing community problems and developing a course of action for attacking them. There have been n number of efforts to provide a model to guide community organization practice. Murray Q. Ross developed a set of principles to guide community organization and a discussion of the roles of the organizer {16, pp. 155-228; 17, pp. 157-231). Ronald Ltppitt and his collaborators studied a wide range of planned change efforts, which include efforts at the community level. From this study, they formulated a discussion of the phases of planned change, the role of the change agent, an approach to diagnosis in planned change, and an onalysis of the forces operating for and against changes (9). Roland Warren provides a five-stage model of the "development and change of community action systems" (25, p. 315 and pp. 303-39), Robert Perlman and Arnold Gurin nfier a "problem solving model" in their study of community organization, prepared under the auspices of the Council of Social Work Education (12, pp. 61-75). This list is by no means comprehensive (19, pp. 504fJ.), but it includes those that have been most influential in shaping the present effort. The guide is ordered sequentially as the factors considered are likely to he encoun- tered in practice. The guide should be used flexibly. The experienced practitioner may not need to explore each point as carefully as one new to a situation. Few will have the opportunity to employ it systematically in every practice context. Nevertheless, wo believe the practitioner will find it useful as a reminder of issues that may otherwise he overlooked or questions that provoke thought that may have an important bearing on practice decisions and outcomes. Some practitioners will be confronted with more "givens" and fewer choices than others. A clear understanding of the "givens" as well as the options is crucial far effective practice. Like most general models, tills one may fail to call attention to certain questions of importance in specific situations. Many practitioners will want to refine and elaborate die guide to suit the particulars of the practice situation in which they are involved. In general, however, we believe that the guide can contribute to a more logical and coherent approach to confronting problems in the multiple pressures and confusions of community practice. THE GUIDE This section briefly outlines the main categories comprising the guide to community problem solving. It will be followed by a more elaborate commentary that provides further detail about each of the steps in the process. In preparing a problem-solving 152 / Parameters of Intervention Community Problem Solving / 153 statement at the outset of a project, the practitioner uses this commentary as a basis for deciding about what to include in the initial analysis. I. Preliminary Considerations A practitioner starts out by spelling out certain givens in the intervention situation that serve to structure and shape further actions. Intervention is typically carried out within an agency or organization that establishes the ground rules and gives the worker an assignment (whether specific or broadly conceived) to implement The sponsoring agency has a preexisting mission and formulates the broad goals that ore to be aimed For. It also typically has evolved preferences about strategies and tactics, which the practitioner lias to take into account. Within the agency, fnctors of various kinds color die work: specific decision makers who create policy, lines of authority, norms of operation, and programmatic structures. The practitioner, as an employee of the agency, brings to bear on the assignment personal motivations and capacities, which intersect with the opportunities that are provided in the organizational environment and form a unique meld. Such factors should be made explicit at the outset as part of designing a plan of action. EE. Problems An early step in all practice entails a problem analysis and needs assessment in order to provide a Firm basis far action steps. It is important to identify the type of problem, its location geographically and socially in the system, and its scope, and to determine those who are affected by it. Past change efforts should be clarified so that they can be built upon in an effective way. The practitioner brings to the situation only one per- spective among others; therefore it is useful to discern the perceptions of those who are participants in the action or who will be affected by it in one way or another. HI, Social Context of the Problem To gain a meaningful understanding, the problem has to be examined in a sophisticated way, What was the origin of the problem? Can it be explained through some theoretical perspective such as communication blocks, institutional racism, or interor-ganizntional conflict? What structures and factions either maintain ar can potentially alleviate it7 What ore the consequences of tnldng action or failing to do so far different elements in the community: Who gains and who loses7 IV. Intended Beneficiaries Who are the people or groups that stand to gain from the intervention? These can be identified with respect to demographics, spacial location, ethnic identity, economic and political standing, nnd so forth. Cleavages within the beneficiary group should be described, as well as their relationships with various parts of the community system. V. Goals The goals Df various parties in the situation should be clarified, including the beneficiary system, the agency, and significant others. Based on the overall analysis, the practitioner needs to delineate a set of professional preferred goals, with an order of priority. These should include task goals related to concrete problems and process goals related to community competency and system maintenance. VI. Strategy The practitioner needs to go on to design potential strategies to address problem situations. A set of relevant tasks have to be ' laid out and an action system conceived that is made up of participants and allies. In addition, it is important to identify people nnd forces who will interfere with or resist Die action plan. Needed resources and then-availability have to be assayed. In light of this examination a preferred strategy should he outlined. VII. Tactics luetics comprise the mechanics of carrying out a strategy. FirBt there is the question of entry—where lo start and with whom? The beginning phase also entails die notion of leverage—whnt initial actions give the best ctanncB of sustaining the strategy? There exists (ho important matter of determining how to work interactively with the action system. Specific expectations have to be formulated, including an informal "contract", between the practitioner and those making up the action system. Some implementation steps include training and supporting participants, scheduling actions over tune, using resources effectively, and dealing with the opposition in appropriate ways. VOL Evaluation Action in itself is not the essence of intervention. Actions are calculated to bring about beneficial outcomes. It is important in thinking ahead to consider means whereby to examine results in order to determine objectively nnd empirically whether goals were achieved and to what extent. The practitioner should indicate how the effectiveness of the strategy will he measured, as well as the effectiveness of the tactics. Only in this way will learning be derived concerning the viobilily of various practice options, thereby improving practice. IX. Modification, termination, or Transfer of Action As an intervention experience nears resolution (as indicated Uirough evaluation), it may be necessary to formulate new goals and strategies in order to move into a next phase. On the other hand, it may be time for the practitioner and agency to withdraw. In tbnt case certain termination actions are necessary, including preparing the action system for the change. Concluding steps may involve transferring responsibility to a new agency, or institutionalizing the results within die community to insure the stability of the change. It might be useful in doing a problem-solving analysis to look aheud and devise a scenario that predicts potential results and suggests terminal actions. ELABORATIONS' As part of the effort to increase the professional character of community organization practice, we need lo develop guidelines for decision malting that ore grounded upon tested generalities. As our knowledge base expands, it should be possible to rely more heavily on insights drawn from the social and behavioral sciences. The problem in basing decisions on tested knowledge is to find a way to join the hodgepodge which is the reality of community practice and the generalizn- 'Tlie (unbar acknnwfedgw tile contributions made hy his colleagues John L, Eilich and Jnck Ilothmon, whose critical cnmrocnU and suggestions were used extensively in preparing this supplement lo Hie preceding guide. 154 / Parameters of Intervention tions derived from research, which necessarily oversimplify, and select a few factors believed to be of overriding importance. This problem is a difficult one for at least two reasons. First, our knowledge of what factors are most influential and their effects upon matters of importance to the practitioner, together with the various conditions Hint affect such cause and effect relationships, is very limited. Typically, we must be content with a combination of practice wisdom nnd partially tested theory validated under conditions quite different than those faced by each practitioner. For example, conclusions about group behavior are often based on laboratory data rather than field studies. Second, even when knowledge is very full and based on rigorous study, there ore serious problems in applying it Scientific knowledge is the knowledge of probabilities, of the chances that certain actions or events are likely to be followed by particular consequences. But even a high probability of B being followed by A leaves room for the possibility, in some minority of uistances, that A will not produce B. And there ore always newly emerging contingencies, the effects of which are unknown, and relatively unique configurations of events and conditions that were not anticipated in the research studies. Tims, even under Hie best conditions, we must guard against expecting too much from scientific laiowiedge in guiding practice decisions. What does the problem-solving guide contribute to Uus process7 First, it suggests tlie major types of information that must be obtained by tlie practitioner if he or she is to reach informed decisions. Second, it offers the outline of an interconnected set of frameworks witliin which lo collect this information. It does not, however, provide propositions or generalizations to which decisions must be referred; these comments will suggest some additional sources we have found useful for this purpose. The comments are organized in the same order and under the some headings as (lie guide above. Wherever possible we relate these comments to the three modes of community organization around which this book is organized. I. PRELIMINARY CONSIDERATIONS A. Summary of Assignment Tlie practitioner provides a brief orientation to the nature of the assignment. If the guide is used for training purposes, the instructor may find litis summary particularly useful. B. Agency The organization Uiat sponsors the practitioner's work is the agency referred to. Its primary significance is in the possibilities it opens and the constraints it places upon practice. Social action is typically sponsored by groups of lUce-minded people who feel generally oppressed by the wider society, are offended by particular governmental decisions or social norms, or shore common interests they believe can be achieved more effectively through collective action. The group is held together by some common identity {ethnic or racial characteristics, ideological or cultural similarities, goals, a piece of turf, a shared sense of being oppressed by die larger society). While the sponsor is likely to he homogeneous in some respects, necessary funds may be generated by the group itself or may coibe from outside sources which may not fully identify with the sponsor, its goals, or, particularly, its methods. This constitutes a problem for some social action groups because, as they engage in controversial :-5 activities, they may jeopardize their financial support. On the other hand, to the extent they are homogeneous they are able to pursue their objectives single-mindedly, without undue debate over ends nnd means. Locality development may be sponsored by a national government, as in the cose of many community development programs in developing countries or in industrialized countries with groups of people isolated from modernization. In such cases there may be conflict between the aims nnd values of the national government and tlie people toward whom locality development is directed. Governmental sponsorship, however, may bring otherwise unavailable resources to bear upon problems of underdevelopment. In oflier cases, locality development is sponsored by groups who seek self-development, often at the initiative and ' with the continued assistance of some outside group (American Friends Service Commitlee, n community development program in a land-grant college). Under these coaditions, considerable emphasis is placed upon representing various segments of IdduI people and upon their voluntary choice of aims and activities. Given the diversity of people within a locality, problems often arise in finding consensus and in sustaining motivation to work on common problems, hut, because these are necessary, Ihe programs chosen represent what local people really want and may be more permanent than those imposed from outside. Social planning may be sponsored by government at various levels or by private organizations. Backed by constituted authorities or Uie socially or politically elite, these agencies tend lo view their mandate as deriving from the established political process or from democratic procedures in which all citizens are at least nominally ftec lo participate. They typically focus Dn bringing technical skitis to bear upon social Community Problem Solving / 155 problems and are dependent upon the sources of legitimacy, so that tiiey often overlook the views of diose who are the presumed beneficiaries or targets of their planning efforts. Insistent demands for wider participation may create operating problems for social planning agencies. If the agencies can secure substantial support, both financial and political, and highly qualified specialists, however, they may be able to resolve social problems to a greater degree dian if support from those affected by the plans were required or fewer resources were available. The extent to which organizations are bureaucratized has a major impact upon the kinds of tasks they can undertake and tlie strategies and tactics available to die practitioner. Organizations vary not only in internal structure but in relations with die social environment. They emerge out of the needs of particular constituents, with whom they have a variety of understandings about goals and methods. As noted in the text above, social action agencies are oriented toward tiieir members, while social planning agencies are created by elites to control social problems experienced by nonelites. Zald discusses litis with special reference to factors affecting the autonomy of the strategies available to the community organization agency (Article #5). Rein and Morris discuss die effects of the planning organization's goals and structure upon the strategies it employs (13, pp. 127-45). Parenthetically, it should be noted that formal organizations may be important lo the practitioner not only as sponsors of action but as allies in a joint effort ar as targets of strategy. C. Practitioner The practitioner's activities can be analyzed from two perspectives. Tlie first, 156 / Parameters of Intervention Community Problem Solving / 157 which examines the prnctiticmer's motivation, capacity, and opportunity, was developed by faculty members at the University of Chicago's School of Social Service Administration (14). This perspective raises three general questions: (1) Tb whnt extent do die personal and professional goals of practitioners coincide, reinforce, compete, or conflict With the goals of those Ihey are trying to help and with those of the sponsoring agency? (2) Does die practitioner have the basic qualities of intelligence, ability to empathize with others, n sense of personal identity, and the special skills and knowledge necessary to operate effectively in a particular community organization assignment? (3) Does the practitioner have the support of the agency, the human and financial resources that ore necessary to do the job with a reasonable expectation of effective performance? If there are impediments in the situation, what, if anything, can be done to correct them? Ronald Lippitt and lus collaborators give attention to some of these questions (9, pp. 92-99). The motivation, capacity, and opportunity required will vary with the type of practice and the nature of the sponsoring agency. For example, the practitioner's ideological predilections and world view will affect the motivation to work far various types of agencies and the willingness to use different strategies and tactics. Skills in working widi different kinds of people (poor people, local elite) and in using various techniques (making population projections, teaching people how to handle unfamiliar situations) affect the capacity to work in different settings. The types and amounts of resources needed for effective practice vary for agencies wilh various scopes, goals, and strategies. Role theory provides perhaps an even more useful perspective for analyzing the practitioner's work. The ambiguity and conflict in role definitions by various per- "i sons with whom die practitioner interacts, i the discontinuity between the various roles ,'■< one plays currently and between past 2 and present roles, and the personal \ strain involved in learning a new role and % coping with the problems inherent in role ',] ambiguity, conflict, and discontinuity must be token into account in understanding the ..j practitioner's behavior and decisions (22, pp. 17-50; 9, pp. 91-126). \ H. PROBLEMS This section of the guide directs the community organization practitioner's attention to nn analysis of the difficulties he or she is trying to remedy. The problems of ~ concent are usually social rather than per-sonal, affecting a substantial portion of the .■■A people served and out of harmony with their preferences. They may be substantive /j" in character, i.e., problems such as mental -V, illness, insufficient housing, or delin-quency, or they may involve process, n affecting the way the society, the comma- vi nity, and its institutions are organized, for-mnlly or informally, for dealing with social problems. Often the two are closely 'j connected as, for example, when it is assumed that the negative reaction to the mentally ill stems from the lack of community-based institutions for dealing with ( them—well-organized family care homes, recreation programs, emergency services ■ ■ for coping with personal life crises, etc, j Community practitioners are typically -concerned with problems of both sub- s! stance and process, J At this point the guide calls for careful -i observation and description. Explaining the 7 problem is reserved for the next section. -r; The practitioner describes the kind of prob- | lem dealt with as clearly us possible, where }, jt is located, how widely it Is distributed among different kinds of people, and die degree to wliich one group is affected in comparison to another. The practitioner jaoks at past efforts lo improve conditions, who made them, the extent of dieir successes or failures, and the probable reasons for these outcomes. He or she gives particular attention to differences in perceptions of the problem among the affected groups. The varying waya in which the problem Is perceived will be of particular importance. The agency, various subgroups of the client, and the practitioner may all see the problem a little differently and thus favor different solutions. In Ihe context of social action, the problem typically will be viewed as one of social injustice—an oppressed minority not receiving its fair shore of political, economic, and educational resources, a group Hint has been deprived of some benefit or iias had some social cost inflicted upon it, ar a group seeking some benefit for itself at the expense of others for reasons it considers justified, Of increasing importance recently, many negatively regarded groups seefc Improved status and respect. hi a locality development context, the problem often will be defined as a failure to modernize, to develop the necessary capital and skills to facilitate industrialization at an appropriate rata or lo build the necessary services ("infrastructure") needed to support an urbanizing population. The problem may be regarded as opposition lo change (strong traditional ar new but counterproductive forms of social organization), anamie (languishing social organization), or loss of local autonomy (an organized cammunity losing control to national business, philanthropic, and governmental institutions). A normative view held by some community developers Is that the problem stems from the failure of local democracy, the lack of concern about and a sense of responsibility for local problems. Social planning agencies lend to define the problem as one or more fairly discrete social problems (mental illness, crime and delinquency, poverty, poorly organized services) for which they seek various technical solutions. The problems with which social planners deal are seen as forms af deviant behavior or social disorganization. Deviant behavior, such as mental illness, delinquency, or child abuse, is at variance with prescriptions for particular social roles. Merlon makes a useful distinction between two types of deviant behavior, nonconformist and aberrant, which is particularly appropriate in the light of unrest among women minority groups, gays and students (10, pp. 808-U). The nonconformist announces his or her deviant behavior, challenges the legitimacy of rejected social norms, tries to change norms regarded as illegitimate, and calls upon higher social values as justification for actions. Conventional members of society recognize that die nonconformist is dissenting for disinterested reasons. In contrast, the aberrant individual hides his or her acts from public view, does not challenge the legitimacy of broken norms, tries to escape detection and punishment, and serves personal interests tlirough aberrant behavior. Social action groups of oppressed people may define their behavior as nonconformist and seek responses from the rest of society that first confirm Ihis definition and ultimately redefine the behavior, prompting Ihe nonconformity as acceptable rather than deviant. For example, those seeking abortion law reform, acceptance of homosexual preferences, or equality in jab opportunities may use nonconformist means to secure redefinitions of abortion, homosexual behavior, and equal employment opportunities as nondeviant. Social planners may 153 / Parameters of Intervention assist them through legitimate ("conformist") means that are possible within the context of their work—drafting legislation, taking matters to court, enlisting the support of community leaders, and so forth. Social planners may also participate in efforts to redefine the behavior of some deviants who, by tliis definition, ore aberrant but whose crimes are trivial and are not regarded as morally reprehensible, or as victimless. The smoking of marijuana in moderation may increasingly be regarded as a trivial offense at best or a victimless crime at worse. Those who engage in drug abuse, prostitution, gambling, and homosexuality are often hurting no one but themselves. Even where hehavtor cannot be redefined as acceptable, social planners may assist in relieving exacerbating responses, through plans for bail reform and community core for the mentally ill, for example. Eurnlly, planning services to modify the behavior of deviants, using new techniques such as behavioral modification, will continue to be useful for a number of forms of deviant behavior. Other social problems are regarded as symptoms of social disorganization, not necessarily involving deviations from prescribed norms but rather reflecting incompatibilities between various ports of a social system, such as different rates of change (for example, technology changes mare rapidly than social values). Poverty, housing shortages, water pollution, unemployment, and racial discrimination are often regarded as examples of social disorganization that constitute social problems social planners seek to solve. Locality development practitioners typically view social problems from this standpoint, focussing on those that retard the maintenance or enhancement of a society or community (sharply increasing birth rates, general apathy, lack of entrepreneurial Skills, or a failure of leadership). They are also concerned with the inability Df a locality to obtain resources or achieve results from self-help efforts. Another way of looking at social problems is offered by Arnold Rose (15, pp, 189-99), who defines two perspectives. One, which we will call "disjunctive theory," regards social problems as arising from different meanings being attached to objects that form the context of social interaction or from different values being assigned to the behaviors displayed in relation to those objects. Marijuana (an object) is regarded by some as a potentially dangerous mind-altering drug and by others as a means to a pleasant "high." The smoking of marijuana (behavior in relation to the object) is disvalued by some and enjoyed by others. Poverty in the United States today (a set of objects or conditions) is regarded by some as an unfortunate but Inevitable byproduct of the free enterprise system and by others as a needless hardship inflicted upon substantial (though decreasing) numbers of people by the economic system. Living in poverty (behavior in relation to that condition) is regarded as avoidable and remediable by individual effort or as essentially irremediable "tough luck" by some and as unnecessary deprivation remediable by collective effort by others. In each cuse, the problem is regarded as arising from lack of agreement on meanings, values, or both. The disjunctive Uieory is often held, at least implicitly, by (hose practicing locality development and leads to emphasis upon the socialization process, education, nnd communication. If meanings attached to the same objects differ, efforts can be made to give people "the facts" so that increasingly meanings can be shared. If values associated with particular behaviors conflict, communication between those who disagree may ultimately lead to a greater degree of consensus. The other perspective Rose calls "conflict theory." From this point of view, social problems ore die product of competition for scarce resources (wealth, prestige, power) which results in painful struggles over their diBtribution, with some being dissatisfied at (he outcome. Conflict theory assumes that values ore held in common, that is, most people want the same things and will fight over their distribution, while disjunctive theory assumes that social problems arise from wanting different things or defining the some things in different ways. Those engaged in social action tend to regard social problems from the perspective of conflict theory. Although these practitioners may agree that some secondary grounds for conflict may arise from different meanings being attached to the same events (for example, the lack of o common understanding about die "facts" of poverty), they argue that the basic problem is one of maldistribution (of jobB or income). Social action practitioners try to solve social problems by mobilizing power to induce a redistribution of die valued objects in favor of their constituents or intended beneficiaries. in. SOCIAL CONTEXT OF THE PROBLEM A. Origins The practitioner must take care to interpret (lie origins of a problem. He or she may understand how a problem came to be by examining its origins, but cannot thereby explain its persistence. Conditions that brought about n problem originally often ftde, sd that present conditions can only be ■ explained by reference to factors currently operating. The practitioner must search for contemporary conditions that are causally Community Problem Solving / 139 connected with tile problem and try to change them. An effort should be made to understand the historical roots of the problem, particularly if there is a long or significant history affecting the present state of affoirs. Coleman discusses what lie calls residues of organization and sentiment that build up as people interact in community life and may take (lie form of collaborative patterns, expressed in latent or manifest forms of social organization or in organized cleavages such os those between rival political parties or ethnic groups. They may also be expressed in sentiments of liking and respect or of hostility (4, pp. 670-95). B. Theory of the Problem It is at this point in the analysts that atten-tfon is directed toward a search for controlling factors. Assuming that most problems are sustained by a wide variety of factors and that some are more influential than others, die practitioner's (ask is two-fold: First, one must locate factors that have a major effect on the problem to be corrected. Second, one must choose problems one can reasonably expect to influence, given the time, money, personnel and other resources at one's disposal. In many social action contexts, the problem will he understood as some form of conflict between "haves" and "have-nots." But greater specificity is required. Which particular interests are pitted against one nnother7 What arc the dynamics of the conflict7 Are there any aspects of the problem or any facts that do not seem to fit into a conflict perspective? What are (he implications for intervention? In many cases of locality development, the problem will be regarded as arising from barriers to communication or 160 / Parameters of Intervention different rates of change, i.e., some form of disjunction or social disorganization. But it is important which specific theory or set of theories is selected, for titis will exercise an important influence on strategies and tactics chosen. Most practitioners engaged in social planning will consider alternative theories explaining various social problems they are charged with ameliorating. But, again, the specific theory chosen is of great importance in shaping the action taken. If, for example, lower-class male delinquency is conceived of as arising from a lack of legitimate opportunities for success in American society, efforts will be made to expand those opportunities. If, on the other hand, delinquency is thought to arise from psychological problems or parental rejection, efforts will be directed toward various forms of counseling or the strengthening or substitution of parental relations. Or, if the labeling of youngsters as delinquent and the consequent processing through the criminal justice system are thought to be responsible for die perpetuation of delinquent behavior, efforts will be made to decriminalize certain behavior and handle young people who transgress social norms outside the criminal justice system. Unfortunately, the explanation of the problem chosen by (or more typically implicit in the behavior of) die practitioner is usually limited by tlie ideology and values of the employing organization or the practitioner. The practitioner should explore Iiis or her own preconceptions and those of the employer to determine what limits sucii preconceptions place on the choice of an explanation for the problem. However the theory of the problem arises, whether it is implicit in various predisposing values or is mare rationally developed, it will have a major influence on (lie goals nnd strategies chosen for dealing with the problem. C. Structural-Functional Analysis of the Problem The practitioner begins with an assessment of available "theories of the problem." One selects the most reliable theories, and within them the factors that are both potent and potentially controllable. The next step is careful observation of the particular social problem in its context, collecting information witliin the framework of the theories and hypotheses selected earlier. The outline suggests that both the impact of various factors on the social problem in question and the effect of the problem an these factors be assessed. For example, we might identify particular social structures (schools, employers) that systematically deny opportunities to persons of lower socioeconomic or ethnic minority status, thus creating discontent, delinquent behavior, and so forth. We might then show the impact of such behavior on schools, ethnic minorities, and so forth, emphasizing the differential effects on various groups. This, of course, has implications for which groups, individuals, or organizations may be recruited into organized efforts to alleviate the problems. Two useful terms in this section of the commentary are functional and dysfunctional: The functional consequences of action strengthen and unify social systems; dysfunctional consequences produce conflict or threaten disruption of existing social patterns. However, these terms should not be confused with "good" and "bad," Functional consequences can perpetuate what is, from the practitioner's perspective, on undesirable system, such as patterns of racial discrimination in housing and employment Likewise, dysfunctional consequences may be exactly what the practitioner desires. For example, the early sit-ins, in addition to disrupting preexisting patterns of race relations, tended to enhance die self-esteem of black people and provide experience in contentious organized action. IV. INTENDED BENEFICIARIES The "client" is defined as the intended beneficiary of the practitioner's activities. It may be a group of people, a formal organization, or a population category. Clients can be analyzed in terms similar to other forms of social organization. Some of the factors that may be most Important are outlined in the guide. The major implication of dils scc-Uon is that the beneficiaries must be identified and understood both in their context, l.e., their relaUons to other social phenomena, and in their internal structure. We must also he sensitive to changes that have taken place in the group and the reasons for them. The definition of intended beneficiaries forces the practitioner to be clear about whom he or she is trying to help and to differentiate them from others who are regarded in more instrumental terms. There was a time when it was conventional for the community organizer to say that the client is the community. This rhetoric tends to hide the fact that particular actions may benefit some, harm others, and have little effect on still others. The suggested definition mokes the practitioner consider whose interests will be sacrificed last if decisions must be made requiring that someone pay a price. It also demands that the practitioner consider how much to expect others to "pay" for the sake of the intended beneficiaries and decide whether the price is justifiable. If diey are a group of individuals widi strongly held common interests that can he Community Problem Solving / 161 rather precisely defined, Ihe practitioner will have little difficulty in knowing what benefits to work for on their behalf. On die other hand, one is likely to have difficulty in gaining allies and support for the group. If they ore a heterogeneous group with common interests that can be defined only at the most general level, the practidoner probably will have trouble in defining precisely what to aim for. The chances of alienating some facdon of the clientele are increased, but the group is likely to be much more inclusive, nnd thus the practitioner will have less difficulty in gaining needed outside support As Rotliman notes (Article #1), Ihe beneficiary group is viewed differently in the several contexts of practice. In locality development, they are citizens and participants in local problem solving. In social planning, they are consumers and recipients of services. In social action they are victims of oppression and employers or con-sdtuents of the proedtioner. The kind of beneficiaries one is able to serve is limited, in important ways, by the type of organization that employs one. That is, it is most difficult for a practitioner to give primacy to the interests of a group that is not die primary beneficiary of Ills or her employer. Blau and Scott have developed a typology of organizations based on the identity of the groups that are the primary beneficiaries of organizations (2, pp. 42-57), The mam implication for practice is that the practitioner experiences grave difficulties in making clients out of groups other than those that are naturally die primary beneficiaries of the type of organization employing him. For example, the primary beneficiary of a mutual benefit association is its members. If practitioners employed by, say, a labor union define some nonmembers as the client—perhaps the people living in an impoverished neighborhood—they are likely to run Into 162 / Parameters of Intervention Community Problem Solving / 163 difficulties with members who resent (he diversion of Iheir dues for purposes not directly related to their welfare. Community practitioners employed by such agencies as public assistance bureaus sometimes experience difficulties when diey select gaols with which Use public is out of sympathy. Part of the reason for these difficulties is a failure to recognize the true character of such social service agencies as commonweal organizations whose prime beneficiary is the general citizen instead of, as commonly believed, service organizations whose primary beneficiary is the clientele. V. GOALS At some paint in his or her work, (lie practitioner must define as clearly as passible die particular goals to be ncliieved with die beneficiary. Lock of clarity may lead to goal displacement, i.e., the unintended replacement of goals by new, often unrecognized objectives. Under some conditions—when die situation is Very unstable, when (here is Utile experience to guide action, or when knowledge of aims would help those opposed to them—it may be necessary to be vague in public statements or to move toward goal definition through a process of successive approximation. Many other factors also lead to goal displacement—insufficient resources lo pursue multiple goals, factional differences in interests, procedures wlu'ch come to be valued by Uiose who benefit from them, and so forth. Precise goat definition is one defense against goal displacement, however, and provides some criteria againBt which results can be mensured. Resistance to goal displacement should not be used as an excuse to avoid adopting new goals when old ones have been achieved or are no longer appropriate, or new resources moke it possible to odd goals. The practitioner must take into account not only his or her personal objective but also the views Df the sponsoring organization, the participants, and odier groups whose support is needed or whose resistance or objections must be anticipated. It is not necessary to accommodate the interests of the opposition or Df those who are largely indifferent to or unaffected by the action, but one must do sd for Uiose whose cooperation, whether as active collaboration or passive awareness and the absence Df hindering responses, one must have. Those whose interests must be taken into account if the practitioner is to nchieve his or ber objectives are called the "action system." (This term is used in the guide under the heading "Strategy."] As suggested above, various groups have different goals, attach varying importance to particular goals, and have contrasting sets of priorities. Factions within groups may also differ in these ways. In taking these differences into account, the practitioner may decide on a strategy of "something for everyone," or may begin widi one easily achieved goal of fairly high importance to all elements in order to build confidence in the organization's capability. One may develop some oilier rationale for selecting goals, but information about the relative priorities and salience of the goals of different factions is essential to a reasoned decision (11, pp. 25-31). Social problems may reside in a group's relations with its environment (inadequate police protection or unresponsive public officials) or among its members (uncoordinated activities, law morale, lack of commitment). Goals are of two parallel kinds. For example, a welfare council may appeal for additional public funds far a child care center or try lo develop support for a human relations commission. These are commonly referred to in the literature as "task goals." Other goals affect the maintenance and enhancement of the organization (resolving destructive factional rivalry or transforming member apathy into involvement and commitment). These are colled "process goals." In general, both types of goals must be served, but at particular times one type may be more important than another. At Dne time it was generally believed that the community practitioner should pursue only process goals, that is, be concerned exclusively with facilitating or "enabling" clients lo achieve self-defined goals. Rothman argues pBrsunsivety that the practitioner need not be limited in this manner (18, pp. 24-31). VI. STRATEGY Perfect rationality (or anything approaching it) is unattainable in most practice situations. Computer technology may enable some to came a bit closer. But most of us must, as Herbert Simon puts it, "satisfice" rather dian "maximize'1 the efficiency and effectiveness of our decisions (20, p. xxv). However, some practitioners approach questions of strategy with predetermined formulas, agency traditions, and little imagination. 'While it is not feasible to consider every possibility and identify the single best way to achieve objectives, it does not follow that one strategy is as good as Ibe next. We ask the practitioner to consider at least two good possibilities and exercise judgment in choosing the best one. Perhaps more than any other activity, strategy development offers the practitioner on opportunity for creativity. In applying the guide, he or she sketches each strategy, outlining the minimum tasks required to ncliieve success; the necessary elements of the action system; the resistance (opposition), interdependence (entanglements). and interference (competition and indifference) forces that may be encountered; and the plans to handle them (9, pp. 71-89). Finally, the practitioner evaluates his or her ability to carry them out and develops a rationale for choosing between the various strategies being considered. As a general approach Id decision making this applies to all types of practice. However, the relative emphasis given to various tactics (research, client participation, confrontation with organizations and their leaders) will vary with the model of practice used. To the extent that success depends upon a correct theory of the problem and nn effective strategy, success may be limited by the choices permitted by tire elites or the political process. Because social planning strategies normally depend upon the effective manipulation of large-scale bureaucracies, success may also depend heavily on whether the strategy chosen can be effectively administered. And finally, because those whose actions ore required for success—(he functionaries and the targets— are not ciphers but people with interests and values that guide what they will respond lo and what they will do, strategies that assume values about which there is tittle consensus or which assume a nonexistent community of interests are likely to enjoy limited success. Some recent analyses suggest that strategies that operate as much as possible in a way analogous to a competitive market situation are most likely to succeed. They maximize individual choices and allow for individual differences. They require a minimum of bureaucratic complexity, especially detailed rules and numerous functionaries lo enforce or monitor compliance. It has been suggested that this is the reason for the failure of such programs as the War on Poverty, the success of Social Security, and the potential of income main- 164 / Parameters of Intervention tenance programs baaed on negative income tax principles (7). vn. TACTICS Strategy shades imperceptibly into tactics. The inspiration far much of this part of the guide comes from Lippitt and his colleagues (9). Among the questions the practitioner is asked to consider are: Where is it possible to gain a foothold in the targets7 At what point are efforts likely to be most effective? For example, the practitioner may have access to other proctitioners working in low- or middle-echelon positions in a target organization. His or her analysis, however, may lead to the conclusion diat, to achieve the objective, the practitioner must gain access to die top executive. One may, therefore, bypass colleagues in die target organization and approach a member of one's board with the necessary social and political contacts to gain the ear of tliB target agency executive. In order to avoid misunderstandings, it is important for the practitioner to communicate with key people in die action system (those whose cooperation is needed to carry out the strategy) so that they may develop common ideas about such things as definition of the problem, objectives, approaches, roles each participant will perform, and amount of time each participant will commit to the endeavor. The resulting set of agreements is referred to as the contract. Although the concept is borrowed from the law, it does not imply legal or even written form. The expectations must be as clear and unambiguous as possible, and all necessary participants must understand and commit themselves to the terms of the contract. In carrying the plan into action, it may be necessary to train and support participants who feel more or less uncertain about what they are doing. This is particularly relevant for those who are inexperienced in the sort of activities required by the conduct The timing of various actions must be carefully planned. Resources of several kinds may require difficult coordination—it may be necessary to induce competing professionals to work together or to provide the press with newsworthy events involving large numbers of people so that politicians wQl take the action system's demands seriously. It is desirable to consider an "action-reaction-action pattern" borrowed from Alinsky (1). We refer to these patterns when one group makes a move, intended to elicit a response from an adversary, that makes possible furUier action to achieve objectives that could not have been otherwise undertaken. For example, a group might Jeak irtfarmntion to on adversary that it plans a massive disruption of the adversary's business. The expected response is an offer to negotiate which, in turn, mokes it possible to obtain concessions favorable to the group that would not have been secured by an initial request for negotiations. Such tactics depend on credibility; if the adversary does not believe that there is a genuine threat, it is not likely to negotiate. The practitioner should anticipate that some form of opposition to the program undertaken by the action system may emerge and make plans to handle it Under some circumstances, no such opposition will develop—organizing a council on aging or applying for funds from the federal government to mount programs for the aging should arouse no controversy or opposition. If insurmountable opposition can be expected, however, plans should be changed unless the practitioner is deliberately hying to heighten awareness of impotence and stimulate anger ns a prelude to other, perhaps stranger forms of action. If opposition is inevitable, a variety of approaches is avail- s' able to cope with it in ways mat may further % ■ (he action system's objectives. YEtt. EVALUATION (3, 5, 6, 21,24) :;i Evaluation should be an ongoing process. " Plans must be worked out for the collection '■j of information from participants in the 1 action system regarding effectiveness with respect to both task and process goals. This may be quite informal (setting aside a portion of a meeting to discuss "how we're doing") or much more rigorous (standardized data collection, written reports) depending upon the size, complexity, nnd other requirements of the effort in which the practitioner is engaged. The important thing is that assessment not be overlooked, for die process allows Uib practitioner and the organization to revise their program if activities are found to be less than satisfactory. Practitioners often find annual or semiannual meetings good opportunities for taking stock. The results may be set forth in a periodic report There is a tendency at such meetings to "put the best foot forward" and overlook difficulties in order Id maintain or eahance morale, build financial resources, and avoid offending diose who have been active in the organization. Ordinarily it is best to find ways to say what may be the unpleasant truth in a manner that nunimizea problems. Far example, it is possible to express gratitude for individual contributions while calling attention to persistent difficulties that exist "in spite of the best efforts of everyone involved." DC. MODIFICATION, TERMINATION, OR TRANSFER OF ACTION Evaluation of program and organizational effectiveness may lead to any one of sev- Cottumtnity Problem Solving / 165 end conclusions. First, the practitioner may conclude that the program is operating much as expected, is achieving its intended purposes, and should be continued. Second, he or she may find that some aspects are faulty, because of an erroneous analysis of the situation, a poor strategy, or particular actions .diat were inappropriate or poorly carried out. This conclusion should lead to necessary revisions. Third, the practitioner and those he or she is working with may conclude that the program has served its purpose or, alternatively, is hopelessly inept In either case, the conclusion should be to discontinue operations and the practitioner must plan carefully for this. Finally, for a variety of reasons the practitioner may be leaving the job. Under Uiese conditions, it is necessary to arrange either the transfer of professional responsibilities to another practitioner or the termination of the program. CONCLUSION These comments suggest how the guide may be used and offer some additional references which are intended to give It a broader scope and greater utility. We hope that practitioners will use the guide to remind themselves of some of the more important factors they need to take into account in planning their work Obviously the busy community practitioner will be unable to utilize fully the analysis suggested here in daily work. However, mnny of tliE steps in the problem-solving process will become part of the professional "equipment" he or she may apply, perhaps less formally and less rigorously but nonetheless effectively, in making day-to-day practice decisions. This is the hope we have had in preparing the guide and using it in teaching community practice. 266 / Strategies Needs Assessment and Community Development / 267 Cnann, R. A., and J. Rothman. "Conceptualizing Community Intervention: An Empirical Test of 'Three Models' of Comrnonily Organization." Administration in Social Work 10(3) (1986): 41-55. Coleman, J. S. Community Conflict. New Yorlc Free Press, 1957. Con, F. M. "Communities: Alternative Conceptions of Community: Implications far Community Organization Practice." In F. M. Cox, J. L. Erlich. J. Rothman, and J. E. Tropman, eds., Strategies of Community Organization: Macro Practice, pp. 232-243. Itasca, iL: Peacock, I9B7. Dunham, A. Community Welfare Organization: Principles and Practice, New York: Crowell, 1958. Dunham, A. "What Is the Job of the Community Organization Wbrkcr7" In E, B. Harper and A Dunham, eds., Comrnuinfy Organization in Action, pp. 463-471. New Yorlc: Association Press, 1959, Dürkheim, E. The Division of Labor in Modern Society, O. Simpson, trans. New York: Free ' Press (original work published in 1893), 1933. Epstein, 1. "Professional Rale Orientations and Conflict Strategies." Social Walk 15{4) (1970): B7-92. Friedman«, R- B Florin, A Wsndersman, and R. Meter. "Local Action tm Behalf of Local Collectives in die U.S. and Israel: How Different Are Lenders from Members in Voluntary Associations?" Journal of Voluntary Action Research 17(3&4) (1988): 36-54. □arkayich, L, E. "Local Organizations and Leadership in Community Development" In J. A. Chrislenson and J. E. Robinson, eds., Community Development in America, pp. 196-218. Ames, IA: Iowa State University Press, 19B9. Oootz, F_ G., and S. E. Clarke. Comparative Urban Policies in a Global Era. Thousand Oalts, CA: Sage, 1993. Goulct, D. "Ethics in Development Theory and Practice." In D. S. Sanders and J. K. Matsuoka, eds., Peace and Development. Honolulu, HI: University or Hawaii School of Social Work, 1989. Henderson, P., and D, N. Thomos. Skills in Neighbour/wad Work. London: George Allen & Umvin, 1980. Hucnufeld, J. The Community Activist's Handbook, Boston: Beacon, 1970. Hutcheson, J. D., and L. H. DDmtnguez, "Ethnic Self-help Organizations in Non-barrio Seuinga: Community Identity and Voluntary Action." Journal of Voluntary Action Research 15(4) (1986): 13-22. Kahn, S. Organizing: A Guide for Grassroots Leaders. Silver Spring, MD: National Association Df Social Workers, 1991, Kettner, P. M., J. M. Daley, and A. W. Nichols. Initiating Change in Organizations and Communities. Monterey, CA: Brooks/Cole, 1985. IChindukn, S, K. "Community Development: Potentials and Limitations." In F. M. Cox, J. L. Erlich, J. Rothman, and J, E. Tropman, eds., Strategies of Community Organization: Macro Practice, pp. 353-362. Itasca, IL: Peacock, 1987. Lappln, B. "Community Development: Beginnings in Social Work Enabling." In S. H. Taylor and R. W. Roberts, eds., Theory and Practice of Community Social Work, pp. 59-93. New York: Columbia University Press, 1985. Liudcman, E. C. The Community: An Introduction to the Study af Community Leadership and Organization. New York: Association Press, 1921. Morris, P., and M. Rein, Dilemmas of Social Reform, 2nd ed. Chicago: Aldine-Atlierton, 1973. Mattsson, M. Community Work in a Political Framework: An International Research Project. A paper presented Bt lntcr-University Consortium on International Social development, Washington, DC, July 1992. Micr, R. Social Justice and Local Development Theory. Thousand Oaks, CA: Sage, 1993. Mondras, J. B„ and S. M. Wilson. "Building High Access Community Organizations: Structures as Strategy." In T. Mizrnhi and J. Morrison, eds., Community Organization and Social Administration: Advances, Trends, and Emerging Principles, pp, 69-85. New York: Haworth, 1993. Morris, D., and K. Hfi3S. Neighborhood Power; Tlte New Localism. Boston: Beacon Press, 1975. Perlman, R„ and A Gurin. Gtunniunfty Organization and Social Planning. New York: John Wiley. 1972. Pray, K. L. M. "When Is Community Organization Social Work Practicu7" Proceedings, National Coitference of Social Vibrk, 1947. New York: Columbia University Press, 194B. Preslby, J., and A Wandersman. "An Empirical Exploration of a Framework of Organizational Viability; Maintaining Block Associations." Journal of Applied Behavioral Science 21 (1985): 2B7-305. Rivera, F. G., and J. L. Erlich. Community Organizing in a Diverse Society. Boston: AUyn and Beacon, 1992. Ross, M. G. Community Organization; Tlteoiy, Principles and Practice. New York' Harper & Row, 1967. Rothman, J,, and J, E. Tropman. "Models of Community Organization and Macro Practice PenipecUves: Their Mixing and Phases." In P. M, Cox, J, h. Erlich, J, Rothman, and J. E. Tropman, eds. Strategies of Community Organization: Macro Practice, pp. 3-26. Itasca, IL: Peacock, 19B7. w. Rubin, H. J., and I. S. Rubin. Community Organizing and Development, 2nd ed. New Yorlc MacMillan, (1992). Snde, P. A Man [s a Closed llaani, His Heart Broken, and Dark Falls Outside (Ish behedcr sagor, liba shabor. ubahotz yorcdet offela). Tel Aviv: Schocken, 1993. Tbunies, F, Community and Society (Gemeinschaft and Gesellschaft), C, E. Loomis, trans. East Lansing, MI: Michigan Slate University Press (original work published in 1912). 1957. Warren, R. L. The Community in America, 3rd ed. Chicago: Rand McNalty, 197B. Yaies, D. Neighborhood Democracy. Lexington, • MA: D. C, Henth, 1973. York, A. S. "Towards a Conceptual Model of Community Social Work." British Journal of Social Work 14 (1984): 241-255. Sylvia Martf-Costn nnd Irma Serrano-Garcia NEEDS ASSESSMENT AND COMMUNITY DEVELOPMENT: AN IDEOLOGICAL PERSPECTIVE Community development is a process which, through consciousness-raising, promotes and utilizes human resources, leading to the empowerment of individuals and communities so that they can understand and solve their problems and create new circumstances for their livelihood. As part of this process, needs assessment may be utilized as a central method to facilitate the modification of social systems so they become more responsive to human needs. At the individual level, community development promotes psychological growth and enhancement by channeling energies into self-help projects and through the gen-' uine participation of individuals in those decisions that affect their lives. The basic assumption that underlies Uus reasoning is that most human beings can solve their problems when Ihey obtain access to resources and creote alternatives. The emphasis is on their strengths and thcir development (Rappaport, 1977). Awareness of problems and of change possibilities is achieved by raising an individual's consciousness from its cuncnt or real level to its possible capacity. Real consciousness is defined as an individual or groups' understanding of reality at a given time. Possible consciousness is the maximum understanding that can be achieved by an individual or group according to its 268 / Strategies material circumstances at a given historical moment (Goldman, 1970). Consciousness-raising includes critical judgment of situations, the search for underlying causes of problems and their consequences, and an active role in the transformation of society (Ander-Egg, 298D). It is an awareness of human dignity and is essential in the exploration of the relationship between the social order and human misery and in the discovery of die shortcomings inherent in our society (Freire, 1974). It facilitates individual and collective participation in building a new and less oppressive social order, thus affecting the general well-being of the population by enhancing the relationship between individuals and society. Needs assessment is valuable in the consciousness-raising process, because any social movement should slnrt from and respond Id die felt needs of die papulation, in other words, their real consciousness. Community development con foster consciousness-raising through the involvement of individuals in change efforts. Community development activities need to be grounded in a specific political commitment that responds to the liberation of the powerless groups of society. Tins does not ignore the participation of the powerful in the maintenance or change of the present social order. It does, however, require a personal and professional commihnent to the oppressed because of the mission of prevention—understanding and relieving human suffering. Contrary to this view, many social scientists have fostered the value-free, apolitical, and ahislorical character of their disciplines throughout several decades (Moscovici, 1972; Weimer, 1979; Zuuiga, 1975). This position, wluch may be referred to as "the myth of neutrality," distorts the real value-laden and politico! nature af the- ory, methods, and practices and thus serves to alienate us from ourselves and others (Ander-Egg, 1973), It creates divisions and distrust within our ranis and resentment from those that participate as "subjects" or recipients of our work, feeling used, manipulated and misunderstood. Thus, it is necessary to examine (his myth which has resulted in the social sciences serving the dominant groups of society. The "myth of neutrality" has reasons for its existence. In some cases it has been sponsored by individuals who clearly believe in it, but in most cases, it has been accepted inadvertendy by social scientist. One of the ways in which this occurs is by considering objectivity and neutrality as synonymous and inseparable concepts which are highly desirable in social scientific endeavors. Those that hold that neutrality and objectivity must go together state that social scientists should not take political stances toward the object of their studies because this will hamper their research efforts (Myrdul, 1969). To them objectivity .• is defined as the capacity to study facts as -they occur, without adhering to previously '.• formed opinions and judgments and Willi the willingness to nbandon positions thatt! are proven false, inadequate, and unsahs-.': factory (Ander-Egg, 1977). Ncubrality, its ; inseparable counterpart, is defined ns a vol- ;i ueless stance before the objective reality.' (Marti, Note 1). It is said that if researchers are not neu- J trol, fhey cannot be objective (Martf, Nolo J 1). This does not ring true as both concepts^ different and clearly disungwshable,'g: lit of objectivity is desirable and necessary, the search for ne... . is not only impossible, but unwarrunled.j^ Objectivity is desirable because its defini tion implies the existence of defined value?, and positions which one is willing W Needs Assessment and Community Development / 269 change when an examination of reality requires it. Neutrality is impossible because every activity lakes place in a particular political context. If the political nature of the social sciences is Tccognized and accepted then an explicit definition of social scientists' values is necessary. It is our position that this value stance must be characterized by a commitment to die disadvantaged and powerless groups within a given society. This commitment is to the abandonment of a spectator rolB and the activation of a professional's mind and art to the service of a cause (Palau, Note 2). This cause should be the significant transformation of inequities in society which implies activism, risk, initiative, and a willingness to fight for clearly defined points of view. To summarize, needs assessment is an integral part of community development, the process of consciousness-raising. It implies a political commitment which undermines the traditional view of a neutral science and a firm commitment to tile exploited, underprivileged and powerless groups in society. Tills paper will show that needs assessment is a political process that can be conceptualized as a tool for the organization, mobilization and consciousness-raising of groups and communities. Tins implies (1) (hat the diverse uses of needs assessment methods be placed on a continuum, longing from the perpetuation of control and the maintenance of the social system to tha achievement of radical social change; (2) an emphasis on multiple techniques of needs assessment lhat facilitate collective activities, leadership development. mc uu^iwi ----—-j — " mai^.j... ----^---- and while the pursuit of objectivity is de It ^fei uve activities, leadership development, able and necessary, Uie search for neutrality^h. ^ growth of organizational skills, and pnr- . . ------^nnifd iir tiapation of community members in ^Interventions within research (Irizarry & j§™>. 197% and (3) the belief that it is ^JSWesaiuy w examine ideologies and values as they influence objectives, the selection of needs assessment techniques, intervention strategies, conceptual frameworks, and the utilization of obtained data. NEEDS ASSESSMENT Purpose Needs assessment is part of a process used to plan social service programs (Pilaris, 1976; Siegel, Atfkisson, & Cohn, 1977). It is used to determine die problems and goals of the residents of n given community to assure that an intervention will respond to the needs of the population that is being sampled (Waiheit, 1976). The purposes that sustain the use of needs assessment methodology can he placed on a continuum (Table 14.1) according to their political roles. Tbwards the top of Table 14.1 are purposes that faster system maintenance and control; towards the bottom are ones that promote social change nnd consciousness-raising. Social system maintenance and control efforts include those activities which bib carried out to maintain and/or strengthen the status quo. They also include first order change efforts which alter some of the ways in which the system functions but not the ideology on which it is based (Watzlawick, Weaklnnd, & Fisch, 1974), Radical, or second order, social change efforts imply consciousness-raising and structural and functional alterations. In consonance with these definitions, the very bottom of the continuum shows needs assessment as a mechanism used by community residents for participation and control in decision making. Needs assessment hecomes a technique that facilitates second order social change. The very top of the continuum lists purposes lhat foster system maintenance and Needs Assessment and Community Development / 271 270 / Strategies control, including those that are used to obtain additional funding for already established community programs (Siegel et aL, 1977) so as to guarantee their continuation. In the middie of the continuum, but stiU focusing on maintenance and control efforts, are included purposes such as (a) planning for decision malting and program evaluation (Mured, 1976); (b) gaining additional input toward personnel recruitment; (c) describing, measuring and understanding different aspects of community life (Siegel et al., 1977); (d) determining discrepancies between residents' and professionals' points of view (Ronald, Titus, Strasscr, & Vess, Note 3; and (e) obtaining knowledge about community resources so as to link these to agency services. In analyzing this continuum it is important to notice that most needs assessment efforts are directed towards consumer satisfaction and agency survival. These ore legitimate and necessary goals; however, if technique development is limited to these goals, it will be incomplete and unsatisfactory. Needs assessment methodology, if it is to respond to a commitment to the powerless and to the fostering of social change, must (a) emphasize techniques that, singly or in combination, facilitate grouping and mobilizing people; (b) foster collective activities; (c) facilitate leadership development; and (d) involve residents in the entire research process. These characteristics are essential so that the technique can facilitate consciousness-raising. Categorization and Evaluation of Techniques At present there is a gTeat diversity of needs assessment techniques. In some instances it is suggested dial different techniques be combined focusing on diverse kinds of Control System Maintenance Serial Cluvnae Guarantee lite economic survival of service programs Respond lo interest group pressures Provide services required by communities Program evaluation Fragrant planning Public policy decision ranking Measure, describe, raid understand community life styles Assess community resources to lessen external dependency Return needs assessment data to facilitate residents' decision making Provide skill training, leadership, and organizational skills Facilitate collective activities and group mobilization Facilitate consciousness-raising interventions (Aponte, 1976; Pharis, 1976; Siegel et al., 1977). Others suggest that only one technique be used with one line of intervention prefenred (Clifford, Note 4; Evans, Note 5; Zautro, Note 6). In order to respond to Urn goals of organization, mobilization, and consciousness-raising in communities, [he multiple technique approach is more desirable since a more precise view of reality is obtained. More data are gathered which will vary quantitatively and qualitatively, thus providing a thorough appraisal of community needs. Another reason for the combined use of techniques is that their limitations and deficiencies can be balanced. However, it is tdso important to study how each individual technique contributes lo the goal of greater mobilization. Needs assessment techniques can be grouped in Ihree different categories defined by the contact tiiey provide between die researcher and community residents. Tlsis contact is extremely important as it may be used to foster collectivization, mobilization, leadership development, and resident involvement (Ander-Egg, 1980; Songuinetli, 1981), characteristics that are essential to a new focus on needs assessment goals. No Contact with Participants, In tlus category, techniques permit no relationship between the intervener and the participants. These techniques are rates or percentages under treatment, social indicators, social area analysis and dynamic modeling (Kleemeir, Stephenson, & Isaacs, Note 7; Bed, 1976; MureU, 1976; Pharis, 1976). In general terms, these methods try to determine community needs by utilizing qualitative and quantitative data from several sources, such as demographic records and other social indicators. They are based on the assumption dial community needs and problems that appear in official statistics are representative of community prob- lems. The major limitation of the "non-contact with the participant" techniques lies in their absolute lack of direct mobilization potential. Since the residents are not involved in die needs assessment project—in fact, it can even happen without their knowledge—their involvement in social action efforts is not to be expected. Contact with the Agency or Community. The "contact with the agency or community" category includes observation (Ander-Egg, 1978), service provider assessment (Kelly, Note 8), key informants (Pharis, 1976), behavioral census (MureU, 1976), surveys (Clifford, Note 1; O'Brien, Note 9), nominal groups (Delbecq, Van de Ven, & Gustoffsen, 1976), and community forums (Kleemeir et al., Note 7) among other techniques. The interaction that these techniques allow for takes place basically through three means: observations, interviews, and group meetings. Observation facilitates interaction by the observer's mere presence in the setting. Interviewers interact individually and in groups with community residents, service providers, or other key informants to direcUy obtain data. This interaction takes place openly, as in community forums, or in a more controlled manner, as in nominal groups. Key informants, nominnl groups, community forums, and surveys respond to the goals of mobilization and consciousness-raising in the community. The First three techniques encourage community input by eliciting residents' discussions and introspections about the collective nature of their problems and needs. They serve to strengthen communication networks in Die community and they facilitate the process of program planning. Survey lechniqucs share some of these qualities if the survey is constructed, coordinated, and administered by community members. This process 272 / Strategies generates gTeat involvement and knowledge and the ready acceptance of results by die rest of the community (Sanguinetti, lgfll). The nominal gToup technique has these, and other, advantages. Because of the structured nature of its process (Delbecq et al., 1976), it (1) maximizes the amount, diversity, and quality of the problems and alternatives proposed; (2) inhibits the control of the group by a few vocal persons (Siegel et al., 1977); (3) allows conflicting opinions to be tolerated; (4) fosters creativity; (5) facilitates attention to the contributions of marginal group members; and (6) emphasizes the role of needs assessment as the basis far program creation and planning. These four techniques have the highest mobilization potential. Combined Techniques, This categoiy includes convergent analysis (Bell, 1976), community impressions (Siegel et al., 1977), community meetings/surveys (Jdeemeir et fll., Note 7), and others. Convergent analysis techniques include techniques of service utilization, social indicators, and surveys. Bach technique is used with a specific objective in mind and it is expected that, overall, the information offered by die techniques should give an estimate Df those persons whose needs are not being satisfied. Community impressions and community meetings/surveys have several common elements. The former include the lecimiques of key informtuils, data revision, and community forum. The latter includes the first two steps in addition to a survey, allowing the data to be validated and permitting additional verbal input from participants. Although all these techniques require a lot of energy and effort, they are the beat alternative in die needs assessment process because they combine high mobilization potential with the more traditional criteria of representativeness, validity, and reliability. Criteria to Judge the Adequacy uf Techniques Given the diversity of techniques, it is necessary to develop specific factors or criteria that should be considered in judging the adequacy of a technique. Some authors have examined this issue and have proposed criteria for the selection af techniques. These criteria include; the nature of the problem, the skills of both the researcher and the participants, available resources (League of California Cities, 1979), representativeness, the specificity required of the information (Murell, 1976), and the amount af political risk that the sponsoring group desires to tolerate (Aponte, 1976). Although all these criteria are useful, additional criterin should be considered if the needs assessment effort is to contribute to community organization and mobilization. These criteria are presented in Table 14.2 and contrasted with more traditional views. The following dimensions ore used as a guideline for this comparison: the goals, sources, content, and processes of the assessment. A major distinction between the two sets of criteria is their goals. One set emphasizes prevention and promotion and the awareness of the collective nature of needs. The other works from a remedial perspective which focuses on the individual and on fostering dependency on external resources. The impact of these differences is mast noticeable in the assessment process since a collective focus requires a collective intervention and an individual focus does not. An evaluation of previously mentioned techniques according to the community organization and mobilization criteria appears in Table 14.3. As can be seen, key informants, surveys, nominal groups and community forums are the most adequate Needs Assessment and Community Development / 273 TABLE 14.2 Suggested Criterin lo Evaluate die Adequacy of Nerds Assessment Teclinicjucs ■ Criteria Dimensi nns of Needs Assessment Process Criterin That Faster Mobilization Traditional Criteria Goals af Prevention and Treatment Assessment promotion Awareness of collective nntum of needs Individual focus Encourage collective action Faster dependency an external resources Source of Input Community residents Marginal groups Service providers Total paputatinn Content of All perceived needs Assessment dF Assessment Internal community resources needed services Preccsses af As sees men I Facilitate communiry involvement and contra! oF process Assessment carried DUt by "ejipcrts" Facilitate fnce la fnce intenrciion be!ween intervener researcher and participants Luck aF community participation Interaction highly controlled by scientific standards Data belong la participants Data collection and future planning can trailed by agencies Planning and collective action carried out by intervener-res earth er and participants techniques. It is important to stress, however, that no single technique can be seen as valid for all times and circumstances; there-fare, they should be tailored to the particular situation in which the needs assessment is conducted. NEEDS ASSESSMENT AND COMMUNITY DEVELOPMENT Irizarry and Serrano (1979) have developed a model, Intervention within Research, which integrates needs assessment into a community development approach. It uses needs assessment as its methodological foundation and the concept of problemad-zution as its ideological guideline (Freire, 1974). Problematization, our translation for the term pmbtemaiizacitin, refers to the process whereby consciousness-raising takes place. If the latter is seen as the goal, then problematization involves the different strategies whereby it can be acliieved. The model conceptualizes die processes of intervention and research as simultaneous and interdependent. It also assumes that ail phases of die model should be permeated 274 / Strategies TABLE In.3 Evaluation of Needs Assessment Techniques According to Their Potential for Mobiuzstlan Organization and Consciousness-Raislng Techniques Criteria *1 S a a. a u as a a •s I a 13 E 3 8 á h M H ■SI 6 1 .1 B. 5 a o S £ O 5 1 B 1 en nniintianaJ Network os a FDlttiHU Economy," Administrative Science Quarterly 20 (June 1975): 229-46. vice program. Cooptation strategies are employed when involvement and its rewards are likely to give those who might odierwise oppose a program a greater appreciation for why it is needed and what it is intended to accomplish. Then involvement may not only nullify potential opposition, but may octu-ally increase support. When agencies pool their resources in a joint venture, they form a coalition. Coalitions differ from contracts in that the latter require explicit agreements about what one party will do for die other. Coalitions, on the other hand, ore binding only insofar ns working together leads to some mutual goal attainment. It is not essential for parties in an exchange relationship to benefit equally from the exchange, or to have fully complementary goals. It is only necessary that each port perceive the relntionsliip as being of some benefit to itself. The choice of each of these strategies depends on numerous conditions, particularly those pertaining to the perceived status and desirability of the new program in the community. The more secure and die greater the importance attached to the agency's services, for example, the mora likely it is to employ competitive and contractual strategies. Enlisting Needed Elements from the Environment In the discussion that follows, attention will be given to how agencies recruit resources or manage the flow of needed elements from the environment itself. Clients. Clients can be recruited lliraugh referrals by other agencies informed about the new program. Clients may also be informed of a service through the news media. Tb reach some isolated clients, it is 470 I Administration and Strategies Program Development / 471 often necessary to launch a door-to-door campaign using volunteers. Inadequate interpretation of an agency's services or intake policy may result in inappropriate referrals. An agency that turns away many ineligible clients causes a serious and unnecessary liardsliip to those clients and to its staff as well. It does harm to its own image, often damaging its relationships to other agencies. Thus it is critical for the new program to disseminate accurate and specific information about eligibility, botii to the public and to other social agencies. Changes in eligibility criteria should be promptly communicated to all referral sources. Permanent Sources of Funding. Often a new program must expend some of its initial and temporary resources on activities aimed at securing additional, more permanent sources of funding. Examples of such activities include: (1) entering into negotiations with the United Fund or United Way; (2) preparing grant applications to federal and stale governmental agcncieB; (3) organizing a group of community influentials willing to sponsor an annual fund drive; (4) negotiating with local governmental bodies such as community mental health boards or county commissioners to incorporate the program under its sponsorship. These and other activities require that certain staff members spend considerable time and energy meeting with potential funding sources, exchanging ideas, and presenting the agency's case. It is often desirable to designate a specific staff position for such activities and hire a person with considerable experience in mobilization of resources. Knowledge and Expertise. No new program can function without adequate access to at least the minimal amount of necessary knowledge and expertise. In the long run, Uie success of an agency may hinge on the quality of services it offers, and that quality may be in direct proportion to the knowledge and expertise of its stuff. Inadequate and erroneous information could be disastrous. The planner-organizer can mobilize expertise through: (1) enlisting the services of experts in the field from nearby institutes and universities; (2) consulting with and visiting programs of similar nature in other communities; (3) arranging information exchanges between the staff of the new agency and that of an established one in another area; (4) exploring the available literature on the problems or needs the program attempts to deal wifli; (5) obtaining consultation and relevant publications from appropriate state and federal agencies; (6) arranging for training and continuing education seminars. Complementary Services. The effectiveness of any program is dependent in no small measure on the availability of complementary services for its clients. It is not enough to give one's own service well. No matter how highly specialized a service, the organization providing that service must still assume some responsibility for the genera] welfare of its clients. It cannot shy away from its obligation to make sure that clients receive other needed services. This is particularly true when the effectiveness of the very services provided by the agency is dependent on the complementary services of other agencies. For example, if an agency develops a child-core program, it cannot in good conscience ignore the health needs of the children, and it may contract for periodic medical examinations with die local "well baby" clinic. A nutrition program for the aged might not be successful unless it also enlisted cooperation from the outreach staff of the Information and Referral Service, the Visiting Nurses Association, or the Mental Health Crisis Center. A new program must identify the crucial services it will need to enlist from other agencies and programs in order to meet its own objectives. It is within the planner-organizer's responsibility to see to it that such services are or will be made available. Williout them, the new program may fail. These complementary services can be arranged through several means: (I) actual purchase of such services from another agency; (2) contract of exchange of services between the two agencies; (3) n unilateral decision by die other agency to provide die needed services as a gesture of goodwill; (4) a coalition of several agencies with different services all committed to serve the same clients. Monitoring and Evaluation. Every program is Bubject to the monitoring and evaluation of some overseeing agencies. These may be state licensing organizations, other governmental units, local administrative boards, professional associations, citizens' groups, or other interested parties. Often these regulatory agencies exert considerable influence. They may impose very specific requirements for the agency to meet A state agency, for example, may annually audit the financial transactions of the program, or it may check the extent to which the facilities conform to state regulations. A professional organization may be responsible for accreditation without which outside grants cannot be received. The planner-organizer must see to it that the program has developed the appropriate mechanisms by which it can meet Uie requirements of these regulatory agencies. This is not a mere bureaucratic formality. Accrediting bodies and standard-setting organizations are often the key sources of legitimation and support of a new program. For example, an agency approved for internslup of urban planners will gain considerable prestige and recognition in the professional community and could, therefore, attract good staff. Similarly, an agency that receives a favorable evaluation by a state agency is more likely to obtain future state grants. Maintaining appropriate relations with the various agencies and organizations necessitates the establishment of "boundary roles" for program stoff. Persons in these roles develop and maintain linkages between the new program and relevant organizations in its environment,'2 A staff person may be designated as the liaison with the state social service agency, county government, local hospital, etc. The duties of boundary personnel include: (1) establishment of die necessary relations with outside groups and organizations; (2) resolution of whatever difficulties may arise in the course of a relationship; (3) obtaining relevant up-to-date information about the activities of the partner to the relationship; (4) establishment of contacts with key staff in that organization or group whD may be favorable toward the agency; (5) alerting the agency to new developments that may niter the relations between the two. The obility of an agency to seize on new opportunities in the environment, to adapt to new changes, and Id be prepared for new constraints depends on the effective job performed by (he occupants of these boundary roles. They serve ns die ears and eyes of 13H. Aldrlch anil D. Herker, "Boundary Spanning Roles and OrßanlcDtlrjn Structure," jnlmeontapheu naner (Kbsca, NY: Cornell University, 197'!). I t 472 / Administration and Strategies the agency, without which its ability to adapt, grow, and develop would be seriously hampered. Legitimation and Social Support. Underlying all the inter-agency relations described above is a pervasive need of the program to obtain legitimation and social support. The success of the program in achieving viability is dependent on its ability to become a recognized "institution" in the community. Once the program is perceived by key elements in the community as desirable, indispensable, and an importnnt contributor to the general welfare of the community, it has been "legitimated." Legitimacy implies that the community is willing to accept it as a viable nnd necessary component of the service structure.13 Support and legitimacy do not come easily; neither are they cheap. Concerted efforts to achieve them must be made by program staff. Support generally requires at the very least a satisfied community group or gratified clients. This is the core of an agency's constituent base. This constituency should also include other social service agencies that benefit in some direct way from the services offered by the new program. The constituent base should also include community influenlinls and professionals who are committed to the well-being of the target population. Other mechanisms to promote support for the program include: lectures and presentations by staff to various community groups; establishment of an influential board of directors; public visits to the agency's facilities; reports by the news media of the activities of the agency; etc. But necessary as these are, none is sufficient without solid constituent support. Getting Staff to Perform Adequately Persons choose to work in organizations and agencies for a variety of reasons. They often join an agency staff with personal expectations and aspirations. The agency, on the other hand, expects them to perform in accordance with its needs, demands, and schedules. There may be many points of incongruity between personal aspirations of staff and organizational expectations. The larger the discrepancies, the greater the strains and the less likelihood that staff will perform adequately.1'1 Planner-organizers can help a new program determine adequate criteria for staff selection end realistic expectations for performance. Individuals who become employees of nn agency make a contractual agreement whereby tiiey accept the role requirements assigned to them in exchange for the various inducements provided by the agency (salary, work satisfactions, good working conditions). A great deal of misunderstanding can be avoided if Ihe agency specifies its requirements at the point of recruitment. Clearly written requirements can guide the agency to hire staff who hove the needed skills, aptitudes, and attributes. Recruitment, however, is only a limited mechanism to ensure dial staff will perform adequately. Socialization is a critical organizational process through which staff internalizes agency norms and values and learns specific role obligations. Two important socialization mechanisms are training and staff development. l3P. Selzniek, Leadership In Administration (New York: Harper, 1957). HL. W, Parlor, E. E, Lawier, and J. ft. HacStman, Behavior In Organizations (New York; McCrnw-Htlt, 1975). In the final analysis, however, effective and efficient role performance by staff is predicated on the design of a work unit that is congruent with the tasks it has to perform.15 Tasks can be categorized by two major variables: (1) Task difficulty, which refers to the degree of complexity, amount of knowledge needed, and reliance on nonroutine decision making. For example, determination of service eligibility may be a very simple task based on few explicit decision rules, while planning community services necessitates consideration of many factors, reliance on extensive knowledge, and complex decision making. (2) Task variability, which refers to the degree of uniformity and predictability of the work to be done. For example, preparation of monthly statistical reports is a relatively uniform and predictable task, while developing ties with various agencies culls for a variety of procedures. Tasks which are low in complexity and variability call for a work unit structure which is essentially bureaucratic in the classical sense of Ihe word. Tasks which are high in complexity and variability necessitate a work unit structure which is "human relational." In a burencratic structure line staff has very limited discretion; there is a clear hierarchy of authority; and coordination of staff is based on an extensive set of rules and operating procedures. In a human relation structure, the discretion of line staff is high; relations with supervisory staff ore collegia!; and coordination is based on feedback from the other staff. When the task has both complex and noncomplex components or variable and nonvariable elements which cannot be separated, a "mixed" structure will be most l'C Penow, op. ell. Chapter 3. Program Development / 473 appropriate.10 Based on the nature of the "mix" such a structure may provide line staff with high discretion in same specific areas and none in others. For example, the task of intake may be of such type. Workers may have high discretion in defining the problem of the client, but none concerning determination of fees, scheduling, and the like. It can be readily shown that each structure is most efficient if appropriately matched with the characteristics of the tasks to be performed. This is so because the work unit structure is designed to elicit the behavioral and role prescriptions that each task requires. When conflict arises between two units □r among several staff members because of overlapping jurisdictions, lack of coordination, or lack of mutual understanding, an nd hoc task force to deal with the conflict may prove helpful. In a multi-service center, for example, a conflict could arise between the outreach staff and the counseling staff. The former may feel that they do not get any help in scheduling appointments and in coping with problems they encounter in the field. The counseling staff, on the other hand, mny feel that it is asked to do the work of the outreach staff and that the outreach staff foits to understand what the counselors are trying to accomplish. To resolve the conflict, on ad hoc task force might be established with representatives of both parties to arrive at an acceptable solution, or an integrator position might be created. The integrator role requires (hat a tltird party become the mediator between parties in the dispute. The integrator is generally a person with adequate knowledge of the activities of the units of persons he or she atlempts to 16Euncne Litwnk, "Models or Orrjaniiaiiao Which Permit Conflict," American Journal of Sociology G7 (Sept. 1S61), pp. 177-H4. 474 / Administration and Strategies bring together, and may be in an authority position in relation to botli. In the example above, the integrator might be a person who has expertise in both outreach and counseling, so that liis directive to both units will be respected. His function is to identify areas where coordination needs to be established and procedures that can be developed to minimize conflict. He also serves as a mediator, interpreting to each unit the issues and problems the other unit needs to solve,17 A further word: Conflict is not necessarily dysfunctional to an organization. To the contrary. It con help to effectively identify operational problems, philosophical differences, or staff deficiencies. Properly managed, conflict situations assure a changing and responsive pattern of agency operations. Conflict is often a symptom of healthy adaptation to changing needs and expectations. Developing on Intelligence and Feedback System There is a strong correlation between the extent to which an organization can adapt to changes in its environment and the effectiveness of its "intelligence" system. An effective system enables the organization to evaluate its own activities in relation to changes and development in its environ-, ment Without such a system, the organization may find that its services and modes of operation are rapidly becoming obsolete. An effective and efficient intelligence system can provide die program with the new information and knowledge required to adjust to changes from both within and without. In general, an intelligence system fulfills three interrelated functions: monitoring die external task environment of the agency, !,P. R. Lawrence and J.W. Lorsch, op. clL, Chapter 9. internal auditing of staff and client activities, and evaluation of the agency's outputs. The monitoring of the agency's external environment is intended to alert die agency to important changes and developments in die various units upon which it is dependent These include federal and state programs, the programs of local social service agencies, new legislation, etc. Monitoring activities can also be directed at identifying new developments in service techniques. Finally, external monitoring is required to inform the agency of changes in the character of the population it seeks to serve. Tile main purpose of internal auditing is to inform the agency of the activities of the staff vis-a-vis the clients. Information generated by internal auditing enables staff to assess the progress of the clients and to determine future courses of action, and enables the agency management to evaluate the operation of the service .technology. Without such evaluation, the agency has no way of determining whether it is achieving its service goals nt some reasonable level. Evaluation of agency outputs occurs after clients have been served by the agency. The emphasis is on what happened to clients and how many were served. Fulfillment of each of these intelligence functions requires several steps: (1) collection of the necessary data; (2) analysts of those data so that Üicy are useful and used; (3) transmission of relevant information to appropriate decision makers; and (4) interpretation of the information in order to generate additional knowledge. Since the final step of the intelligence process is the generation of knowledge, malfunction in any of the previous steps is likely to adversely affect the capability of the intelligence system to develop that knowledge. Effective external monitoring systems are dependent on the performance of boundary personnel who mainüün close lies Program Development / 475 with external units and who actively scan the environment for new resources. Staff members assuming boundary roles may develop specialized working relations with a given Bet of organizations. The contact person gathers essential information about the availability of given resources and the conditions of their use, and transmits this information to staff members who can use it This is a necessary function if the agency is to remain up-to-date on changes and developments in its environment. Personnel who perform boundary roles must develop expert knowledge about the characteristics of the resources in their areas of specialization. They must also be able to develop cooperative and informative relationships with the major suppliers of these resources, and must develop analytic skills necessary to assess and evaluate developments and changes in the nature of the environment Perhaps most important they must acquire effective and efficient communication channels to decision makers within their own organization. Internal auditing enables staff to carry out its activities on an informed and rational basis. Internal auditing is directed at (1) the case or client level, and (2) the operational or departmental level. The function of internal auditing at the case or client level is to provide staff with all the necessary information for decision making at every juncture Qf the client's career in the agency. This oflen requires Ihe use of a client "case record." Each client served by the agency should have a record which includes basic information about him. his own perception of his needs, and the service objectives for liim. Actions taken by staff and periodic evaluations of the client's performance in the agency should be systematically recorded and the Impact of those services noted. A client record could be organized around topics such as background information, health status, income, housing, nutrition needs, and interpersonal problems. Each action or referral should be recorded in tlte appropriate topic section. A scheme must also be developed for the uniform classification and codification of the information items to be used; and procedures for information gathering, update, and retrieval must be planned. Tills process requires that the basic information the agency plans to collect and use be classified and coded in a system of categories that are explicitly defined, unambiguous, and uniformly applied throughout the entire agency. This process con be used to enable staff to develop an orderly and rational sequence of services aimed at assisting the client to achieve his service goals. It can also be used to monitor the actions taken and to signal staff when new or different decisions need to be made. Auditing procedures at the "operations" level attempt lo answer basic managerial questions about the modes of operation of the agency or units thereof. These could include the analysis of all activities done for clients suffering from visual handicaps; the success of various treatment technologies; analysis of the type of referrals used by the agency; or the responses of staff to clients who drop out The findings of such auditing ennble the agency lo evaluate its operating procedures and make necessary adjustments or changes. Findings may specify such information as (1) the type of clients arriving at the agency, the range of problems they present and the services they request; (2) assessment of the services given to different cohorts of clients, the consequences of those services, or whether adequate follow-up is done by staff; (3) the performance of various staff regarding size of case load; average number of contacts 476 / Administration and Strategies with clients; (4) type of resources or intervention techniques used. Perhaps the most important function of an intelligence system is Id enable die agency to evaluate its service outcomes. In the final analysis, an agency can justify its existence only if it can show competence in attaining its service objectives. To do so, it must develop reliable procedures to evaluate the use of its services. The problems involved in attempts to measure are extremely complex. They stem from the fact diat there is no consensus regarding a norm of "success," nor are there valid and reliable methods to measure success. There is, however, some risk of developing inappropriate output measures. This can be observed when the number of clients seen by staff becomes the measure of success. When this criterion is adopted by staff, it may gear its efforts to obtaining a high ratio of clients per worker while reducing the amount of time spent with each. There is also a tendency of organizations to adopt "symbolic" criteria when faced with the difficulties of developing substantive criteria. Symbolic criteria are testimonies by staff or clients, display of the "successful" client, self-evaluation, and other approaches that may be highly misleading and in fact could cover up serious failures by the organization. Any evaluation of an agency may be painful in that it is likely to expose serious gaps between expectations and accomplishments. Such an exposure may undermine the legitimacy of Uie agency. Yet an agency cannot improve its services if it lacks adequate outcome measures or fears the consquences of such measures. In die long run, lack of adequate outcome measures may lead toward the deterioration of die organization. An agency's service goals are often multidimensional, witli various subgoals and tasks. The design of valid and reliable outcome measures requires recognition of this fact. In general, outcome measures should relate to the goals of each subsystem in the agency. Outcome measures differentiate between the initial state of the client at the point of entry and tile terminal state of that client nt point of exit from the agency. In a complex service program, the new client goes dirough a series of assessments, which are often updated and corrected with the collection of additional information. These assessments may cover a range of attributes and problems, such as personal care, motivation to participate, health status, financial problems, etc. These include the gamut of areas in which the agency activity plans to intervene in order to improve (lie status of the client. At point of exit, these same attributes are reassessed and the amount of progress shown by the client through actual performance or his own evaluation is recorded. Because an agency may have succeeded more in some areas than in others, one measure cannot summarize the range of activities undertaken by the agency, nor can it reflect die complexity of attributes and problems presented by the client. Multiple measures are necessary. Each of these should include concrete and precise descriptions of client attributes and behaviors. These measures must become an integral part of the service technology itself. They may serve aa assessment devices for the client's progress in every stage of his association with the agency. In fact, they should logically follow the activities that have been specified in the service technology. They should be embedded in Uie daily work of the staff and not external measures imposed on the agency without direct reference to what it actually does. Needless to say, such mea- ff," sures must be constantly reexamined, ? updated and refined.15 5. Successful use of measures for service outcome necessitates a comprehensive and effective follow-up system. Without one, the information necessary for evaluation could not be obtained. The basic function of follow-up is to gather the necessary information regarding the consequences for the client of services given. It is the basic mechanism by which the agency can find out what has happened lo its clients. Unfortunately, few service agencies have established such sophisticated measures. In a number of cases, in fact, output measures of thB type described could be overly costly in relation to the sophistication of the services provided. CONCLUDING NOTE The process of establishing a new program is highly complex and requires considerations of many inter- and intra-organi-zational factors. It is not surprising, therefore, to End lhat while community workers and action groups may conceive of imaginative and innovative service programs, Uieir ability and success in implementing them are at best modest. As was shown in die above discussion, each step in the process of implementation requires a particular set of skills, expertise, and resources. Inability to enlist them at crucial points in the program development may lead to failure or to detrimental consequences in the ability of the program to fulfill its objectives. I'CWdu, Evaluation Keiearrh (EslElcwnoii ClUTs, NJ: Prentice-Hall, 1972). Program Development / 477 Thus, the systems approach used here alerts the planner-organizer to the intricate interrelations among the various building blocks of the program. It identifies the points at which the establishment of certain subsystems must assume priority over other organizing activities. Nevertheless, it should not be concluded that the model presented here is deterministic, in tiiat each of the steps identified must be so followed. It should not be assumed a priori tiiat an organization is a tightly coupled system in which each component must be closely articulated with all oUiers. There is evidence to suggest that many programs may function quite adequately even if some components or subsystems are not fully developed or are not closely inter-linked. The systems approach advocated here enables (lie planner-organizer to assess at each point in the program development process the need for the establishment of certain organizational components. For example, the planner-organizer may find that a feasibility study is unnecessary since resources have already been earmarked for certain types of programs, or that whatever service technology will be developed, support of key groups in the environment is assured. Moreover, it has been slressed Uirough-out that agency or program development involves a great deal of trial and error in the face of many unknown parameters. The approach developed here merely attempts to identify the critical parameters the planner-organizer must consider and thus reduce some of the risks that are inherent in any program implementation.