Sociological Practice Volume 8 Issue 1 Community Development and Other Community Applications

Article 5

January 1990

Six Models of Community Intervention: A Dialectical Synthesis of Social Theory and Social Action Drew Hyman

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Recommended Citation Hyman, Drew (1990) "Six Models of Community Intervention: A Dialectical Synthesis of Social Theory and Social Action," Sociological Practice: Vol. 8: Iss. 1, Article 5. Available at: http://digitalcommons.wayne.edu/socprac/vol8/iss1/5

Six Models of Community Intervention: A Dialectical Synthesis of Social Theory and Social Action

Drew Hyman

ABSTRACT

Two dominant theoretical perspectives-systems theory and conflict theory-underlie major approaches to community intervention. This paper presents a conceptual linkage between models of intervention for planning and organizing as developed by Rothman and elaborated by Stockdale and major sociological theories of society. Two additional models are presented to address issues of management and administration. The six models are integrated into a typology which integrates the conflict and consensus theories of society in relation to the six strategies. The result is a synthesis of six models for community engagement which is rooted in dialectically opposed theories of society, and which addresses the major functions of any system or organization—planning, organizing/implementation, and management.

The inquiry into community intervention models to date has been practice- driven, with theory following the emergence of models in the field rather than vice versa. This paper suggests that two dominant theoretical perspectives in Western

This article is a revision of one published in Sociology and Social Welfare 13/2 (June 1986):265-87. It is printed here with permission of Sociology and Social Welfare.

Prior to Jack Rothman's (1968) classic article, the literature and practice of community intervention were directed primarily to community-based grassroots which emphasized educational methods and self-help projects. Rothman notes that in the 1960s a "social action" approach emerged in the civil rights and welfare movements associated with Saul Alinsky and the Industrial Areas Foundation, as well as the anti-Vietnam War movement, and aspects of community action programs associated with the War on Poverty. Similarly, Perloff (1961) and Morris and Binstock

32

SIX MODELS OF COMMUNITY INTERVENTION 33

thought underlie major approaches to community intervention. Conflict theory and consensus (or systems) theory each provide a basis for specific theories of action. The paper has four objectives: (1) to create a typology which integrates models of community intervention in relation to the conflict and consensus theories of society; (2) to examine the conceptual linkage between four Rothman/Stockdale models of intervention and major sociological theories of society; (3) to present two additional models of intervention which provide a basis for including management and administration in the framework developed herein; and (4) to explore the inter- relationships of the models of management and administration to both the theories of society and the other models of intervention. The resulting synthesis provides six models for change action which are rooted in dialectically opposed theories of society, and which address major functions of any organization or system: plan- ning, organizing/implementation, and management.

Consensus and Conflict: The Theoretical Dialectic

The consensus and conflict perspectives have deep roots in human thought. In Western philosophy and science, fundamental differences between Plato and Aristotle, Rousseau and Hobbes, and Weber and Marx, can be seen to revolve around the question of whether human societies are rooted in rationality, con- sensus and shared values, or whether they are characterized by subjectivity, conflict and constraint. Dahrendorf (1959) identifies the dialectical charac- teristics of the two competing macro-views of society. According to consensus theory, social order results from a dominant set of shared values. People create communities to promote common interests and to escape from the "nasty, brutish and short" life of the pre-civilized. This perspective, in turn, leads to an integration theory of society which suggests that society is a relatively stable equilibrium based on a consensus of shared values and common patterns of interaction. Systems theory tends to be associated with this perspective. The competing approach, conflict theory, asserts that the social order is based on domination and constraint. Communities result from a survival of the fittest contest wherein the prize to the winners is the right to impose their will on others. This perspective, in turn, leads to a coercion theory of society wherein contending forces continually vie for domination and control: conflict and change are ubiquitous. The theorist points out that these theories represent "two faces of society" and should be viewed as such. Each side focuses on certain

(1966) articulate "social planning" as an approach to community intervention. Hence Rothman;s three models-locality development, social action, and social planning. In the mid-1970s, Stockdale (1976) suggested that the social planning model should be bifurcated to reflect differences between more centralized and community-wide planning and community or interest-based "advocacy planning."

34 SOCIOLOGICAL PRACTICE/1990

aspects of the totality to explain certain phenomena. Consensus or systems theory asks why societies hang together, and conflict theory asks why they change. Reality reflects each face from the perspective of the viewer. By being aware of both of these perspectives, we can dialectically approach the questions of change and stability with the understanding that each is but a face of the other.

The following sections explore six strategies, or models, for directing and changing community systems and human services programs. The first four models of change, which address planning and organizing, have been articulated previously by Rothman (1968, 1974) and Stockdale (1976) and are simply sum- marized here. The last two models are developed herein to extend the previous works to management and administration.

Two Models of Organizing and Implementation

"Locality development" and "social action" are the two models of organiz- ing identified by the Rothman/Stockdale typology. Locality development con- forms most closely to the consensus theory of society and is thus associated with traditional community development. It emphasizes self-help and concerted local action by the overall community. Implementation and change are seen as a matter of communication among leaders and citizens (and planners) to gain an understanding of what needs to be done. Thus, the practitioner serves the process of facilitation of communications and interactions among all concerned. As stated by Rothman (1974:34):

The basic change strategy involves getting a broad cross section of people involved in studying and taking action of their problems. Consensus strategies are employed, involving small- group discussion and fostering communication, among com- munity subparts (class, ethnic, and so forth). The practitioner . . . is especially skilled in manipulating and guiding small-group interaction.

Locality development, therefore, assumes that the community is comprised of people who share values and orientations, and who subscribe to democratic processes of decision-making and control. President Lyndon Johnson's favorite phrase, "Come let us reason together," typifies this model. The contrasting model, social action, also emphasizes grassroots strategies, but it views the community as a hierarchy of privilege and power. The task, therefore, is to confront the community with a show of influence or force to convince the authorities that change is in order. Rothman puts it this way (1974:35):

SIX MODELS OF COMMUNITY INTERVENTION 35

The basic change strategy involves crystallizing issues and organizing indigenous populations to take action on their own behalf against enemy targets. Change tactics often include conflict techniques, such as confrontation and direct action-rallies, marches, boycotts (as well as "hard-nosed" bargaining). The practitioner … is skilled in the manipulation of mass organizations and political processes.

The overall goal of locality development is to enhance the relationship between the community power structure and its citizens. This approach assumes that all parties have, or can come to have, common interests, and any differen- ces are reconcilable through rational discussion and interaction. The overall goal of social action, on the other hand, is to redress an imbalance of power between dominant and minority groups, and to gain allocations of resources for a seg- ment or disadvantaged group. This model presumes that the power structure will not give up its benefits and privileges willingly. The social action model is appropriate where a community segment or disadvantaged group is involved. The fundamental difference between the models is clear: consensus versus con- flict. These two faces of grassroots action present most clearly the implications of the two theories of society for community practice.

Two Models of Planning

The Rothman/Stockdale view of social planning also specifies two models which can be associated with the conflict and consensus theories of society. The two models of planning which reflect these approaches as identified by Stock- dale (1976) are "traditional planning" and "advocacy planning." Traditional planning conforms most closely to the idealist rational-comprehensive model, and thus is associated with the consensus theory of society. It emphasizes broad goals related to the overall community and seeks to address substantive social problems—health, housing, justice, nutrition, etc. A community-wide plan for recreation or health based on an overall assessment of needs and problems would be typical. Traditional planning is based on the premise that our highly complex and technological postindustrial society requires technical experts to design and to anticipate the future. The contrasting model, advocacy planning, also utilizes technical skills and leadership, but tends to focus on subgroup or subcommunity problems—neighborhoods, disadvantaged groups, and unserved or underserved segments of the community. Problem-solving is directed at real- location of resources toward a particular segment or problem area. Fact-gather- ing and analysis are fundamental and are employed from an activist-advocate perspective. Advocacy planning would work for improved recreation, health care, nutrition, or community control of police, for example, in a particular neighborhood, or for a subgroup of the broader community.

36 SOCIOLOGICAL PRACTICE/1990

Traditional planning is most closely associated with the consensus theory of society, and thus relies on the existing power structure for support and implemen- tation. Advocacy planning, in that it addresses community subgroups or segments, is in a conflict position and requires campaign or contest tactics. The conflict theory of society provides the more appropriate perspective for the advocacy planner. It follows that traditional planners are typically part of the overall community power structure. They are part of the machinery of the authorities. Therefore, they are in a subordinant relationship with the power structure. Advocacy planners, conver- sely, are typically part of an organization or subsystem which sees the overall power structure as a target of action. They are in a position which requires engagement of the authorities as a target of action. Traditional planners are specialists of the power structure, and advocacy planners are specialists directed to change of the power structure. The former perspective tends to assume a variable sum game (expanding resource base), while the latter would tend to view the political process as a zero sum game where the benefits for one party are usually at the expense of another. The traditional planner assumes that if the overall system is taken care of in a carefully planned, rational manner, then the parts will be taken care of as well. The advocacy planner presumes that competing interests will contend in the arena of action, and that the disadvantaged can influence the distribution of existing (scarce) resources if they are afforded the technical skills of planning (Stockdale, 1976; Rothman, 1974).

A realistic plan will most likely have elements of both. Plans which have been incubated in a city planning department for a year or more, for example, may be completely unfamiliar to both community decision-makers and citizens. Hence, there is often a need for the traditional planner to convince others of the feasibility and viability of the proposed course of action. Likewise, advocacy planners may find it useful to present technical data on how the overall community will benefit from their proposal.

Two Models of Management

Planning and organizing are key aspects of any organization or program. They deal primarily with the identification of possible directions for an organization on the one hand.and bringing people and groups together at the grassroots level for action on the other. The 1970s, however, saw the emergence of social program administration and management as a major field for social practice. It is ap- propriate, therefore, to develop models of management to complement the Roth- man/Stockdale typology.

Management pervades systems and organizations. It provides the direction and control without which systems would fall apart. According to Simon (1948), management is the art of "getting things done," and "the manner in which the decisions and behavior of [production level] employees are influenced within and

SIX MODELS OF COMMUNITY INTERVENTION 37

by the organizations." Gross (1964) summarizes the field as "getting things done through (or by) others." Management thus involves the direction and control of how the units of a system are organized and how they interact. Management entails both the external and the internal relationships which are vital to the operation of a system.

Recent studies of the management of both community organizations and large corporations which experienced innovation and growth in a time of reces- sion have led to examination of what successful managers actually do, com- pared to what the rationalist approach would say they ought to do (Mayer and Blake, 1981; Peters and Waterman, 1982; Hyman, 1983; and Agor, 1984). This emerging debate in the field provides an opportunity to develop ideal type models in this area to parallel those of the Rothman/Stockdale typology. One model is called the bureaucratic management, or the institutional management model, to reflect the consensus theory of society; the other is labeled innovative management, or the charismatic management model, to reflect the conflict theory of society. ("Intuitive management" is another term which is related to the ideas in our second model.) Bureaucratic management tends to occur in well-established organizations which are accepted in the community. Emphasis is on dealing with routine operations and control of ongoing activities. Budget- ing, personnel administration, supply logistics, and supervision of line personnel predominate. Professionalism, efficiency, and quantity are valued. Change is seen as being incremental, e.g., 5 percent a year. Operations are based on writ- ten regulations and procedures. Administrative and management personnel have well-established roles. The line-staff distinction is clear. Established relation- ships with environmental organizations make for relatively "placid" interor- ganizational interactions.

Innovative management, or charismatic management, is most appropriate for new or changing organizations, and for situations where significant chal- lenges from the environment occur. The organization is essentially in a conflict situation with environmental organizations and must defend, establish, or rees- tablish its place in the organizational domain. This scenario was most evident in the late 1970s and 1980s when the energy crisis and recession challenged busi- nesses, and cuts in federal spending challenged public and nonprofit agencies. A survival—of—the—creative—organization situation existed. In such situations, emphasis is on reassessment of goals and the control and direction of program or system design. Tactics require acquisitive operations in order to obtain resources to develop a constituency, and to create or reestablish a working relationship in the organizational environment. Change of the organization and its place in the community is the immediate goal of this model. A more col- legial, "flat" organizational structure is appropriate, and administrative, manage- ment and other roles are often blurred and/or staff is multifunctional. More interpersonal, interactive, and face-to-face relationships exist. Emphasis is on

38 SOCIOLOGICAL PRACTICE/1990

PRACTICE VARIABLES

GOAL CATEGORIES OF COMMUNITY ACTION

ASSUMPTIONS CONCERNING COMMUNITY STRUCTURE AND PROBLEM CONDITIONS

BASIC CHANGE STRATEGY

CHARACTERISTIC CHANGE TACTICS AND TECHNIQUES

SALIENT PRACTITIONER ROLES

MEDIUM OF CHANGE

ORIENTATION TOWARD POWER STRUCTURE

BOUNDARY OF CONSTITUENCY OR CLIENT SYSTEM

ASSUMPTIONS REGARDING INTERESTS OF COMMUNITY SUB-PARTS

BUREAUCRATIC MANAGEMENT

Routine procedures and operations; status quo. Maintenance of existing organizational resources (task goals).

Organization well estab- lished in interorganiza- tional domain. Need to identify inefficient sub- units and problems within the organization.

Change internal operations; systems improvement; rational-technical analysis.

Authoritative direction ; bureaucratic control.

Budgeting, systems analy- sis, personnel management, information systems, accounting.

Manipulation of formal organizations; rational systems analysis concerning sub-units.

Instrumental—a part of power structure. Power structure as employer.

Total community or com- munity sub-system, or organization as subject.

Dominant interests are supportive. Consensus or competition perspective. Management and/or appli- cation of authority is required.

Figure 1

Two Models of Management

MANAGEMENT OF INNOVATION

Establishment of a place in the organ- izational domain, or adaptation to new environmental condi- tions (task and process goals).

Organization is not well established, or existence is threatened by other organizations. Need to gam a niche in the interorganizational domain.

Change the environment; systems design; inter- active adjustment to environmental networking.

Constituency Building; campaign or contest.

Negotiation (politician), grant and contract management, deemphasis on routine and technical aspects of administration.

Manipulation of community processes and formal organizations; interactional processes concerning environmental factors.

Contention-power structure as target for acquisition of resources and power.

New or threatened organization, sub- system or segment as constituency or collaborator.

Conflicting interests challenge the organization from within. Need to establish space in the interorganizational domain. Conflict perspective— seeking authority, resources and power.

SIX MODELS OF COMMUNITY INTERVENTION 39

service to a target group, quality of the product, and perceived effectiveness. Establishment of relationships in the interorganizational domain and securing resources are major challenges. The next sections identify characteristics of the two models using categories similar to the "practice variables" identified by Rothman (1974). (See also Figure 1.)

Bureaucratic management conforms most closely to what Van Gigch (1974) calls the "system improvement" approach; and innovative management uses a "systems design" perspective. The former tends to be introspective, looking inward for problems in subunits or processes. The emphasis of bureaucratic management is on task goals and maintaining the status quo within the broader community system. Organizations characterized by this approach have difficulty in responding to rapid change. Innovative management tends to be extrospec- tive, concerned with the role of the organization in the broader community. As such, it is open to questioning its goals and existing operations and to engaging in conflict with community organizations. This strategy is most appropriate for organizations that are faced with major challenges from the environment, and for those that desire to create change—both task and process goals are essential.

Assumptions Concerning Community Structure and Problem Conditions

Bureaucratic management is most appropriate for organizations that are well-established in the organizational domain. The challenge is to make the organization run more efficiently. The problem focus is on identifying ineffi- cient subunits and problems within the organization. Innovative management assumes either that the organization is not well established in the interorganiza- tional network, or that its existence is threatened by other organizations. The primary problem focus is externally directed to resource acquisition and to either establishing and protecting a place in the organizational domain or adapt- ing to new, challenging environmental conditions.

Basic Change Strategy

The bureaucratic model emphasizes rational-technical analysis and tends to favor quantitative techniques of systems analysis, cost/benefit evaluations, per- formance appraisals, management by objectives, and other techniques of inter- nal accountability and organizational fine-tuning. The innovative management model emphasizes change in environmental conditions, including both acquisi- tive activities and establishing legitimacy with other organizations, as well as conflict with external organizations to achieve its goals.

40 SOCIOLOGICAL PRACTICE/1990

Change Tactics and Techniques

The bureaucratic model characteristically emphasizes internal control and efficiency. The innovative approach focuses on relationships with the environ- ment, emphasizing constituency-building and other campaign or contest tactics as appropriate.

Salient Practitioner Roles

The bureaucratic model emphasizes rational-technical techniques of budget- ing, systems analysis, personnel management, information systems and account- ing. The innovating approach places major emphasis on creative program design and development (vision), negotiation with community and political elites, and networking (positioning leadership). One would seek staff skilled in analysis for bureaucratic management, and for integrative and synthesis perspectives for innovative management.

Medium of Change

The bureaucratic model relies primarily on manipulation of formal or- ganizations. Innovative management relies on manipulation of community processes and formal organizations. The former uses rational analytic processes. The latter depends on interactional processes concerning environmental actors.

Orientation to the Power Structure

The orientation of the bureaucratic management model to the power struc- ture is instrumental—the organization is part of the existing power structure and/or is well established in the interorganizational network. This consensus theory situation contrasts sharply with that of innovative management where a new or threatened organization is in contention with the status quo for authority, resources, market share, and/or power. In the former, we would expect dominant interests to be relatively supportive. In the latter the organization confronts its competitors and opposition in creative ways.

Boundary of Constituency or Client System

The bureaucratic model views its organization as an integral part of the total community. It serves a continuing role in the overall community and is a part of the existing systemic equilibrium. The innovative model views its or- ganization as a subsystem in contention with the broader community or ele- ments therein.

SIX MODELS OF COMMUNITY INTERVENTION 41

Assumptions Regarding Interests of Community Sub-Parts

For the bureaucratic model, dominant community interests are supportive, or at least accepting. Bureaucratic management can focus inwardly to improve its efficiency in producing products or services, hence the relationship of this model to the consensus theory of society. In the innovative management model, attention must be given to survival and change, which is essentially a conflict situation vis-a-vis the powers that be.

The two management models complete our repertoire of ideal type models of community engagement. The six models, or approaches to change, provide a basis for a conceptual understanding of the major aspects of policy makin

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