Rhonda Phillips, Robert H. Pittman - An Introduction to Community Development (2009, Routledge)

22 RONALD J. HUSTEDDE Related theory

I Table 2.1 Concerns and related theories Social capital theory
Functionalism
Concern: Conflict theory
Symbolic interactionism
1 Relationships Communicative action
2 Structure Rational choice theory
3 Power Giddens’ structuration
4 Shared meaning
5 Communication for change
6 Motivations for decision making
7 Integration of disparate concerns/paradoxes

interactionism, communicative action theory, ratio- the common good. Equality is considered to be an
nal choice theory, and Giddens’s structuration important cultural norm that is high in social capital
theory. Table 2.1 lists these concerns and theories. because it reaches across political, economic, and cul-
Each of these seven theoretical perspectives will be tural divisions. Reciprocity is another cultural norm
examined and considered as to how they may be that is viewed as part of social capital. It should not
applied to community development practice. be confused with a quid pro quo economic transaction;
it is much broader than the concept of “I’ll scratch
1 Concerns about your back if you’ll scratch mine.” When individuals,
relationships: social organizations, or communities provide food banks,
capital theory scholarship funds, low-cost homes – or other forms
of self-help, mutual aid, or emotional support – it
Community developers know inherently that the stimulates a climate of reciprocity in which the
quality of social relationships is essential for solid- recipients are more likely to give back to the
arity building and successful community initiatives. community in some form. A culture with high levels
Friendships, trust, and the willingness to share some of reciprocity encourages more pluralistic politics
resources are integral to collective action. Commun- and compromise which can make it easier for
ity developers build intuitively on these relation- community development initiatives to emerge.
ships. Social scientists view these relationships as a
form of capital. Social capital is that set of resources Putnam (1993, 2000) has argued that social
intrinsic to social relations and includes trust, capital has declined in the United States since the
norms, and networks. It is often correlated with con- 1990s. Social capital indicators have included voter
fidence in public institutions, civic engagement, self- turnout, participation in local organizations, concert
reliant economic development, and overall attendance, or hosting others for dinner at one’s
community well-being and happiness. home. Suburban sprawl, increased mobility,
increased participation of women in the labor force,
Trust is part of everyday relationships. Most and television are among the reasons given for this
people trust that banks will not steal their accounts decline. Some critics claim the indicators are linked
or that when they purchase a pound of meat from the too closely with “communities of place” because
grocer, it will not actually weigh less. Life can be memberships in organizations such as the Sierra
richer if there is trust among neighbors and others in Club and other groups have increased significantly.
the public and private sectors. Think of settings They have also asserted that communities with
where corruption, indifference, and open distrust strong social capital can also breed intolerance and
might inhibit common transactions and the sense of smugness. They have distinguished between
“bonding social capital” and “bridging social

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 23

capital.” They contend a mafia group or the Klu capital was built through the mutual support of
Klux Klan may have strong bonding social capital, multi-county mini-grant ventures consisting of
but it does not build any new bridges that can international and domestic travel seminars in which
expand horizons, provide new ideas, or generate participants shared rooms, buses, seminars, and pro-
wealth. They suggest to focus more on “bridging grams. These activities led to new forms of bonding
social capital” – the formation of new social ties and and bridging social capital which stimulated not
relationships to expand networks and to provide a only entrepreneurship but an entrepreneurial
broader set of new leaders with fresh ideas and culture.
information. For example, some communities have
created stronger links between African-American 2 Concerns about
and Caucasian faith-based communities or estab- structure: functionalism
lished leadership programs that nurture emerging
and diverse groups of leaders. These activities both Second, it is important to look at structure, which
create new community linkages to broader resource underlies organizational and group capacity to bring
bases and build new levels of trust, reciprocity, and about or stop change. In essence, structure is related
other shared norms. to Giddens’s concept of agency or capacity building.
The theoretical concept concerned with structure is
How can social capital theory serve as a known as structural functionalism. It is also called
guide for community development systems theory, equilibrium theory, or simply functional-
practice? ism. According to this theoretical framework, soci-
eties contain certain interdependent structures, each
Community developers can integrate social capital of which performs certain functions for societal
theory into their initiatives. In some cases, they will maintenance. Structures refer to organizations and
find communities which have relatively low levels of institutions such as health care, educational entities,
social capital. In such cases, they may have to begin business and nonprofits, or informal groups. Func-
by nurturing “bonding social capital” through tions refer to their purposes, missions, and what they
sharing food and drink, celebrations, storytelling, do in society. These structures form the basis of a
dance, or public art. They will have to create social system. Talcott Parsons and Robert K. Merton
opportunities for people to get to know each other are the specialists most often associated with this
and build new levels of trust through shared inter- theory. According to Merton (1968), social systems
ests including music, book clubs, games, or other have manifest and latent functions. Manifest func-
pursuits. tions are intentional and recognized. In contrast,
latent functions may be unintentional and unrecog-
In other cases, communities may have strong nized. For example, it could be argued that the man-
bonding social capital but really need “bridging ifest function of urban planning is to assure
social capital” if they are going to prosper and well-organized and efficiently functioning cities,
increase their quality of life. Take the case of whereas the latent function is to allocate advantages
tobacco-dependent counties in rural Kentucky that to certain interests such as those involved with the
have limited communications with sister counties to growth machine or real estate developers.
build new regional initiatives such as agricultural
and ecological tourism. The Kentucky Entrepreneur- Functionalists such as Parsons argue that struc-
ial Coaches Institute was created to build a new team tures often contribute to their own maintenance, not
of entrepreneurial leaders through a mutually sup- particularly to a greater societal good. Concern for
portive network and linkages with the “best and order and stability also leads functionalists to focus
brightest in rural entrepreneurship” from around the on social change and its sources. They view conflict
world, nation, and region (Hustedde 2006). Social

24 RONALD J. HUSTEDDE

and stability as two sides of the same coin. If a development builds capacity, concerns about power
community development practitioner wants to build are pivotal. Insights into power tend to be found in
community capacity, he or she will have to pay political science or political sociology. More
attention to the organizational capacity for stimulat- contemporary theorists have added to the richness of
ing or inhibiting change. Structural functionalism the literature. In his later writings, Foucault (1985)
helps one to understand how the status quo is main- argued that where there is power there is resistance.
tained. Some critics claim that the theory fails to He examines the struggles against the power of men
offer much insight into change, social dynamics, or over women, administration over the ways people
existing structures (Collins 1988; Ritzer 1996; live, and of psychiatry over the mentally ill. He sees
Turner 1998). power as a feature of all human relations (Foucault
1965, 1975, 1979, 1980, 1985; Nash 2000). Power
How can structural functionalism guide has fluidity in the sense that it can be reversed and
community development practice? exists in different degrees. Beyond conventional
politics at the state level, Foucault’s focus extends to
Structural functionalism is a useful tool for practition- the organizations and institutions of civil society and
ers. Looking at the case of an inner city neighborhood to interpersonal relations.
that is struggling to create a micro-enterprise business
that will benefit local people, if one applied structural Wallerstein (1984) applied Marxist theory to
functionalism to community development practice, understand the expansion of capitalism to a global-
one would help the community analyze which organi- ized system which needs to continually expand its
zations are committed to training, nurturing, and boundaries. “Political states,” such as Japan, the UK,
financing micro-enterprise development and what the European Union and the U.S., are among the
their latent or hidden functions might be. A core developed states based on higher level skills and
functionalist-oriented practitioner is more likely to capitalization. These states dominate the peripheral
notice dysfunctions in organizations. If existing orga- areas such that weak states are economically depen-
nizations are not meeting local needs in this area, the dent on the “core.” The low-technology states form a
functionalist would build community capacity by buffer zone to prevent outright conflict between the
transforming an existing organization to meet the core and the periphery. Some have applied Waller-
same concerns. A functionalist would also want to stein’s world system theory to regional economics,
build links with broader social systems, such as exter- with places like Appalachia serving as a “periphery”
nal organizations, that could help the community’s to global market forces. Mills (1959), one of the ear-
micro-entrepreneurs to flourish. In essence, a function- liest American conflict theorists, examined some of
alist would see structures as important components of the key themes in post-World War II American
capacity building. While structural functionalism is politics. He argued that a small handful of indi-
an important tool for community development, it is viduals from major corporations, federal govern-
limited because it does not fully explore the issue of ment, and the military were influencing major
power that may be found in other theories. decisions. He believed this triumvirate shared
similar interests and often acted in unison. Mills’
3 Concerns about power: research on power and authority still influences theo-
conflict theory ries on power and politics today. However, Mills also
had critics such as Dahl (1971), who believed that
Power is the third key issue for community develop- power was more diffused among contending interest
ment. Power is control or access to resources (land, groups. Galbraith (1971) asserted that technical
labor, capital, and knowledge). Since community bureaucrats behind the scenes had more power than
those in official positions. Neo-Marxists argued that
Mills and Dahl focused too much on the role of indi-

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 25

vidual actors. They believed that institutions permit opment occurs. Take the case of an Appalachian
the exploitation of one class by another. They also community near a major state forest. The state
posited that the state intervenes to correct the flaws Department of Transportation (DOT) wanted to
of capitalism and preserve the status quo, both of build a highway through the state forest. They
which are in the institutions’ interests. claimed it would lead to more jobs and economic
development. A group of local citizens questioned
In summary, conflict theory suggests that conflict this assumption. They believed the highway would
is an integral part of social life. There are conflicts pull businesses away from the prosperous downtown
between economic classes, ethnic groups, young and area to the edge of town, lead to sprawling develop-
old, male and female, or among races. There are con- ment that would detract from the quality of life,
flicts among developed “core” countries and regions destroy a popular fishing hole, and harm the
and those that are less developed. It is argued that integrity of the forest. The DOT refused to converse
these conflicts result because power, wealth, and with the community; they claimed the proposed
prestige are not available to everyone. Some groups highway’s economic benefits were irrefutable.
are excluded from dominant discourse. It is assumed
that those who hold or control desirable goods and Conflict theory served as a reference point for
services or who dominate culture will protect their moving the community’s interests further. At first
own interests at the expense of others. Conflict theo- glance, it appeared that the DOT was in charge of
rists such as Coser (1956), Dahrendorf (1959), and making the major decisions about the highway.
Simmel (cited in Schellenberg 1996) have looked at However, the community developer put conflict
the integrative aspects of conflict and its value as a theory into practice. Community residents were
contributing force to order and stability. Conflict can encouraged to analyze the power of the DOT as well
be constructive when it forces people with common as their own political, technical, economic, and social
interests to make gains to benefit them all. Racial power. Through its analysis, the group was expanded
inequalities or other social problems would never be to include downtown businesspeople, hunters,
resolved to any degree without conflict to disturb the environmental, and religious groups. In this particu-
status quo. Simmel discusses how conflict can be lar case, the community decided it needed more
resolved in a variety of ways including disappearance technical power. They were able to secure the ser-
of the conflict, victory for one of the parties, compro- vices of university researchers, such as economists,
mise, conciliation, and irreconcilability (Schellen- foresters, sociologists, and planners, who had the cre-
berg 1996). dentials to write an alternative impact assessment of
the proposed highway. This report was widely circu-
This theoretical framework that underlies both lated by the community to the media and prominent
the power of one party over another and the poten- state legislators. Gradually, external support (power)
tial for conflict is not intended to be exhaustive. emerged to help the community and the DOT
Instead, it points to some of the major concerns that decided to postpone the project.
can guide community development practice.
In a similar situation, the use of conflict theory
How can conflict theory serve as a guide took another twist. The opponents of a DOT-
for community development practice? proposed road sought a mediator/facilitator to help
them negotiate with the DOT and other stakehold-
Community organizers tend to more readily embrace ers. They believed a neutral third party could create
conflict theory as a pivotal component of their work. a safe climate for discussion, and that during such
However, it may be argued that community devel- discussions power differences would be minimized.
opers also need conflict theory if their goal is to In this particular case, their use of conflict theory
build capacity. Power differences are a reality of paid off because the dispute was settled to everyone’s
community life and need to be considered as devel- satisfaction.

26 RONALD J. HUSTEDDE

In summary, community developers need conflict bolic interactionists, the meaning of a situation is
theory because it helps them gain insight into why not fixed but is constructed by participants as they
specific differences and competition have developed anticipate the responses of others. Mead (1992)
among groups and organizations in a community. It explored the importance of symbols, especially
can help them to understand why some people are language, in shaping the meaning of the one
silent or have internalized the values of elites even to who makes the gesture as well as the one who
their own disadvantage. Practitioners and researchers receives it.
can use Simmel’s theory to see how people resolve
their differences. Alternately, they can borrow from Goffman (1959) argued that individuals “give”
Marx and the neo-Marxists to consider the sharp dif- and “give off” signs that provide information to
ferences between and among class economic inter- others on how to respond. There may be a “front”
ests, gender, race, and other concerns. such as social status, clothing, gestures, or a phys-
ical setting. Individuals may conceal elements of
Conflict theory can help communities understand themselves that contradict general social values and
the kind and extent of competing interests among present themselves to exemplify accredited values.
groups. It also can shed light on the distribution of Such encounters may be viewed as a form of drama
power, whether concentrated in the hands of a few or in which the “audience” and “team players” inter-
more broadly distributed. Communities can also act. In his last work, Goffman (1986) examined
explore the use of conflict to upset the status quo – how individuals frame or interpret events. His
whether through protests, economic boycotts, premise involves group or individual rules about
peaceful resistance, or other ranges of possibilities – what should be “pictured in the frame” and what
especially if competing groups or institutions refuse should be excluded. For example, a community
to change positions or negotiate. developer’s framework of a community event may
exclude ideas such as “citizens are apathetic.” It
While conflict theory is an essential tool for will probably include shared “rules” such as “par-
capacity building, it should be noted that critics ticipation is important.” The emphasis is on the
claim it is limited because it ignores the less contro- active, interpretive, and constructive capacities of
versial and more orderly parts of society and does not individuals in the creation of social reality. It
help in understanding the role of symbols in build- assumes that social life is possible because people
ing solidarity (Collins 1998; Ritzer 1996; Turner communicate through symbols. For example, when
1998). This leads to another theoretical framework the traffic light is red, it means stop; when the
about shared meaning. thumb is up, it means everything is fine. Flora,
Flora and Tapp (2000) investigated how two oppos-
4 Concerns about shared ing community narratives moved through the
meaning: symbolic stages of frustration, confrontation, negotiation,
interactionism and reconciliation. Their case study could be
viewed as the employment of social interactionism.
Shared meaning is the fourth key concern in They concluded that, among the symbols that
community development. If the field is committed humans use, language seems to be the most import-
to building or strengthening solidarity, then prac- ant because it allows people to communicate and
titioners must be concerned about the meaning construct their version of reality. Symbolic interac-
people give to places, people and events. Herbert tionists contend that people interpret the world
Blumer (1969) named the theory “symbolic inter- through symbols but stand back and think of
actionism” because it emphasizes the symbolic themselves as objects.
nature of human interaction rather than a mechani-
cal pattern of stimulus and interaction. For sym- For example, a group of Native Americans view a
mountain as a sacred place for prayer and healing,

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 27

and react negatively when someone tries to develop that deviate from the dominant meaning of some-
or alter access to it. Developers, foresters, tourism thing and would engage them with other groups in
leaders, and others are likely to have other meanings order to move the community toward solidarity.
for the mountain. Different individuals or groups Symbolic interactionists would also use symbols to
attach a different meaning to a particular event. build capacity. For example, a community might
These interpretations are likely to be viewed by choose to preserve a historic structure because they
others as a form of deviance which may be accepted, believed it was beautiful, or explain its importance
rejected, or fought over. Social interactionists argue in a labor, class, racial, or gender struggle or some
that one way people build meaning is by observing other interests. A community developer could
what other people do, by imitating them, and augment their meaning with data about the histor-
following their guidance. ical and architectural significance that external
agents see in the structure. Community capacity
How can symbolic interactionism serve could be built in other ways such as providing
as a tool for community development information about tax credits for historic structures
practice? or how to locate grants for preservation. Increas-
ingly, community development researchers and prac-
Symbolic interactionism is essential for community titioners are asked to help citizens reflect and
development because it provides insight into the understand the meaning of their work. The symbolic
ways people develop a sense of shared meaning, an interactionist concepts may be used to aid in collect-
essential ingredient for solidarity. When a ive evaluations. Essentially, it all boils down to what
community developer helps a community develop a it means and who gives it meaning.
shared vision of their future, she is helping them
build a sense of unity. A community-owned vision Symbolic interactionists probe into the factors
comes about through the interaction of people and that help people understand what they say and do by
is related through pictorial, verbal, or musical looking at the origins of symbolic meanings and how
symbols. A symbolic interactionist would be keen meanings persist. Symbolic interactionists are inter-
on bringing people together to develop a shared ested in the circumstances in which people question,
understanding. challenge, criticize, or reconstruct meanings. Critics
argue that symbolic interactionists do not have an
For example, take a case where some citizens established systematic framework for predicting
have expressed an interest in preserving the farm- which meanings will be generated, for determining
land adjacent to the city and have asked a commun- how meanings persist or understanding how they
ity developer for assistance. If one employed a change. For example, say a group of Mexican workers
symbolic interactionist perspective, one would ask and a poultry processing firm move into a poor rural
them what the presence of farmland means to them. community that was historically dominated by
One would link them with farmers and others to Anglo-Saxon Protestants. The events may trigger
see if there were a different or competing meaning. cooperation, goodwill, ambivalence, anger, fear, or
Participants would be asked how they developed defensiveness. The cast of characters involved in
their meaning of farmland. A symbolic interaction- these events may be endless. What has really hap-
ist would not ignore the concept of power. pened and whose interpretation captures the reality
Participants would be asked questions as to whose of the situation? Symbolic interactionists have
concept of farmland dominates public policy. limited methodologies for answering such questions.
Through the employment of symbolic interaction In spite of these limitations, it is hoped that a strong
theory, a sense of solidarity could be gradually case has been made as to why symbolic interaction-
established in a community. ism is an essential theory for community develop-
ment practice.
A symbolic interactionist would identify groups

28 RONALD J. HUSTEDDE

5 Communication for Habermas is concerned about the domination and
change: communicative rationalization of the lifeworld, in which science and
action theory technology are the modi operandi to address complex
public issues. He believes that science and techno-
It is safe to assume that community development logy maintain the illusion of being value-free and
occurs within the context of democracy that is delib- inherently rational. In practical terms, citizens find
erative and participatory. Public talk is not simply it difficult to engage in dialogue with “more ratio-
talk; it is essential for democratic participation. It is nal” scientists, engineers, or political and corporate
about thinking through public policy choices. elites. The problem is compounded when there is
Deliberation occurs when the public examines the technical arrogance or limited receptivity to local
impacts of potential choices and tries them on, just voices. For example, many local newspapers and tele-
as one might try on clothing in a department store vision stations are corporately owned. It is therefore
before making a choice. In such settings, public talk difficult to hear local voices since they are filtered
involves rich discussions among a variety of net- through more dominant perspectives. Habermas is
works. From the community development perspec- concerned about the colonization of the lifeworld of
tive, participation occurs in a setting where a culture and language, a colonization that reduces
diversity of voices are heard in order to explore prob- people to the status of things. He also argues that
lems, test solutions, and make changes to policies technical knowledge is not sufficient for democratic
when the community finds flaws. Communities with settings in which community developers work. It
robust democratic networks may be viewed as com- must be balanced by hermeneutic knowledge which
municatively integrated (Friedland 2001). This type of he calls “practical interests.” Hermeneutics deals
integration involves the communicative activities with the interpretation of technical knowledge and
that link individuals, networks, and institutions into what it means for an individual, his or her family, or
a community of place or interest. community. It is action oriented and involves
mutual self-understanding.
Habermas argues that communicative action is
shaped at the seam of a system and lifeworld. Systems The third dimension of knowledge is emancipa-
involve macro-economic and political forces that tory. It regards the liberation of the self-conscious
shape housing, employment, racial, and class divi- and transcends and synthesizes the other two dimen-
sions in a particular community. Local politics are sions of knowledge. While science and technology
also influenced by federal and state laws, national may help liberation, they can also suffocate it. Eman-
party politics, and regulations. Although the system cipatory knowledge incorporates both technical and
is embedded in language, it is self-producing. Power hermeneutic knowledge into a fresh perspective and
and markets can be relatively detached from outlook that leads to action.
community, family, and group values. At the same
time, there is the world of everyday life or the life- In essence, Habermas’s theory of communicative
world. Habermas views the lifeworld as constituted action is that it builds a linkage between the “ratio-
of language and culture: nal” system and the lifeworld. His communicative
action theory and political objective are based on
The lifeworld, is, so to speak, the transcendental free, open, and unlimited communication. It should
site where speaker and hearer meet, where they be noted that Habermas grew up in Nazi Germany
reciprocally raise claim that their utterances fit and his focus on reason could be viewed as a response
the world . . . and where they can criticize and to the unreason of Holocaust. At the same time,
confirm those validity claims, settle their dis- unlimited public talk could be seen as reaction to
agreements and arrive at agreements. the curtailment of intellectual freedom and public
dialogue during the Hitler years. Habermas’s
(Habermas 1987: 126) insights about communicative action theory, and his

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 29

emphasis on reason and unrestrained public talk are Combined, they can lead to a new kind of “emanci-
viewed by some critics as utopian liberal ideals in patory knowledge” that offers fresh ideas and action.
which people talk their ideas to death. Others assert
that universal principles of justice and democracy There are many ways for community developers
have been replaced by relativistic and egocentric per- to carry out Habermas’s communicative action
spectives. They assert that “reason” is a rationale for theory. For example, the National Issues Forums are
the powerful to suppress others. While Habermas held in many communities wherein individuals, net-
emphasizes the potential to reach common ground, works, and groups explore public issues through the
his detractors claim that common ground is not pos- perspective of several public policy choices. Rather
sible and that there is nothing wrong with competi- than choose sides, these forums are designed for the
tion between groups. They say he is merely participants to examine the applicability, strengths,
moralizing and that communicative action theory is limitations, and values of each choice. National
a hotchpotch of ideas gathered from the Enlighten- Issues Forums are conscious acts of deliberation that
ment, Karl Marx, Max Weber, and others. make it easier for the system and the lifeworld to
interact.
On the other hand, it should also be asserted that
Habermas is continually expanding his perceptions In another community development case, an
and that, in spite of these criticisms, he is one of the Appalachian Cancer Network was developed by
world’s leading public intellectuals. He has been a homemakers and health care professionals to deal
powerful influence on the formation of social demo- with high rates of breast and cervical cancer in that
cracies in Germany and the rest of Europe. “Commu- region. The health care leaders were tempted to tell
nicative action” describes the seam where monetary the homemakers what to do. However, the commun-
and bureaucratic structures meet the lifeworld. This ity developers who guided this initiative did not
emphasis on reason, unfettered public discussion, begin with technical knowledge. They started with
and the potential for common ground provides an storytelling in which technical and lay participants
essential theory for community development practice responded to the questions: Have you or a family
in its concern for process. member ever been touched by cancer or another serious
illness? If so, what happened? The stories that emerged
How can communicative action theory told of triumph, heartache, loss, and anger. The next
guide community development practice? set of questions was: What do our stories have in
common? What should we do, if anything, about our
By its very nature, community development involves common issues?
the participation of networks, groups, and indi-
viduals whose voices are part of the lifeworld. While Eventually, the community development prin-
this lifeworld operates within the context of techni- ciples of full participation were carried out. The
cal, political, and market realities, it should be noted network acted in ways that brought out technical,
that the principles of community development entail practical, and emancipatory knowledge. That is, new
participation of citizens in defining their own prob- ideas and action emerged from this initiative that
lems and dreams. If technicians or political and would have been impossible if technicians or lay
corporate interests dominate discussions, citizen leaders had acted independently.
involvement and participation becomes a mere after-
thought. If technical knowledge is discarded or min- 6 Motivation for decision
imized, community development efforts may not be making: rational choice
successful. Habermas’s communicative action theory theory
is guided by the intersection of technical and corpor-
ate knowledge with local and practical knowledge. The rational economic man model was proposed by
Alfred Marshall (1895). He believed that humans

30 RONALD J. HUSTEDDE

were interested in maximizing their utility, happi- Critics of rational choice theory have argued that
ness, or profits. The rational man would investigate actors do not have equal access to information or that
each alternative and choose that which would best information is distorted. Others assert that many
suit his individual needs. While Marshall recognized people’s choices are limited by social, political, and
that irrational decisions were made, he believed that economic interests and values, which limits their
the overwhelming number of decision makers would participation in rational choice making.
operate in a maximizing fashion and cancel out irra-
tional actions. Marshall assumed all the relevant How can rational choice theory serve as
information was available to the economic man and a guide for community development
that he could understand the consequences of his practice?
choices. The focus was on the individual rather than
the collective. Rational choice theory has several Community developers know that while people may
embellishments and spinoffs from various social sci- have altruistic concerns, they also have their own
entists. For example, Mancur Olson (1965) explored needs and make choices about how to invest their
whether rational calculation would lead a few indi- time. There have been many creative responses to
viduals to pursue collective action as a way to obtain rational choice theory. For example, the Cooperative
public goods because they could pursue these goods Extension Service Master Gardener Program offers
whether they were active or not. He believed that free horticultural training but participants must vol-
collective behavior could be expected under two con- unteer hours back to the community in order to
ditions: (1) selective incentives – such as increased receive the training. Leadership programs have
stature in the community, tax breaks, or other bene- popped up in many communities where participants
fits – could increase the rewards of those engaging in gain the advantage of expanding their network and
collective action, and (2) the threat of sanctions knowledge bases. Their positive experience in
against those who fail to participate. meeting and working with others in collective set-
tings leads to a greater openness and involvement.
In recent years, social scientists have explored
how four structural factors relate to individual par- When applied to community development, ratio-
ticipation in collective activities. One is prior nal choice theory is concerned with finding appropri-
contact with a group member because it is easier to ate rewards and minimizing risks to individuals who
recruit through interpersonal channels. A second is become involved in community initiatives. Such
prior membership in organizations due to the likeli- rewards might be as simple as free babysitting ser-
hood that those who are already active may join vices or an awards and recognition banquet. Both
other groups and, conversely, isolated individuals examples would facilitate people’s choices to invest
may perceive joining as a type of risk. The second is their time or money in community development
a history of prior activism because those with previ- efforts. In other situations, there is a tendency
ous experience are more likely to reinforce their toward misinformation, misunderstanding, compet-
identity through new forms of activism. The fourth ing sets of data, or different interpretations of the
factor is biographical availability, which pulls people same data. Any or all of these make it difficult to
toward and away from social movements. For reach common ground and establish solidarity. In
example, full-time employment, marriage, and such cases, community developers can find new ways
family responsibilities may increase the risks and to gather data, interpret information, or glean new
costs of becoming involved. Conversely, those who information from mutually respected third party
are free of personal constraints may be more likely to sources. It should be asserted that in many settings
join. There is some empirical evidence that students universities are no longer viewed as neutral or objec-
and autonomous professionals may be more likely to tive. They may be perceived as instruments of the
join social movements (McAdam 1988). state, the corporate sector, or a particular political or

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 31

economic interest. One of the limitations of rational process-oriented. He introduces a third dimension,
choice theory is that it can be implemented by tech- or an “in-between” level of analysis, which is neither
nicians, the corporate sector, and bureaucracies in macro nor micro. It has to do with the cultural tradi-
ways that can overwhelm and silence citizens who tions, beliefs, societal norms, and how actors draw
may not understand such knowledge. Habermas’s upon those in their behavior (Collins 1988: 399). For
theory of communicative action can provide a coun- Giddens, those normative patterns of society exist
terbalance to such shortcomings. “outside of time and space” (Collins 1988:
398–399), meaning they are neither properties of the
7 Integration of disparate empirical social system nor of the individual actors.
concerns and paradigms: Their actuality consists in the moments when indi-
Giddens’s structuration viduals’ behaviors rise to that level of society’s tradi-
theory tions and norms. People also draw and act upon
thought patterns or cultural “molds”; for example,
The classical theories of structural functionalism, the classical notion of reciprocity – getting one thing
conflict theory, and rational choice theory are essen- in return for something else. Cultural traditions and
tial concepts for building community capacity. The patterns become modalities by virtue of placing
fluid contemporary theories of social capital, com- them on Giddens’s analytical scheme. They represent
municative action, and the classical theory of sym- a third level, that between individualistic behavior
bolic interactionism are important for creating or and the macro-structures. Even though the reality of
strengthening solidarity. There are obvious tensions modalities may be only momentary, when people
inherent in these theories. The dualism of macro actually rise to them in their behavior, then the
versus micro characterizes much of the theoretical social process and the role of culture and normative
thinking in sociology. Sharing the same goal of pic- patterns can be better visualized. “Actors draw upon
turing social reality, these schools choose to proceed the modalities of structuration in reproduction of
from opposite directions. The macro-thinkers systems of interaction” (Giddens 1984: 28). Social
attempt to draw a holistic picture and lay down the structure is upheld and existing divisions of society
works of society, whereas the micro-theorists hope to carry on through these “mental molds.”
arrive at the same results by scrutinizing what
happens “in” and “between” individual people. The laying out of society on the six above-
Neither approach is entirely successful in producing mentioned levels – social capital theory, functional-
a complete and exhaustive picture for community ism, conflict, symbolic interactionism, communicative
development practice. In a more recent development, action theory, and rational choice theory – reflects a
efforts have been made at a “micro-translation,” fluid process in which all levels interact. Individuals
which seeks to visualize social reality as composed of represent the agency whereby interaction among
individuals interacting with one another to form levels takes place. Coming back to the community
“larger interaction ritual chains” (Collins 1988). development profession and its key concerns,
Giddens’s model is perhaps best suited to grasp how
However, recent theory also recognizes that social social agency is exercised and solidarity established
agency itself, pointed out above as a key concern for amid and often against the existing structural divi-
community development, needs to be theoretically sions of society. Behavior is neither haphazard nor
addressed. This must be done in a way that tran- merely a reflection of the existing social structure and
scends both the established orientations in modern its divisions. Modalities represent the levels at which
social theory and the whole macro–micro split. In people establish solidarity by following the symbolic
his structuration theory, Anthony Giddens (1984, norms and patterns of their cultures and traditions.
1989) offers a perspective that is more fluid and
Similarly, new rules of behavior also occur
through the medium of modalities, in this instance

32 RONALD J. HUSTEDDE

their creative redefinition. This is how the existing solidarity emerged in Poland. She saw the working
divisions can be overcome and new bonds between class under the communist regime as a unified bloc,
people forged. For this to take place, genuine social both in a positive hegemonic way and negatively, as
creativity is necessary. This means that people come subject to the party’s control and manipulation.
up with solutions and ideas that simultaneously Solidarity and its charismatic leader Lech Walesa
draw on the common reference point of their cultural transformed these modalities with references to
traditions, and transcend those traditions to establish workers’ common identity, as opposed to their iden-
new bonds and patterns of solidarity. Modalities tity with the Communist Party apparatus. To further
serve not only as the rules for the reproduction of the create a sense of solidarity and unity in opposition to
social system, but for its transformation (Turner the Communist Party and the system, Walesa incor-
1998: 494). Giddens’s concept of modalities is the porated Polish workers’ strong Christian identifica-
link between macro- and micro-theories. Modalities tion into helping define their new self-understanding
are part of the analytical scheme in a particular place. and self-image. In her work on the change in
For example, individualism in the United States is a workers’ collective identity, Staniszkis’s consistent
strong modality and can keep citizens from united attention to symbolic meanings and their interplay
action. The notion of the common good is another with the social structure aptly demonstrates how
American modality which may be used to transform modalities can be transformed.
a divided community into one with a greater sense of
solidarity. Modalities may be used to influence the Analytically, Giddens’s structuration theory
macro- or micro-level of social change. There are stands as a middle ground between the micro- and
several substantive analyses looking at cultural pat- the macro-theories as well as the issue of agency and
terns and systems of ideas and how they mediate the solidarity. Giddens’s structuration theory suggests
social process. In these analyses, social processing that the micro-theories associated with symbolic
and the dynamics of social transformation are at least interactionism can influence cultural and traditional
partly carried out on the level of modalities. Gaventa norms and patterns (modalities) and vice versa.
(1980) examines the modalities of Appalachia with a While the symbolic interactionists tend to ignore
focus on rebellion and quiescence. He analyzes how structure, Giddens’ mid-level theory about modali-
power is used in the region to prevent or implement ties is a crucial link among symbolic interactionism,
decisions. The use of force and threat of sanctions are rational choice theory, social capital, the
discussed along with less intrusive aspects such as micro–macro conflict, communicative action, and
attitudes that are infused into the dominant culture structural functionalist theories (Giddens 1984).
by elites and internalized by non-elites. For example,
there are perspectives such as “you can’t change any- Max Weber’s social action theory was originally
thing around here” or “you don’t have to be poor if cast at an “in-between level.” If his theory was not
you want to really work.” Gaventa argues that there explicit, his intentions were at least implicit. Weber
are other modalities in which Appalachian culture attempted to view society as a fluid process, dissect-
has resisted the penetration of dominant social ing it into various components for analytical pur-
values. Those with less power can develop their own poses (Turner 1998: 17) much like Giddens did.
resources for analyzing issues and can explore their Although Weber never attempted an analytical
grievances openly. He views the “myth of American model of society along micro-theoretical lines, some
democracy” as another modality that can set the observers have categorized Weber as a micro-theorist
stage for greater openness and transparency in local because of his subjective interpretation of behavior
government. and its meaning to the actor. Others argue that
Weber is a strong macro-theorist since his intentions
Staniszkis (1984) provides further insights about may lie closer to Giddens’ perspective. This was
modalities through her ideas about how workers’ especially obvious in his attempts to explain the rise
of modern capitalism through the interplay of social

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 33

structural conditions and the religious beliefs of such as social capital, rational choice, and symbols or
Protestantism. He followed similar analyses for non- symbolic interactionism. Giddens’s concept of
Western societies in his volumes on the sociology of modalities is essential for community development
religion. What Giddens delineated in theory Weber practice.
actually performed in his works, bridging the macro
and the micro dimensions in his attention to Revisiting the case of the Appalachian commun-
society’s traditions and norms. He observed how ity group that opposed the construction of a road
people, independent of the macro-structural forces of through a nearby state forest, as addressed under the
society, transform these traditions and norms by heading, “How Can Conflict Theory Serve as a Guide
interpreting and reinterpreting them. Similarly, for Community Development Practice?,” the group
Gaventa and Staniszkis demonstrated how one can believed they were overpowered by the Department
connect communities or groups to structure them in of Transportation (DOT) that wanted to build the
a way that is not fixed or mechanical. road. The community found it difficult to argue
against the DOT report, which contained sophistic-
In contrast to debates on whether structure shapes ated economic, social, and natural resource informa-
action to determine social phenomena or the reverse, tion. Here is what the community development
Giddens believes that structure exists in and through practitioner did. First, the practitioner asked
the activities of human agents. He views it as a form community residents to identify the strengths of
of “dualism” in which neither can exist without the their local traditions – particularly storytelling and
other. When humans express themselves as actors the arts – as a venue for building solidarity regard-
and monitor the ongoing flow of activities, they con- ing the integrity of the forest. Together, the
tribute to structure and their own agency. He con- community and the practitioner examined the
tends that social systems are often the results of modalities of storytelling and the arts to see if they
human action’s unanticipated outcome. Giddens could use the media to make an impact on the public
views time and space as crucial variables. Many and local legislators. The community’s strong
interactions are face-to-face, and hence are rooted in respect for the local Cooperative Extension Service
the same space and time. However, with the advent was identified as another modality to mobilize the
of new technologies, there can be interaction across broader information resources of the land grant uni-
different times and spaces. Community developers versity. Without spending much money, the
are likely to feel some kinship with Giddens because community developer was able to draw upon the ser-
he has a dynamic rather than static concept of the vices of professional economists, sociologists,
world. He recognizes the interplay of humans and foresters, and others. These professionals developed
structure in shaping and being shaped. Critics are an alternative to the DOT report that was widely
likely to argue that he has oversubscribed to the disseminated. Storytelling, the local arts, and links
concept of the power of human agency. The space of with the local Extension Service influenced broader
this chapter limits a response to those critiques and a structures and led to fewer power imbalances. Even-
fuller exploration of Giddens’s theoretical insights. tually, the DOT decided to permanently “postpone”
the development of the road. Because the commun-
How can Giddens’s structuration theory ity developer understood the power of modalities
guide community development practice? (local cultural traditions and patterns), the commun-
ity was able to develop a sense of shared meaning.
Structuration theory provides many theoretical This led to greater influence on structure and
insights (Ritzer 1996: 433) for those engaged in resolved the conflict.
community development because it links disparate
macro-theories about structure and conflict with How do Giddens’s structuration theory and the
micro-theories about individual and group behavior concept of modalities relate to some of the theories
discussed earlier, particularly the classical theories of

34 RONALD J. HUSTEDDE

structural functionalism, conflict theory, rational Conclusion
choice theory, and symbolic interactionism?
Community development is often thought of as
When one looks at functionalism through a intention to build solidarity and agency (capacity
Giddens lens, one sees how structures shape and can building). Theory is essential for community devel-
be shaped by modalities. From a Giddens perspec- opment practice because it provides explanations of
tive, community change agents are not powerless individual and group behavior. It also provides
when faced with powerful structures. Cultural pat- frameworks so that community developers may com-
terns can be transformed to influence or break down prehend and explain events. There are seven theories
structural constraints that inhibit solidarity and that should be part of a community development
capacity building. Giddens’s structuration theory canon, or knowledge: (1) social capital; (2) structural
illuminates conflict theory because it suggests that functionalism; (3) conflict; (4) symbolic interaction-
communities can influence power imbalances ism; (5) communicative action; (6) rational choice;
through cultural norms and patterns. It also suggests and (7) structuration theory. Each theory should be
that external power can shape behavior. explored along with its limitations and applicability
for community development practice.
Based on a Giddens perspective, the micro-
theories associated with symbolic interactionism and This chapter is about reaching across the concep-
making rational choices can influence cultural and tual divide between theory and action. It should
traditional norms and patterns (modalities) and vice stimulate dialogue and further discussion on essen-
versa. While the symbolic interactions and rational tial theory for community development practice.
choice theorists tend to ignore structure, Giddens’s The classical theories of structural functionalism,
mid-level theory about modalities is a crucial link conflict, symbolic interactionism, and rational choice
among symbolic interactionism, rational choice can be balanced by the more fluid and synthesizing
making, the macro “conflict” theory, and structural theories of social capital, communicative action, and
functionalism. The fluid theories associated with structuration. These theoretical camps may be linked
Habermas’s communicative action and social capital in novel ways to help community developers become
may be viewed as mid-level theories, as part of struc- more effective.
turation theory. They also address the intersection of
modalities and structure. Note

However, there are several limitations to 1 This chapter is an expansion of the article: Hustedde,
Giddens’s theories. His writing is analytical and R.J. and Ganowicz, J. (2002) “The Basics: What’s
abstract to the point of being vague and imprecise. Essential about Theory for Community Development
He rarely gives concrete examples, which can be Practice?,” Journal of the Community Development Society,
frustrating to those community developers who are 33(1): 1–19. The editor of the journal granted
more empirically grounded. Giddens’s analysis is permission to duplicate and integrate parts of the article
also difficult because it involves constant movement into this chapter.
among the levels of modalities, societal institutions,
and the actions of individuals. In spite of these Keywords
limitations, structuration theory is especially useful
for community developers because of the potent role Solidarity, agency building, structure, power, shared
of symbolic norms and cultural patterns (modalities) meaning, social capital theory, structural functional-
in creating new structures, influencing power differ- ism, conflict theory.
ences, and infusing individual behavior with a sense
of solidarity.

SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 35

CASE STUDY: COMMUNITY DEVELOPMENT AND INTERNATIONAL CONFLICT
RESOLUTION

Arguably the most pressing international issue of this and future generations is the relationship
between Islamic and Western countries, as evidenced by the wars in Iraq and Afghanistan and
the ongoing conflict between the Israelis and Palestinians. One scholar believes that community
development could serve as a valuable tool to improve Islamic–Western relations and help ease
conflicts across the globe. In a series of articles, Jason Ben-Meir states his belief that participa-
tory, grass-roots community development in conflict areas will empower local residents and
encourage them to reject religious extremism, engage in community and nation building, and
appreciate the foreign aid efforts of Western countries. Ben-Meir is President of the High Atlas
Foundation, a U.S. nonprofit organization that assists community development in Morocco.

According to Ben-Meir, the billions spent on foreign aid reconstruction in Iraq and
Afghanistan typically channeled through third party contractors and national governments
often fosters resentment toward Western countries because input from the communities where
the projects take place is not obtained and local residents feel they are not in control of
rebuilding their own economic and social life. Ben-Meir argues that sustained development
and genuine reconstruction require funding local projects designed by the entire community.
The community’s priorities would be established by facilitated interactive dialogue where all
local residents have a right to express their opinions and collective priorities are developed in
a true inclusive and participatory community development process. He believes this will encour-
age community residents to actively support local rebuilding and economic development
efforts. As they feel empowered, develop hope for the future, and see tangible signs of
progress of their own design, they will be less likely to embrace extremism born of frustration
and alienation. Ben-Meir also believes that successful community and economic development
outcomes fostered by this approach will engender goodwill toward Western countries funding
these local projects and helping with the community development capacity-building process.
Furthermore, progress will be sustainable, since citizens in communities throughout turbulent
regions will have learned community- and nation-building skills and local infrastructure will be
improved.

In the case of Iraq, Ben-Meir believes the national government should:

• Train local schoolteachers and other community members in group facilitation methods
and begin the community development process in all communities with inclusive, participa-
tory meetings to establish local priorities.

• Create community reconstruction planning and training centers in all communities to help
implement local priorities and redevelopment projects. The centers would also provide
further training in facilitation, conflict management, modern agricultural techniques, health
care, and other development topics.

Encouraging community development and funding local priority projects will also help alleviate
the Israeli–Palestinian conflict, according to Ben-Meir. He points out that the Palestinian
economy is almost totally dependent on Israel’s, and when political tensions rise, economic
links and flows of people and goods are severely restricted, causing huge hardship for the
Palestinians. He argues that Israel and the West can generate tremendous goodwill and help
make the Palestinian people economically self-reliant by promoting the community development
process and investing in projects designed and managed by local residents.

36 RONALD J. HUSTEDDE

Whether or not the community development can help achieve these lofty goals is an open
question, but there is no doubt that its principles of conflict resolution, group decision making,
inclusiveness, and fairness are certainly relevant to international affairs and foreign policy.
Community development is germane to countries all over the world and its principles transcend
geo-political boundaries.

The Editors

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3 Asset-based community
development

Anna Haines

Building on a community’s assets rather than focusing on its needs for future development is the basic
approach of asset-based community development. By focusing on successes and small triumphs instead of
looking at what is missing or negative about a place, a positive community outlook and vision for the future
can be fostered. This approach also focuses on a sustainable approach to development. This chapter outlines
the process and the major steps in identifying individual, organizational, and community asset development.

Introduction communities to identify priorities and opportun-
ities and to foster and sustain positive neighbor-
Chapter 1 focused on the definition and overall scope hood change” (Chaskin 2001: 291).
of community development and its relationship to eco- • “Community development is asset building that
nomic development. This chapter discusses commun- improves the quality of life among residents of
ity development from the perspective of concentrating low- to moderate-income communities, where
and building on community assets rather than focus- communities are defined as neighborhoods or
ing on needs and problems. This approach leads to a multi-neighborhood areas” (Ferguson and Dickens
more sustainable approach to development. The term 1999: 5).
“community” is used throughout this chapter to refer • “Community development is defined as a planned
to a place. A place may be a governmental entity, such effort to produce assets that increase the capacity
as a city, or it may be a neighborhood that has no spe- of residents to improve their quality of life”
cific or official boundaries. Finally, this chapter out- (Green and Haines 2007: vii).
lines the major steps in planning for an asset-based • “Community development is a place-based
community development strategy. approach: it concentrates on creating assets that
benefit people in poor neighborhoods, largely by
Definitions of community building and tapping links to external resources”
development (Vidal and Keating 2004: 126).

As noted in Chapter 1, community development is Critical components of these definitions include:
both a process and an outcome, as seen in the various
definitions from the literature. Let us consider yet a • A place-based focus
few more definitions, in the context of assets, to Communities may be thought of as the
further characterize community development. neighborhoods, towns, villages, suburbs, or
cities in which people live. These are places
• “Community building in all of these efforts con- that are rooted in a physical environment. In
sists of actions to strengthen the capacity of contrast, communities may also be interest
based. Many people identify with groups of

ASSET-BASED COMMUNITY DEVELOPMENT 39

people who share similar interests, for Needs-based community
example, professional associations, sports development
teams, religious affiliations, service clubs.
• The building up or creation of assets There are two primary methods of approaching
The next section of this chapter will spend community development. The conventional or tradi-
time discussing asset-based community tional approach is to identify the issues, problems,
development. For now, the definition of an and needs of a community. In many low-income
asset is: a resource or advantage within a neighborhoods, it is easy to point to problems –
community (of place). vacant and abandoned houses, boarded-up store
• The improvement of quality of life fronts, empty lots filled with trash, and countless
Quality of life is a vague notion, and, there- others. By focusing on problems, community resi-
fore, each community must define indicators dents tend to concentrate only on what is missing in
in order to be able to monitor whether or not a community. For example, a neighborhood may
improvement is occurring. Quality of life can point to problems such as high unemployment rates
refer to economic, social, psychological, phys- or lack of shopping opportunities and identify the
ical, and political aspects of a community. need for more jobs and businesses. If community res-
Examples of indicators include: number of idents focus only on trying to fix the problems that
violent crimes within a neighborhood; hours they see, they may miss or ignore the causes of these
of work at the median wage required to problems.
support basic needs; percentage of employ-
ment concentrated in the top 10 employers; Many of the problems identified, like poverty or
percentage of the population that gardens; unemployment, are issues too large for one commun-
and tons of solid waste generated and recy- ity to solve by itself. By focusing on the causes of
cled per person. problems, community residents may end up wring-
ing their hands or giving up because of the over-
Also stated in the above definitions of community whelming nature of the causes. This approach can
development are the following aspects: create unreasonable expectations that may lead to
disappointment and failure over time. In addition,
• Financial, economic, environmental, and social sustain- this approach can point to so many problems and
ability needs that people feel overwhelmed, and, therefore,
More and more, the idea behind community nothing is done. Figure 3.1 provides an example of a
development is to build up resources and community needs map which outlines problems
advantages in a community so that the within a community. This map illustrates numerous
community and the individuals within it can problems, many of which are difficult to resolve by
be sustained over time. any one community, neighborhood, or organization.

• The approach, while universally applicable, is particu- Asset-based community
larly relevant to non-wealthy communities development
This is the notion that, unlike wealthy
communities which not only have assets but An alternative approach is asset-based community
recognize these assets and use them in the development. One could argue that this approach is
formal economy, many lower income the reverse of the conventional approach. The idea is
communities do not. to build capacity within a community – to build and
strengthen a community’s assets. In contrast to
focusing on problems and needs, this alternative

40 ANNA HAINES

nU emplo yment Truancy Local institutions

Businesses Schools

Brok en families Slum housing Citizens’ associations
Gangs
Churches Block clubs

Illiteracy aP rk s Libraries

Graffiti Gifts of
Income individuals Ar tists

Child Crime Elder ly
abuse
Mental Labelled
disability Y outh people

W elfare recipients Cultural groups

Lead poisoning Dropouts Hospitals Community colleges

I Figure 3.1 Community needs map I Figure 3.2 Community assets map

approach focuses on a community’s strengths and institutions. The assets map underscores the poten-
assets. tial for community development because it is start-
ing from a positive base rather than from a base
This asset-based approach is focused on a rooted in problems. Chapter 10 provides additional
community’s capacity rather than on its deficits. For information about the process of asset mapping.
instance, rather than focusing on missing small busi-
nesses, this approach would focus on existing small Assets defined
businesses and their success. Further, by focusing on
its assets, the community as a whole will see its Before moving forward in this discussion, it is
positive aspects (such as community gardens, a men- critical to define the term assets. Assets are the stock
toring program, and the many skills of its residents) of wealth in a household or other unit (Sherraden
and can then work on developing these assets even 1991: 96). Another definition is that assets are “a
more. By implication, concentrating on community useful or valuable quality, person or thing; an
assets will create a snowball effect that will influence advantage or resource” (Dictionary.com). Thus, indi-
other areas within a community such as its needs and viduals, associations, local institutions, and organiza-
problems. This alternative approach does not ignore tions are useful and valuable within the asset-based
the problems within a community, but focuses first community development framework. Kretzmann
on its strengths and small triumphs in order to and McKnight (1993) defined assets as the “gifts,
provide a positive perspective of the community skills and capacities” of “individuals, associations
rather than a discouraging one. Figure 3.2 shows an and institutions” (p. 25). The idea that individuals
example of the “mapped” assets within a community
and the capacities of its individuals, associations, and

ASSET-BASED COMMUNITY DEVELOPMENT 41

within a community are assets is important. What the other forms of capital, physical capital is largely
would a community be without its residents? immobile. Although redevelopment of buildings and
infrastructure occurs, physical capital endures over a
Within an economic context, assets can be forms long time period and is rooted in place. Another
of capital such as property, stocks and bonds, and quality of physical capital is the degree of both
cash. Within a community context, assets may be public and private investment – public investment
seen as various forms of capital as well. Assets take a into infrastructure (roads, sewer, water) and private
variety of forms within a community. Ferguson and investment into structures (residential, commercial,
Dickens (1999) talk about five forms of community and industrial) – with the expectation of a return on
capital: physical, human, social, financial, and poli- that investment.
tical. Green and Haines (2007) identify seven forms
of community capital: physical, human, social, finan- Human capital is defined as the skills, talents, and
cial, environmental, cultural, and political. Rainey et knowledge of community members. It is important
al. (2003) present three forms of capital that they see to recognize that not only are adults part of the
as essential: human, public (physical), and social. human capital equation, but children and youth also
While there can be debate about the forms of contribute. It may include labor market skills,
community capital and which forms are more essen- leadership skills, general education background,
tial than others, the important point here is that a artistic development and appreciation, health, and
community can identify its own assets – its own other skills and experience (Green and Haines 2007:
capital. 81). In contrast to physical capital, human capital is
mobile. People move in and out of communities,
For the purpose of this chapter, three types of and, thus, over time, human capital can change. In
capital – physical, human, and social – will be addition, skills, talents, and knowledge change due
defined and discussed. Why only these three forms of to many kinds of cultural, societal, and institutional
capital? These forms of capital may be subdivided mechanisms.
into other forms of capital. For example, physical
capital may comprise the built environment and Social capital often refers to the social relationships
natural resources. Thus, environmental capital, within a community and may refer to the trust,
which comprises the natural resources within a norms, and social networks that are established
community, is part of a community’s physical (Green and Haines 2007). “Social capital consists of
characteristics and, thus, its assets. Natural resources the stock of active connections among people: the
may have shaped the community in the past either trust, mutual understanding, and shared values and
through its physical shape – constraining where and behaviors that bind the members of human networks
how a place grew – or by influencing its economy. and communities and make cooperative action pos-
The built environment – buildings, infrastructure – sible” (Cohen and Prusak 2001: 4).
is a critical component of a community and clearly is
part of its physical capital. In the community development context, the
importance of social relationships is critical to mobi-
Physical capital comprises the roads, buildings, lizing residents and is often a critical component for
infrastructure, and natural resources within a the success of a project or program. Social capital
community. When thinking about a specific comprises the formal and informal institutions and
community, what is often considered are its physical organizations, networks, and ties that bind commun-
attributes and key features. These attributes and fea- ity members together. There are many forms of
tures may include roads, rail, water and sewer, a social capital – formal and informal, strong and
downtown, residential neighborhoods, parks, a river- weak, bonding and bridging – to name the more
front, industrial areas, strip development, schools, well-defined types. Formal ties or networks are those
government buildings, a university or college, a ties that are established through organizations, such
museum, a prison, and many others. In contrast to as service clubs, and are seen as weak ties. Informal

42 ANNA HAINES

ties are those established through personal relation- section introduces a general outline of this approach
ships. Often these ties are strong, and time and and describes its major steps. Figure 3.3 illustrates a
energy are involved in maintaining them. Bonding community development process with four main
capital refers to bringing together people who steps. It is shown moving from community organ-
already have established relationships or ties. In con- izing to visioning to planning to implementation
trast, bridging capital refers to the idea of widening and evaluation and back to organizing. While the
individuals’ networks and ties. By establishing new illustration moves from one step to another and
networks or ties, people will have access to new creates a feedback loop, community development is
information and more networks for sharing and far more messy and non-linear in practice. Many of
using information. these steps continue throughout the process. In addi-
tion, one step may be given more emphasis than the
In addition, social capital may be subdivided into others in specific time periods. Every community is
various forms such as financial, political, and cul- different, and the actual time it takes for each step
tural. While these three forms can easily be sepa- will differ as well. Some communities may be fairly
rated from social capital and each other, social organized and cohesive and can move through organ-
capital is central to these forms of community izing, visioning, and planning in a short amount of
capital. Financial capital refers to access to credit time and spend the bulk of their time and effort on
markets and other sources of funds. Poor and minor- implementation. However, other communities may
ity communities often lack access to credit markets. find they are spending a great deal of time on organ-
Without sources of financing for home ownership, izing. Another aspect to consider in this illustration
business start-ups and expansions, these communi- is the absence of a time frame. All the steps in the
ties are unable to put underused resources to work process appear to take a similar amount of time, but,
(Green and Haines 2007). Political capital is the as indicated above, the amount of time spent on any
capacity of a community to “exert political influ- one step will depend on the community’s residents
ence” (Ferguson and Dickens 1999: 5). Weir (1988) and what they are trying to accomplish. The illustra-
discusses three categories of the relationship between tion includes a step for implementation – the action
community-based organizations (CBOs) and local phase from which outcomes will be felt and meas-
political systems. These categories include elite ured. This step is a crucial part of the process – it is
domination with weak ties to CBOs, a political not separate from it. Chapter 6 continues the discus-
patronage system, and a more inclusionary system sion of the community development process, focus-
where community and political leaders overlap. ing on visioning and strategic planning.
Based on Weir’s categories, the exertion of political
influence would differ between communities and the Community organizing
organizations within those communities.
Community organizing focuses on mobilizing people
One important concept to take from this discus- within a specific neighborhood or community. It is
sion is that all forms of community capital are intri- distinct from other forms of organizing because of its
cately linked together and are necessary for focus on communities of place rather than
sustaining communities and achieving a better communities of interest. Community organizing
quality of life. does not need to be conceived of as a task for getting
everyone in a community mobilized for doing some-
The process of asset-based community thing. In fact, community organizing may be
development thought of as a way to mobilize small groups of
people to accomplish a particular task. Mobilizing
Many community development professionals and community residents involves direct action ranging
others have, or are moving toward, an asset-based
approach to community development. This next

ASSET-BASED COMMUNITY DEVELOPMENT 43

Create benchmarsk Community eN w policies
and indicators organizing eN w organizations

Implementation dE ucation Ne w organization?
and evaluation and public
participation Visioning
Do projects
lP anning A vision
statement

Create an action plan at the simplest, to a
comprehensive plan at the most ambitious

I Figure 3.3 A community development process

from writing letters to the editor to organizing a (ACORN) has mixed the Alinsky and Boston
protest outside the offices of the school district. models. The Industrial Areas Foundation (IAF)
Often community organizing uses a problem- model emphasizes the importance of intensive train-
oriented approach rather than an asset-based ing of organizers. This model is a direct descendant
approach. Community residents are mobilized to of the Alinsky model but emphasizes the importance
“solve” a particular problem recognized in their of maintaining close ties with existing community
neighborhood. There are two strategies for mobiliz- organizations. Community development corpora-
ing residents: social action campaigns and the devel- tions (CDC) use these development models to
opment model. Social action campaigns are those achieve community development goals. CDCs often
direct actions, like the examples above, that aim to represent the type of organization that provides eco-
change decisions, societal structures, and cultural nomic and social services in low-income neighbor-
beliefs. hoods and communities (Rubin and Rubin 1992).

Another form of organizing occurs through the Visioning
development model and is more prevalent at the
community level. The development model is a way Visioning is one method among many, such as
to organize communities of place to accomplish a future search, to establish a long-range view of a
variety of community goals. There are several differ- community. Box 3.1 provides a vision statement
ent community organizing models (Rubin and from one community. The term became popular in
Rubin 1992). The Alinsky model is probably the the 1990s, and many communities have used the
most popular and involves a professional organizer. technique to guide their future. While it is often
The organizer works with existing organizations in a used in the context of community planning, it has
community to identify common issues. In contrast, also been used to focus on specific topical areas, such
the Boston model contacts welfare clients individu- as housing, transportation, and education. Many
ally at their residences and relies heavily on appeals communities have found it useful to create multiple
to the self-interest of each person. The Association of topical visions that can be more detailed and focused
Community Organization for Reform Now

44 ANNA HAINES

BOX 3.1 VISION STATEMENT FROM RUIDOSO, NEW MEXICO
A vision statement for Ruidoso
We treasure . . .

• The serene natural environment – cool pines, high mountains, the Rio Ruidoso, com-
fortable weather, and clear skies.

• A sense of community. People are friendly; we prize the easy lifestyle where people
know each other and where kids are safe riding their bikes.

• A small-town atmosphere, even during the summer and winter when the village
serves an influx of part-time residents and tourists.

We like where we live, take pride in “our place” and we are willing to volunteer our time for
community betterment.

Source: http://www.ruidoso.net/local/vision_statement.htm (accessed June 16, 2004).

rather than creating one broad vision, which many storming, SWOT analysis, and charrettes to accom-
people view as too vague and broad to bring plish its purpose.
meaning to the necessary actions. The basic idea is to
bring together a wide range of individuals, associ- Planning
ations, and institutions within a community to
arrive at, often through some form of consensus, a During the planning phase there are at least three
written statement – the vision – of the future and to tasks in preparing an action plan: data collection and
prepare an action plan to move that community analysis, asset mapping, and a community survey.
toward the vision. Data collection and analysis is important to under-
stand current circumstances, changes occurring
There are at least three critical components of a within a community over time, and the implications
visioning exercise. The first component is inviting a of the data collected.
broad spectrum of the community so that many
opinions and perspectives are represented. The Asset mapping is a process of learning what
second component is preparing a process that is resources are available in a community. Kretzmann
meaningful, effective, and efficient. The process and McKnight (1993) provide the most hands-on
must be meaningful to the participants so that the and thorough asset mapping process. Their process
time they are volunteering will have appropriate and “maps” or inventories the assets or capacities of:
useful results. The process must be effective in that
it fulfills the purpose defined for it. Finally, the • individuals including youth, seniors, people with
process must be efficient in terms of people’s time, disabilities, local artists, and others;
energy, and funds expended. This third component,
which is closely related to the second one, involves • local associations and organizations including
choosing public participation techniques to accom- business organizations, charitable groups, ethnic
plish a vision or multiple visions for a community. associations, political organizations, service clubs,
While visioning is thought of as a public participa- sports leagues, veterans’ groups, religious institu-
tion technique, it must use techniques such as brain- tions, cultural organizations, and many others;

• local institutions for community building includ-

ASSET-BASED COMMUNITY DEVELOPMENT 45

ing parks, libraries, schools, community colleges, tant, a local government, a state or federal agency, a
police, hospitals, and any other institution that is private developer, a business owner, or corporation.
part of the fabric of a community. However, residents of a community need to particip-
ate in and get actively involved in determining the
Asset mapping is an ongoing exercise. The purpose future course of their community. If they do not,
is to recognize the skills, knowledge, and resources others will determine their future for them. Thus,
within a community. It is a good first step in begin- public participation is critical to the entire commun-
ning to understand the assets of a community. ity development process. Figure 3.3 illustrates its
importance by situating it at the center of the
Community surveys can be useful in identifying process.
issues at the beginning stages of a planning process
and/or to refine particular ideas or policies as a Using public participation effectively and mean-
community begins to think about its goals or its ingfully is a difficult task for individuals, groups, or
action plans. A community survey will allow various organizations that are trying to determine which
organizations in a community to: techniques are most appropriate to use, when to use
them, and who should be involved. Effective public
• Gather information about public attitudes and participation needs to be both functional for the spe-
opinions regarding precisely defined issues, prob- cific goal and meaningful to the public. Participation
lems, or opportunities. is functional when it helps to create better decisions
and a more thoughtful community plan or some
• Determine how the public ranks issues, problems, other document that can help organizations, institu-
and opportunities in order of importance and tions, and individuals understand how their
urgency. community is moving forward. Participation is
meaningful when it creates opportunities for the
• Give the public a voice in determining policy, public to exercise influence over decisions and feel a
goals, and priorities. sense of ownership toward the product.

• Determine public support for initiatives. Implementation and evaluation
• Evaluate current programs and policies.
• End speculation about “what people are think- Actions in community development are where
change occurs and where people can see tangible
ing” or “what people really want.” results. This phase in the community development
(Laboratory of Community and Economic process is the point at which the rubber meets the
Development (LCED) 2002) road. It is the phase where individuals, groups, and
organizations are active rather than passive particip-
While community surveys can communicate import- ants in their community. Up until the implementa-
ant information about public attitudes and opinions, tion phase of a community development process,
this public participation technique is focused only individuals and organizations have made a concerted
on input, not on shared decision making. Neverthe- effort to understand their assets, community atti-
less, if carried out well, this technique allows for a tudes, and opinions; have arrived at a shared under-
much broader range of residents to participate than standing of the future; and have agreed upon initial
many other public participation techniques that call actions, and possibly broader strategies to take that
for face-to-face interaction. will lead to specific actions in the future. Action
plans generally identify specific projects, deadlines,
Public participation responsible parties, funding mechanisms, and other
tasks that will accomplish specific goals. An action
Determining the future of a community and how
that community will get from Point A to Point B
are important endeavors. Often residents leave
community goals and decisions to others – a consul-

46 ANNA HAINES

plan describes a set of activities that need to be Challenges of the
accomplished to move the community toward its community development
future vision and/or goals. process

Another part of implementation is to consider the An important caveat to any community development
regulatory context within which development process is that they can be difficult, time-consuming,
occurs, in particular the physical capital of a and costly. The difficulty can occur, for example,
community. It is likely the action plan has identified when many diverse interests cannot or will not find
areas that need changes through local government, common ground about either specific actions or even
such as zoning changes. It is important for the regu- the general direction the community should take.
lations to integrate with the plan. Thus, finding consensus and making compromises is
not only difficult but can be time-consuming as
An often overlooked but important component to well. Nevertheless, creating a forum where diverse
community development is monitoring and evalu- interests can discuss issues is critical for improve-
ation. Monitoring is the act of assessing the ment of a community. In addition to stumbling
community development process as it is taking blocks and obstacles, the process itself may take
place. Monitoring functions as a way to take the time, which can be frustrating for those individuals
pulse of a community effort. It allows for adjust- and organizations that like taking action. It is diffi-
ments to be made in the process rather than letting cult to maintain interest and commitment to the
issues or situations get beyond the control of facilita- effort if participants cannot point to successes. It is
tors, a steering committee, and/or a project team to important for motivation and trust to create a
manage the process (Green et al. 2001). balance between initial actions and completing the
process that was set out so that residents can see that
Evaluation, in contrast, usually occurs after a something is occurring.
project or a plan is considered completed. At least
two types of accomplishments can be measured: The cost of the process depends on the amount
outputs – the direct and short-term results of a and types of public participation that are used
project or plan such as the number of people trained, within a process in addition to the amount and types
the number of affordable houses built, or the number of data collected and analyzed. While some forms of
of jobs created; and outcomes – the long-term results public participation are inexpensive, such as devel-
of a project or plan. Outcomes are much more diffi- oping a website, they may only act to inform resi-
cult to measure and to link directly to a specific dents rather than provide a way to gather input and
action. Outcomes that many community develop- create partnerships. Forms of public participation
ment plans aim for are long-term goals such as that call for facilitators may be more expensive;
decreased levels of poverty, a better quality of life in however, residents can be trained as facilitators to
a community, or increased levels of personal income reduce costs. Creating a process that is manageable,
(ibid.). fits the community, and fits the budget is impera-
tive; the process of community development can be
By establishing benchmarks and indicators to as important and as valuable as its products. While
more easily track the accomplishments of specific there continues to be a debate over the importance of
actions, communities are able to more usefully process versus outcomes in community development,
conduct monitoring and evaluation. “Sustainable it is clear that the ultimate goal is to improve the
Seattle” offers a good example of a nonprofit organ- quality of life for the residents in the community. In
ization that has used regional and neighborhood the long run, both process and outcomes are essential
indicators to monitor the environmental health of parts of community development.
the Seattle region in addition to using public
participation to accomplish their goals (Sustainable
Seattle 2004).

ASSET-BASED COMMUNITY DEVELOPMENT 47

Conclusion forms of capital that are necessary for a community
to thrive. Kretzmann and McKnight (1993) believe
Asset-based community development is a promising that the key to community revitalization is “to locate
approach to achieving a better quality of life and sus- all of the available local assets, to begin connecting
taining communities not only over time or in an eco- them with one another in ways that multiply their
nomic sense, but through the development of all power and effectiveness, and to begin harnessing

CASE STUDY: ASSET BUILDING ON THE SHORES OF LAKE SUPERIOR

Place-based communities across the U.S. are making changes towards a more sustainable future –
reducing greenhouse gases, becoming less reliant on fossil fuels, promoting local food systems,
encouraging green buildings, higher density and more active lifestyles. In the past two years,
approximately eleven communities in Wisconsin have declared themselves “eco-municipalities” to
indicate their commitment to move toward a sustainable future. In a small region of Wisconsin com-
prised of about 32,000 people living along the southern shore of Lake Superior, residents and
community leaders joined together in creating a strategic plan for sustainable development. Its three
small cities and one township have passed “eco-municipality” resolutions, and a series of groups
called “green teams” are taking a variety of actions initially identified in the strategic plan as well as
other actions that were not.

One of the region’s strongest regional assets is its natural capital. The region is rich in natural
resources which underlies the current economy that is based in tourism, wood products, and farming.
Within the two counties are over 1000 lakes, many miles of rivers and streams (including over 100
miles of Lake Superior shoreline), and thousands of acres of wetlands and forests. The major tourist
draw is the Apostle Island National Lakeshore comprised 22 islands in Lake Superior within a short
ferry and boating distance to the City of Bayfield. Other key environmental assets are the Kakagon
and Bad River sloughs – 16,000 acres on and around the Bad River Band of the Lake Superior Tribe
of Chippewa Indians Reservation – that represent the largest undeveloped wetland complex in the
upper Great Lakes. These sloughs have been called Wisconsin’s Everglades and were designated a
National Natural Landmark by the U.S. Department of the Interior in 1983 (Nature Conservancy
2000). This area is considered one of the healthiest wetland ecosystems in the area and produces
wild rice for members of the Bad River Tribe.

In the first half of 2007, the area cities and several organizations have each created a “Green
Team” to review each organization’s operations to determine specific ways in which sustainable
practices may continue to occur. For example, one of the first initiatives the City of Ashland Green
Team will be completing is an energy audit to determine where its energy consumption is occurring
and where it can make changes. The City of Washburn has installed energy-efficient compact fluores-
cent bulbs and tubes in the civic center and library; studied how lighting and heating can be
improved for the city garage; replaced a hot water boiler at a local park’s shower building with a
tankless coil system that operates on demand; and installed geothermal heating and cooling in
public housing designed for low-income and elderly citizens (Boyd 2007).

While the environmental capital is the motivation for the current efforts to create sustainable
communities in this small region, it is the social, financial, and political forms of capital that have
functioned to bring about the results described above in the first paragraph. Local politicians,
wealthy residents, faculty, and staff at Northland College (an environmental liberal arts college),
local environmental groups, and the League of Women Voters worked together in multiple ways over
many years to get to where they are today.

48 ANNA HAINES

those local institutions that are not yet available for Washington, DC: Brookings Institution Press,
local development purposes” (p. 5). pp. 1–31.
Future Search Network. Available online at
This chapter has defined asset-based community http://www.futuresearch.net/ (accessed June 16, 2004).
development in contrast to a needs-based approach Green, G.P. and Haines, A. (2007) Asset Building and
and has touched upon the steps in a community Community Development, 2nd edn, Thousand Oak, CA: Sage.
development process. Green, G.P. et al. (2001) RRD182 Vision to Action: Take
Charge Too, Ames, IA: North Central Regional Center
Keywords for Rural Development. Available online at
http://www.ag.iastate.edu/centers/rdev/pubs/contents/
Asset-based community development, asset identifica- 182.htm (accessed August 9, 2004).
tion, community organizing, community participa- Kretzmann, J.P. and McKnight, J.L. (1993) Building
tion, community revitalization, visioning, sustainable Communities from the Inside Out: A Path Toward Finding
development, physical capital, social capital. and Mobilizing a Community’s Assets, Chicago, IL: ACTA
Publications.
Review questions Kretzmann, J.P. and McKnight, J.L. (1996) “Assets-based
Community Development,” National Civic Review,
1 What is asset-based development, and why is it 85(4): 23.
different from past approaches? Laboratory of Community and Economic Development
(LCED) (2002) Assessing and Developing: Your Community
2 Define the types of assets that a community may Resources, University of Illinois – Extension, winter 2002
have. Issue 1(3). Available online at http://www.communityde-
velopment.uiuc.edu/toolbox/ (accessed August 9, 2004).
3 Name some of the steps in the process of Nature Conservancy (2000) “Chequamegon Bay Water-
community development and discuss their impor- shed Site Conservation Plan.” October 2000, unpub-
tance. lished manuscript.
Rainey, D.V., Robinson, K.L., Allen, I. and Christy, R.D.
4 What is the importance of social relationships in (2003) “Essential Forms of Capital for Sustainable
community development? Community Development,” American Journal of Agricul-
tural Economics, 85(3): 708–715.
5 What are some challenges to community devel- Rubin, H.J. and Rubin, I.S. (1992) Community Organizing
opment? and Development, 2nd edition, Boston, MA: Allyn &
Bacon.
Bibliography and Sherraden, M. (1991) Assets and the Poor: A New American
additional sources Welfare Policy, Armonk, NY: M.E. Sharpe.
Shuman, M.H. (1998) Going Local: Creating Self-reliant
Boyd, D. (2007) “Chequamegon Bay Communities Communities in a Global Age, New York: The Free Press.
Support Sustainability Framework,” MSA Professional Sustainable Seattle (2004) Available online at
Services Update, 18: 3. http://www.sustainableseattle.org/nd/programs/default.
htm (accessed August 27, 2004).
Chaskin, R. (2001) “Building Community Capacity: A Vidal, A.C. and Keating, W.D. (2004) “Community
Definitional Framework and Case Studies from a Com- Development: Current Issues and Emerging Chal-
prehensive Community Initiative,” Urban Affairs lenges,” Journal of Urban Affairs, 26(2): 125–137.
Review, 36(3): 291–323. Weir, M. (1988) “The Federal Government and Unem-
ployment: The Frustration of Policy Innovation from
Cohen, D. and Prusak, L. (2001) In Good Company: How the New Deal to the Great Society,” in M. Weir, A.S.
Social Capital Makes Organizations Work, Boston, MA: Orloff and T. Skocpol (eds) The Politics of Social Policy in
Harvard Business School Press. the United States, Princeton, NJ: Princeton University
Press, pp. 149–197.
Ferguson, R.F. and Dickens, W.T. (eds) (1999) “Introduc-
tion,” in Urban Problems and Community Development,

4 Social capital and
community building

Paul W. Mattessich

Social capital or capacity lies at the heart of community development. If citizens cannot plan and work
together effectively and inclusively, then substantial proactive community progress will be limited. This
chapter discusses community social capacity and how it relates to community development. Based on an
extensive review of previous studies, the chapter lists and categorizes factors that affect the likelihood that
community building efforts can succeed to increase the social capacity of geographically defined communities.

Introduction things for themselves. However, unless the social
capital that they possess becomes a resource avail-
The opening chapter distinguished social capital able to and used by the entire community, it has
(sometimes called social capacity) from human, little or no direct effect upon that community’s
physical, financial, and environmental capital. All of development.
these constitute resources that communities need to
function. The extent to which communities have Social capital: what is it?
these forms of capital influences their ability to
accomplish tasks and to develop themselves. Chapter 1 provided some definitions of social capital.
In the simplest sense, what comprises the core of
Development of a community includes, in part, these definitions are “social networks and the associ-
the building of its social capacity. Conversely, the ated norms of reciprocity” (Clarke 2004). Analogous
level of a community’s social capacity both influ- to other forms of capital (e.g., financial, human),
ences the way development evolves for that specific social capital constitutes a resource. It provides value
community and the pace at which its development to individuals and can also benefit communities. It
efforts can occur. The opening chapter of this book has effects, often called “externalities,” in economics
defined social capacity and social capital. It literature.
explained how the social capital of communities
relates to the process of community development, No single definition has achieved universal accep-
both as an antecedent that predisposes a commun- tance though eventually a common standard may
ity to further development in the “community emerge. Most definitions stress interconnections
development chain” and, as a consequence, a feature among people or social networks. Early definitions
of the community that increases as a result of tended to place emphasis on how individuals could
community development. The discussion in this use social relationships as a resource to accomplish
chapter places emphasis on social relationships goals; they did not add a community dimension to the
embedded within, and distributed throughout, a definition. More recent definitions tend to recognize
community. Individuals can amass social capital, as the distinction between social capital at the individual
well as other forms of capital. They can have strong level and social capital at the community level.
ties to social networks that enable them to do

50 PAUL W. MATTESSICH

Bourdieu’s (1986) early definition, for example, defined area. However, that capital produces few, if
focused on individuals: any, benefits for the community as a whole. In fact,
those who have such capital may actually use it to
Social capital is an attribute of an individual in exploit others in the same locality. A “map” of the
a social context. One can acquire social capital social interconnections within any of the communi-
through purposeful actions and can transform ties in the above examples would reveal one or both
that capital into conventional economic gains. of the following:
The ability to do so, however, depends on the
nature of the social obligations, connections, • Individuals with no ties to other individuals in
and networks available to you. the community but to those outside the
community. For example, many of the wealthy
In this tradition, Sobel (2002) stated that social members of the developing society, such as resi-
capital “describes circumstances in which individuals dents of the gated community, may have strong
can use membership in groups and networks to ties with business and social associates in loca-
secure benefits.” tions throughout the world.

Eventually, however, social scientists began to • Highly cohesive social networks among one or
realize that social capital in the control of individuals, more subsets of the community, with no strong
but not shared with others in the same community, ties between any of these networks. For example,
did not fit into the “community development chain” members of criminal gangs may maintain strong
illustrated in Chapter 1. It does not necessarily ties with one another or wealthy elite residents in
produce community social capacity that affects the an area may do the same.
ability of the community to develop. In fact, indi-
viduals who have such capital can even use it to the Recognition of the distinction between individual
detriment of their own or other communities. social capital and community social capital (or
community social capacity) does not negate the
Consider, for example: importance of individual social capital. An indi-
vidual’s social capital provides an important resource
• A gang or a network of organized criminals that for the individual; it has real effects. However, unless
lives and operates within a community but uses amalgamated with the social capital of others in the
its close interconnections to commit crimes and same community, it does not necessarily produce
to engage in acts that detract from the livability benefits for that community. As noted in Chapter 1,
of the community. “bonding” capital ties individuals to others like
themselves (race, economic status, nationality);
• Wealthy elite residents of a small city in a devel- “bridging” capital ties individuals to a diverse set of
oping country who separate themselves from others, some like themselves, some not.
others in the population, maintain social and
business connections with individuals and organi- Community social
zations in other locations, and channel their capacity: what is it?
financial wealth to places outside the country.
Mattessich and Monsey (1997) define community
• In a financially struggling United States city, a social capacity as: “The extent to which members of
gated cluster of town homes for high-wealth resi- a community can work together effectively.” This
dents who don’t engage in ongoing relationships includes the abilities to: develop and sustain strong
with the local population and who invest most of relationships; solve problems and make group
their money elsewhere.

In all the above cases, social capital, not to mention
financial capital, exists within a geographically

SOCIAL CAPITAL AND COMMUNITY BUILDING 51

decisions; and collaborate effectively to identify goals nitive (see e.g., Uphoff 2000). Structurally, intercon-
and get work done. Communities with high nections among people within a community create a
community social capacity can identify their needs; web of social networks. These networks facilitate
establish priorities and goals; develop plans, of community development by enabling the flow of
which the members of that community consider information, ideas, products, and services among res-
themselves “owners”; allocate resources to carry out idents. Cognitively, interconnections create a shared
those plans; and carry out the joint work necessary to sense of purpose, increase commitment, promote
achieve goals. mutual trust, and strengthen norms of reciprocity
among community residents.
The term “community social capacity” applies
holistically to an entire community. It is an attribute Intentional action to
of a community, not of any specific members. The increase social capacity
level of community social capacity depends upon the
number and strength of ties or bonds that commun- Communities often recognize the need to increase
ity members have with one another. Thus, it is a their social capacity and take steps to do so in a
form of social capital – since it involves “social net- community-building process. Mattessich and
works and norms of reciprocity” – but it distinctly Monsey (1997) offer a brief definition of community
involves interconnections among people who reside building: “Any identifiable set of activities pursued
in the same community (defined by geographic by a community in order to increase community
location). social capacity.”

If people who live within the same geographic The elements of community building come across
area do not know one another and have little contact in a longer definition from a review of comprehen-
with one another, the likelihood is low that they can sive community initiatives by Kubisch et al. (1995):
get together to define community goals or respond
productively with one voice to a community issue. Fundamentally, community building concerns
Their community social capacity is low. On the strengthening the capacity of neighborhood
other hand, if people who live within the same geo- residents, associations, and organizations to
graphic area do know one another, share a large work, individually and collectively, to foster
number of social ties, and feel a commitment to the and sustain positive neighborhood change. For
place where they live, then community social capa- individuals, community building focuses on
city is high. both the capacity and “empowerment” of neigh-
borhood residents to identify and access
How does community opportunities and effect change, as well as on
social capacity influence the development of individual leadership. For
development? associations, community building focuses on the
nature, strength, and scope of relationships
Jane Jacobs recognized the importance of commun- (both affective and instrumental) among indi-
ity social capacity for community vitality. She viduals within the neighborhood and through
observed that deep and heterogeneous social relation- them, connections to networks of association
ships seemed to enable communities to thrive; bar- beyond the neighborhood. These are ties
riers imposed upon these relationships seemed to through kinship, acquaintance or other more
lead to community deterioration (Jacobs 1961). formal means through which information,
resources, and assistance can be received and
The level of community social capacity (or delivered. Finally, for organizations, community
community social capital) influences community
development in two broad ways: structural and cog-

52 PAUL W. MATTESSICH

building centers on developing the capacity of What is community
formal and informal institutions within the building?
neighborhood to provide goods and services
effectively, and on the relationships among Community building refers to activities pursued by
organizations both within and beyond the a community in order to increase the social capacity
neighborhood to maximize resources and coor- of its members (the term capacity building is often
dinate strategies. used interchangeably as in Chapter 1). In the words
of Gardner (1993), community building involves
Community organizing can support community “the practice of building connections among resi-
building. It refers to the process of bringing dents, and establishing positive patterns of indi-
community members together and providing them vidual and community behavior based on mutual
with the tools to help themselves. The process may responsibility and ownership.”
include:

identification of key local resources, the gather- What influences the
ing of information about the community success of community
context, the development and training of local building efforts?
leaders to prepare them to serve effectively as
representatives of the community and as full The review, Community Building: What Makes It Work
partners in an initiative, and the strengthening (Mattessich and Monsey 1997) synthesized research
of the network of the various interests both on community building to identify factors that
internal and external to a community. influence its success. The factors fall into three cat-
egories:
(Joseph and Ogletree 1996)

Factors that influence the 1 Characteristics of community – social, psycholo-
success of community- gical, and geographic attributes of a community
building efforts and its residents that contribute to the success of
a community building effort.
Communities often wish to improve themselves. They
want to attract new businesses, improve housing 2 Characteristics of a community-building process
stock, reduce crime, improve the education of their – components of the process by which people
children, or accomplish any number of tasks that will attempt to build community.
better the quality of life for community residents. All
of these goals, whether adopted individually or 3 Characteristics of Community-building organizers
together by a community, constitute goals that fall – qualities of the people who organize and lead a
under the umbrella of “community development.” community-building effort such as commitment,
trust, understanding, and experience.
After adopting goals, communities often attempt
collaborative action involving individuals and orga- No community building effort has a 100 percent
nizations in order to improve themselves. Mattessich likelihood of success. Whether an effort will succeed
and Monsey (1997) synthesized the research liter- depends upon many circumstances, some within and
ature on what makes one aspect of such efforts suc- others outside the control of community residents.
cessful; that is, the aspect of “community building,” Based on the synthesis of research, it is reasonable to
a term used purposefully to distinguish it from the assume that the higher a community stands on the
more inclusive concept of community development. factors influencing the success of community build-
ing, the greater the likelihood that it will succeed in
a community-building effort.

SOCIAL CAPITAL AND COMMUNITY BUILDING 53

Building community is much like improving or influence the success of community building. If
maintaining one’s health. If someone eats nutritious present, they maximize the likelihood that an effort
food, exercises, and has regular checkups, for will succeed but there are no guarantees. Box 4.1
example, that person maximizes the likelihood of lists the success factors in community building as
good health. Good health is not guaranteed but its identified by the Mattessich and Monsey literature
much more likely. It is similar to the factors that review.

BOX 4.1 TWENTY-EIGHT FACTORS THAT INFLUENCE THE SUCCESS OF COMMUNITY
BUILDING

1 Characteristics of the community
A Community awareness of an issue
Successful efforts more likely occur in communities where residents recognize the need for some
type of initiative. A community-building effort must address an issue which is important enough to
warrant attention, and which affects enough residents of a community to spark self-interest in
participation. Residents must know that the problem or issue exists.
B Motivation from within the community
Successful efforts are more likely to occur in communities where the motivation to begin a
community-building process is self-imposed rather than encouraged from the outside.
C Small geographic area
Successful efforts are more likely to occur in communities with smaller geographic areas, where
planning and implementing activities are more manageable. Interaction is harder to achieve if
individuals are separated from one another by a great distance.
D Flexibility and adaptability
Successful efforts are more likely to occur in communities where organized groups and indi-
viduals exhibit flexibility and adaptability in problem solving and task accomplishment.
E Preexisting social cohesion
The higher the existing level of social cohesion (that is, the strength of interrelationships among
community residents), the more likely that a community building effort will be successful.
F Ability to discuss, reach consensus, and cooperate
Successful efforts tend to occur more easily in communities that have a spirit of cooperation and
the ability to discuss their problems and needs openly.
G Existing identifiable leadership
Successful efforts are more likely to occur in communities with existing, identifiable leadership –
that is, communities with at least some residents whom most community members will follow and
listen to – who can motivate, act as spokespersons, and assume leadership roles in a community-
building initiative.
H Prior success with community building
Communities with prior positive experience with community-building efforts are more likely to
succeed with new ones.

2 Characteristics of the community-building process
A Widespread participation
Successful efforts occur more often in communities that promote widespread participation, which
is:

54 PAUL W. MATTESSICH

• Representative – it includes members of all, or most, segments of the community at any spe-
cific point in time.

• Continuous – it recruits new members over time, as some members leave for one reason or
another.

B Good system of communication
Successful efforts have well-developed systems of communication within the community itself and
between the community and the rest of the world.
C Minimal competition in pursuit of goals
Successful efforts tend to occur in communities where existing community organizations do not
perceive other organizations or the leaders of a community-building initiative as competitors.
D Development of self-understanding
Successful efforts are more likely to occur when the process includes developing a group iden-
tity, clarifying priorities, and agreeing on how to achieve goals.
E Benefits to many residents
Successful community-building efforts occur more often when community goals, tasks, and activ-
ities have visible benefits to many people in the community.
F Concurrent focus on product and process
Community-building initiatives are more likely to succeed when efforts to build relationships (the
process focus) include tangible events and accomplishments (the product focus).
G Linkage to organizations outside the community
Successful efforts are more likely to occur when members have ties to organizations outside the
community, producing at least the following benefits: financial input; political support; source of
knowledge; source of technical support.
H Progression from simple to complex activities
Successful community-building efforts are more likely to occur when the process moves commun-
ity members from simple to progressively more complex activities.
I Systematic gathering of information and analysis of community issues
Successful community-building efforts are more likely to occur when the process includes taking
careful steps to measure and analyze the needs and problems of the community.
J Training to gain community building skills
Successful community-building efforts are more likely to occur when participants receive training
to increase their community-building skills. Examples include group facilitation, organizational
skills, human relations skills, and skills in how to analyze complex community issues.
K Early involvement and support from existing indigenous organizations
Successful community-building efforts tend to occur most often when community organizations of
long tenure and solid reputation become involved early, bringing established contacts, legit-
imization, and access to resources.
L Use of technical assistance
Successful community-building efforts are more likely to occur when residents use technical assis-
tance to gain necessary skills.
M Continual emergence of leaders, as needed
Successful community-building efforts are more likely to occur when the processes produce new
leaders over time.
N Community control over decision making
Successful community-building efforts are more likely to occur when resident have control over
decisions, particularly over how funds are used.

SOCIAL CAPITAL AND COMMUNITY BUILDING 55

O The right mix of resources
Successful community building efforts occur when the process is not overwhelmed by too many
resources or stifled by too few, and when there is a balance between internal and external
resources.

3 Characteristics of community-building organizers
A An understanding of the community
Successful community-building efforts are more likely to occur when organizers understand the
community they serve. This includes an understanding of the community’s culture, social structure,
demographics, political structures, and issues.
B Sincerity of commitment
Successful community-building efforts are more likely to occur when organized by individuals
who convey a sincere commitment to the community’s well-being; are interested in the commun-
ity’s long-term well-being; have a sustained attachment to community members; are honest; and
act primarily to serve the interests of the community, not of an external group.
C A relationship of trust
Successful community-building efforts are more likely to occur when the organizers develop trust-
ing relationships with community residents.
D A high level of organizing experience
Successful community-building efforts are more likely to occur when the organizers are experi-
enced.
E Flexibility and adaptability
Successful community building efforts are more likely to occur when organizers are flexible and
able to adapt to constantly changing situations and environments.

Source: Mattessich and Monsey 1997: 14–17

Conclusion community, a set of individuals who live in the same
geographic region can develop social networks and
As stated in the opening of this chapter, the develop- community social capacity; however, sustaining
ment of a community in part includes the building those networks and the social capacity requires
of the community’s social capacity. Conversely, the ongoing effort.
level of a community’s social capacity influences the
way community development evolves for that spe- In this chapter, factors were presented that
cific community; it also influences the pace at which research has demonstrated as affecting the success of
community development efforts may occur. community building, both in initial efforts to build
community and ongoing efforts to sustain commun-
It should be apparent that communities are never ity social capacity. The greater the extent to which
“built” in the finite sense of that word. Community those factors are in place, the greater the likelihood
building is a continual process, not a set of steps to a that community building can be successful.
permanent conclusion. In the process of building

56 PAUL W. MATTESSICH

CASE STUDY: COMMUNITY DEVELOPMENT IN LITHUANIA: THE CHALLENGE OF
BUILDING SOCIAL CAPITAL IN A POST-COMMUNIST SOCIETY

The centrally planned, top-down command-and-control approach to governing in communist countries
is in many ways antithetical to the principles of community development which emphasize the grass-
roots, bottom-up approach with local cooperation and self-initiative. In rural areas, the Soviet-era
collective farm policy for agriculture rendered community development and organizing not only irrel-
evant but in many cases illegal. Post-communist Eastern European villages therefore make interesting
laboratories for studying how the seeds of social capital and community development can sprout on
previously barren soil.

Juska, Poviliunas and Pozzuto (2005) provide an example of this phenomenon through a case
study of Balninkai, a small village of 500 people in eastern Lithuania. The authors note that a form of
“shock therapy” was carried out on villages like Balninkai when the state farms or kolkhoz were dis-
banded and their assets privatized with the fall of the Soviet Union. Independent family farms
replaced collective large-scale production. This major social disruption and accompanying disputes
over the distribution of land and assets led to unrest and conflicts among neighbors which further poi-
soned the atmosphere for community development. Few if any of this chapter’s community develop-
ment success factors were present in post-communist Eastern Europe and Balninkai. Preexisting social
cohesion, experience in reaching consensus and community building, and experienced leadership
were all almost non-existent.

However, by the late 1990s continuous declines in living standards and a chronic lack of eco-
nomic opportunity led to the birth of community development efforts and organizations aimed at
improving the quality of life. Necessity was the mother of invention. As the authors point out, “suc-
cessful mobilizing usually occurs when favorable opportunities are seized by social entrepreneurs or
ambitious leaders who possess skills in communicating a mission and inspiring followers.” In Bal-
ninkai, four individuals proved to be critical in the drive to create a community center: the Mayor, a
local teacher, a local priest and a rural sociologist who happened to live in the village. Immediately,
these four individuals faced a leadership challenge: the villagers would not trust or accept any top-
down form of local organizing because of their experience with communist rule. These nascent
leaders knew they had to solicit widespread support and input for any community development
effort, so they turned to the most trusted and neutral local institution for help in announcing and pro-
moting the community development effort: the Catholic Church. The Church disseminated information
on the initiative through printed materials and word of mouth, and sponsored many community
meetings.

To ensure that all residents felt they were a part of the process, a door-to-door survey was con-
ducted to solicit views on village problems, priorities, and suggestions for improvement. The survey
data was analyzed and presented at numerous community meetings. Priority issues were employment
opportunities, village beautification, cultural activities, and medical care. Of these, lack of employ-
ment opportunities represented the biggest challenge and the authors acknowledge that without long-
term concrete results in this area, the overall effectiveness of community development in Balninkai will
likely be limited. Still, community development progress has been made, with initial efforts focused
on village beautification, including improvements on the main street, construction of staircases and
decorative windmills, and planting of flowers and trees. These initial results attracted the attention of
national foundations which provided grant funding to assist with the community-development
process.

The authors report that the village is trying to transform the structure of its community development
effort from one based on volunteers to a not-for-profit organization. This is causing some difficulty
because many villagers still maintain the communist-era distrust of organizations, even local ones.

SOCIAL CAPITAL AND COMMUNITY BUILDING 57

However, rural community organizations are growing throughout Lithuania: in 2003, there were 300
such groups and just one year later the number had increased to 481. While Balninkai itself lacked
many of the community development success factors, it did embrace some of the key community-
building process factors such as widespread participation, a good system of communication, and
systematic gathering of information and analysis of community issues. The example of Bakninkai
demonstrates that community development and social capital building can occur even under the
harshest of circumstances.

The Editors

Source: Juska, A., Poviliunas, A. and Pozzuto, R. (2005) “Rural Grass-roots Organizing in Eastern
Europe: the Experience from Lithuania,” Community Development Journal, 41(2): 174–188.

Keywords Clarke, R. (2004) “Bowling Together,” OECD Observer,
242 (March) Available online at www.oecdobserver.org
Individual social capital (capacity), social capacity, (accessed April 14, 2007).
social networks, community social capital, commun-
ity (capacity), community capacity, community Gardner J. (1993) Community Building: An Overview Report
building, social cohesion, linkages, indigenous orga- and Case Profiles, Washington, DC: Teamworks.
nizations.
Jacobs, J. (1961) The Death and Life of Great American
Review questions Cities, New York: Random House.

1 What is social capital (capacity)? Joseph, M. and Ogletree, R. (1996) “Community Organ-
2 What is the difference between individual social izing and Comprehensive Community Initiatives,” in R.
Stone (ed.) Core Issues in Comprehensive Community Build-
capital and community social capital? ing Initiatives, Chicago, IL: Chapin Hall Center for Chil-
3 What is the interrelationship between commun- dren.

ity social capacity and development? Kubisch, A. et al. (1995) Voices from the Field: Learning from
4 What is community (capacity) building? Comprehensive Community Initiatives, New York: The
5 What are some key factors that influence the Aspen Institute.

success of community building? Mattessich, P. and Monsey, B. (1997) Community Building:
What Makes It Work: A Review of Factors Influencing Suc-
Bibliography and cessful Community Building, St. Paul, MN: Wilder Foun-
additional resources dation.

Bourdieu, P. (1986) “The forms of capital,” in J.G. Sobel, J. (2002) “Can We Trust Social Capital?,” Journal of
Richardson (ed.) Handbook for Theory and Research for the Economic Literature, XL (March): 139–154.
Sociology of Education, New York: Greenwood Press.
Uphoff, N. (2000) “Understanding Social Capital: Learn-
ing from the Analysis and Experience of Participation,”
in P. Dasgupta and I. Serageldin (eds) Social Capital: A
Multifaceted Perspective, Washington, DC: The World
Bank.

5 Community development
practice

John W. (Jack) Vincent II

Community development is a wide-ranging discipline that encompasses economic development.
Community development is a process whereby all citizens are involved in the process of community
change and improvement. Success in community development leads to more success in economic devel-
opment. A set of values and beliefs and ethical standards has been developed that should always guide
the community development process.

Introduction Professional community development (CD) prac-
tice could involve a community that is comprised of
As discussed in previous chapters, community devel- a single city, town, or village. On the other hand, it
opment is a broad subject incorporating many differ- may involve working with a community comprised
ent disciplines. As a process and an outcome, it is of several cities, towns, and villages, or a community
inextricably linked to economic development, which of counties that decide to form a regional develop-
may also be defined as a process and an outcome. ment organization.
Because of its multidisciplinary nature, recent
research on establishing a theoretical foundation for When considering a single city (town or village),
community development has drawn from different it is also important to realize that citizens may not
fields including sociology, economics, psychology, be residents. Those who make investments in, work
and many others. The focus of this chapter is on the in, or operate businesses in a city but live outside of
practice of community development. It provides a the city boundaries are still very much citizens and
broad overview of community development practice stakeholders of that community. Similarly, major
as a foundation for subsequent chapters dealing with corporations may also be corporate citizens who
specific aspects of community development. invest in a community and represent the interests of
the many individuals who have invested in their
First step: define the company. As the city goes, so go the fortunes of the
community investing corporation and its shareholders. There-
fore, when organizing a community development
As noted in Chapter 1, a community is not necessar- initiative, it is important to carefully define the
ily defined by geographical or legal boundaries. A community and who should be included in the
community could involve interaction among people process. The community should not be too narrowly
with common interests who live in a particular area. defined.
Or it could involve a collection of people with
common social, economic, political, or other inter- Looking to the future, CD professionals may find
ests regardless of residency. themselves working in unique communities such as
“virtual communities.” With the great advances in
computers and electronic communications, it is pos-
sible for individuals with common interests and

COMMUNITY DEVELOPMENT PRACTICE 59

concerns to have electronic communities without leadership development and self-sufficiency. To be
legal or physical boundaries. Their interactions, successful, CD initiatives must originate from the
business dealings, and common concerns may result citizens themselves. The people who live in a
in an interdependency that requires support from a community must have “ownership” of the process
community developer. This brings a whole set of and the will to work toward bringing about neces-
unique problems and opportunities to the CD sary change. Otherwise, the process will either fail
professional. or result in the creation of a plan of action that is
never fully carried out.
Practicing community
development A professional community developer’s primary
role is to facilitate the CD process. He or she is an
As noted in Chapter 1, community development is agent of change, an individual in an advisory role
both a process and an outcome. The practice of focused on helping citizens assess their current situ-
community development may be described as man- ation, identify critical issues and options for the
aging community change that involves citizens in a future, weigh those options, create a shared vision
dialogue on issues to decide what must be done of the future, and make informed decisions about
(their shared vision of the future) and then involves what they will do to make that vision a reality. If a
them in carrying it out.1 professional community developer finds dependent
citizens, he or she works to empower them so that
Critical issues addressed in the CD process they come to realize that they are not helpless and
include: jobs and economic development (business that their actions can make a positive difference in
attraction, expansion and retention, and new busi- their communities. The professional developer
ness development); education and workforce devel- moves citizens from a state of helplessness and
opment; infrastructure development and dependency to one of self-directed interdependence.
improvement; quality of life, culture, and recreation; For a community developer, success is being “no
social issues such as housing, crime, teen pregnancy, longer needed.” The professional works him or
and substance abuse; leadership development; the herself out of a job.
quality of governmental services; community image
and marketing; and tourism development. Professional community developers as defined in
this chapter would include consultants trained in the
The professional community field, but also local residents whose jobs involve
developer’s role community development activities such as economic
development, planning, community health, and a
The king (or queen) is dead! Plato’s philosopher- host of other fields. The community development
king, described in Plato’s Republic, may have been professional could also be a volunteer who is taking a
a good person, but his benevolent dictatorship is lead role in the community development process.
inappropriate in the community environment. People who spend a large portion of their time in
Assuming control and telling people what they community development activities – whether paid or
should do is a subtle form of dictatorship, regard- volunteer – may be considered professional commun-
less of the intent. Many consultants assume this ity developers. As discussed below, professional
role in such a sophisticated advisory manner that community developers can obtain national certifica-
clients do not even realize that they are relegating tion as an indication of their experience and know-
their rights and personal responsibilities. Further, ledge in the field. Whether considered a professional
this type of consulting does little to foster local community developer or not, the more local citizens
that understand the principles and practice of
community development, the more successful the
process and outcome will be.

60 JOHN W. (JACK) VINCENT II

Inclusiveness people being proactive within the framework out-
lined in Box 5.1. These values and beliefs help the
CD is based on the idea that all people are important process of decision making to be open, inclusive,
and should have a voice in community decisions, interactive, and focused on the well-being of the
have potential to contribute, resources to share, and a entire community, not just one segment.
responsibility for community action and outcomes.
Citizens are entitled to make informed decisions Community development
about the factors influencing their community. The principles of practice
process is always open and transparent. Therefore,
CD is an inclusive approach to working with people Over time, a set of principles has evolved that
who participate in the process to the extent that they also act as guides to CD practice. These principles,
are capable and interested. based on the author’s experience and observations
from over 25 years as a CD consultant and
The professional community developer uses many researcher, are:
techniques that offer citizens an opportunity to be
part of the development process. These techniques 1 Self-help and self-responsibility are required for success-
may include responding to a survey, being inter- ful development. No one knows better about what
viewed as part of a community assessment, and par- must be done or is more committed to change
ticipating in a public meeting, task force, than those who live in a community. It is imposs-
subcommittee, or strategic planning committee. ible for CD consultants to do all that is necessary
These actions greatly increase local citizen involve- for a community to realize its full potential. They
ment and, thus, the potential to improve their do not possess all the knowledge and skills
quality of life. needed by their clients’ community. The CD con-
sultant’s role is to organize citizens so that they
CD is guided by a set of values and beliefs. These realize their power, capabilities, and potential
may be thought of as mental tools that professional during the process of change.
community developers use to provide guidance and
direction for their work (see Box 5.1).

Professional community developers believe in

BOX 5.1 COMMUNITY DEVELOPMENT VALUES AND BELIEFS

1 People have the right to participate in decisions that affect them.
2 People have the right to strive to create the environment they desire.
3 People have the right to make informed decisions and reject or modify externally imposed

conditions.
4 Participatory democracy is the best method of conducting community business.
5 Maximizing human interaction in a community will increase the potential for positive

development.
6 Creating a community dialogue and interaction among citizens will motivate citizens to

work on behalf of their community.
7 Ownership of the process and commitment for action is created when people interact to

create a strategic community development plan.
8 The focus of CD is cultivating people’s ability to independently and effectively deal with

the critical issues in their community.

COMMUNITY DEVELOPMENT PRACTICE 61

2 Participation in public decision making should be free compromise both sides have win-win and lose-
and open. While not everyone can attend or lose outcomes.
participate equally in every CD activity, citizens’
opinions, ideas, and support can be sought Consensus seeking, on the other hand, supports
throughout the process. Participation may come creation of an alternative that everyone can
in many forms including the completion of support, one that was developed through an open
surveys, volunteering for a particular project, dialogue on options and is focused on producing
attending a public meeting, or serving on a com- the greatest good and positive outcomes. The
mittee or task force. process involves having all opinions heard,
options discussed (including positives and nega-
3 Broad representation and increased breadth of perspective tives of each option), and developing a course of
and understanding are conditions that are conducive to action that best addresses the identified critical
effective CD. The CD professional strives to organize issues. It is problem/solution-focused versus
a leadership group that is representative of the group- or individual-focused. Consensus seeks
community and its stakeholders. Individuals repre- win-win results that produce positive outcomes
senting all major groups within the community for all citizens.
should be offered membership in this group, and all 6 All individuals have the right to be heard in open
their constituents should be encouraged to partici- discussion whether in agreement or disagreement with
pate to some extent in the many development community norms. Participants in community
activities created in support of their shared vision. organizations owe it to themselves to hear and
consider all ideas and opinions. When everyone’s
4 Methods that produce accurate information should be views and ideas are heard, it provides more
used to assess the community, to identify critical issues, information for citizens to consider when
strengths, weaknesses, opportunities, and threats making decisions. Often ideas from different
(SWOT analysis). This assessment, or environ- individuals can be synergistically combined to
mental scan, can result in the creation of a produce even better solutions. However, indi-
community profile that details all information vidual rights should be exercised with respect
collected about the community. It may involve a and not be abused to the point of disrupting the
literature review, interviews with key informants, activities and decisions of the majority of
focus group meetings, citizen and business citizens. Individuals do not have a right to
opinion surveys, and a review of multiple statisti- filibuster.
cal and demographic data resources. Assessment 7 All citizens may participate in creating and re-creating
results support the creation of a strategic develop- their community. The wonderful thing about
ment plan and, eventually, marketing material. community development is that there is a role for
everyone. Young and old, rich and poor, highly
5 Understanding and general agreement (consensus) is educated and modestly to uneducated indi-
the basis for community change. Citizens need to viduals, and citizens of all races and cultures can
make informed decisions. Community dialogue create or join a project in support of the shared
and assessment feeds that educational process. community vision. Those with gardening as a
When making decisions, consensus should be hobby might get involved in community beauti-
sought. There is an important distinction fication. Others may have information technology
between consensus and compromise. Compro- skills that can be utilized in developing a website
mise may not always result in the best altern- and creating community marketing material.
ative being selected. Usually one group gives up Still others may have leadership and organ-
something important to get one thing it wants, izational skills that can be focused on organizing
and another group does the same. This usually and leading groups. CD professionals and citizens
results in neither side getting what they really
want, nor the best alternative for everyone. In

62 JOHN W. (JACK) VINCENT II

should always be looking for new individuals to group forms and moves through a normal
involve in the process and align their experience, developmental cycle.
knowledge, skills, and interests to the work that
needs to be done. These principles are very practical and, when used,
8 With the right of participation comes the responsibility will protect a working group from selective partici-
to respect others and their views. Every citizen should pation that can create mistrust, rumors, misinforma-
be treated with respect and kindness. The CD tion, destruction of worthwhile efforts, and loss of
professional must work diligently to facilitate the key participants. Increasing the breadth of
process so that individuals feel positive about representation helps ensure that many different
their own participation while respecting the points of view are heard. This leads to the ability to
rights of others. It is possible to be both fair and implement decisions. General agreement also leads
firm. Personal attacks or personalizing issues and to a commitment to implement changes and a posi-
ideas is counterproductive. It forces individuals tive working relationship that supports long-term
into defensive posturing and conflict that disrupts development initiatives. By hearing everyone, even
progress. those who disagree, it is possible to assemble a broad
9 Disagreement needs to be focused on issues and solutions, base of information. Sometimes those who disagree
not on personalities or personal or political power. Dis- with the majority or general opinion may be right;
agreement is not a bad thing. It is a normal result their “weird” ideas or opinions may foster creative
of human interaction. As thinking individuals, thinking in the group and innovative approaches to
humans naturally have opinions and develop solving long-term or difficult problems.
alternatives based on their own life experiences,
education, values, culture, and beliefs. CD profes- The community
sionals focus the group on what can be done development process
instead of what cannot be done, and on areas of
agreement rather than on areas of disagreement. The central theme of CD is that people, in an open
This focus avoids getting bogged down trying to and free environment, can think and work together
resolve irreconcilable differences. The focus of CD to fashion their own future. However, when
activities needs to be on problem identification communities face serious problems, there is a tend-
and solutions rather than on who did what to ency for citizens to feel frustrated and helpless.
whom when, or whose opinion or idea is the most Anger develops and is often focused on each other.
important. The importance of ideas is not in their Certainly someone must have caused these prob-
origins but in their utility for addressing lems. Differences among residents are exaggerated
community concerns. and passions run high. The community tends to
10 Trust is essential for effective working relationships splinter (e.g., rich vs. poor, white vs. black, long-
and must be developed within the community before it term residents vs. newer residents, residents vs.
can reach its full potential. An old cliché states non-resident property owners and business oper-
that trust must be earned before it can be given. ators, and voters vs. elected officials). The CD pro-
There is generally a lack of trust among the very fessional often begins his or her work in a very
community groups that must work together in contentious environment.
order for the community to be successful. This
is particularly true in communities where there One of the most difficult roles that a professional
are many problems. Trust will only be developer has is facilitating communication within
developed if the preceding principles are prac- the working group so that all views are heard and
ticed and supported within the community. discussions do not degenerate into non-productive
Development of trust will take some time as the complaint sessions and personal arguments. There is

COMMUNITY DEVELOPMENT PRACTICE 63

a fine line between facilitating meetings and mani- task force. It could be a new, independent organ-
pulating meetings. This is a tightrope that all CD ization that has broad representation from many
professionals must learn to walk. This is a particu- different community organizations and includes a
larly difficult task for those professionals who live broad cross-section of community leaders. Or it
and work full-time in the communities where they might be an inclusive group sponsored by a suc-
are consultants. The professional community devel- cessful community organization such as a
oper has to continually reflect on his or her actions to Chamber of Commerce or economic development
determine whether they are facilitating or directing, group. The most successful development organi-
providing information or solutions. zations are public–private partnerships that
involve a blend of prominent citizens, religious
Information and professional experiences should and neighborhood leaders, major community
be shared carefully so as to provide examples, stakeholders (such as major property owners and
options, and possibilities for consideration versus managers of major businesses owned by external
telling citizens what they must or should do. If investors), elected officials, and local business
actions and ideas come primarily from the profes- leaders.
sional developer, they are not likely be supported or • Create a mission statement – This may be a mission
implemented. statement for a strategic planning committee
detailing why it was formed and what they aim to
It is important to realize that people support accomplish. This statement is important because
what they help develop. The opposite is also true. it lessens the threat to and helps prevent role con-
Many perfectly written plans created under the flict with other community organizations by
direction of knowledgeable professionals with good communicating its unique mission and role.
intentions, and at significant cost, lie unused in city Further, it keeps the group focused and helps
hall bookshelves throughout the world. The consul- prevent “mission creep,” namely a loss of focus
tants did part of their job. They were asked to create and drifting away from the primary purpose for
a plan and they did; but without citizen participa- which a group was formed. The following is a
tion and ownership, the plan is useless. Participation mission statement for a development organization
promotes citizen ownership of and commitment to in Phillips County, Arkansas:
the actions that have been planned.
The Phillips County Strategic Planning Steer-
CD is a process through which people learn how ing Committee will generate planned action
they can help themselves. Self-help is the cornerstone that rebuilds the community on a shared vision
of CD. Through self-help, people and communities of the future using a focused alliance of
become increasingly interdependent and independ- community groups, leaders, resource partners,
ent rather than dependent on outsiders to make and and stakeholders.
implement decisions.
• Identify community stakeholders – Who are the
The CD process is a set of steps that guide the stakeholders that should be involved in the
identification of a program of work and movement process? What roles should they play? When? For
toward the ultimate CD goal. These steps require practical reasons, inviting all citizens to all meet-
the involvement of community members and serve ings is not only an inefficient use of human
as a guide to problem solving, planning, and com- resources, but prevents detailed analysis and dis-
pletion. The steps do not necessarily follow a sequen- cussion of critical issues and the development of
tial path. They may not follow the exact sequence strategies. Initially, a representative group of cit-
below, and some may occur concurrently. The steps izens has to be created. As its work progresses,
are as follows:

• Establish an organizing group – This might be a
strategic planning committee or development

64 JOHN W. (JACK) VINCENT II

more and more citizens are involved by serving tion to newspapers, it may be possible to use local
on subcommittees, task forces, or project teams television stations or public access cable channels
through which they provide information, opin- as well as Internet websites. In addition, strive to
ions, ideas, and questions; challenges to the status establish two-way communications by providing a
quo, approval of the final plan, and help in imple- phone number and an email address which the
menting it. public can use to send ideas, comments, and ques-
• Collect and analyze information – Before beginning tions about what is being done.
work, it is important to identify the current • Expand the community organization – Once an
community environment. There are many organizing group is established, additional orga-
methods of conducting this environmental scan, nizations and citizens can be involved in address-
and many types of information that may be gath- ing specific problems that are of direct interest to
ered in support of community development. It is them. For example, an economic development
often useful to assemble a community profile. subcommittee might be created, and its member-
This is a statistical overview of the current and ship expanded to include additional business
past demographics of the community – income, leaders; representatives from development boards,
population growth/decline, age of the population, airport, and port commissions; vocational educa-
community boundaries, population density, tional institutions; and economic specialists from
major employers, employment by sector, and so the state or other governmental agencies. Sim-
on. Other useful tools include surveys of various ilarly, a tourism development subcommittee
types. A business opinion survey is useful in iden- might be created where additional hotel, restau-
tifying economic issues and conditions that are rant, gift shop, and tourist attraction operators
impacting the community. This survey is also would be invited to participate in discussions to
useful in retention and expansion program efforts. determine how tourism might be expanded and
It surveys a sampling of local businesses and seeks supported within a community. This expansion
opinions about the quality of local government, continues the process of conducting a community
infrastructure, workforce, and other issues dialogue that began with the environmental scan.
impacting business growth. Citizen attitude • Create a vision statement – As soon as the develop-
surveys are also useful in identifying a variety of ment group have identified the critical issues and
issues that impact both economic and quality of conducted a SWOT analysis, they can create a stra-
life factors. Other assessments include compre- tegic vision. This forward-looking vision statement
hensive studies, surveys, and leadership work- provides guidance and direction for the actions
shops that examine all aspects of the community that will be taken to make improvements. It is
in order to identify critical issues and the usually one sentence that embodies the desired
strengths, weaknesses, opportunities, and threats state of the community in the future. It must be a
(SWOT analysis) impacting development. vision that can be realistically achieved within 15
• Develop an effective communications process – It is to 20 years but should have enough “stretch” to
extremely important to keep an open line of com- challenge the community to achieve dramatic
munication with the public. This will ensure that positive change. Below is a strategic vision for
the process is inclusive and that activities are trans- Kaniv, Ukraine, that was developed in 2005.
parent. Many development activities are conducted
by citizen representatives without a large public By 2020, Kaniv will be: The spiritual capital of
attendance. It will be important for them to keep Ukrainians, where tourist attractions, communal
their constituents informed, but this should not be infrastructure, education, culture, and scientific,
the sole source of communications. If possible, ecologically-clean, high-tech industries are
involve the local press in the CD process. In addi- brought together for the well-being of people.

COMMUNITY DEVELOPMENT PRACTICE 65

• Create a comprehensive strategic plan – After the team’s role is to manage the process, assisting
development group have created the vision they those charged with implementing goals and
would like to achieve, they begin to create a stra- objectives to move the process forward.
tegic plan to support the achievement of that
vision. This can be done by subcommittees or The plan management team might initially
task forces, each working on one of the critical meet twice a month to get an update on the
issues. Communication between the subcommit- overall progress of the plan. Later they might
tee chairs is important to avoid duplication of meet once every two months. They are also
effort and to share ideas that may be useful for charged with making periodic written and verbal
other groups. The typical structure of a strategic reports to the entire group, which might meet
plan is a list several goals, each supported by quarterly or semi-annually. Throughout the
numerous objectives. process, the work is continually being imple-
An effective plan will be realistic and credible. mented by those responsible for goals and
Objectives are written down so that they have objectives.
specific completion dates and clear measurable • Implement the plan – Implementing the plan is
outcomes. They are also supported by specific when the “rubber meets the road.” It is a crucial
tasks and milestones that lead to achievement of time that the plan management team needs to
the objective. Each objective should include the monitor very closely. Objective team leaders can
names of individuals responsible for its comple- be quickly discouraged if they do not see results.
tion as well as the funding and resources to be For that reason, it is important to build early suc-
used. If an objective does not have an individual cesses into the planning process. When facilitat-
responsible for managing it or funding or dedi- ing the process, the CD professional, plan
cated resources, it should not be included in the management team, and committee chairs should
plan. include some objectives with the following
characteristics:
• Identify the leadership and establish a plan manage-
ment team – From the very beginning of the • short time frame for implementation
process, the CD professional needs to identify • highly visible
those who will become leaders and champions of • money and resources are available
the process when he or she leaves. These indi- • popular with the vast majority of residents
viduals may come from the original organizing • low risk of failure.
group; be the chairs of some of the committees,
subcommittees, and task forces; or come from Ensuring early success is important because it
individuals included in the process as it expands builds momentum, helps attract additional vol-
to involve more citizens. Generally a group of unteers, and instills the belief that things are
seven to nine individuals should be identified and changing for the better.
selected by the entire planning committee to • Review and evaluate the planning outcomes – One key
become a plan management team. aspect of total quality management is the Plan,
Since it is unrealistic to have a large group of Do, Check, and Adjust cycle. It is also important
individuals meet frequently, the plan manage- to realize that planning is a dynamic process and
ment team is charged with acting on the plan- that the plan is a living document. Some objec-
ning committee’s behalf. The team meets tives will be completed ahead of schedule. Others
periodically to manage the ongoing process, and will be delayed, and their time schedule must be
its membership should reflect the public–private revised. Some will have to be eliminated because
nature of the group by including representatives of changing environmental conditions or the loss
from each of the critical issue/goal areas. The or lack of anticipated funding. Most interest-
ingly, however, is the fact that new objectives

66 JOHN W. (JACK) VINCENT II

will be created and added to the plan as environ- How does community
mental conditions change and new challenges and development practice
opportunities emerge. relate to economic
development?
The plan management team should perform
periodic evaluations of the plan, including a Traditional economic development (ED) focused on
review of each objective. What is going well? the attraction and location of businesses (industrial
What problems need to be addressed? What development) in a community. The focus was strictly
needs to be changed? Their primary mission is to on job creation and business investment. In recent
keep the planning activities and the community’s years, economic development has been expanded to
progress moving forward so that the shared vision include the retention and expansion of existing busi-
can be realized. nesses as well as the incubation of new businesses.
• Celebrate the successes – Winning events need to
be built into the planning process. In addition Attraction of new business development is a
to an annual report and celebration of the very competitive process. Each year thousands of
community’s accomplishments, it is important communities in hundreds of countries compete on a
to have smaller ongoing celebrations that continual basis for new business facilities. Location
provide reward, recognition, and continued decisions are usually driven by economics, competi-
motivation for volunteers and citizens. A com- tion, and cost decisions. During the latter part of
prehensive reinforcement process could be the twentieth century, much of the rural southern
developed and implemented and could include United States lost unskilled jobs to foreign
having publicity in the newspaper; drinks and workers. The same quality of labor for cut-and-sew
snacks, gifts and discount certificates, and/or operations, for example, could be found in Hon-
awards for volunteers; and special T-shirts or duras, Vietnam, Sri Lanka, and China for a much
hats for those who do the work. Since motiva- lower cost.
tion is unique to each individual, leaders are
charged with structuring celebrations into their An economic developer might promote a
activities that continue to recognize, reward, community to a business investor based on a very
and reinforce volunteer efforts. Simply put, par- specific set of objective, but narrow criteria.
ticipation in the planning process should be fun, However, at some point the investor will visit
and citizens should want to participate. “short-listed” communities to select a location. It is
• Create new goals and objectives as needed – A compre- at that point that the realities of the location are
hensive plan usually has several goals, each sup- driven home.
ported by a number of objectives. It contains a
multitude of projects that will be completed at Not every community can be successful in loca-
different times. Some objectives actually lay the ting major industries. Often conditions other than
foundation for what must be done next for the available sites and buildings, labor costs, and loca-
community to realize its shared vision. As stated tion incentives impact location decisions. For the
above, the community and the plan operate in a decision maker, these other factors may be very
dynamic environment. In order to remain rele- subjective and could be related to personal, cultural,
vant, the plan must be continually updated, and sociological, and quality of life issues. Some of these
new goals and objectives added as others are factors are directly under the influence or control of
achieved or completed. local leaders and citizens.

A shortcoming of traditional ED activities is that
they are focused on the “now” rather than on the
future. What business can I locate here based on the
current resources (e.g., labor, raw materials, location,
infrastructure capacity, and available buildings or

COMMUNITY DEVELOPMENT PRACTICE 67

BOX 5.2 HOW COMMUNITY DEVELOPMENT CREATED ECONOMIC
DEVELOPMENT IN SLOVAKIA

Representatives of a major Japanese electronics manufacturer were visiting a location in
Trnava, western Slovakia. They were in Trnava during the Christmas season (St. Nicolas Day).
At night, the historic town center was brightly decorated and lighted. Fresh snow had just
fallen, and children and parents were on the street celebrating. Saint Nicholas was making his
rounds visiting homes and delivering gifts to children. It was a totally unplanned coincidence,
but one that demonstrated many aspects about the city’s quality of life. After witnessing this
event, the selection team told the economic developer, “We will visit the other cities, but we
have already made our decision.” It was obvious that the site selection team was greatly
impressed with the spirit of the town and its people, which was very visible during the holiday
event.

sites)? What is the best business development match • High-quality, affordable housing and a variety of
for a specific community based upon its current housing for citizens at all income levels.
strengths? Traditional ED activities were not focused
on addressing problems such as social issues that, if • Quality and affordable health care and emergency
solved, could result in making a community an services.
attractive location for different industries. Initially,
ED was asset marketing focused on “picking the • Recreational and cultural activities (golf courses,
low-hanging fruit.” resorts, parks, festivals, theaters).

On the other hand, community development • Safe, crime-free community.
tends to be a long-term process. It is holistic in that • Honest and effective government that delivers
it sees all aspects of the community as related and as
affecting development. Citizens and business efficient services.
investors want more than just jobs or a good invest- • Good infrastructure including roads, drainage,
ment location. They know that their managers and
technical workers will move there to work and live. water and sewage services, solid waste disposal,
Therefore other desirable traits, “soft factors,” drive and so on.
the final selection process. These include: • Reliable and competitively priced utilities (elec-
tric, gas, and telecommunications).
• Effective community leadership.
• High-quality education for pre-school, primary, What do community
developers do?
secondary, higher education, and workforce train-
ing and retraining. Positive change in communities is driven by many
• Economic development that creates a variety of factors. Therefore, positive change will be difficult to
quality job opportunities through the attraction bring about by working on only one or two projects.
of new businesses, the retention and expansion of Community development has to take a holistic
existing businesses, and support of entrepreneur- approach to organizing, planning, and implement-
ship within the community. ing change. The CD process identifies and organizes
• Attractive community known for its “curb local leadership, involves the public, identifies crit-
appeal.” ical issues, creates a plan, and implements actions to
solve problems across a broad spectrum of areas so
that desired change occurs.

68 JOHN W. (JACK) VINCENT II

As part of their practice and by the very nature – Organize community groups.
of the community environment, professional – Recruit and work with volunteers.
community developers perform “grass-roots” eco-
nomic development. A community may have a very • Leadership development
desirable building or green field site available. Ini- – Recruit leaders.
tiating a marketing campaign to attract businesses – Conduct learning needs assessment; create
to these sites may fail, however, if some underlying and evaluate training and development
development issues are not addressed before or con- activities.
currently with the marketing initiative. The local – Deliver training and development
workforces’ skill level may need to be addressed. activities.
Social issues, such as a high percentage of the
working-age population abusing illegal substances • Economic development
and alcohol, may prevent successful business attrac- – Create and manage business attraction
tion. The community’s “curb appeal” may also programs.
detract from its competitiveness. The local infra- – Support expansion and retention of
structure may be at or near full capacity or be in existing businesses.
need of major renovations. – Create and deliver entrepreneur training
and business incubation activities.
CD professionals draw on many knowledge and – Foster technology transfer to help
skill bases in order to be successful in their work. businesses regain/retain their
Some professionals are generalists, while others spe- competitiveness.
cialize in one or more areas of the CD practice. In
their practice, professionals may be found to perform • Public and private development financing
one or more of the following functions (while not an – Identify governmental grant opportunities
exhaustive list, the following provides an overview of and write applications.
the broad range of knowledge, skills, and abilities – Identify foundation grant opportunities
exercised by CD professionals): and write applications.
– Seek venture capital sources and write
• Community assessment applications.
– Perform statistical and demographic – Assist businesses in writing bank and
research. financial institution loan applications.
– Organize citizens to conduct assessments
(environmental scans). • Community land-use planning and research
– Design and conduct surveys. – Plan industrial parks, commercial and
– Prepare and present assessment reports. residential developments.
– Plan and design utility infrastructure.
• Strategic planning – Plan and design roads.
– Organize a planning committee. – Plan and design seaports and airports.
– Facilitate the planning process. – Plan and design parks and recreational
– Assemble and edit the plan. centers.
– Assist in plan implementation and
management.

• Organizational development
– Identify stakeholders.
– Recruit volunteers.

COMMUNITY DEVELOPMENT PRACTICE 69

Professional standards of • Community development is inclusive and
ethical practice involves developing leaders and building teams
across class, gender, racial, cultural, and religious
Every profession has a set of ethical standards that it lines.
expects its members to follow. Certified Professional
Community and Economic Developers (PCED) sub- • Community development is more than social
scribe to the following ethical standards adopted service programs and “bricks and mortar” con-
by the Community Development Council (CDC – struction. It is a comprehensive initiative to
www.cdcouncil.com). These are based largely on the improve all aspects of a community’s interde-
Standards of Ethical Practices of the International pendence: human infrastructure, social infra-
Community Development Society from which the structure, economic infrastructure, and physical
CDC professional certification process originated. infrastructure.
Failure to adhere to these principles and ethical prac-
tices may result in the Community Development • Community development involves consensus
Council rescinding a professional’s certification. building that looks for the best solutions to
community problems rather than only those that
Professional values are politically expedient or popular or that benefit
a few citizens.
The following values guide the professional practice
of community development: • Community development is directed toward
• Honesty increasing a community’s leadership capacity for
• Loyalty solving problems and moving citizens from
• Fairness dependence to interdependence.
• Courage
• Caring • Leadership in community initiatives is shared so
• Respect that responsibility and commitment are encour-
• Tolerance aged across a broad base of the population.
• Duty
• Lifelong learning • Development leaders work to transform their
communities for the better and inspire others to
Professional principles do the same.

• The purpose of community development is to • Community development is an educational
raise living standards and improve the quality of process that helps citizens understand the eco-
life for all citizens. nomic, social, political, environmental, and psy-
chological aspects of various solutions.
• Community development seeks to build initia-
tives around shared values and critical issues after • Community development is focused on action
identifying existing strengths, weaknesses, that improves communities by transforming
opportunities, and threats. learning into performance.

• Positive change begins with creating a shared • Community development includes economic
vision that can be transformed into reality by the development initiatives that help bring high-
actions of citizens using goals, objectives, and quality employment, career, and business
action plans. opportunities to citizens.

• Successful initiatives at the community level lay
the groundwork for regional alliances and cooper-
ation directed toward solving common problems.

70 JOHN W. (JACK) VINCENT II

Ethical standards sional colleagues whose behavior is in question or
when the colleague requests assistance in resolv-
Ethical standards adopted by the Community Devel- ing ethical or legal dilemmas at a personal level.
opment Council are as follows: • Notify the Community Development Council
when ethical and legal dilemmas are unable to be
• Establish and maintain a professional and objec- resolved at a personal level.
tive relationship with the client community and
its representatives, one that advances the ethical Getting started
standards of practice.
1 Ground rules – It is often helpful to make copies of
• Always perform in a legal and ethical manner. the values, principles, and process of CD and to
• Immediately disengage from activities when it distribute them to participants in the process.
They may be used as a checklist or reference for
becomes apparent that they may be illegal or guiding the process. You may also help the group
unethical, reporting illegal activities to the create a set of ground rules that will guide their
appropriate authorities as required. group activities. This might involve such topics
• Adhere to the professional principles outlined as confidentiality, conflict of interest, and resolv-
above. ing disagreements. It may also be useful to guide
• Clearly and accurately detail personal knowledge, the group through the creation of a credo that
experience, capabilities, and the outcomes of past lists their beliefs and values. These actions will
consulting when requested. help guide the CD process and serve as a tool for
• Clearly and accurately detail the scope of work to the facilitator to refocus the group when prob-
be performed (and its anticipated outcomes), and lems occur.
the fee for and terms of that work prior to engag-
ing in consulting. 2 Ice breaker – Ask people to make a list of all the
• Avoid conflicts of interest and dual relationships, topics they know well enough to teach someone
especially those that could result in or appear to else. Either post the results on a flip chart page,
result in personal benefit (outside the scope of whiteboard, or project the results on a wall or
work) at the expense of a client community or its screen using a digital projector and a laptop so
representatives. that all participants can see the results. This exer-
• Disengage from activities that may result in one cise can help citizens come to realize the wide
group or individual unethically or illegally bene- range of resources within the group. You may
fiting at the expense of another. want to record this information for future refer-
• Adhere to all professional principles and practices ence as a guide for involving individuals in later
regarding selecting, administering, interpreting, activities.
and reporting community assessment measures.
• Keep confidences, and only reveal confidential Conclusion
information at appropriate times and with proper
authority. This chapter has provided a broad overview of the
• Maintain confidential records in a secure location practice of community development. It has discussed
and under controlled access. community development values and beliefs, practice
• Discuss ethical dilemmas that arise with other principles, the community development process,
Certified Professional Community and Economic community development tasks, and professional
Developers or the Community Development standards of ethical practice.
Council to solicit guidance and opinions regard-
ing possible actions.
• When feasible, consult confidentially with profes-

COMMUNITY DEVELOPMENT PRACTICE 71

Professional community developers include con- developers. People who practice community develop-
sultants and those whose jobs include community ment should be aware of its underlying beliefs,
and economic development activities. Volunteers values, and ethical standards. The more familiar all
who devote a significant portion of their time to local citizens – not just professionals – are with the
community development and community activities principles of community development practice, the
might also be classified as professional community more success a community is likely to enjoy.

CASE STUDY: MAYVILLE AND LASSITER COUNTY

Mayville is a town with a population of 50,000 in the south central portion of the United States.
It is the county seat of Lassiter County. In its early years, Mayville grew as an agricultural market,
a transportation hub, and a central location for regional services and retail. German immigrants
came into Mayville in the early twentieth century and established many of the retail businesses.
To this day, the town still has several excellent restaurants founded by the German immigrants.
On one side of the menu is traditional German fare and on the other side is traditional southern
fare.

In the latter part of the twentieth century, Mayville attracted several manufacturing operations
paying good wages and the town prospered. Most of these industries located within the city limits
because of good municipal services. Despite the fact that people commuted from all over the county
(and surrounding counties) to Mayville and these good jobs, county elected officials often seemed
envious of the jobs and industries in Mayville. Some of them even began to believe that the city,
which had a strong economic development program and staff, was actively steering prospects and
jobs away from the county and into the city.

Despite this mistrust, the economies of Mayville and Lassiter County continued to prosper
because of the good local industries. Amidst this prosperity, many county elected officials remained
suspicious that the city did not have the county’s best interests at heart. Some county officials and
residents even came to believe that city residents looked upon them as uneducated “rubes” who did
not deserve high-wage jobs.

One day both the city and the county received notice that the local U.S. military base was on
the Base Realignment and Closing (BRAC) list to be considered for downsizing or closing. For the
first time, the city and county faced a common imminent danger and were required to work
together. They formed a Local Re-use Authority (LRA) to begin contingency planning in case the
base did close, although the initial job of the LRA was to make the case to the Department of
Defense that the local base should not be closed.

The LRA hired an outside consultant to help develop the contingency plan, which included a
strategy for economic development in the city and county to replace the jobs that might be lost
through base closure. Following the principles of community and economic development practice,
the consultant conducted an assessment of the community identifying the strengths and weaknesses
and performing a SWOT analysis. The consultant conducted interviews with business leaders,
elected officials, and other community stakeholders; and public meetings were held to solicit feed-
back and ideas.

City officials forewarned the consultant about the negative attitude and lack of cooperation on
the part of the county, saying they were at a loss to explain this behavior. Despite this warning, the
consultant was shocked at the first meeting with city and county officials together in the same room.
Not only would certain county officials not cooperate and help develop the strategic plan, they
were outright hostile to city officials, essentially claiming that the city did not respect them. It was