Briefer

1. CRS
Mission
Catholic Relief Services carries out the commitment of the Bishops of the United
States to assist the poor and vulnerable overseas. We are motivated by the Gospel
of Jesus Christ to cherish, preserve and uphold the sacredness and dignity of all
human life, foster charity and justice, and embody Catholic social and moral teaching
as we act to:
Promote human development by responding to major emergencies, fighting disease
and poverty, and nurturing peaceful and just societies; and,
Serve Catholics in the United States as they live their faith in solidarity with their
brothers and sisters around the world.
As part of the universal mission of the Catholic Church, we work with local, national
and international Catholic institutions and structures, as well as other organizations,
to assist people on the basis of need, not creed, race or nationality.
CRS History
In 1943, during World War II, Catholic Relief Services (CRS) first began its work
focused on the resettlement of war refugees in Europe. The Roman Catholic Bishops
of the United States established CRS to help war-torn Europe and its refugees
recover from this great conflict. In the 1950s, as Europe regained its balance, the
agency began to look to other parts of the world, seeking out those who could benefit
from the assistance of Catholics in the United States. And for the next two decades,
Catholic Relief Services expanded its operations and opened offices in Africa, Asia,
and Latin America.
During this time of expansion, CRS built on its tradition of providing relief in
emergency situations and began to seek ways to help people in the developing world
break the cycle of poverty through community-based, sustainable development
initiatives. These programs, which today include agricultural initiatives, community
banks, health education, and clean water projects, ensure that the local population is
the central participant in its own development and that a project can be sustained
through the effort and resources of the local community.
In the 1990's, the presence of Catholic Relief Services in the aftermath of natural
disasters like Hurricane Mitch in Central America or man-made tragedies, such as
Kosovo, is complemented by a continuing commitment to the development of civil
society in these areas. With over a half-century's worth of experience overseas,
Catholic Relief Services understands that rebuilding societies requires more than
mortar and bricks. Through its work, the agency seeks to foster within the U.S.
Catholic community a sense of global solidarity, providing inspiration to live out our
spiritual tradition of compassionate service to the world.
About CST
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Catholic Social Teaching is based on the belief that God has a plan for creation, a
plan to build his kingdom of peace, love and justice. It holds that God has a special
place in this story for each of us, whoever we are. Our part in this plan isnt just
limited to things spiritual, or things we might do on Sundays, but that it involves
every aspect of our lives, from the things we pray about, to how we live as a
responsible global citizens. Our part in this story is a kind-of vocation for the common
good, a call to treat everyone as your brothers and sisters and is something that we
all share.
Catholic Social Teaching touches upon many different aspects of life, from the family
to international development, how we think of those who are homeless to how we
care for the environment, and from how we shop and consume to the rights of
workers and the dignity of work. All the different areas that Catholic Social Teaching
touches upon have developed from practical reflection on the realities of modern life
in the light of the principles and themes of Catholic Social Teaching.
Themes of CST
Human Dignity
We must recognise we are all brothers and sisters which requires us to respect,
value and uphold a common dignity for ourselves and each other. As human beings
we are created in the image and likeness of God so therefore we have an inherent
worth and distinction.
Community and Participation
As humans we were are not created to live alone, community is clearly linked in the
history of humankind. One way for Catholics to practise solidarity is to participate in
pursuing the common good for a community. Every member of society has a duty to
develop this common good and every member has a right to enjoy the benefits
brought about by it.

Care for Creation

Respect for human life means respecting all of Gods creation. We must re-engage
with our environment and take responsibility for it; live sustainably, live so that there
are enough resources for everyone. Our environment influences almost all of our
lives, and Catholic Social Teaching recognises that undervaluing makes us all
poorer.
Dignity in Work
This theme looks at the importance of work, the dignity of work and the value of
balance in our home and work lives. Catholic Social Teaching holds that work is not
to be drudgery, but creative, positive and an intrinsic good. It is not however, all for
yourself, ways to accumulate power and influence, but is rather to play our part in
being co-creators in Gods loving act of creation.
Peace & Reconciliation

The Church teaches us that peace is central to the gospel and represents a
challenge to many contemporary attitudes and assumptions. Pope Benedict XVI has
challenged Christians to be true peacemakers bringing forgiveness and non-violent
solutions to situations of hurt and violence.
Solidarity
Solidarity is an important concept for Christians and is one of the most mystical and
deeply human founding concepts of the social teaching of the Church. It is based on
the belief that together we can make a difference and together we are much
stronger. When we value fellow human beings we respect each other as unique
individuals and we can stand up for what is right for one another.
2. Sphere
Launched in 1997 to develop a set of minimum standards in core areas of
humanitarian assistance. The aim of the project is to improve the quality of
assistance provided to people affected by disasters, and to enhance the
accountability of the humanitarian system in disaster response. One of the major
results of the project has been the publication of the handbook, Humanitarian
Charter and Minimum Standards in Disaster Response

The Project was set up with a management committee made up of representatives

from each of the Steering Committee for Humanitarian Response (SCHR) members
and representatives from InterAction.
SCHR (Care International, Caritas Internationalis, the International Committee of the
Red Cross, the International Federation of Red Cross and Red Crescent Societies,
International Save the Children Alliance, Lutheran World Federation, Oxfam, World
Council of Churches, and Mdecins Sans Frontires)
InterAction (165 US-based members; 62 in its Disaster Response Committee)

3. Community Development

The United Nations defines Community development as "a process where

community members come together to take collective action and generate solutions
to common problems."
It is a broad term given to the practices of civic leaders, activists, involved citizens
and professionals to improve various aspects of communities, typically aiming to
build stronger and more resilient local communities.
Community development seeks to empower individuals and groups of people with
the skills they need to effect change within their communities. These skills are often
created through the formation of large social groups working for a common agenda.
Community developers must understand both how to work with individuals and how
to affect communities' positions within the context of larger social institutions.
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Brief History
Community development practice has arisen from a variety of sources and settings.
Its roots can be traced to the social reform movement in Britain and North America in
the latter half of the 18thcentury. Community development principles were
formulated and applied in third world development efforts following decolonization. In
the 50's and 60's CD or community organization, as it came to be called, was used in
deprived or underdeveloped urban and rural settings in North America (Smith, 1979:
52). CD was a response to the perceived disintegration of society due to rapid
technological change, economic dislocations, disruption in traditional family and
community structures and the extension of government and commercial services into
personal and family life, with negative impacts on personal effectiveness and
community ties (Carey, 1979:20). CD is eclectic, integrating specialized knowledge
from education, public health, economic development and politics. (Head, 1979:101)
However, it is also a discipline unto itself, with a body of theory, standards of practice
and professional associations. Masters and doctoral programs in community
development are usually associated with either a school of social work or rural
development.
CD Values and Principles
Below are a list and a brief definition of the values and principles that are typically
embodied in community development programs. Additional information on these
terms is available in the glossary section of this course.
Democratic: The will of the majority must be carried out, but only after all voices are
heard and considered and minority rights are protected.
Inclusive: There are many barriers to participation in society; poverty, disability, age,
race and ethnicity are some other characteristics that often marginalize people. A
healthy community embraces diversity and recognizes that all community members
have a right to be heard and participate in processes that affect their lives.
Non-authoritarian: Organizational structures are as flat as possible, with all
participants being seen as equally important and having equal input.
Community self determination: Community members come together to discuss their
concerns, assess options and arrive at their own conclusions. They may seek advice
from "experts", but consider it along with other sources of information and their own
experience and make their own decisions that are right for them.
Community Ownership: Communities thrive when they develop their own assets, but
also when they "own" their problems and issues. When communities accept that it is
"their" problem, then they are more likely to work together to develop a solution, and
the solution will be better than one provided solely by an external "expert".
Enhance natural capacities and networks: There are sources of strength in every
community; for example, informal networks and social support systems, or certain
individuals that have particular talents or are able to help others in need. A
community developer identifies these existing community assets and works with
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them. It is important not to duplicate existing structures and functions as that may
weaken rather than strengthen the community.
Social justice and equity: This is fundamental to community development and is at
least implicit in all CD work, if not an explicit goal of a CD program.
Universality: Services are available to everyone, without requiring means or needs
testing.
Service Integration: Often services provided to persons in need are fragmented, so
that one service provider doesn't know what other services are available or being
used, resulting in gaps, duplications and sometimes conflicting advice or treatments.
A community development approach would ensure that services are coordinated,
that they enhance and strengthen natural community and family supports, that there
is effective communication among all involved, and that services are directed by the
individual receiving them, to the extent possible.
Upstream: The distinction between upstream vs. downstream approaches uses a
river as a metaphor for the increasing impact of conditions and events which affect
health over time and space, and relates to the point of intervention. For example, if
there is a toxic spill upstream, it will affect the quality of the water in the river for
everyone living downstream. You can focus either on dealing with the illnesses that
are experienced by the downstream people (downstream approach) or you can stop
the spill and prevent others from happening in the future (upstream approach).
CD Approaches
There are numerous overlapping approaches to community development. Some
focus on the processes, some on the outcomes/ objectives. They include:
Women Self-help Group; focusing on the contribution of women in
settlement groups. [5]
Community capacity building; focusing on helping communities obtain,
strengthen, and maintain the ability to set and achieve their own development
objectives.[6]
Large Group Capacitation; an adult education and social psychology
approach grounded in the activity of the individual and the social psychology
of the large group focusing on large groups of unemployed or semi-employed
participants, many of whom with Lower Levels of Literacy (LLLs).
Social capital formation; focusing on benefits derived from the cooperation
between individuals and groups.
Nonviolent direct action; when a group of people take action to reveal an
existing problem, highlight an alternative, or demonstrate a possible solution
to a social issue which is not being addressed through traditional societal
institutions (governments, religious organizations or established trade unions)
are not addressing to the satisfaction of the direct action participants.
Economic development, focusing on the "development" of developing
countries as measured by their economies, although it includes the processes
and policies by which a nation improves the economic, political, and social
well-being of its people.

Community economic development (CED); an alternative to

conventional economic development which encourages using local resources
in a way that enhances economic outcomes while improving social conditions.
Sustainable development; which seeks to achieve, in a balanced manner,
economic development, social development and environmental protection
outcomes.[7]
Community-driven development (CDD), an economic development model
which shifts overreliance on central governments to local communities.
Asset-based community development (ABCD); is a methodology that
seeks to uncover and use the strengths within communities as a means for
sustainable development.[8]
Faith-based community development; which utilises faith based
organisations to bring about community development outcomes.
Community-based participatory research (CBPR); a partnership approach
to research that equitably involves, for example,community members,
organizational representatives, and researchers in all aspects of the research
process and in which all partners contribute expertise and share decision
making and ownership, which aims to integrate this knowledge with
community development outcomes.[9][10]
Community organizing; a term used to describe an approach that generally
assumes that social change necessarily involves conflict and social struggle in
order to generate collective power for the powerless.
Participatory planning including community-based planning (CBP); involving
the entire community in the strategic and management processes of urban
planning; or, community-level planning processes, urban or rural.[11][12]
Methodologies focusing on the educational component of community
development, including the community-wide empowerment that increased
educational opportunity creates.
Methodologies addressing the issues and challenges of the Digital divide,
making affordable training and access to computers and the Internet,
addressing the marginalisation of local communities that cannot connect and
participate in the global Online community. In the United States, nonprofit
organizations such as Per Scholas seek to break the cycle of poverty by
providing education, technology and economic opportunities to individuals,
families and communities as a path to development for the communities they
serve.[13]

CD Worker Job Description

Community development workers help communities to bring about social change
and improve the quality of life in their local area. They work with individuals, families
and whole communities to empower them to:

1. Identify their assets, needs, opportunities, rights and responsibilities;

2. Plan what they want to achieve and take appropriate action;
3. Develop activities and services to generate aspiration and confidence.
A community development worker often acts as a link between communities and a
range of other local authority and voluntary sector providers, such as the police,
social workers and teachers.
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They are frequently involved in addressing inequality, and projects often target
communities perceived to be culturally, economically or geographically
disadvantaged.
Typical work activities
Community development work seeks to actively engage communities in making
sense of the issues which affect their lives, setting goals for improvement and
responding to problems and needs through empowerment and active participation.
A good deal of the work is project based, which means that community development
workers usually have a specific geographical community or social group on which to
focus.
Tasks often involve:

identifying community skills, assets, issues and needs;

ensuring that local people have their say;
developing new resources in dialogue with the community and evaluating
existing programmes;
building links with other groups and agencies;
helping to raise public awareness on issues relevant to the community;
preparing reports and policies;
raising and managing funds;
developing and implementing strategies;
liaising with interested groups and individuals to set up new services;
mediating in matters of conflict;
recruiting and training paid and voluntary staff;
planning, attending and coordinating meetings and events;
overseeing the management of a limited budget;
encouraging participation in activities;
challenging inappropriate behaviour;
general administrative duties.

Community work can be generic or specialised. Generic community work takes place
in a particular geographical area, focusing on working with the community to identify
their needs and issues, and formulating strategies to address those issues. The
setting is either urban or rural, with rural community development work increasingly
attracting attention.
Specialised community work focuses on either specific groups within a region (such
as the homeless, the long-term unemployed, families with young children or ethnic
minorities) or on particular concerns such as: public transport; mental health; tackling
drug abuse.

CDD

Community-driven development (CDD) is a development initiative that provides

control of the development process, resources and decision making authority directly
to community groups. The underlying assumption of CDD projects are that
communities are the best judges of how their lives and livelihoods can be improved
and, if provided with adequate resources and information, they can organize
themselves to provide for their immediate needs. Moreover, CDD programmes are
motivated by their trust in people (Naidoo and Finn, 2001) and hence it advocates
people changing their own environment as a powerful force for development. By
treating poor people as assets and partners in the development process, previous
studies have shown that CDD is responsive to local demands, inclusive, and more
cost-effective compared to centrally-led NGO-based programmes. CDD can also be
supported by strengthening and financing community groups, facilitating community
access to information, and promoting an enabling environment through policy and
institutional reform (Dongier, 2002). CDD projects work by providing poor
communities with direct funding for development with the communities then deciding
how to spend the money. Lastly, the community plans and builds the project and
takes responsibility for monitoring its progress.
Characteristics of CDD
Following from this description, field practitioners at the World Bank have denoted
five key characteristics of CDD projects.
1. A CDD operation primarily targets a community-based organization or a
representative local council of a community. This community focus means that
the essential defining characteristic of a CDD project is that the beneficiaries
or grantees of implementations are agents of the community. Since the focus
on small communities is so large the CDD normally targets small
scale subprojects in the community.
2. In CDD operations, community- or locally based representation is responsible
for designing and planning the subprojects in a participatory manner. Since
the concentration on participatory planning is considerable in CDD operations,
often the possible types of subproject investment options are very large with
only a small list of subprojects that cannot be carried out.
3. The defining characteristic of CDD projects is that a transfer of resources to
the community occurs and control of the resources is delegated to the
community. The amount of transfer and control of resources will depend on
the CDD implementations.
4. The community is directly involved in the implementation of the subproject.
Often the participation of the community comes directly in the form of labour
or funds. However, the community may also contribute to the subproject
indirectly in the form of management and supervision of contractors or the
operation and maintenance of the infrastructure when complete.
5. An element of community-based monitoring and evaluation has become a
characteristic of CDD subprojects. Most often it is social accountability tools
such as participatory monitoring, community scorecards and grievance
redress systems which allow for the community to ensure accountability of the
CDD implementation.
ABCD

Asset-based community development (ABCD) is a methodology for the sustainable

development of communities based on their strengths and potentials. It involves
assessing the resources, skills, and experience available in a community; organizing
the community around issues that move its members into action; and then
determining and taking appropriate action.
The ABCD approach was developed by John L. McKnight and John P. Kretzmann at
the Institute for Policy Research at Northwestern University in Evanston, Illinois.
They co-authored a book in 1993, "Building Communities from the Inside Out: A Path
Toward Finding and Mobilizing A Communitys Assets," which outlined their assetbased approach to community development. The Community Development Program
at Northwestern Universitys Institute for Policy Research established the AssetBased Community Development Institute based on three decades of research and
community work by John P. Kretzmann and John L. McKnight.
Asset-based community development (ABCD) differs from needs-based community
development in that it focuses primarily on honing and leveraging existing strengths
within a community rather than bolstering community deficiencies. Related to tenets
of empowerment, it postulates that solutions to community problems already exist
within a communitys assets. Principles that guide ABCD include:

1. Everyone has gifts: each person in a community has something to contribute

2. Relationships build a community: people must be connected in order for
sustainable community development to take place
3. Citizens at the center: citizens should be viewed as actorsnot recipientsin
development
4. Leaders involve others: community development is strongest when it involves a
broad base of community action
5. People care: challenge notions of "apathy" by listening to people's interests
7. Listen: decisions should come from conversations where people are heard
8. Ask: asking for ideas is more sustainable than giving solutions
Examples of ABCD Tools[edit]
The ABCD approach utilizes several tools to assess and mobilize communities.
The Capacity Inventory
1. Skills Information: lists the many skills that a person has gained at home, work, in
the community, or elsewhere. Examples of these skills can include internet
knowledge, hair-cutting, listening, wallpapering, carpentry, sewing, babysitting,
etc.[5]
2. Community Skills: lists the community work in which a person has participated to
determine future work they may be interested in.

3. Enterprising Interests and Experience: lists past experience in business and

determines interest in starting a business.
4. Personal Information: lists minimum information for follow-up.

Asset Mapping
There are five key assets in any given community: individuals, associations,
institutions, physical assets, and connections. These assets are broken down into
three categories: Gifts of individuals, Citizens Associations, and Local Institutions.
Asset maps are used in lieu of needs maps which focus solely on negative aspects
of communities. Asset maps, on the other hand, focus on community assets,
abilities, skills, and strengths in order to build its future.
Time Banks
Time banks are an example of using community assets to connect individuals' assets
to one another. Neighbors share skills with one another and earn credits in the
process, allowing an hour of child care to equal an hour of home repair or tax
preparation.
Ethics
Because ABCD relies on existing community assets to create change, it has been
criticized for implying that disadvantaged communities have all the resources they
need to solve community problems
According the ABCD Institute, however, ABCD methodology recognizes that
systemic injustice may require disadvantaged communities to seek assistance from
outside the community. ABCD maintains that interventions from exterior sources will
be most effective when a communitys assets are leveraged at full capacity. ABCD is
described as a more sustainable model of community development than needsbased community development, because needs-based approaches may perpetuate
community problems by emphasizing deficiencies and the necessity for reliance on
outside assistance. By contrast, ABCD aims to build capacity within communities by
expanding their social capital.
PRA
Participatory rural appraisal (PRA) is an approach used by non-governmental
organizations (NGOs) and other agencies involved in international development. The
approach aims to incorporate the knowledge and opinions of rural people in the
planning and management of development projects and programme.
PRA techniques

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Hundreds of participatory techniques and tools have been described in a variety of

books and newsletters, or taught at training courses around the world. These
techniques can be divided into four categories:
Group dynamics, e.g. learning contracts, role reversals, feedback sessions
Sampling, e.g. transect walks, wealth ranking, social mapping
Interviewing, e.g. focus group discussions, semi-structured interviews, triangulation

Visualization e.g. venn diagrams, matrix scoring, timelines

To ensure that people are not excluded from participation, these techniques avoid
writing wherever possible, relying instead on the tools of oral communication like
pictures, symbols, physical objects and group memory. Efforts are made in many
projects, however, to build a bridge to formal literacy; for example by teaching people
how to sign their names or recognize their signatures.
PB
Participatory budgeting) is a process of democratic deliberation and decisionmaking, and a type of participatory democracy, in which ordinary people decide how
to allocate part of a municipal or public budget. Participatory budgeting allows
citizens to identify, discuss, and prioritize public spending projects, and gives them
the power to make real decisions about how money is spent. When PB is taken
seriously and is based on mutual trust local governments and citizen can benefit
equally. In some cases PB even raised people's willingness to pay taxes.
Participatory budgeting generally involves several basic steps:
1) Community members identify spending priorities and select budget delegates
2) Budget delegates develop specific spending proposals, with help from experts
3) Community members vote on which proposals to fund 4) The city or institution
implements the top proposals
CE
Community engagement refers to the process by which community benefit
organizations and individuals build ongoing, permanent relationships for the purpose
of applying a collective vision for the benefit of a community. While community
organizing involves the process of building a grassroots movement involving
communities, community engagement primarily deals with the practice of moving
said communities towards change, usually from a stalled or otherwise similarly
suspended position.
Differences between civic, social, and community engagement, civic engagement
and social engagement:
Civic engagement refers to political activity, membership and volunteering in civil
society organizations. Social engagement refers to participation in collective
activities. Community engagement refers to the process by which community benefit
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organizations and individuals build ongoing, permanent relationships for the purpose
of applying a collective vision for the benefit of a community.
Current methods and implementation
Practical community engagement is used as an active method of implementing
change. While most current standards implore more static means through standard
marketing techniques, community engagement involves actively implementing a
specific process towards activism such as the 8-step guideline listed below
developed by Hildy Gottlieb of Creating the Future. While the process may have
similarities to a controversial form of friendraising, the emphasis in community
engagement is that of honest relationship building for the sake of community, not for
the sole purpose of money-making.

The steps are:

1.
2.
3.
4.
5.
6.
7.
8.

Determine the goals of the plan

Plan out who to engage
Develop engagement strategies for those individuals you already know
Develop engagement strategies of those individuals you do not already know
Prioritize those activities
Create an implementation plan
Monitor your progress
Maintain those relationships

Other programs exist to assist communities in the process of building community

coalitions for engagement. One such program is Communities That Care which
helps communities assess their needs and implement tested and effective programs
to address their identified issues.
4. DRR
Disaster risk reduction is a systematic approach to identifying, assessing and
reducing the risks of disaster. It aims to reduce socio-economic vulnerabilities to
disaster as well as dealing with the environmental and other hazards that trigger
them: Here it has been strongly influenced by the mass of research on vulnerability
that has appeared in print since the mid-1970s.It is the responsibility of development
and relief agencies alike. It should be an integral part of the way such organisations
do their work, not an add-on or one-off action. DRR is very wide-ranging: Its scope is
much broader and deeper than conventional emergency management. There is
potential for DRR initiatives in just about every sector of development and
humanitarian work.
The most commonly cited definition of DRR is one used by UN agencies such as
UNISDR, also known as the UN Office for Disaster Risk Reduction, and UNDP: "The
conceptual framework of elements considered with the possibilities to minimize
vulnerabilities and disaster risks throughout a society, to avoid (prevention) or to limit
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(mitigation and preparedness) the adverse impacts of hazards, within the broad
context of sustainable development."
Development of the concept and approach
The evolution of disaster management thinking and practice since the 1970s has
seen a progressively wider and deeper understanding of why disasters happen,
accompanied by more integrated, holistic approaches to reduce their impact on
society. The modern paradigm of disaster management disaster risk reduction
(DRR) represents the latest step along this path. DRR is a relatively new concept
in formal terms, but it embraces much earlier thinking and practice. It is being widely
embraced by international agencies, governments, disaster planners and civil society
organisations. Many see climate change as having a direct impact on the prevalence
and seriousness of disasters, as well as causing them to be more frequent in the
future. There are growing efforts to closely link DRR and climate change adaptation,
both in policy and practice.
DRR is such an all-embracing concept that it has proved difficult to define or explain
in detail, although the broad idea is clear enough. Inevitably, there are different
definitions in the technical literature, but it is generally understood to mean the broad
development and application of policies, strategies and practices to minimise
vulnerabilities and disaster risks throughout society. The term disaster risk
management (DRM) is often used in the same context and to mean much the same
thing: a systematic approach to identifying, assessing and reducing risks of all kinds
associated with hazards and human activities. It is more properly applied to the
operational aspects of DRR: the practical implementation of DRR initiatives.
There have been growing calls for greater clarity about the components of DRR and
about indicators of progress toward resilience a challenge that the international
community took up at the UNs World Conference on Disaster Reduction (WCDR) in
Kobe, Japan, in 2005, only days after the 2004 Indian Ocean earthquake. The
WCDR began the process of pushing international agencies and national
governments beyond the vague rhetoric of most policy statements and toward
setting clear targets and commitments for DRR. The first step in this process was the
formal approval at the WCDR of the Hyogo Framework for Action (20052015)
(HFA). This was the first internationally accepted framework for DRR. It set out an
ordered sequence of objectives (outcome strategic goals priorities), with five
priorities for action attempting to capture the main areas of DRR intervention. The
UN's biennial Global Platform for Disaster Risk Reduction provided an opportunity for
the UN and its member states to review progress against the Hyogo Framework. It
held its first session 57 June 2007 in Geneva, Switzerland, where UNISDR is
based. The subsequent Global Platforms were held in June 2009, May 2011 and
May 2013, all in Geneva. The successor accord to the Hyogo Framework was
adopted at the World Conference on Disaster Risk Reduction held on March 14-18,
2015 in the Japanese city of Sendai. It is known as the Sendai Framework for
Disaster Risk Reduction (2015-2030).
UN initiatives have helped to refine and promote the concept at international level,
stimulated initially by the UN's designation of the 1990s as the International Decade
for Natural Disaster Reduction. In 1999, UN member states approved the
International Strategy for Disaster Risk Reduction, which reflected a shift from the
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traditional emphasis on disaster response to disaster reduction, by seeking to

promote a "culture of prevention".
Issues and challenges in DRR
Priorities
It is unrealistic to expect progress in every aspect of DRR: capacities and resources
are insufficient. Governments and other organisations have to make what are in
effect investment decisions, choosing which aspects of DRR to invest in, when, and
in what sequence. This is made more complicated by the fact that many of the
interventions advocated are developmental rather than directly related to disaster
management. Most existing DRR guidance sidesteps this issue. One way of focusing
is to consider only actions that are intended specifically to reduce disaster risk. This
would at least distinguish from more general efforts toward sustainable development.
The concept of invulnerable development attempts this: In this formulation,
invulnerable development is development directed toward reducing vulnerability to
disaster, comprising decisions and activities that are intentionally designed and
implemented to reduce risk and susceptibility, and also raise resistance and
resilience to disaster. Research has shown the impact of further investment in
effective preparedness, as the benefits with regards to reducing humanitarian
caseloads far outweigh the costs; a case study of Niger showed positive cost and
benefit results across all scenarios. Three different scenarios were modelled, from
the absolute level of disaster loss, to the potential reduction in disaster loss and the
discount rate. It is estimated that every $1 spent results in $3.25 of benefit in the
most conservative scenario. This increases to $5.31 of benefit for the least
conservative scenario.

Partnerships and inter-organisational co-ordination

No single group or organisation can address every aspect of DRR. DRR thinking
sees disasters as complex problems demanding a collective response. Co-ordination
even in conventional emergency management is difficult, for many organisations
may converge on a disaster area to assist. Across the broader spectrum of DRR, the
relationships between types of organisation and between sectors (public, private and
non-profit, as well as communities) become much more extensive and complex.
DRR requires strong vertical and horizontal linkages (central-local relations become
important). In terms of involving civil society organisations, it should mean thinking
broadly about which types of organisation to involve (i.e., conventional NGOs and
such organisations as trades unions, religious institutions, amateur radio operators
(as in the USA and India), universities and research institutions).

Communities and their organizations

Traditional emergency management/civil defense thinking makes two misleading
assumptions about communities. First, it sees other forms of social organisation
(voluntary and community-based organisations, informal social groupings and
14

families) as irrelevant to emergency action. Spontaneous actions by affected

communities or groups (e.g., search and rescue) are viewed as irrelevant or
disruptive, because they are not controlled by the authorities. The second
assumption is that disasters produce passive victims who are overwhelmed by
crisis or dysfunctional behavior (panic, looting, self-seeking activities). They therefore
need to be told what to do, and their behavior must be controlled in extreme
cases, through the imposition of martial law.
There is plenty of sociological research to refute such 'myths.' An alternative
viewpoint, informed by a considerable volume of research, emphasises the
importance of communities and local organisations in disaster risk management. The
rationale for community-based disaster risk management that it responds to local
problems and needs, capitalises on local knowledge and expertise, is cost-effective,
improves the likelihood of sustainability through genuine ownership of projects,
strengthens community technical and organisational capacities, and empowers
people by enabling them to tackle these and other challenges. Local people and
organisations are the main actors in risk reduction and disaster response in any
case.
Governance.

The DRR approach requires redefining the role of government disaster reduction. It
is generally agreed that national governments should be main actors in DRR: They
have a duty to ensure the safety of citizens, the resources and capacity to implement
large-scale DRR, a mandate to direct or co-ordinate the work of others, and they
create the necessary policy and legislative frameworks. These policies and
programmes have to be coherent. More research is needed into why some
governments are more successful than others in disaster management. There is still
no general consensus on what drives changes in policy and practice. The shifting
relationship between central government and other actors is another area requiring
research.
Accountability and rights
The principle of accountability lies at the heart of genuine partnership and
participation in DRR. It applies to state institutions that are expected to be
accountable through the democratic process and to private sector and non-profit
organizations that are not subject to democratic control. Accountability is an
emerging issue in disaster reduction work. Accountability should be primarily toward
those who are vulnerable to hazards and affected by them.
Many organisations working in international aid and development are now
committing themselves to a rights-based approach. This tends to encompass
human rights (i.e., those that are generally accepted through international
agreements) and other rights that an agency believes should be accepted as human
rights. In such contexts, the language of rights may be used vaguely, with a risk of
causing confusion. Security against disasters is not generally regarded as a right
although it is addressed in some international codes, usually indirectly. The idea of a
right to safety is being discussed in some circles.

15

Policy and investment

In a June 2012 study, researchers at the Overseas Development Institute highlighted
the need for more focus on disaster risk management (DRM) in the international
policy frameworks to be agreed in 2015.[12] Economic costs of disasters are on the
rise, but most humanitarian investment is currently spent on responding to disasters,
rather than managing their future risks. If this pattern continues, the researchers
argue, then "spending on reconstruction and relief will become unsustainable." A
more developed evidence base, enhanced political commitment, and dialogue
across policy areas will be needed for this mainstreaming of disaster risk
management to happen.
Further papers also highlighted the need to for strong gender perspective in disaster
risk reduction policy. Studies have shown that women are disproportionally impacted
by natural disasters. Following the 2004 tsunami in the Indian Ocean, 77% and 72%
of the deaths in the districts of North Aceh and Aceh Besar, Indonesia, were female.
And in India 62% of people who died were female. A gender-sensitive approach
would identify how disasters affect men, women, boys and girls differently and shape
policy to people's specific vulnerabilities, concerns and needs.
CC

Climate change is a change in the statistical distribution of weather patterns when

that change lasts for an extended period of time (i.e., decades to millions of years).
Climate change may refer to a change in average weather conditions, or in the time
variation of weather around longer-term average conditions (i.e., more or fewer
extreme weather events). Climate change is caused by factors such as biotic
processes, variations in solar radiation received by Earth, plate tectonics, and
volcanic eruptions. Certain human activities have also been identified as significant
causes of recent climate change, often referred to as "global warming"
The term sometimes is used to refer specifically to climate change caused by human
activity, as opposed to changes in climate that may have resulted as part of Earth's
natural processes.In this sense, especially in the context of environmental policy, the
term climate change has become synonymous with anthropogenic global warming.
Within scientific journals, global warming refers to surface temperature increases
while climate change includes global warming and everything else that increasing
greenhouse gas levels will affect.
Causes
On the broadest scale, the rate at which energy is received from the sun and the rate
at which it is lost to space determine the equilibrium temperature and climate of
Earth. This energy is distributed around the globe by winds, ocean currents, and
other mechanisms to affect the climates of different regions.
Global warming
In the context of climate variation, anthropogenic factors are human activities which
affect the climate. The scientific consensus on climate change is "that climate is

16

changing and that these changes are in large part caused by human activities and it
"is largely irreversible
Science has made enormous inroads in understanding climate change and its
causes, and is beginning to help develop a strong understanding of current and
potential impacts that will affect people today and in coming decades. This
understanding is crucial because it allows decision makers to place climate change
in the context of other large challenges facing the nation and the world. There are
still some uncertainties, and there always will be in understanding a complex system
like Earths climate. Nevertheless, there is a strong, credible body of evidence,
based on multiple lines of research, documenting that climate is changing and that
these changes are in large part caused by human activities. While much remains to
be learned, the core phenomenon, scientific questions, and hypotheses have been
examined thoroughly and have stood firm in the face of serious scientific debate and
careful evaluation of alternative explanations. -United States National Research
Council, Advancing the Science of Climate Change
Global warming and climate change can both refer to the observed century-scale
rise in the average temperature of the Earth's climate system and its related effects.
Multiple lines of scientific evidence show that the climate system is warming. More
than 90% of the additional energy stored in the climate system since 1970 has gone
into ocean warming; the remainder has melted ice, and warmed the continents and
atmosphere. Many of the observed changes since the 1950s are unprecedented
over decades to millennia.
Scientific understanding of global warming has been increasing. In its fifth
assessment (AR5) in 2014 the Intergovernmental Panel on Climate Change (IPCC)
reported that scientists were more than 95% certain that most of global warming is
caused by increasing concentrations of greenhouse gases and other human
(anthropogenic) activities. Climate model projections summarized in AR5 indicated
that during the 21st century the global surface temperature is likely to rise a further
0.3 to 1.7 C (0.5 to 3.1 F) for their lowest emissions scenario using stringent
mitigation and 2.6 to 4.8 C (4.7 to 8.6 F) for their highest.[9] These findings have
been recognized by the national science academies of the major industrialized
nations.
Future climate change and associated impacts will be different from region to region
around the globe. The effects of an increase in global temperature include a rise in
sea levels and a change in the amount and pattern of precipitation, as well as a
probable expansion of subtropical deserts. Warming is expected to be strongest in
the Arctic, with the continuing retreat of glaciers, permafrost and sea ice. Other likely
effects of the warming include more frequent extreme weather events including heat
waves, droughts, heavy rainfall, and heavy snowfall; ocean acidification; and species
extinctions due to shifting temperature regimes. Effects significant to humans include
the threat to food security from decreasing crop yields and the loss of habitat from
inundation.
Possible responses to global warming include mitigation by emissions reduction,
adaptation to its effects, building systems resilient to its effects, and possible future
climate engineering. Most countries are parties to the United Nations Framework
17

Convention on Climate Change (UNFCCC whose ultimate objective is to prevent

dangerous anthropogenic climate change. The UNFCCC have adopted a range of
policies designed to reduce greenhouse gas emissions and to assist in adaptation to
global warming. Parties to the UNFCCC have agreed that deep cuts in emissions
are required, and that future global warming should be limited to below 2.0 C (3.6
F) relative to the pre-industrial level
Possible responses to global warming
Climate change mitigation
Mitigation of climate change are actions to reduce greenhouse gas (GHG)
emissions, or enhance the capacity of carbon sinks to absorb GHGs from the
atmosphere. There is a large potential for future reductions in emissions by a
combination of activities, including: energy conservation and increased energy
efficiency; the use of low-carbon energy technologies, such as renewable energy,
nuclear energy, and carbon capture and storage; and enhancing carbon sinks
through, for example, reforestation and preventing deforestation.
Adaptation to global warming

Other policy responses include adaptation to climate change. Adaptation to climate

change may be planned, either in reaction to or anticipation of climate change, or
spontaneous, i.e., without government intervention. Planned adaptation is already
occurring on a limited basis. The barriers, limits, and costs of future adaptation are
not fully understood.
A concept related to adaptation is adaptive capacity, which is the ability of a system
(human, natural or managed) to adjust to climate change (including climate variability
and extremes) to moderate potential damages, to take advantage of opportunities, or
to cope with consequences. Unmitigated climate change (i.e., future climate change
without efforts to limit greenhouse gas emissions) would, in the long term, be likely to
exceed the capacity of natural, managed and human systems to adapt.
Environmental organizations and public figures have emphasized changes in the
climate and the risks they entail, while promoting adaptation to changes in
infrastructural needs and emissions reductions.
Climate engineering
Climate engineering (sometimes called by the more expansive term
'geoengineering'), is the deliberate modification of the climate. It has been
investigated as a possible response to global warming, e.g. by NASA and the Royal
Society. Techniques under research fall generally into the categories solar radiation
management and carbon dioxide removal, although various other schemes have
been suggested. A study from 2014 investigated the most common climate
engineering methods and concluded they are either ineffective or have potentially
severe side effects and cannot be stopped without causing rapid climate change.
5. CRS MEAL
18

Standards for Monitoring and Evaluation in Emergencies Standards for monitoring

and evaluation in emergencies:
1. Early monitoring systems are simple, use-oriented and flexible to accommodate
change in context and activities.
2. Monitor the relevance, effectiveness and quality of the response to increase
accountability to the people we serve.
3. Create a formal M&E system for the overall response as soon as the situation
stabilizes. A monitoring and evaluation (M&E) system for an emergency response
should remain light and dynamic to avoid placing a heavy burden on staff or
detracting from the response itself and to stay responsive to the changing context
and the evolving needs of targeted populations. Monitoring during the first phase of
an emergency response is often characterized by systematic output-level data
collection to strengthen accountability and management quality, and light and
purposeful monitoring at the intermediate-results level to check on the quality of the
response. Most emergency M&E systems include a real-time evaluation
approximately six to eight weeks after a response begins, which provides a more
rigorous check of the appropriateness and relevance, effectiveness, connectedness,
sustainability, coverage and coordination of the response.
Early monitoring systems are simple, use-oriented and flexible to accommodate
change in context and activities The process for establishing a simple, use-oriented
and flexible monitoring system during the first phase of a response can be
summarized with four steps:
1. Count progress toward outputs;
2. Check the appropriateness and effectiveness of the response;
3. Change the response as needed based on findings; and
4. Communicate progress and results to stakeholders. These Four Cs, when
implemented efficiently, provide timely information that is immediately relevant for
maintaining a high-quality emergency response.
COCD
In simple terms, community organizing is a combination of three things:
Building power through involving a constituency in identifying problems they share
and the solutions to those problems that they desire;
Identifying the people and structures that can make those solutions possible,
enlisting those targets in the effort through negotiation, and using
confrontation and pressure when needed;
Building a community-based organization that is democratically controlled by a
constituency and can develop the capacity to take on further problems, and
that embodies the will and the power of that constituency.
Community organizing is a methodology of community work which originated in the
United States. Organizers in the U. S. found it helpful to distinguish their work from
three other forms of community based strategies; namely advocacy, service delivery,
community development. For example:
19

Advocacy strategies (where an advocate offers to get a problem solved in the

community) are usually based on:
Short-term orientation;
Their issues derive from public agenda;
They are results oriented;
Their activities involve education, confrontation and negotiation;
The staff involved represents the interests of those affected, provides
information and or educates.
Using Participatory Methodology
Instead of focusing on the relationship between citizens and local government,
Community organizing is concerned about citizens involvement in the public arena
(as opposed to the private or personal arena) which includes both government,
business as well as the citizen and NGO sector. It is the interplay of all three that
forms the public arena.
The focus of organizing work is not only on developing the citizenscapacity to
engage with government as some other public participation strategies emphasize.
Organizing starts with an emphasis on developing the citizens capacity to engage
with either the government, business and possibly even other NGOs. Citizens need
to be prepared to deal with anyone else operating in the public arena and with whom
citizens need to negotiate in order to get their needs met.
Also, community organizing does not concern itself with the nature of the relationship
between government and citizens. Governments are free to choose whatever
relationship they wish with citizens. Obviously, things work better in an environment
of participation and collaboration but sometimes governments choose other means.
Either way, citizens need to be able to learn how to engage.
Process and Steps for Successful Implementation of the Community

Organizing Methodology
Often community groups are ineffective, as they are quick to rush to a particular
tactic, for instance writing a petition without taking the appropriate steps to help the
group assess whether or not it will help their cause.
Community organizing requires careful planning just like government and business.
There are eight steps involved in community organizing work. The eight steps are:
1. Identify the issue. In this step, information about the problems that exist in
communities is gathered. The community organizer carries out most of this initial
work by conducting hundreds of personal interviews with citizens. Citizens then sort
out these problems, choose one, and begin working on it. The problem is then
narrowed down and particular solution(s) are identified.
2. Get the background information on the issue. Doing our homework is still
important. To be effective in the public arena, we must be competent in our work.
This requires that we know all that we can about the issue, who has the power to
20

bring about changes we want. Ideas about what will be needed to bring about these
changes are especially essential.
3. Define the goal. At this stage the group really focuses on its task. The agenda
here is to not only clarify the actually goal in terms of solving the issue, but to also
clarify the goals for the group itself. The question that has to be asked here is: What
do you want the results of your work to be?
4. Plan the strategy. Many new groups start the process of community organizing at
this stage, and it is usually a mistake. It happens very often that when community
groups get together for the first time, they talk briefly about a problem, and
immediately start discussing possible tactics, for example writing a petition, or
arranging a meeting with the local city council member(s). Unfortunately, this usually
leads to failure, as groups are not prepared to discuss strategy until they have
completed the previous three steps. With the goal in place, the group can then
proceed towards identifying the possible supporters and opponents, the target group
for of the campaign (i.e. who has the power at the lowest level to implement the
requested change) and then possible tactics which could be employed to bring about
change. This requires an analysis of the power and what power the target has vs.
the power of the group. The strategy plan should take all of this into account.

5. Get support. Since our main source of power is people, we need to work hard to
get citizens involved. Unfortunately, very often people tend to generalize, and
assume that because some individuals do not wish to get involved in community
organizing the entire city population will act the same way. This is often the most
difficult and discouraging part of community organizing work. Therefore, we need to
work constantly to find techniques to acquire the needed support. Another key to
success is having well trained organizers.
6. Take action. This is really the heart of organizing. It is through action that people
truly learn about their power and the public arena. It is through action that we also
define who we are as a group, and what actual power we have. This is also the time
when real leaders step up. Talkers will move aside. The process for implementation
will need to be adapted to each country, their culture and conditions. This only adds
to the time required to be able to implement this type of program.
7. Assess results. It is critical to constantly strive to learn more about community
organizing. By assessing actions and strategies, we begin to learn what it truly
means to be citizens.
8.
Modify strategy and try again. If changes are needed in our strategy, those
changes must be made and those involved must be prepared to do the work
required. In some cases, however, it is possible that one conclusion would be move
on to another issue, since the current one is not successful.
Evaluation of organizing work should consider the training level of the organizers, the
campaigns won, the number of citizens active, and the strength of the organizations
built. It will be critical to assess the number of citizens active beyond just one
campaign, as this work is focused on long-term building of organizations.

21

In order to successfully implement the community organizing method, a minimum of

three years time has to be available for start-up. This has been one of the reasons
why so few attempts have been made since few donors are prepared to consider this
length of funding at the beginning.
Developing the strategy
When planning a strategy, it is important to consider these four rules:
1. Get comfortable with such words as conflict and agitation. There is no change
without conflict. As citizens, we do not create conflict; we merely expose the conflict
that already exists.
2. The tool we use to expose conflict is agitation. To agitate means to move to
action, or a change from the resting position.
3. When we look to develop effective organizing strategies, we want to choose the
strategy that will expose the conflict as openly, quickly and deeply as possible.
4. The organizing target is in control of the pressure. Your organization will release
the pressure as soon as the target agrees to negotiate in good faith.
The strategic planning process is a realistic, detailed assessment of your
organizations power and organizing target. This process should lead your
organization to one of two conclusions:
That the organization is strong enough to take on the target directly and win
OR
The organization is not strong enough to win right at the present time.
If your group determines that the second option is your answer, you must decide on
some options to help you win. These options include, a coalition with others, or
choosing some secondary targets that will help you eventually win. Another choice
is to take on an issue campaign that might be simpler to win will and will build the
organizing capacity of your organization, so that you can eventually win the primary
issue.With this you are now ready to start developing the groups strategy.
Community Organizing: People Power from the Grassroots
THE FOUR STRATEGIES
There are four fundamental strategies available to neighborhood groups to address
community problems: community organizing, advocacy, service delivery or
development. There is no right or wrong strategy - each organization has to choose
among them constantly. Each group should specialize - the skills needed to do a
good job in one are seldom those needed for another. Sometimes, groups use a
combination of strategies. What is important here is that you know what you're doing
- that the method matches the strategy you've chosen and they both match the
mission the group has adopted. This article will focus on defining and developing the
ideas behind community organizing.

22

Community organizing is characterized by the mobilizing of volunteers. Staff roles

are limited to helping volunteers become effective, to guiding the learning of leaders
through the process, and to helping create the mechanism for the group to advocate
on their own behalf. Community organizing almost always includes confrontation of
some sort. The people who want something get themselves together to ask for it,
often the people who could give them what they want get jumpy. Community
organizing strategies include meeting with corporate or government decision makers
to hold them accountable for their actions, designing programs for others (not the
group) to implement that meet the needs of the community, and aggressive group
action to block negative developments or behaviors (highway construction that leads
to neighborhood destruction, etc.).
Advocacy and Service Delivery are both characterized by doing FOR people. Often
professionals like lawyers or social workers will attack a problem on behalf of those
perceived as unable to speak for themselves. Job referral services, social work,
training for job readiness, homeownership counseling, business plan preparation
training - these are methods which fit into the Advocacy or Service Delivery strategy.
Development is a strategy that gets the group directly into the business of delivering
a physical product. Generally, groups select a development strategy because the
normal course of events is not meeting the areas needs. The profit motive either
does not bring private developers into the area - they can't make enough money - or
it brings them in to do the wrong thing - they are converting moderate cost rental
units into yuppie condos. Development could mean housing or commercial or even
industrial development. Development methods require, like the other two strategies,
particular skills. Many groups have struggled to achieve good results in housing
development with staff whose training, experience and interests are in community
organizing, causing pain and suffering for the group and the staff. This is unfair. If we
understand the distinction between the strategies, we can see the different resources
needed for the methods that fit within them.
WHAT IS COMMUNITY ORGANIZING?
Community organizing is the process of building power through involving a
constituency in identifying problems they share and the solutions to those problems
that they desire; identifying the people and structures that can make those solutions
possible; enlisting those targets in the effort through negotiation and using
confrontation and pressure when needed; and building an institution that is
democratically controlled by that constituency that can develop the capacity to take
on further problems and that embodies the will and the power of that constituency.

OOO = Organizers Organize Organizations.

Community organizing is NOT a technique for problem solving. Those who would
use simple confrontation or mass meetings to meet their own selfish need for power,
and skip the step of democratic involvement and control in the selecting of issues,
the crafting of demands or the negotiating of the victory are called demagogues.
Their organizations are a hollow sham, without the empowering aspect that
humanizes and ennobles the effort.
23

Community organizing is not merely a process that is good for its own sake. Unless
the organization wins concrete, measurable benefits for those who participate, it will
not last long. The groups that content themselves with holding endless meetings and
plod along involving everyone in discussions that never lead to action or to victory
are doomed to shrink into nothing. People want to see results. That's why they get
involved. There is a theory (isn't there always?) that says that folks join up if two
things are true. First, they must see a potential for either benefit or harm to
themselves if the group succeeds or fails. Second, they must see that their personal
involvement has an impact on the whole effort. This makes sense to me. Winning is
critical, but if the group's going to win whether I get involved or not - if my personal
involvement is not critical - then I can stay home and watch TV.
Community organizing is not just a neighborhood thing, not just a minority thing, not
just a 60's thing. Many - especially those uncomfortable with a particular community
organizing effort because it's confronting them at the time - seek to 'label' organizing
as somehow out of date or out of place. The fact is that the method, the strategy the
science of community organizing has been applied all over the world in situations as
disparate as Solidarity in Poland, Welfare Rights in the US and 'communidades del
base' in Brazil. The simple principles of community organizing are being applied right
now in the barrios of San Antonio and in the ghettoes of Baltimore. They are winning
victories and building power. We can too.
The Principles of Community Organizing
What are these simple principles? What is the essence of the science of power,
applied through the art of community organizing?
FIRST, people are motivated by their self-interest. This is important to motivating
involvement from the community that's being organized. It's also key to developing
effective strategies to pressure the opposition into giving up what the community
wants. Many people are uncomfortable with self interest. They'd rather focus on
values, on selfless giving, or on mutual aid as the highest virtue. All these may be
true, and we might hope that human beings could somehow be changed into angels.
Human nature fails the angel test every time, though.
Effective community organizing can develop a broader sense of self interest - this is
where hope comes in to the picture. How can we broaden the sense of self interest?
Through a process of building up the horizons of the people we are organizing. It
seems to me that people are taught everyday in countless little ways that the system
is not going to change, no matter what they do. We learn to stand in line and fold our
hands on our desks in school. We see politicians betray promises daily, with very
little regard for the faith that voters place in them before the election. We see the rich
get richer, the powerful escape the consequences of wrongdoing. In all these ways,
we learn that nothing we do will change the way things are. Out of simple selfpreservation, we begin to lower our horizons, to shrink into a world we define by our
ability to have an impact.
Think about the last time you were in a meeting, and the room was too hot or too
cold. You may have looked around for a door to open, a window to crack, or even a
24

thermostat. I'll bet, if you found none of these, you stopped being bothered by the
room, though. What if you were right next to the thermostat, but it was locked?
Wouldn't the heat bother you more, and if you knew where the key was, or who could
turn down the heat, wouldn't the temptation to DO SOMETHING become almost
irresistible? In the same way, our view of our own self-interest gets shrunk down to
the arena in which we believe we can have an impact. Community organizing seeks
to teach people, through experience, that they can be effective in a larger and larger
sphere - their own block, their own neighborhood, their city, their state, and so on. In
the process, we redefine our idea of self - who else is 'us' - and thus, of self-interest.

SECOND, community organizing is a dynamic process that requires constant

attention and effort. It is impossible to use community organizing to get to a certain
point and stop, or to build a community organization up and then stop reaching out
for new folks and taking on new issues. The process of development that we
described above - broadening peoples' view of their own self-interest - is mirrored in
the political arena.
We see this dynamic aspect in the initial stage of building a group. At first, some
people will want to take on big issues, and some will identify more achievable goals.
The organizer will push for a winnable project so that the group can get stronger
slowly. The formula for building a new organization is:
FWFWFLFH
This stands for Fight, Win, Fight, Win, Fight, Lose, Fight Harder. Any group that can
pick its issues - and this is sometimes impossible - needs to take this process
seriously.
What's necessary in these early stages to grow a strong group? Although simpler,
lower risk issues could be addressed quickly and behind the scenes, it is especially
important that they be handled the same way the big ones would. For example, even
if you know that the city will put up a stop sign upon request, you should still hold a
press conference on the street corner and a march to city hall to demand it, then
negotiate with the traffic engineer over which tree it will be posted on. A musical
mom I know tells her children that 'practice makes PERMANENT, GOOD practice
makes perfect!' If people in the early stages of a group learn that all it takes is a
phone call to get things done, they'll look to the same strategy next time. Community
organizing is a process of teaching people to work together, and how to be effective.
THIRD, it's important that, at an early stage of the development of any group, they
learn to deal with conflict and confrontation. Some people see this as manipulation,
as tricking people. Obviously, some groups and some organizers are guilty of this. In
the final analysis, though, groups must learn confrontation and negotiation because
they'll eventually have to use both. Many of the problems that confront low income
and minority communities can be solved by coordination and determination, simply
by focusing people of good will on a commonly understood problem. But most of the
fundamental problems are deeply rooted in greed and power, and there are those
who benefit from the status quo. Slum landlords might make as much or more
providing decent, safe housing, but not many will see it that way. If we are to build
organizations that can have any serious impact at all, they will eventually have to
25

come up against a situation where there will be winners and losers. The potential
losers are not likely to lay down and roll over because of the righteousness of our
cause. If the group has never stood strong before, if they have never made a
demand before, if they've never faced a target that really had to be forced into
complying, they're more likely to back down when the going gets tough. If
confrontation is not one of the tools in our toolbox, then we're likely to ignore
problems that require toughness to be addressed.
FOURTH, in selecting an issue to work on, every group has to take into account the
fundamental definition of an issue. A neighborhood, a minority group, a group of
workers or people who share any common complaint can be a community that wants
to get organized. Typically, there is a tangled web of problems - complaints,
irritations, bad situations, oppressions, difficulties, injustices, crises, messes. An
issue is a problem that the community can be organized around. I learned a formula
to describe this distinction from Stan Holt, Director of People Acting through
Community Effort, in Providence, RI in 1971, when he gave me and another raw
recruit our 6 hours of basic training before he sent us out door to door. He used the
initials I S R on the chalkboard in the dingy little office at Broad and Public (I thought
it was a pretty apt address for a community group - and I'm NOT making it up!).
Immediate, specific and realizable. (I never could spell that last one) An organizer
'cuts' an issue - interprets or massages perceptions or manipulates situations until
they fit these criteria as closely as possible. The thought process was to become
automatic after a dozen years.
Immediate, he said, in terms of either the benefit folks would get from victory or,
preferably, the harm they would suffer from inaction. 'The bulldozers are coming and
you'll be out on the street tomorrow' is far better than 'would you like to be part of a
community planning process'.
Specific refers to both the problem and its solution. Vacant buildings are a problem.
That building that we want torn down by the end of the month is an issue.

Realizable (it's easier to spell winnable, but it's not the way I learned, what can I do?)
is the toughest of all. It's easy to describe the extreme, the global problem beyond
the reach of a Block Club or a neighborhood organization. That's not a good issue,
especially not in the early stages. Most effective community organizations can point
to victories that any sane person would say were far beyond their reach, though.
Who would have thought that a handful of neighborhood folks concerned about their
children would get the government to buy their homes and relocate their families,
putting Love Canal into the language as a symbol of environmental disaster in the
process. Who would have said that East Toledo could get agreement and
construction on a $10 million dollar road project that would open up employment
possibilities for their neighborhood, and only five years from concept to construction?
It remains true, though, that calculating the odds on winning is an important first step.
The key to this aspect of 'cutting an issue' is calculation. The organizer - volunteer or
staff - has to look with a cold, hard balancing of accounts at all the factors on our
side and their side of the issue, and determine whether it's worth starting out on.
Some factors to consider include: who is effected by the problem, and can I get to
them? How much does the problem hurt them, and how hard are they likely to fight?
26

Are they able to escape easily, or is standing and fighting their only option? What
resources are we likely to need and can we get them? On the other side, who
benefited from the problem the way things are, and how much? Could they easily
give us what we want, or would it cost them, and how much? Who else is
peripherally hurt - or helped - by the way things are? How would the solution we
seek change this equation? Could we go after something that would help us just as
much, but get us more friends? In the end, all we can do is step out. The more we've
tried to peer ahead, the less likely we are to stumble.
THE TEN RULES OF COMMUNITY ORGANIZING
1. Nobody's going to come to the meeting unless they've got a reason to come to the
meeting.
2. Nobody's going to come to a meeting unless they know about it.
3. If an organization doesn't grow, it will die.
4. Anyone can be a leader.
5. The most important victory is the group itself.
6. Sometimes winning is losing.
7. Sometimes winning is winning.
8. If you're not fighting for what you want, you don't want enough.
9. Celebrate!
10. Have fun!

The first rule: Nobody's going to come to the meeting unless they've got a reason to
come to the meeting. Like many of my ten 'rules', this seems self-evident. All of
them, however, represent lessons that I have learned over twenty years of making
the same mistakes, taking the same basics for granted, and paying the price over
and over again, until the lesson is finally learned. I have observed this rule being
broken by groups all across the country, groups with experience, groups with
talented staff and leaders, who know better, or should. Giving folks a REASON to
attend means two things. First, interpreting the issue as related to them. This means
developing a 'line' or a 'rap' that sells the issue simply and personally. Even if the
issue has been thought through, if the story can't be told simply and quickly in an
exciting way, the people are less likely to respond. The organizer has to be able to
answer the question 'what's in it for me?' We must GIVE people the reason - this
should have been thought through in the planning stage, but in the actual
implementation of a campaign, there must be considerable attention to how it's going
to be communicated.
The second aspect of a REASON to come to the meeting is what happens at the
meeting. If the people in the audience are there just to cover a chair, and they are
not asked to participate, or there's no chance to ask questions or tell their story, they
27

will find it easier and easier to drop out. The agenda for the meeting should always
include a time for individual stories to be told, to put a human face on the problem.
Mrs. Schultz should be lined up in advance to come to the mike and tell about poor
little Otto who went to the hospital for stitches after he fell off the broken swing. The
chair should ask if anybody else has had kids hurt, and ask them to stand, or raise
their hand, or even come to the mike. The agenda should include parts for lots of
people - not just one chair who speaks and leads and asks the questions of the city
folks or the other targets, but plenty of folks trooping up to do their pre-assigned
parts -- the more folks who have a part, the more are likely to come out. Even
spectators can get the feeling that, next time, they could have an important part in
the group, if there are obviously lots of parts being given out. A one-person show,
however, tends to stay that way.
The second rule is: Nobody's going to come unless they know about it. This is
another painfully obvious point. Time after time, though, I have helped groups
analyze their shrinking participation, and found that they've ignored this rule. They
publicize meetings through the newsletter. The newsletter is distributed door to door
by block captains. Half the blocks have no captains. On the other half, the
newsletters were delivered for distribution on Tuesday night after 7, and the meeting
was held on Thursday. Even where the conscientious block captains actually went to
every house on the block and dropped one off on Wednesday afternoon when they
got home from work, about a third of the folks didn't go to the front porch until the
next morning, another third read the story about crime on the front page, but missed
the meeting notice, and another third thought it MUST be next Thursday they're
talking about. Many groups rely on a regular meeting night and a telephone tree to
get people out. Others just invite the ones who came to this meeting to come back to
the next one.
In fact, there is an almost unbreakable ratio - for every one hundred folks who get a
timely, well crafted written notice and a follow-up personal contact by phone or in
person, ten will come out. Late notices or wordy, unclear ones cut further into the
final count. No personal contact cuts even further. Organizing is hard work, and there
are few shortcuts worth taking. A group that doesn't plant seeds with effective
outreach should not be surprised when the harvest is sparse.
The third rule is: if an organization doesn't grow, it will die. A good outreach effort will
bring out new recruits. These folks must be put to work. Somebody has to recognize
their effort in coming out, and talk to them, welcome them, give them a chance to get
into things. Could they do calls for the next meeting? Would they like to help with
posters for the fundraiser? What did they think of the meeting? Each issue should
bring in new folks, and there should always be a next issue on the horizon, to get out
and touch the community with, to find yet newer folks to get involved with. People
naturally fade in and out of involvement as their own life's rhythms dictate - people
move, kids take on baseball for the Spring, they get involved with Lamaze classes,
whatever. If there are not new people coming in, the shrinkage can be fatal. New
issues and continuous outreach are the only protection against this natural process.
Rule four: anyone can be a leader. I have had the privilege of working with a wide
variety of very talented community leaders in twenty years of community organizing.
I can safely and in all humility admit that not one new leader was 'developed'
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because of my foresight and careful cultivation and training of a new recruit who
showed clear promise. Almost without exception, the best leaders have been people
who rose to the occasion of a crisis. The priest who spoke at all our news
conferences got sick at the last minute. Who can take his place? Mrs. H., you're the
only one at home, and the thing starts in five minutes - let me pick you up and brief
you in the car. What do you mean, Mr. President, you're not going to run for
reelection? This organization is big, it's new, and nobody else is ready! Mr. T., you
have to run, or else we'll have those guys from Up There in charge of the group, and
we can't have that, can we? The only wisdom or craft I can claim in any of these
scenes is an ability to convince people to step into a tough situation and give it a try,
coupled with a shameless willingness to praise and support a person after their first
shaky performance. They did the rest. Anybody can be a leader. A good community
organization provides a lot of people with a lot of opportunities to practice, to try it
out, to learn by doing. A broad team of folks who can lead is built by constantly
bringing new people into leadership roles and supporting them in learning from this
experience.
Rule five. The most important victory is the group itself. This starts a series of rules
about winning. Winning is what organizing is about. Winning without building is a
hollow process, though. We need to celebrate the simple fact of survival, given the
odds most groups face. The way to ensure that a group is built out of activity on
issues is to create a structure that governs the group and bring people who work on
issues into the governance of the group. In a mature organization this happens
through elections, and the elections should at least bring new people in, even if they
are not contests where folks vie for the votes to outdo their 'opponents'. A growing
organization should pay close attention to this as well, through steering committees
or leadership meetings where folks who are mostly involved in issues get brought
into the deliberations on priorities, strategies, structure and the 'business' of the
group. Even if they choose to say no, the opportunity to join in setting the course of
the group makes it more their own. A group that is governed by one set of folks and
involves a whole different set as beneficiaries or volunteers is never going to be a
real people's organization. No empowerment ever comes from well meaning
outsiders helping the helpless.
Rule six: Sometimes winning is losing. Remember in our initial discussion of the
process of organizing we talked about the FWFWFLFH method. A group that never
loses is probably just too naive or nearsighted to understand what's happening. Part
of the political literacy that community organizing ought to impart is the ability to stare
the facts in the face and understand that the politician who just talked for twenty
minutes didn't really mean that he supports us - he really said he wasn't going to do
what we want. Beyond this, we need to be careful that we ask for something we
really want. A community organization that I worked with in Providence once
undertook a two year campaign to open up membership in the United Way to more
minority and non-traditional agencies. One result was that the group itself became a
member agency! We thought this was the ultimate victory! No more spaghetti
suppers, no more grant writing, no more scratching around for free paper for the
mimeo - easy street. When a big Federal grant came down for anti-crime organizing,
all other fundraising ground to a halt, everybody got a raise, the group bought a van
and moved into a nice office. The dark side soon surfaced, though. The highly
motivated but formerly low paid staff started to get resistance from leadership when it
29

came time to challenge the real power brokers downtown - these folks are big in the
United Way! We're going to be cutting our own throats! Leaders started to bid for the
job openings, which now were much more lucrative - and those who didn't get hired
felt that they had been put down unfairly, and stopped volunteering - if their fellow
leader was now going to get to take home all that money, well he could make the
phone calls! The final straw was the fight over the van. Who gets to drive it home at
night -the new director of the anticrime project or the president - the fight was vicious
and bitter, and the staff that thought they'd signed on for a crusade left in disgust,
and the organization took a two year nosedive, leading to de-funding by the United
way and death. This group thought they wanted respectability and acceptance, and
were willing to pay any price to get them. In the end, they lost their power and they
lost their integrity, and finally they lost their very existence.
Rule Seven - sometimes winning is winning. Most community organizations take on
little slices of the problems that confront their community. The achievements seem
insignificant, and the progress seems so slow! A good organizer knows how to build
a sense of power and accomplishment, while not ignoring the problems that still
remain to be solved. Every group has a cynic, who says 'okay, we got a million for
our loan program. There's still vacant buildings out there we won't be able to fix!' This
can lead to discouragement. Nobody can fight day after day without some hope, and
acknowledging the victories along the way builds that hope. The East Toledo
Community Organization fought for three years to get a new road built to open up the
industrial potential of the area. There were plenty of reasons to complain about what
we didn't get - no job guarantees from new industry, no required hiring of
neighborhood folks on the road construction. The victory was that we got a ten
million dollar road built, though, and we worked very hard to let the whole community
- inside East Toledo and outside - know that that's what we wanted, and that's what
we got. This rule - know when to stop and claim the win - leads very directly to the
ninth, but that's not coming until after the next one.
Rule Eight - If you're not FIGHTING for what you want, you don't want enough.
We've talked before about the purpose of community organizing - building power. It's
a lot like lifting weights. If you stay with the little baby weights, you'll never get the
strength to do really heavy work. Community organizers know that it's possible to
keep busy doing stuff and still get nowhere. It's possible to define your goals by
what's achievable, and look like you're succeeding. The tragedy is that a group that
never defines a difficult goal will never achieve a meaningful accomplishment. This
extends, in the arena of power, to conflict, which we've talked about before. For now,
remember the rule and check up on your group to make sure SOMEBODY thinks
you're too strong, too forceful, too demanding, too abrasive. That probably means
you're getting close to where the real power is.
Rule Nine - celebrate! I once ordered a young organizer in a new group to find some
excuse and hold a victory party within a week or face firing! This young woman could
only see the tough part - the half empty glass. She was starting to infect the
neighborhood leadership with this negativity, and the group was sinking fast. Much to
her surprise and delight (it saved her job), when she started talking to leaders, they
came up with lots of reasons to celebrate! They wrote a VICTORY flyer, organized a
block party with a cookout and games and awards, and turned the whole spirit of the
group around - now they were winners! Everybody wants to be with a winner!
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Finally - rule number ten - have fun! I started organizing with an all business attitude
that looked at a meeting as being over when the gavel fell, and at the hanging out
and laughing and drinking coffee afterwards as a distraction and a waste of time. I
missed the community part of community organizing. These people were building a
community, and sharing their fears, their hopes and their vision of the future over a
beer at the club after the action was just as important as the planning meeting. I
learned that meals and birthdays and Christmas parties and the summer picnic are
organizing too. I learned that the posters that got made in the office with pizza and
pop by the gang of volunteers we could scare up on a Friday night were far more
important to the organization than the same posters made separately in peoples'
homes. I learned that using humor to embarrass a public official brought a feeling of
power to our folks that straight, serious conversation about our rights and their
responsibilities could never come close to. I learned the power of FUN! and I vowed
to try to make organizing at least as much fun as TV.
DEFINING AN ACTION STRATEGY
Every group should plan. This is not to say that things don't change, and often in
ways that have not been anticipated. Real community organizing, though, is an
educational process of action and reflection that puts people into the power game as
players. Planning should be a participatory process, then. A leadership group, with
staff participation if there is an organizer on board, should plan out the strategy and
steps on an issue.
First, the issue is defined, the goals for the campaign set, and the target selected. All
these three factors are interrelated. As we discussed in the section on choosing and
cutting an issue, there needs to be careful calculation involved, but finally the group
needs to settle on their best guess as to just how broadly to define the issue, and on
what to go for and who to go after.
Generally, the best plan has one target, a person who could take action to deliver
what the group wants. This person needs to be within reach - a Toledo group
shouldn't build its whole plan around getting somebody in New York to make a
decision, but rather should find a local target that they can put pressure on in a
variety of ways. The more you know about the target, the more you can develop
pressure tactics.
In developing a plan, look to cover the 'what ifs.' There are usually three possible
outcomes to any plan. If you've invited the mayor to your meeting, either he'll come
or he won't come or he'll send somebody else to represent him (a variation on #2,
but we'll call it a third alternative). The planning group needs to talk about what the
groups' response will be in all three eventualities. If the mayor comes, how will he be
welcomed, where will he sit, how many minutes will he be given, will we let him talk
first or only in response to our questions, will he stay for the next part of the meeting
or should we ask him to leave - all these questions need to be dealt with. If he
doesn't come, when will we know, and is there anything we could/should do to get
him to change his mind, like maybe an action at city hall or at the golf course? If they
send a representative, who will it be, and do we accept him/her or not? In the same
way, there are three possible responses from the mayor to our demands - yes, no or
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mushy/maybe. If he says yes, can we pin him down to a specific and enforceable
commitment, and if he says yes right away, is there any follow-up that we should ask
for while he's in an agreeable mood? If we get an outright no, do we have any
recourse, or a fallback position? Can we get the mayor to recommend that
somebody else do something instead? Can we lay out our next step, that will try to
change his mind? Who will be chairing the meeting at that point, and can we get
some mileage out of a no, with booing and hissing and so on, rather than just roll
over and play dead? Finally, if the mayor says maybe/mushy, can the chair
characterize this as a no, to push the mayor to a clearer yes statement? Can we pin
the mayor down on the next step, so we know when the maybe/mushy might be
converted to a yes or no? In fact, the planning group needs to talk about the fact that
most maybe/mushy answers really mean NO, and they can be prepared to reject this
kind of answer. A planning group could review peoples' experience with meetings
and agreements and talk about just what constitutes a yes or a no. It's especially
important to be prepared with your next step, so that a no or a maybe/mushy doesn't
end the meeting, but rather you can announce that we'll all be down at council on
Tuesday to protest this lack of cooperation, or we'll be calling for a new state law
requiring the city to do this, starting on Monday with a press conference, or
whatever...
In developing the plan, never make empty threats. Threats are very valuable, but if
once you are unable to make good on them, your credibility will be weakened for a
long, long time. I worked with a neighborhood organization in the Black community in
Providence, Rhode Island in the early '70's. They were concerned about the lack of
good jobs for young people. A group of leaders had identified the beer distributor that
was located in the heart of the area as a particularly bad actor, with lots of minority
beer drinkers but no minority drivers, warehouse personnel or sales staff. We held a
long series of revival style planning sessions, invited the company to a public
meeting that they ignored and declared a boycott on Narragansett beer, statewide. I
was excited - this was my first organizing job, and already we're taking on the big
guys, big time. Unfortunately, boycotting Narragansett beer in Rhode Island is like
trying to boycott air. It's a great target, but we didn't have the troops to carry it off.
The first night, 30 of the 100 folks who signed up at the meeting to come and picket
showed up. We downsized our plan - less pickets, less stores - and went out
anyway. The next night, only ten arrived. We did one store. The third night, only the
picket leader and me were there.
We were demoralized. I went to my Director, a legendary organizer, trained in
Chicago. What's wrong with these people, why don't they want to fight? He pointed
out, in language clear and straightforward (that better be the last time, or you're out)
that I was looking in the wrong place for blame. As the organizer, it was MY job to
design a campaign that could work, so if it wasn't working I should try to figure out
why, and fix the plan, not blame the people...He led me through an analysis that
identified the weak points of the plan. First, the group was made up largely of people
who cared in general terms about getting more and better jobs for minority
neighborhood residents, but very few actual job seekers, so the self interest was
weak, and the commitment level low. Second, the tactic of a boycott is a long term,
people-intense one, requiring a vast network of willing workers, and likely to succeed
when there are lots of alternate products that folks could use. Narragansett was the
cheapest brand, the locally produced brands, and held intense brand loyalty - tough
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to take on. In the end, we developed a quick and dirty approach to saving the
campaign - and the reputation of the group. We did a week of outreach with a flyer
that said, "Need a job? Come to the Meeting!" We took actual applications from
people, explaining that we would turn them all over to the company at a certain time
and in a group. We sent a letter demanding that the company meet us, in the street
in front of their place, at noon on Friday. We called al the original leaders, and all the
job applicants, and got a hundred folks there. The leaders presented a package of
applications and a list of demands: accept these applications and pledge to give
everybody an equal chance at all your job openings and we'll call off the boycott.
Refuse at your peril! Needless to say, the media loved it, the company bought it and
the organization declared a victory and got the heck out of the issue. A number of
folks actually got jobs, too, and my career was preserved, with a difficult lesson
learned.
Plan to build on the reaction from the other side. One of our most successful
campaigns grew from an almost disastrous failure, through taking advantage of the
reaction. Parents at the Southside Elementary were concerned about cars speeding
by the playground. They were interested in a little activism, but not much. They
asked our help in developing a petition for speed limit signs, and I met with a
committee and urged them to make an appointment to deliver the petitions to the
traffic engineer as a group. They agreed, made the appointment, and got the
petitions signed. I arrived at the school at 3 pm on the appointed day, to find not five
parents but only one - a short, meek, VERY pregnant mother who was also very
reluctant to go alone to a big city office and talk to the official city traffic guy. As I had
her in the car already, she found herself at the door of the city office before she could
convince me to take her home and just mail the petitions. "While we're here, we
might as well keep the appointment." The traffic engineer, a young, brash ItalianAmerican, proceeded to treat Mrs. M like dirt. He made us wait, he dismissed her
concerns as unimportant, he didn't offer her a chair, he said the petitions probably
wouldn't make a difference, he generally disregarded and disrespected the whole
situation. In the car, on the way home, I agitated Mrs. M mercilessly. "Did you hear
the way he talked to you? The nerve of this guy, who pays his salary, anyway! I'll bet
he wouldn't treat a white person that way! And you six months pregnant! doesn't he
have any manners?" I urged her to call the four other ladies who couldn't make it,
and tell them the story. I asked her to call the neighborhood leadership and tell them
the story as well, and ask for a few minutes on the agenda of the next area public
meeting. By the time she'd told the story a half dozen times, and those folks had told
it a few more, it came back to me as a physical attack, with racist slurs! The issue
took off like a rocket - it led to a public meeting with 75 parents and over 100
children, and a hit on the installation dinner of the traffic engineer as the Grand
Master of the Masons' lodge...but that's another story.
Finally, when a meeting is designed to get an agreement from a person, the meeting
should be structured to tie that agreement down, tight. Two tried and true techniques
for this are the written agreement and the report card. Often, an official or a target
can be asked to sign a written agreement that embodies the demands. If they do,
you know that their answer is really yes. If they don't sign, they will usually get much
more specific about what they DO mean, and sometimes will sign a revised version
so you know what they ARE agreeing to. The other approach is to post a list of
demands, with a check-off spot marked YES and another for NO. This gives the
33

chair a technique for concentrating the target on a specific answer that goes beyond
"I'll do my best". The meeting can be focused around the list of demands very simply
with either of these methods.
Evaluating the success of your effort is a critical part of any organizing campaign.
Don't wait until the end to find out if you were effective. As you carry out your
strategy and tactics, assess and evaluate your efforts. One approach is to have the
group members answer the following three questions:
1. Is our strategy achieving the desired results--are we closer to the goal?
2. What's working, what isn't?
3. Are our tasks (actions) working--are they helping the group gain support?
An evaluation of the strategy and its results may lead a group to conclude that the
reason why they have not met their goal is that the strategy was not fully developed.
For example, the "target" of the group's efforts may not have had the power to make
the change the group sought, or perhaps the timing of the campaign was not right; or
a group may conclude that the strategy and tactics used were correct but not
sufficient in number or frequency.
If your assessment indicates that your strategy is not working, you may need to
revise your approach. Re-evaluating and changing tactics is completely acceptable.
The bottom line for assessing success is: Did your efforts create the change you
wanted? You will want to know what might the group do differently next time.
Knowing what worked can help in planning your next organizing campaign.

Balanced Scorecard Basics

The balanced scorecard is a strategic planning and management system that is used
extensively in business and industry, government, and nonprofit organizations
worldwide to align business activities to the vision and strategy of the organization,
improve internal and external communications, and monitor organization
performance against strategic goals. It was originated by Drs. Robert Kaplan
(Harvard Business School) and David Norton as a performance measurement
framework that added strategic non-financial performance measures to traditional
financial metrics to give managers and executives a more 'balanced' view of
organizational performance. While the phrase balanced scorecard was coined in the
early 1990s, the roots of the this type of approach are deep, and include the
pioneering work of General Electric on performance measurement reporting in the
1950s and the work of French process engineers (who created the Tableau de Bord
literally, a "dashboard" of performance measures) in the early part of the 20th
century.
The balanced scorecard has evolved from its early use as a simple performance
measurement framework to a full strategic planning and management system. The
new balanced scorecard transforms an organizations strategic plan from an
attractive but passive document into the "marching orders" for the organization on a
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daily basis. It provides a framework that not only provides performance

measurements, but helps planners identify what should be done and measured. It
enables executives to truly execute their strategies.
Kaplan and Norton describe the innovation of the balanced scorecard as follows:
"The balanced scorecard retains traditional financial measures. But financial
measures tell the story of past events, an adequate story for industrial age
companies for which investments in long-term capabilities and customer
relationships were not critical for success. These financial measures are inadequate,
however, for guiding and evaluating the journey that information age companies
must make to create future value through investment in customers, suppliers,
employees, processes, technology, and innovation."
Balanced Scorecard Perspectives and More
Perspectives
The balanced scorecard suggests that we view the organization from four
perspectives, and to develop metrics, collect data and analyze it relative to each of
these perspectives:
The Learning & Growth Perspective
This perspective includes employee training and corporate cultural attitudes related
to both individual and corporate self-improvement. In a knowledge-worker
organization, people -- the only repository of knowledge -- are the main resource. In
the current climate of rapid technological change, it is becoming necessary for
knowledge workers to be in a continuous learning mode. Metrics can be put into
place to guide managers in focusing training funds where they can help the most. In
any case, learning and growth constitute the essential foundation for success of any
knowledge-worker organization.
Kaplan and Norton emphasize that 'learning' is more than 'training'; it also includes
things like mentors and tutors within the organization, as well as that ease of
communication among workers that allows them to readily get help on a problem
when it is needed. It also includes technological tools; what the Baldrige criteria call
"high performance work systems."
The Business Process Perspective
This perspective refers to internal business processes. Metrics based on this
perspective allow the managers to know how well their business is running, and
whether its products and services conform to customer requirements (the mission).
These metrics have to be carefully designed by those who know these processes
most intimately; with our unique missions these are not something that can be
developed by outside consultants.

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The Customer Perspective

Recent management philosophy has shown an increasing realization of the
importance of customer focus and customer satisfaction in any business. These are
leading indicators: if customers are not satisfied, they will eventually find other
suppliers that will meet their needs. Poor performance from this perspective is thus a
leading indicator of future decline, even though the current financial picture may look
good.

The Financial Perspective

Kaplan and Norton do not disregard the traditional need for financial data. Timely
and accurate funding data will always be a priority, and managers will do whatever
necessary to provide it. In fact, often there is more than enough handling and
processing of financial data. With the implementation of a corporate database, it is
hoped that more of the processing can be centralized and automated. But the point
is that the current emphasis on financials leads to the "unbalanced" situation with
regard to other perspectives. There is perhaps a need to include additional financialrelated data, such as risk assessment and cost-benefit data, in this category.

Strategy Mapping
Strategy maps are communication tools used to tell a story of how value is created
for the organization. They show a logical, step-by-step connection between strategic
objectives (shown as ovals on the map) in the form of a cause-and-effect chain.
Generally speaking, improving performance in the objectives found in the Learning &
Growth perspective (the bottom row) enables the organization to improve its Internal
Process perspective Objectives (the next row up), which in turn enables the
organization to create desirable results in the Customer and Financial perspectives
(the top two rows).

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Worksheet: Conducting a Successful SWOT Analysis Meeting

Step 1 Explain the Process
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Since time is usually at a premium for meeting participants, it is important that the
participants understand why they are at the meeting and what the expected
outcomes of the meeting are.
Explain that the purpose of the meeting is to conduct a SWOT Analysis of the
agencys workforce. Define SWOT Analysis as the process of documenting the
agencys Strengths, Weaknesses, Opportunities and Threats.
Explain how your agency will use the outcome of the meeting that the results are
important because the information will serve as a foundation for the agencys
workforce and strategic/business planning.
Before beginning the business part of the meeting, establish meeting ground rules
(an agreed upon set of norms on how the meeting will be conducted):
Step 2 List Strengths
Develop a list of all of the internal strengths of the agency incorporating feedback
from the team members, emails and surveys. Discuss the strengths and clarify any
questions or confusion. Examples of strengths could include an experienced staff or
good employee training program. Sample Meeting Ground Rules Teams meeting to
complete a SWOT Analysis should develop ground rules that define how team
members want the meeting to be conducted. Ground rules help promote meeting
efficiency and member participation. The ground rules should be developed and
agreed upon by the team members at the start of the meeting.
Ten of the most common meeting ground rules include:
1. Respect each other and refrain from making personal attacks.
2. Acknowledge that it is OK to disagree.
3. Listen to others, dont interrupt.
4. Everyone participates; no one dominates, value the diversity of team members.
5. Honor time limits: be on time, start on time, end on time
6. Recognize that all ideas are potentially good ideas, dont rush to evaluate
suggestions; keep an open mind.
7. Stick to the agenda stay on task. Usually the meeting leader or another
designated individual serves as a facilitator and is responsible for facilitating the
meeting and keeping it on task and on time.
8. Be prepared for the meeting by reviewing materials distributed beforehand and
bringing any requested materials with you
9. Respect confidentiality, what is said in the meeting should stay in the meeting. 10.
Make arrangements to not be interrupted during the meeting; turn off cell phones.
Step 3 Identify Weaknesses
Repeat the process you used to identify strengths to generate a list of the agencys
weaknesses. Weaknesses are internal factors that may impact workforce planning
negatively. Examples of weaknesses could include an absence of procedural
manuals or lack of an employee mentoring program. It is possible that a strength
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could also be a weakness. For example, long-time employees could be a strength

because of their experience, but may be a weakness because it might indicate a
workforce close to retirement.
Step 4 List Opportunities
Repeat the process to list opportunities. Opportunities are external factors, as
opposed to the internal factors of strengths and weaknesses. Opportunities could
include new relevant training programs at educational institutions or an emerging
diverse workforce.
Step 5 Identify Threats
Repeat the process to identify threats. Threats are also external factors. Threats
could have a negative impact on your workforce planning and could include a
projected increase in the cost of employee health insurance or an expected
reduction in government funding. Again it is possible that an opportunity may also be
perceived as a threat. For example, new technology tools might be an opportunity,
but also threaten staffing levels.
Step 6 Establish Priorities
You will have four lists once youve identified your Strengths, Weaknesses,
Opportunities and Threats. Use a prioritization process to reduce each of the four
lists to five top priorities. Two options for doing this are:
1. Give each person in the group five sticky dots and have them place the dots
beside the options they prefer. They can choose five individual options or place
multiple dots on an option they feel strongly about. The option with the greatest
number of dots will determine the course of action.
2. Ask participants to rank the options using a scale of 1 to 5, where 5 points
represents their first choice, 4 their second choice, etc. The desired option is the one
that accumulates the highest total score.
Scan and SWOT Analysis into something actionable. Encourage group discussion
about the four prioritized lists by asking:
How can we maximize the use of our strengths?
How can we overcome the threats identified?
What do we need to do to overcome the identified weaknesses?
How can we take advantage of our opportunities? Explain to the team members
that the results of their efforts will be incorporated in the agencys business and
workforce planning in the form of action plans.
Conducting Effective and Efficient Meetings
When meeting to complete a SWOT Analysis or to conduct other business, the most
productive meetings are those that are run effectively and efficiently. Below are
some universal tips to help any meeting run more smoothly.
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1. Distribute the agenda prior to the meeting. Define the purpose of the meeting, list
the agenda items and time allotments, and include any reference materials that
should be reviewed prior to the meeting.
2. Write the agenda and meeting goals on a blackboard or flipchart in the meeting
room. This will help keep the team members focused on the tasks at hand. Follow
the agenda, start on time and end on time.
3. Your meeting should have a facilitator, either the meeting leader or another
designated individual. The role of the facilitator is to keep the discussion focused on
the topic, stay on the agenda, and stay on time. It would be very easy for a meeting
on workforce planning to turn into a meeting with participants discussing everything
about the organization. The facilitator controls the meeting by establishing time
limits, listing specific agenda items, defining the purpose of the meeting, and
controlling the discussions.
4. Make introductions, have team members introduce themselves and tell where they
work or what they do.
5. Use a warm-up activity, sometimes called an icebreaker. This activity serves two
purposes: 1) it promotes participation and communication; and 2) it encourages team
work and team building.
6. Have the team members develop and agree upon meeting ground rules. These
agreements establish norms for participant behavior and define how the meeting will
be conducted.
7. Encourage participation from all team members and ensure that no one team
member dominates the discussion. Brainstorming can be used to generate ideas,
remember that during brainstorming ideas should not be evaluated or criticized.
8. Determine how decisions will be made. There are a number of methods to make
decisions ranging from voting to building consensus. A majority vote decision
method requires support from more than 50% of the members of the group and can
be accomplished through voting, either by a show of hands or written secret ballot.
The following prioritization techniques can also be used to arrive at the option that
the majority supports: Give each person in the group five sticky dots and have them
place the dots beside the options they prefer. They can choose five individual
options or place multiple dots on an option they feel strongly about. The option with
the greatest number of dots will determine the course of action. Participants are
asked to rank the options using a scale of 1 to 5, where 5 points represents their first
choice, 4 their second choice, etc. The desired option is the one that accumulates
the highest total score. 5 When simple voting may result in some unhappy team
members, a consensus decision method strives to avoid "winners" and "losers".
Consensus requires that a majority approve a given course of action, but that the
minority agree to go along with the course of action. All team members dont need to
favor the decision, but all team members need to be able to live with the decision
and support it. 9. Keep the discussion focused on the agenda items to avoid
investing time where team members discuss items that are extraneous to the
agenda. The comments may be interesting, but they are not likely productive to the
meetings goals.
40

10. Park issues that are important, but unrelated to the specific agenda in a Parking
Lot by recording them on the flipchart or blackboard for future consideration or
agendas.
11. Prior to adjourning the meeting summarize the results and conclusions from the
meeting; record any actions or assignments, who is responsible to complete them,
and timeline for each action.
12. Use a check-out to end the meeting. A check-out is an opportunity for team
members to share their thoughts on how the meeting went, what worked well and
what could be done to improve future meetings.

41

WHAT IS A PARTICIPATORY APPROACH TO PLANNING?

In its simplest terms, a participatory approach is one in which everyone who has a
stake in the intervention has a voice, either in person or by representation. Staff of
the organization that will run it, members of the target population, community
officials, interested citizens, and people from involved agencies, schools, and other
institutions all should be invited to the table. Everyone's participation should be
welcomed and respected, and the process shouldn't be dominated by any individual
or group, or by a single point of view.
That's the ideal. The reality may often be quite different. Some people might not want
to be involved - they may feel it takes too much time, or they don't have the skills
needed. Particular individuals or groups may feel left out and disrespected if they're
not invited to participate. The planning process may be a rubber stamp for ideas that
have already been developed. Some people's opinions may be listened to more
carefully than those of others. In some of these situations, a participatory process
can cause as many problems as never involving people at all.
The important thing to remember here is the word participatory. The use of that term
implies not just that you'll ask for someone's opinion before you do what you were
going to do anyway, but rather that each participant becomes an important
contributor to the planning process.

42

A true participatory approach is one in which everyone's perspective is considered.

That doesn't mean that people can't challenge others' assumptions, or argue about
what the best strategy might be. It does mean, however, that everyone's thoughts
are respected, and it isn't necessarily assumed that the professionals or the well educated automatically know what's best. Everyone actually gets to participate in the
planning process, and has some role in decision-making.
This is an extremely important point. Many low-income or minority individuals and
groups feel that they have no voice in the society, that they are not listened to even
when they are asked for their opinions. True participation means that everyone has a
voice which must be acknowledged.
Acknowledgment also implies having enough respect for another's opinion to argue
with it. All too often, low-income or minority members of a planning team or
governing board are treated with reverse condescension, as if anything they say
must be true and profound. A truly participatory process would include not only
everyone being heard, but also everyone thrashing out ideas and goals, and
wrestling with new concepts.
In order for this to happen, those with less education and "status" often need extra
support, both to learn the process and to believe that their opinions and ideas are
important and worth stating. All of this takes time, but the rewards are great.
WHAT ARE THE LEVELS OF PARTICIPATORY PLANNING?
There are a number of ways to consider participatory planning. As demonstrated in
the discussion above of advantages and disadvantages, this kind of process always
presents, even at best, a trade-off between efficiency and inclusiveness. Time
pressure, the needs of the community, the skills and experience of those
participating, and the nature of the intervention, among other factors, all help to
dictate the actual shape of the planning process.

So what are the possibilities? Just how participatory do you want to be? David
Wilcox, in his excellent "Guide to Effective Participation," sets out the following as a
model of the different possible levels of participation:
Information - The least you can do is tell people what is planned.

Consultation - You offer a number of options and listen to the feedback you
get.
Deciding together - You encourage others to provide some additional ideas
and options, and join in deciding the best way forward.
Acting together - Not only do different interests decide together what is best,
but they form a partnership to carry it out.
Supporting independent community initiatives - You help others do what they
want - perhaps within a framework of grants, advice and support provided by
the resource holder.

43

Each of these levels may be appropriate in different circumstances, or with different

groups, although only at "deciding together" and above do they really begin to be
fully participatory in the sense that the term is used in this section.
WHEN IS PARTICIPATORY PLANNING APPROPRIATE?
In addition to whatever feels right for your organization and circumstances, there are
some guidelines for when it might be appropriate to use each level of planning.
Information-only may be appropriate when:

The course of action has already been decided - by a funder, for instance
You're simply reporting on something that's already in progress
You're keeping people informed so that they'll have the information to be part
of a participatory effort later

Consultation-only may be appropriate when:

You want to evaluate or improve existing services.

There are limited options, and you're trying to choose among them
There are technical reasons - again, perhaps because of a funder - why only
certain people or groups can be officially involved in the planning process

But remember, if you consult with people in the community, you have to pay
attention to what they tell you. If you're simply going to ignore their ideas and
recommendations, you shouldn't consult at all. Being asked for an opinion and then
ignored is much more insulting and infuriating than never being asked in the first
place. At the very least, people deserve an explanation of why their advice isn't being
followed.
Deciding together may be appropriate when:

It's important that everyone feel ownership of the plan

You want fresh ideas from as many sources as possible
You can pull in people whom the intervention will directly affect
There's a commitment to provide support through the process for those who
need it
There's enough time

In reality, as mentioned earlier, a planning process often is time-limited by proposal

deadlines, the severity of the need (if teenagers are dying every day by gunfire, a
violence prevention program needs to get under way quickly), the requirements of
other partners or funders, etc. The trick is to balance participation and time
restraints, and to try to use the highest level of participation possible under the
circumstances.
Acting together may be appropriate when:

The intervention will be more effective than if it were run by a single entity
44

There is a funder's requirement for community oversight

There is commitment to the development of a real partnership
Everyone benefits from acting together
One goal of the intervention is the eventual assumption of leadership or the
learning of leadership skills by the target population and/or others in the
community

The word "partnership" implies a relationship of equals, where everyone has an

equal voice, and where power and responsibility are equally shared. Forming such a
relationship, even in circumstances where everyone truly desires it, is not a quick or
easy task. It takes time, commitment both to the process and the end product (the
partnership), and the willingness to air and work through disagreements and
philosophical differences. If you're not willing to give yourself to the development of a
real partnership, acting together may be only a future goal for your organization and
its community.
Supporting local initiatives may be appropriate when:

There is a commitment to community empowerment

The community has the desire and at least some of the tools to start and run a
successful intervention
There is a commitment to provide training and support where needed
Your organization can only provide support, or can only run an intervention for
a short time

As you try to determine what level of participation is right for your situation, consider
this: A participatory planning process has the potential to become a charade meant
only to convince the community that a participatory process is going on.
WHEN IS PARTICIPATORY PLANNING NOT APPROPRIATE?
There are also some general guidelines for when a participatory planning process
may not be appropriate at all, including:

A grant may have to be written immediately, for instance, or a situation - youth

violence, perhaps - may have reached such crisis proportions that it must be
addressed immediately. In such a circumstance, it may be possible to do
some participatory planning after the fact, either to adjust the intervention
before it begins, or to plan its next phase.
When a community is so brutally divided, it's impossible to get all - or even
any - of the rival factions to the same table.
When there's no way to provide proper support - facilitation, structure, etc. for the process.
When the target population is simply not interested in participating, and just
wants the organization to take care of it. One goal may be to get them
interested, but that may have to be part of the intervention, rather than part of
the planning process.
When the intervention rests on technical knowledge of a kind that the target
population and community members simply don't have.
45

When involving all or most stakeholders simply isn't logistically possible,

because of distance, time, or other issues.
When funding constraints or funders' regulations don't allow it.
When there is no trust between your organization and the community. This
may be because the organization is new and unproven, or because of past
history. In the latter circumstance, it is important to reestablish trust, but it may
not be possible to do this before the intervention needs to be planned.

WHO SHOULD BE INVOLVED IN A PARTICIPATORY PLANNING PROCESS?

The ideal answer here is everyone who is affected by the proposed intervention, but
that's seldom possible, or even desirable. You may be talking about thousands of
people, too many for an effective planning process. In reality, there should be strong
and effective representation for everyone involved, including:
TARGETS OF CHANGE
Targets of change are the people at whom the intervention is aimed or whom it is
intended to benefit. That could be very specific (e.g. teen mothers, for a job training
program aimed at teen parents) or very general (the community as a whole, for a
smoking prevention and cessation initiative aimed at everyone in the community).

There are really two groups to be considered here:

Members of the target community, both those on whom the intervention is
specifically focused, and others who share their culture, age, language, or other
characteristics.
People whom the target community sees as significant opinion makers. They may be
members of the target population itself, or outsiders - clergy, advisors, former
community members who now move in circles of power, politicians, etc. - whom
people in the target community trust and rely on.
AGENTS OF CHANGE
Agents of change are the people who make or influence policy or public opinion.
These include actual policy makers, but also encompass people influential in the
community at large, who can help or block an intervention by their support or
opposition.
Policy makers
Local elected or appointed officials
State or federal elected or appointed officials who have influence in the community
or over the issue at which the intervention is aimed.
If elected officials agree to be involved in your planning, they'll often send aides to
represent them. This can be preferable to the officials themselves attending, since
the aides often have a great deal of influence over their bosses, and are also more
likely to have the time to participate fully.

46

Local public agency heads (welfare, e.g.) who actually administer policy in the
community. If they're involved from the beginning, they may be able to bend rules or
otherwise alter their procedures to smooth the way for the intervention.
Local university professors or researchers who are viewed as experts on the issue in
question.
Influential people in the community
Members of the business community. There are a number of good reasons to try to
involve the business community: They tend to be practical, often a helpful trait. They
also tend to be conservative, so that if they support the effort, their credibility - and,
as a result, that of the intervention itself - may be high among other conservative
elements in the community. They are often directly affected by such issues as
illiteracy, employee health, insurance, the environment, etc., and so may be quick to
see the need for an intervention. Last but not least, they often have access to
money, which may be important to sustaining the intervention over time.
Clergy and the faith community. In many communities, clergy wield great influence,
and many see involvement in community issues as part of their spiritual mission.
Faith-based groups, because of their cohesiveness, their sense of purpose, and their
moral standing, can be powerful forces in a community.
Natural leaders, those whom others respect and listen to.
A community coalition had as a founding member a veteran who had been shot
down as a fighter pilot in Vietnam. When he got home, the whole town watched for
agonizing months as he learned, through obvious pain, to walk and function despite
crippling injuries that were supposed to confine him to a wheelchair for life. He was
an ordinary guy without wealth or position, but he had credibility in that town.
The media, or others who have a public platform.

Directors or staff of other organizations affected by the problem or issue. Many of

these people may be highly respected or well known in the community. A community
intervention may involve a number of organizations, public agencies and services,
and other groups.
INTERESTED MEMBERS OF THE COMMUNITY
These might include parents, youth, or school personnel, for instance, for an
intervention dealing with youth. Many seniors have the time, the desire, and the
experience to be excellent community volunteers. People with a personal or
professional interest in the issue may also want to participate - parents whose
children have had drug problems, graduate students, retired teachers or doctors.

WHAT DO YOU NEED TO DO TO GET A PARTICIPATORY PLANNING PROCESS

UP AND RUNNING?
RECRUIT STAKEHOLDERS
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The obvious first step toward starting a participatory planning process is finding
people to participate. Some of that relies simply on networking and old-fashioned
legwork, but there's a logical process that accompanies it as well.
Identify the stakeholders
How do you define stakeholders? The list of possible participants earlier in this
section is one place to start. Your intervention may not need all, or even many of
these groups or individuals. To determine who should participate, the best question
to ask is "Who will be directly affected by this intervention?"
Answers here will vary greatly, depending upon the nature of the intervention. If the
taxpayers will be asked to pay for it directly - through property taxes, for instance, as
they would be for many school programs - then both community officials and
ordinary taxpayers should have some voice in it. If the police or other community
employees are to be asked to take on extra duties or to cooperate in specific ways to
make the intervention work, they should be included in the planning.
These should always include, at the very least, members of the organization's staff
and Board and the target population. In general, it also makes sense to include
members of the community, especially if:

The intervention needs community support or participation in order to succeed

The intervention will affect the community as a whole
The community is being asked to change in some way - its attitudes,
behavior, assumptions, bylaws, etc.

Even if the community is not a specific stakeholder, it may make sense to involve
community members in a planning process. Every intervention needs some level of
community support in order to succeed. Community participation in planning will help
to assure that support.
Get the word out
If your process is meant to be as inclusive as possible, then you should be using as
many avenues as possible to inform the community about it - press releases,
newspaper stories, fliers, posters, and public service announcements (PSA's) on
radio and television, as well as community presentations, personal contact (either
face-to-face or by phone), mailings, etc. If you're trying to inform only specific groups
in the community, start with people in those groups you already know. They'll help to
spread the word to their friends and acquaintances, who'll pass it on further still.
They can also help you decide where to place other information so the target groups
will be likely to encounter it.
Be sure that your message is simple and clear, and in the languages that the
community speaks. That means both using plain, understandable English, and using
other languages spoken by people in the community. Your message may need to be
in both English and Spanish, for instance, or in a number of languages, in order to
reach everyone.
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Be sure also that your message appears in places where it will be seen or heard by
those it's aimed at. Supermarkets, laundromats, cafes, minority-language radio and
TV stations, particular agencies, etc. may be good places to post your message.
CONVENE THE PLANNING PROCESS

Choose someone to convene the process

Regardless of what happens afterwards, someone needs to call people together and
run a first meeting. If that person is identified with a particular group, then that group
will probably be seen as in charge of the planning process. Depending upon the
community, it could be important to think carefully about who should be in that
position.
Sometimes it is best to find someone from outside the group - often an elected
official or other respected figure - to run a first meeting. This type of choice both
lends credibility to the intervention, and identifies it as a community effort, rather than
that of a particular organization.
In a situation where a diverse core group has initiated the process, it may make
sense for that group to convene a first meeting. The group's chair might then be the
convener. In other cases - particularly where the organization will need a large
amount of community support to make it work - it may make sense to present the
intervention as the project of your organization. In those situations, a Board chair or
director would be the logical choice to convene the planning process.
Hold an initial meeting
An initial meeting might be open to a very large number of people (the whole
community, or all of the target population, for instance) or to a smaller group (one
representative from each of several agencies and organizations, a few selected
members of the target group, etc.). The time, place, and tone of this meeting are all
important in making sure that people will be willing to participate in it and in the
process that follows. Some things you can do to help make it successful:
Before the meeting, try to personally invite as many people as possible. People are
much more likely to come if they know someone cares about their being there.
Plan meeting times around the convenience of those attending, rather than the
convenience of the organization. Evenings, weekends - even holding two or more
meetings at different times - may make it possible for more people to participate.
Hold the meeting in a place that's convenient and comfortable for everyone involved.
If the community is divided into factions, choose a neutral place that everyone
considers "safe." If there's no such problem, choose a place that's relatively easy to
find and reach for everyone (on a bus line, plenty of parking, equally convenient to
several neighborhoods, centrally located in a rural area, etc.)
Provide some food and drink. The presence of food reduces formality and makes
things more comfortable.
49

Consider carefully who'll run the meeting. This choice may dictate how many people
are willing to get involved in the process.
If the community is multilingual, make sure to have translators present, or to present
everything in multiple languages, so that everyone feels included.
Plan activities so that everyone at the meeting has a chance to be heard, either in
the larger group or in a smaller one. You asked people there to participate in a
planning process: they should see from the very beginning that you were serious
about that, and that their ideas will be taken seriously.
By the end of the meeting, there should be a clear next step, and everyone should
know what it is. Nothing can sidetrack a participatory planning process more quickly
than generating enthusiasm and leaving it with no place to go.
A large meeting is not always the best way to convene a process. In some
communities, or with some groups, several smaller meetings, or meetings with one
or two or three individuals may be the way to start. A large meeting may be
intimidating to particular individuals or groups: they may not attend, or they may be
unwilling to speak if they do attend. As with any process, it's important to start where
the participants feel comfortable, and to work from there.
MAINTAIN THE PLANNING PROCESS
Once the planning process has started, it has to be maintained. Participants have to
continue to be interested, support has to be provided when it's needed, conflicts
have to be resolved, methods have to be devised to keep the process reasonably
efficient, goals and deadlines have to be set, etc.
Choose someone to guide the planning process
Someone - realistically, it's usually the director or another administrator of the
organization that will conduct the intervention, but it could be a Board chair, an
outside facilitator, or a community member - has to monitor what's happening and
make sure that nothing derails the planning. Finding the right person to fill this role is
extremely important. He has to be able to communicate well with everyone involved,
to see the big picture as well as the details, and to deal gracefully with both
interpersonal and logistical problems. (That's why an outside facilitator is sometimes
a good investment.)
Do you need an outside facilitator? In a situation where divisions are deep, or where
no one available has the needed skills to keep the planning process on track, there
may be a need for a neutral and experienced facilitator. A facilitator with no personal
stake in the process or the community may be able to see - and defuse - the
dynamics among the groups involved in the process. Her skills may be needed to
handle that difficult individual referred to earlier, or to help different racial groups
overcome their mutual suspicion. She may also be able to make what is by nature a
sloppy process more efficient and effective.

50

Whether your planning will need an outside facilitator or not depends largely on the
character of your community and the character of the relationships among its
different elements. A good facilitator generally doesn't come cheap, so if you need
one, you'll have to decide whether you can afford to hire her. But you'll also have to
decide whether you can afford not to hire her, if you want to plan an intervention that
works.
Decide who will issue final approval on a plan
If, as is often the case, the actual planning is done by a relatively small group, there
is usually a mechanism to have the plan approved by some larger or governing
body.
This body might take one of several forms:
A meeting of all stakeholders
A diverse group chosen to oversee the intervention
A community meeting
The Board of the organization
A very small group - the director and Board chair, for instance, or even just one of
them
Determine how long the planning process will go on
The planning you want to do might be for a single initiative or campaign, or might
encompass years of collaboration on working with a large and diverse population. If
the planning group is meant to continue, either to furnish oversight of the final plan,
or to keep developing and changing the intervention as circumstances and the
community's needs change, an ongoing participatory approach may be even more
important to the intervention's success.
How well you maintain the process once it's begun is just as important to its success
as how well you start it. Remember that the planning process itself is only a
beginning.

Developing Organizational Structure

WHAT IS ORGANIZATIONAL STRUCTURE?
By structure, we mean the framework around which the group is organized, the
underpinnings which keep the coalition functioning. It's the operating manual that
tells members how the organization is put together and how it works. More
specifically, structure describes how members are accepted, how leadership is
chosen, and how decisions are made.
WHY SHOULD YOU DEVELOP A STRUCTURE FOR YOUR ORGANIZATION?
Structure gives members clear guidelines for how to proceed. A clearly-established
structure gives the group a means to maintain order and resolve disagreements.

51

Structure binds members together. It gives meaning and identity to the people who
join the group, as well as to the group itself.
Structure in any organization is inevitable -- an organization, by definition, implies a
structure. Your group is going to have some structure whether it chooses to or not. It
might as well be the structure which best matches up with what kind of organization
you have, what kind of people are in it, and what you see yourself doing.
WHEN SHOULD YOU DEVELOP A STRUCTURE FOR YOUR ORGANIZATION?

It is important to deal with structure early in the organization's development.

Structural development can occur in proportion to other work the organization is
doing, so that it does not crowd out that work. And it can occur in parallel with, at the
same time as, your organization's growing accomplishments, so they take place in
tandem, side by side. This means that you should think about structure from the
beginning of your organization's life. As your group grows and changes, so should
your thinking on the group's structure.

ELEMENTS OF STRUCTURE
While the need for structure is clear, the best structure for a particular coalition is
harder to determine. The best structure for any organization will depend upon who its
members are, what the setting is, and how far the organization has come in its
development.
Regardless of what type of structure your organization decides upon, three elements
will always be there. They are inherent in the very idea of an organizational structure.

They are:

Some kind of governance

Rules by which the organization operates
A distribution of work
Governance

The first element of structure is governance - some person or group has to make the
decisions within the organization.
Rules by which the organization operates
Another important part of structure is having rules by which the organization
operates. Many of these rules may be explicitly stated, while others may be implicit
and unstated, though not necessarily any less powerful.
Distribution of work

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Inherent in any organizational structure also is a distribution of work. The distribution

can be formal or informal, temporary or enduring, but every organization will have
some type of division of labor.
There are four tasks that are key to any group:
1. Envisioning desired changes. The group needs someone who looks at the
world in a slightly different way and believes he or she can make others look
at things from the same point of view.
2. Transforming the community. The group needs people who will go out and do
the work that has been envisioned.
3. Planning for integration. Someone needs to take the vision and figure out how
to accomplish it by breaking it up into strategies and goals.
4. Supporting the efforts of those working to promote change. The group needs
support from the community to raise money for the organization, champion
the initiative in the state legislature, and ensure that they continue working
towards their vision.
COMMON ROLES
Every group is different, and so each will have slightly different terms for the roles
individuals play in their organization, but below are some common terms, along with
definitions and their typical functions.
An initial steering committee is the group of people who get things started. Often, this
group will create plans for funding, and organizational and board development. It
may also generate by-laws, and then dissolve. If they continue to meet after
approximately the first six months, we might say they have metamorphosed into a
coordinating council.
A coordinating council (also referred to as a coordinating committee, executive
committee, and executive council), modifies broad, organization-wide objectives and
strategies in response to input from individuals or committees.
Often, one person will take the place of the coordinating council, or may serve as its
head. Such a person may be known as the Executive Director, Project Coordinator,
Program Director, or President. He or she sometimes has a paid position, and may
coordinate, manage, inspire, supervise, and support the work of other members of
the organization.
Task forces are made up of members who work together around broad objectives.
Task forces integrate the ideas set forward with the community work being done.

Action committees bring about specific changes in programs, policies, and practices
in the sectors in which they work.
A media committee. Members include local journalists, writers, and graphic
designers. They keep the project and the issue in the public's minds as much as
possible with editorials, articles and news clips of events, as well as advertisements
and public service announcements.
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Support committees are groups that help ensure that action committees or other
individuals will have the resources and opportunities necessary to realize their vision.
Financial and media committees are examples of committees formed to help support
or facilitate your work.
Community trustees, also known as the board of trustees or as the board of
directors, provide overall support, advice, and resources to members of the action
groups. They are often either people who are directly affected by the issue or have
stature in the community. That way, they are able to make contacts, network with
other community leaders, and generally remove or weaken barriers to meeting
organizational objectives.
Grantmakers are another part of the picture. Grantmakers exist on an international,
national, state, and local level and may be private companies and foundations, or
local, county, state, or federal government organizations (for example, block grants
given by the city would fall into this category).
Support organizations (not to be confused with the support committees listed above)
are groups that can give your organization the technical assistance it needs.
Partner organizations are other groups working on some of the same issues as your
organization.
Although this list is pretty extensive, your organization may only use two or three of
the above mentioned roles, especially at the beginning. It's not uncommon for a
group to start with a steering committee, ask others to serve as board members, and
then recruit volunteers who will serve as members of action committees. In this
broad spectrum of possibilities, consider: Where does your organization fit in? Where
do you want to be?

EXAMPLES OF STRUCTURE

So how can all of these pieces be put together? Again, the form a community group
takes should be based on what it does, and not the other way around. The structures
given are simply meant to serve as examples that have been found to be effective
for some community-based organizations; they can and should be adapted and
modified for your own group's purposes.

The coordinating committee is at the center of the project. Its members develop a
vision and broad goals based on comments from the action committees or other
members of the community.

Task forces develop broad strategic approaches to solve the problem. Usually,
several task forces are created from priorities set through a community assessment
process. Task force members are chosen for their interest in a particular issue. They
are actively involved in supporting and participating in the action committees.

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The action committees, which are organized around community sectors such as
those listed above, develop specific steps to carry out broad strategic approaches.
Each action committee focuses on specific actions in its sector.
The community trustees serve as a shield, helping make sure the members don't
come up against barriers such as a lack of money. An organization of this size will
usually have paid staff. This generally means they'll have an executive director and
possibly project directors, community mobilizers, and administrative assistants.
The biggest advantage to this type of structure is that it allows active participation by
all members.
A MID-SIZE STRUCTURE
Example - Safe House
The coordinating council of Safe House, an organization for the homeless, is made
up of six people, including one couple who were once homeless themselves.
Membership on the coordinating council is open to anyone willing to accept its
leadership responsibilities. The group has no task forces: its mission (reducing the
city's homeless population) is targeted enough that they were deemed unnecessary,
and the work usually done by task forces is carried out by the coordinating council. It
does have three action committees: a social services committee, a business
committee which deals primarily with job training, and a government/law
enforcement committee.
With advice it receives from members of the group's action committees and other
community members, the coordinating council discusses and debates every
decision. It then acts as a united front, and takes the decisions back to the action
committees to be carried out. If group members have any questions or problems with
the decisions made, they can bring their concerns to an individual member, or to the
council as a whole.
A mid-sized organization may or may not have paid staff members, and generally will
have a more targeted mission, leading to fewer task forces.
Small action groups that are not part of a larger organization
Example - Safe intersections
A group of neighbors got together because they were worried about the possibility of
traffic accidents in their area. They decided that the worst problem was an unmarked
intersection in the neighborhood and asked the city to put up four-way stop signs
there, which the city readily agreed to do. Pleased with its success, the group started
meeting on a monthly basis over dinner, to keep in touch and deal with problems as
they arose. The group's structure remained very loose. A retired gentleman did
become the unofficial leader, because he had more free time to arrange things, but
decisions continued to be carried out by general consensus.

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As smaller size means fewer people, these groups are usually less complex, as they
have less need for a formal hierarchy and instead have governance that is
consensus-based. A diagram of such a small group might look something like this,
with each of the circles representing an individual member:
What is your common purpose? How broad is it? Groups with broader purposes
often have more complicated structures, complete with many layers and parts, than
do groups with more narrow purposes.
Is your group advocacy oriented or service oriented? Service organizations use "top
down," one-person-in-charge structure much more often than do advocacy based
groups.
Is your organization more centralized (e.g., through the work of a specific agency ) or
decentralized (e.g., different neighborhoods working independently on the same
problem)? A decentralized group might find a "top-down" structure inappropriate, as
such a group often has several peers working together on an issue.
How large is your organization? How large do you envision it becoming? A very
small organization may wish to remain relatively informal, while a community-wide
group might require a more formal structure. A related question, with similar
consequences, is:
How large is the community in which you work?
How old is your organization? How long do you envision it lasting? A group formed to
resolve a single issue might not need a formal structure at all, while an organization
with long-term goals may want something more concrete, with clearer divisional
responsibilities and authority.
Is the organization entirely volunteer, or are there (or will there be) paid staff? How
many? An organization with many paid staff members may find it more necessary to
have people "in charge," as there are generally more rules and responsibilities for
paid staff members, and thus, there must be more supervision in carrying out these
roles.
Should yours be a new organization, or part of an existing structure? Do you really
need to form a new structure, or would it be better to work within existing structures?
Sometimes, your goals may be better met if you are part of (or linked with) another
organization.

Community Toolbox (http://ctb.ku.edu/)

Our Model of Practice: Building Capacity for Community and System Change

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By community, we mean a group of people who share a common place, experience,

or interest. We often use this term for people who live in the same area: the same
neighborhood, the same city or town, and even the same state or country.
Community capacity refers to the ability of community members to make a difference
over time and across different issues. Capacity isn't a one time thing; like learning to
ride a bike, it's not something that disappears once you've experienced it. And like
riding a bike, we get better the more we practice.
When developing these collaborative partnerships, who should be involved? It's
important that the collaboration is as inclusive as possible. This means individuals
from the different parts of the community for example, representatives from schools,
business, and the government. It also means representatives from different levels for
example, representatives from the neighborhood, the county, the state or province,
and even the broader region or nation.
Key partners in a broad collaboration should include:

Local members of community partnerships

Support organizations
Grantmakers and governmental agencies

STATE AND COMMUNITY PARTNERSHIPS

The most obvious member in a collaborative effort will be the community or state
partnerships themselves -- the groups of people who are working directly to change
their communities. These groups, which are often nonprofit organizations, are found
in almost any community
The second partner in a broad collaborative partnership is support and intermediary
organizations. Some local, regional, and statewide organizations can provide
technical assistance for community partnerships. These intermediary organizations
can help community partnerships build on the "core competencies" that are
necessary for working on community issues.
COMMUNITY CONTEXT AND PLANNING
The first step is understanding the context in which people act. By the context, we
mean people's experiences, their dreams for a better life, and what makes them do
what they do. The context is influenced by many things, such as:
People's hopes and expectations--for example, the belief that things can
change
Job and family demands
Problems, especially poverty
Strong and deep leadership--having a diverse team with the vision,
competence, and persistence to shake mountains
Adequate financial resources
Approval (or resistance) from the community (or from those in authority) when
people attempt to change things
The broader political and social context
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Within this context, people may come together to identify issues that matter to them,
such as drug use, job opportunities, decent housing, or crime, to give just a few
examples. They may then document the health or development of the community
with community-level indicators, which are used to measure the extent of problems
at the local level. For example, records of assaults at school are one communitylevel indicator of violence in the community; nighttime single-vehicle car crashes are
often used as an indicator of the level of substance abuse in a community.
Later in the life of the community group, these can serve as benchmarks for
detecting whether or not they are getting closer to their goals. For example, they can
look at the level of violence and see if it has decreased since the partnership has
been in existence.
With an understanding of the context, the group can move forward with planning.
Collaborative planning is a critical and ongoing task of a successful organization. It
brings together people and organizations with different experiences and resources.
Together, they clarify or develop the group's vision, mission, objectives, strategies,
and action steps. In doing so, they can bring about changes in the community.
COMMUNITY ACTION AND INTERVENTION
The planning process should be followed by action--going out and doing what was
outlined. If the plan of action was thorough, this part should generally go fairly
smoothly.
That's not to say there aren't bumps in the road. Sometimes, action runs into some
pretty serious resistance. Even a relatively harmless effort to fix up low-income
housing may be resisted by local officials, who delay needed construction permits.
Similarly, efforts by a community partnership to take money from law enforcement
and put it into substance abuse prevention will probably be opposed by the police
and their allies. This opposition might take many different forms. For example, the
police might deny requests for information; others might cast doubt on the capability
of members of the partnership to get the job done.
How can a community organization overcome this or other types of opposition?
There are many responses a group might make. The best one will depend on your
particular situation.
COMMUNITY AND SYSTEM CHANGE
The goal of the action plan is to bring about community and system changes.
Bringing about these changes is an important step towards achieving your
organizational goals.
By community change, we mean developing a new program (or modifying an
existing one), bringing about a change in policy, or adjusting a practice related to the
group's mission.

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System changes are similar to community changes, but take place on a broader
level. A business might implement its child-friendly practices throughout its
operations nationally. Another example is a change in grant-making policy to award
cash incentives to grantees that reach their objectives.

RISK AND PROTECTIVE FACTORS AND WIDESPREAD BEHAVIOR CHANGE

Our belief is that when these community and system changes occur, they should,
taken together, change the environment in which a person behaves. This is
sometimes referred to as increasing protective factors and/or decreasing the risk
factors that community members face.
What are risk and protective factors? They are aspects of a person's environment or
personal features that make it more likely (risk factors) or less likely (protective
factors ) that she will develop a given problem. Often, risk and protective factors can
be considered flip sides of the same coin. For example, if drugs are readily available
in your community, then easy accessibility is a risk factor. If they are very difficult to
find, then that lack of drugs is a protective factor. The intended effect of
environmental change is widespread behavior change large numbers of people in
the community engaging in behavior related to the group's objectives.
MORE DISTANT OUTCOMES
Improvements in more distant outcomes, such as reducing violence or increasing
employment rates and family incomes, are the ultimate goals of collaborative
partnerships. Our belief is that by reducing the risk factors (and enhancing the
protective factors) for the issue you are trying to address, you will affect the bottom
line. That's true whether your bottom line is lower rates of teen pregnancy, higher
rates of immunization for small children, or any other topic.
As we discussed earlier in this section, data on community-level indicators can help
you determine just how much progress you have made towards your ultimate goals.
Information to see if efforts are working in different areas could even be organized
together in an annual community "report card." This could let people throughout the
community know how things are going, including information on community-level
indicators, important community changes, and success stories.
Before we go on, it may be helpful to look again at this process as a whole.
Remember, this process is an interactive and continuous cycle.

The community context affects the organization's planning

Guided by ongoing planning, the group generates community action and
implements interventions
Community action brings about community and system changes
These community and system changes, taken together, decrease risk factors
(and enhance protective factors)
This environmental change should affect the behavior of a large number of
people in a positive manner
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This widespread behavior change should effect the "bottom line"-- the
community-level indicators of improvement in the organization's long-term
goals

ACTION PLANNING
Action planning, as we noted earlier in this section, means identifying specific
changes in the community or broader system, and related action steps to bring them
about. In action planning, community partnerships identify:

The community or system changes (new or altered programs, policies, and

practices) to be sought
The actions that will bring about desired community or system changes
Who will take those actions?
When they will be done?
What resources are needed to get the job done?
When partnerships develop a plan of action, they are consistently more successful in
changing their communities.
CHANGES IN LEADERSHIP
Involving competent, inspired leaders with a clear vision for the organization helps
change to occur more rapidly. Such leaders see community partnerships as a way to
mobilize the community, draw out everyone's strengths, and to celebrate members'
accomplishments. These leaders are likely to head very effective collaborative
partnerships.
The downside of this, of course, is that when such leaders leave an organization,
groups accomplishments often suffer. Finding a way to ease transitions and groom
leadership within the group is an important factor in having groups that have long,
successful lives.

RESOURCES FOR COMMUNITY MOBILIZERS

One thing that is very clear is that there need to be people who act as catalysts-community mobilizers who will really get things going in the community. They are the
ones who will start the ball rolling on the actions that the group decides to do. By
hiring or recruiting community mobilizers, groups consistently make more changes
happen.
DOCUMENTATION AND FEEDBACK
To know whether a community group's efforts are really making a difference, it is
important that the group documents efforts and results. Such information about the
group's accomplishments -- for example, the amount or duration should be used to
improve the group's ongoing efforts.
Documentation should occur for intermediate outcomes, such as the community and
system changes we discussed earlier. Tracking these changes, as well as the
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"bottom line" of achieving groups' long term goals, can help the collaborative
partnerships understand, celebrate, and improve their overall efforts.
TECHNICAL ASSISTANCE
Good leaders work to attract competent people with skills that complement those of
other people in the organization. By doing so, team members grow and become
stronger in their work.
Outside help, which may take the form of technical assistance, can be a breath of
fresh air for your organization. That's because the core competencies necessary for
community organizations often transcend the variety of targeted missions and
specialties people work in. For example, action planning will be important to
community work on environmental advocacy, child abuse, mental health, or almost
any other community issue.
The goal of technical assistance should always be the same: to build the
community's ability to take care of the things that matter to its members. This web
site is an example of this kind of assistance. The Community Tool Box contains over
100 sections that can support technical assistance efforts.

Assessing Community Needs and Resources

WHAT DO WE MEAN BY NEEDS AND RESOURCES?
Needs can be defined as the gap between what is and what should be. A need can
be felt by an individual, a group, or an entire community. It can be as concrete as the
need for food and water or as abstract as improved community cohesiveness. An
obvious example might be the need for public transportation in a community where
older adults have no means of getting around town. More important to these same
adults, however, might be a need to be valued for their knowledge and experience.
Examining situations closely helps uncover what is truly needed, and leads toward
future improvement.
Resources, or assets, can include individuals, organizations and institutions,
buildings, landscapes, equipment -- anything that can be used to improve the quality
of life. The mother in Chicago who volunteers to organize games and sports for
neighborhood children after school, the Kenyan farmers' cooperative that makes it
possible for farmers to buy seed and fertilizer cheaply and to send their produce
directly to market without a middle man, the library that provides books and Internet
access to everyone, the bike and walking path where city residents can exercise -all represent resources that enhance community life. Every individual is a potential
community asset, and everyone has assets that can be used for community building.
WHY DEVELOP A PLAN FOR ASSESSING LOCAL NEEDS AND RESOURCES?
There are really two questions here:
The first is Why assess needs and resources? Answers include:

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It will help you gain a deeper understanding of the community. Each community has
its own needs and assets, as well as its own culture and social structure -- a unique
web of relationships, history, strengths, and conflicts that defines it. A community
assessment helps to uncover not only needs and resources, but the underlying
culture and social structure that will help you understand how to address the
community's needs and utilize its resources.
An assessment will encourage community members to consider the community's
assets and how to use them, as well as the community's needs and how to address
them. That consideration can (and should) be the first step in their learning how to
use their own resources to solve problems and improve community life.
It will help you make decisions about priorities for program or system improvement. It
would obviously be foolhardy to try to address community issues without fully
understanding what they are and how they arose. By the same token, failing to take
advantage of community resources not only represents taking on a problem without
using all the tools at your disposal to solve it, but misses an opportunity to increase
the community's capacity for solving its own problems and creating its own change.
It goes a long way toward eliminating unpleasant surprises down the road.
Identifying needs and resources before starting a program or initiative means that
you know from the beginning what you're dealing with, and are less likely to be
blindsided later by something you didn't expect.
The second question is: Why develop a plan for that assessment? Some reasons
why you should:
It allows you to involve community members from the very beginning of the process.
This encourages both trust in the process and community buy-in and support, not
only of the assessment, but of whatever actions are taken as a result of it. Full
community participation in planning and carrying out an assessment also promotes
leadership from within the community and gives voice to those who may feel they
have none.

An assessment is a great opportunity to use community-based participatory

research, further involving community members and increasing community capacity.
A good plan will provide an easy-to-follow road map for conducting an accurate
assessment. Planning ahead will save time and effort in carrying out the process.
A planning process will give community members the opportunity to voice their
opinions, hopes, and fears about the community. Their idea of priorities might be
different from those of professionals, but they shouldn't be ignored.
It may be important to address the community's priorities first, in order to establish
trust and show respect, even if you don't believe that those priorities are in fact the
most important issues. Building relationships and credibility may be more important
at the beginning of a long association than immediately tackling what seems to be
the most pressing need. Among other things, community members' priorities may be
the right ones: they may see underlying factors that you don't yet understand.
WHO SHOULD BE INVOLVED IN DEVELOPING A PLAN FOR ASSESSING
LOCAL NEEDS AND RESOURCES?
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As we've discussed, the assessment process benefits greatly when there's full
participation from community stakeholders. Among those who should be involved:
Those experiencing needs that should be addressed. It's both fair and logical to
involve those who are most directly affected by adverse conditions. They know best
what effects those conditions have on their lives, and including them in the planning
process is more likely to produce a plan that actually speaks to their needs.
Health and human service providers. These individuals and organizations, especially
those that are community-based, often have both a deep understanding of the
community and a strong empathic connection with the populations they serve. They
can be helpful both by sharing their knowledge and by recruiting people from
marginalized populations to contribute to the assessment.
Government officials. Elected and appointed officials are often those who can help or
hinder a community change effort. Engaging them in planning and carrying out an
assessment helps to ensure that they will take the effort seriously and work to make
it successful.
Influential people. These can can include individuals who are identified as leaders
because of their positions -- college presidents, directors of hospitals and other
major organizations, corporate CEOs -- because of the prestige of their professions - doctors, professors, judges, clergy -- or because they are known to be people of
intelligence, integrity, and good will who care about the community.
People whose jobs or lives could be affected by the eventual actions taken as a
result of the assessment. These include teachers, police, emergency room
personnel, landlords, and others who might have to react if new community policies
or procedures are put in place.
Community activists. People who have been involved in addressing policy or issues
that could come up in the course of the assessment have a stake in planning the
assessment as well.
Businesses, especially those that employ people from populations of concern. The
livelihoods of local business owners could be affected by the results of the
assessment, as could the lives of their employees.
WHEN SHOULD NEEDS AND ASSETS BE IDENTIFIED?
Identifying needs and assets can be helpful to your organization at almost any point
in your initiative. If your group has a specific goal, such as reducing teen pregnancy,
identifying local needs (better communication between parents and teens, education
programs, etc.) and resources (youth outreach programs, peer counselors) related to
the issue can help you craft a workable, effective goal. On the other hand, if your
organization is more broad-based -- if you're dedicated to helping the health needs of
under-served people in your city, for example -- identifying assets and needs can
help you decide which aspect of the problem to tackle first.
ASSESSMENTS OF RESOURCES AND NEEDS SHOULD BE DONE REGULARLY
THROUGHOUT YOUR INITIATIVE:
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Prior to planning the initiative. This gives coalition members, community leaders, and
those being served an idea of how to improve their circumstances.
During implementation of an initiative. It is important to make sure that you are on
target not only at the beginning and the end of a project, but also during its
implementation. If car companies only did quality checks on the steel before the
parts are constructed and the paint job after it rolled off the line, you might not be
inclined to trust the engine. Identifying needs and assets during the life of the
initiative helps you use your own resources well, and ensures that you're addressing
the right issues in the right way.
On an ongoing basis. During monitoring and evaluation, either ongoing or after the
completion of a project, it is important to celebrate successes and to learn from
setbacks to further community development.
HOW DO YOU DEVELOP A PLAN FOR ASSESSING LOCAL NEEDS AND
RESOURCES?
The best way to assess needs and assets is by using as many of the available
sources of information as possible. "Possible" here depends on how easy the
information is to find and collect, and what your resources -- mostly of people,
money, and time -- will support. Developing a plan will allow you to take these
considerations into account and use the results to determine goals, devise methods,
and create a structure for a community assessment that will give you the information
you need to conduct a successful effort.
The following guidelines, while they are laid out in a step-by-step order, may often
turn out in practice to take a different sequence. You may find yourself carrying out
two or more steps at once, for example, or switching the order of two steps.
Recruit a planning group that represents all stakeholders and mirrors the diversity of
the community
Try to be as inclusive as you can, so that the group is diverse and truly
representative of the community. You may have to work particularly hard to
persuade people from groups that are generally not offered seats at the table -- lowincome people, immigrants, etc. -- that you actually want their participation,
especially if they've been burned by insincere offers in the past. It's worth it to take
the time and effort, however, in order to get a real picture of all aspects of the
community.
A truly representative planning group is not only more likely to come up with a plan
that produces an accurate assessment, but is also a signal to community members
that they are part of the process. They are more apt to trust that process and support
whatever comes out of it.
Now is also the time to think about whether the planning group will also oversee the
assessment. That arrangement often makes the most sense, but not always. If the

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planning group won't be the coordinating body, then part of its planning should
determine who ought to be part of that group, and how to assemble it.
Another important determination at this point is whether the planning group and
those who will actually conduct the assessment -- contact informants, construct
surveys, facilitate public meetings, gather data, and report on and evaluate the
assessment process -- will need training, and if so, how much and of what kind.
Many people that haven't had a great deal of formal education, belong to groups that
are often denied a voice in community affairs, or belong to a culture other than the
mainstream one don't have the meeting and deliberation skills that many middleclass citizens take for granted. They might need training and/or mentoring to learn
how to contribute effectively to a planning group. In addition, many people may need
training in data collection methods, evaluation, and other areas important to the
assessment process. Whatever training is needed has to be not only anticipated but
planned out, so that it gets done in a timely and useful way. Now is the time to start
thinking about it.
Design an evaluation process for the assessment, including the development of the
plan
Why is this step here, at the beginning of the planning process, rather than at the
end? The answer is that evaluation should start at the beginning of an effort, so that
you can monitor everything you do and be able to learn from and adjust any part of
the process -- including planning -- to improve your work. That's the purpose of
evaluation: to make your work as effective as possible.
Decide why you want to conduct the assessment
There are a number of reasons why you might want to conduct a community
assessment of needs and resources, among them:
The reasons for an assessment will affect from whom and how you gather
information, what is assessed, and what you do with the information you get. It's
obviously important to start planning with a clear understanding of what you're
setting out to do, so that your plan matches your goals.
Determining how to address the needs of a particular underserved or neglected
group.
Conducting a community health assessment in order to launch a public health
campaign or combat a particular disease or condition.
Exploring how to steer the activities of a coalition of service providers or government
agencies.
Understanding community needs and resources as a guide to advocacy efforts or
policy change. You can't make credible policy recommendations without knowing
about current conditions and the effects on them of current policy.
Assessing the impact, intensity, and distribution of a particular issue, to inform
strategies for approaching it. This may involve breaking the issue down still further,
and investigating only a part of it. Rather than looking at the whole issue of violence,
for instance, you might want to focus on domestic violence or youth violence or
violence among teenage girls.
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Determine what data is already available

The chances are that a good deal of information about the community already exists.
Resources:
It's important that make sure that whatever data exists is timely. The chances are
that if it's more than six months to a year old, it's out of date and no longer accurate.
Even census data, which is extensive and generally reliable, is a snapshot of a
particular time. Since a full census is a once-a-decade event, census information
may be as much as ten years out of date. There are updates in between, but only to
selected categories, and not every year.
Federal government statistics, such as census and public health data. In the U.S.,
much of this information can be found on the websites of the U.S. Census, the
National Institutes of Health, the Centers for Disease Control, and the Department of
Health and Human Services.
County Health Rankings & Roadmaps provides important health-related rankings
and data for nearly every county in each U.S. state.
Assessments or studies conducted by local or state/provincial governments or
government agencies.
Assessments or studies conducted by other organizations. Hospitals, human service
providers, Chambers of Commerce, and charitable organizations may all conduct
community assessments for their own purposes, and may be willing -- or even eager
-- to share their results.
Studies conducted by researchers connected to local universities.
What you already know about the needs and assets of the community. The caution
here is to realize that what you think you know may either be wrong, or may conflict
with the opinions of community members. You should be ready to accept the facts if
they conflict with your opinion, or to consider, as we've mentioned, the possibility of
yielding to the community's perception of its own needs.
Figure out what other information you need

This is the time to finalize the questions you'll ask your informants, as well as the
questions you hope to answer with the assessment. Those questions will depend on
your purposes. In most cases, you'll want to find out what is important to members of
populations of concern or those who might benefit from or be affected by any action
you might take as a result of the assessment. You will probably also want to hear the
opinions of the people who serve or work with those people -- doctors, human
service staff and administrators, teachers, police, social workers, advocates, etc.
In addition, it will probably be helpful to look at some community level indicators,
such as:

The number of and reasons for emergency room or clinic visits.

The number of places to buy fresh produce in various neighborhoods.
The percentage of motor vehicle accidents and traffic stops involving alcohol.
The number of teen births in the community in the past year, compared to those in
other similar communities, in the state or province (or country) as a whole, and/or in
past years.

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Before you start, take careful stock of your resources -- people, money, skills, time -to be sure you can do all you plan to. An assessment can be conducted with
volunteers and lots of (free) legwork, or it can require statistical and other expertise,
professional consultation, and many paid hours. Don't plan an assessment that you
don't have the resources to carry out.
Decide what methods you'll use for gathering information
Much of the rest of this chapter is devoted to methods of gathering assessment data.
Some general descriptions:
Each community is different, and so you might use any one or any combination of
these and other methods detailed in this chapter, depending on what you're looking
for and who can help.
Using existing data. This is the research you might do to unearth the information in
census and other public records, or to find information that's been gathered by
others.
Listening sessions and public forums. Listening sessions are forums you can use to
learn about the community's perspectives on local issues and options. They are
generally fairly small, with specific questions asked of participants. They can help
you get a sense of what community members know and feel about the issue, as well
as resources, barriers, and possible solutions. Public forums tend to be both larger in
number of participants and broader in scope than listening sessions. They are
gatherings where citizens discuss important issues at a well-publicized location and
time. They give people of diverse backgrounds a chance to express their views, and
are also a first step toward understanding the community's needs and resources. A
good public forum informs the group of where the community is and where the
members would like to go.
Interviews and focus groups. These are less formal than forums, and are conducted
with either individuals or small groups (usually fewer than ten, and often as few as
two or three.) They generally include specific questions, but allow room for moving
in different directions, depending on what the interviewees want to discuss. Openended questions (those which demand something more than a yes or no or other
simple answer), follow-ups to interesting points, and a relaxed atmosphere that
encourages people to open up are all part of most assessment interviews. A focus
group is a specialized group interview in which group members are not told exactly
what the interviewer wants to know, so that they will be more likely to give answers
that aren't influenced by what they think is wanted.
Direct, and sometimes participant, observation. Direct observation involves seeing
for yourself. Do you want to know how people use the neighborhood park on
weekends? Spend a few weekends there, watching and talking to people. If you
regularly join a volleyball game or jog through the park with others, you're a
participant observer, becoming part of the culture you want to learn about.
Surveys. There are several different kinds of surveys, any or all of which could be
used as part of a community assessment. Written surveys may be sent to people in
the mail, given out at community events or meetings, distributed in school, or handed
to people on the street. People may also be surveyed by phone or in person, with
someone else writing down their spoken answers to a list of questions. Many kinds
of surveys often have a low return rate, and so may not be the best way to get
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information, but sometimes they're the only way, or can be given in situations where
most people complete them.
Asset Mapping. Asset mapping focuses on the strengths of the community rather
than the areas that need improvement. Focusing on assets gives the power back to
the community members that directly experience the problem and already have the
resources to change the status quo. If the changes are made by the community and
for the community, it builds a sense of cohesiveness and commitment that makes
initiatives easier to sustain.
Decide whom you'll gather information from

For the same reason that you've put together a planning group that represents all the
different sectors of the community concerned or involved with the assessment, you
should try to get information from as broad a range of people and groups as
possible. The greater the variety of people that supply your data, the better
perspective you'll have on the real nature, needs, and resources of the community.
Who the people concerned with your particular assessment are, however, depends
on your particular focus and purposes. If you're concerned with domestic violence,
you'd certainly want to include those directly or indirectly exposed to it, as well as
emergency room personnel and police, in your data gathering. If you're concerned
with preserving open space, you might look to include both environmentalists and
developers. That doesn't mean you wouldn't want the opinions of a variety of others,
but simply that you'd try to make sure that the people with the most interest and
knowledge -- and often the most to gain or lose -- could have their say. You wouldn't
want to miss valuable information, regardless of the opinions of the informant.
This brings up an important point. Your plan should make sure that the assessment
includes the opportunity for all points of view to be aired. You may not like what
some people have to say, but if you don't know that there are people with differing
opinions, you only have half of the information you need.
Decide who will collect data

Will you use a participatory research process, whereby community members gather
data themselves or in collaboration with professionals? Will you hire an individual or
a group to gather information? If you choose neither of these, then who will do the
work of interviewing, surveying, or carrying out whatever other strategies you've
chosen to find information?
These are important questions, because their answers can affect the quality and
quantity of information you get. Individuals in the community may be more willing to
be interviewed and/or to give honest and detailed answers to people they know or
can identify with, i.e., other community members. Participatory researchers may
need training to be able to do a good job. You may need an experienced researcher
to put together a survey that gets at the issues you're most concerned with. A
combination of several types of data gatherers may work best. It's worth spending
some time on this issue, so that you can assemble the crew that's right for your
community and your plan.
Decide how you'll reach your informants

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In order to get information from people, you'll have to contact them. There are many
ways to do that, and you'll probably want to use several of them. In general, the more
personal the approach, the more effective it will be. Some of the most common:
Posting requests on one or more local websites or on social media sites (Facebook,
Twitter, etc.)
Choosing people at random (e.g., from the phone book) to receive written or
telephone surveys.
Mailing or emailing surveys to one or more lists. Many organizations are willing to
share lists of members or participants for purposes like this. Some will mail or email
surveys under their own names, so that people receive them from an organization
they're familiar with, and might be more willing to complete and return them than if
they apparently came to them randomly.
Stopping people in a public place to ask them to fill out or, more commonly, give
verbal answers to a short survey. You may have had the experience of being asked
your opinion in a shopping area or on a busy sidewalk. People are somewhat more
willing to answer questions in this way than to fill out and return a mailed or emailed
survey.
Putting up posters and distributing flyers in public places (supermarkets,
laundromats, bus stops, etc.) and/or sending them to specific organizations and
businesses.
Using the media. This can involve holding press conferences and sending out press
releases, placing PSA's (public service announcements) and stories in various
media, or paying for media advertising.
Direct appeal to existing community groups. Either a member of the planning team or
a leader or member of the group in question might make an appeal at a club
meeting, a religious gathering, or a sports event for volunteers to participate in a
survey, an interview or focus group, or a larger meeting.
Personal approach. Members of the planning group might recruit friends, colleagues,
neighbors, family members, etc. by phone or in person. They might also ask the
people they recruit to ask others, so that a few people can start a chain of requests
that ends up with a large number.
Decide who will analyze the data and how they'll do it
Once you've collected the information, you have to analyze it to see what it means.
That means identifying the main themes from interviews and forums, sorting out the
concerns of the many from those of the insistent few, understanding what your
indicators seem to show, comparing community members' concerns with the
statistics and indicators, and perhaps a number of other analytical operations as
well. Some of these might involve a knowledge of statistics and higher math, while
others may require only common sense and the ability to group information in logical
ways.

If you've engaged in a participatory research process, the community researchers

should also be involved in analyzing the material they've found. They might do this in
collaboration with professionals from local organizations, with consulting academic
researchers, or with a paid consultant. If you've decided to hire an individual or group
to conduct the assessment, then they'll probably conduct the analysis as well.

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In either case, the methods used will probably depend on such considerations as
how "hard" you want the data to be -- whether you want to know the statistical
significance of particular findings, for example, or whether you'll use people's stories
as evidence -- how much you think you need to know in order to create an action
plan, and what kinds of data you collect. Chapter 37, although its title concerns
evaluation, is actually about research methods, and contains a lot of good
information about how to approach the choice of methods.
Plan whatever training is needed

We've already discussed the possible need for training. Now is the time to decide
what, if any, training is needed, who should be involved, and who will conduct it. In
order to keep members of the planning group on an equal footing, it might make
sense to offer the training to everyone, rather than just to those who are obviously
not highly educated or articulate. It is probably important as well that the training be
conducted by people who are not members of the planning group, even if some of
them have the skills to do so. The group will function best if everyone feels that
everyone else is a colleague, even though members have different backgrounds and
different sets of skills and knowledge.
Decide how you'll record the results of the assessment and present them to the
community
Depending on your goals and what's likely to come out of the assessment, "the
community" here may mean the whole community or the community of stakeholders
that is represented on the planning committee. In either case, you'll want to be able
to explain clearly what the assessment found, and perhaps to engage people in
strategizing about how to deal with it. That means you'll want to set out the results
clearly, in simple, everyday language accompanied by easy-to-understand charts,
pictures, and/or graphs. Your report doesn't have to be complicated or to use
technical language in order to be compelling. In fact, the more you can use the
words of the community members who contributed their concerns and experiences,
the more powerful your report will be.
How will you communicate the results to the community? With the availability of
PowerPoint and similar programs, you have the opportunity to create a professionallooking presentation that you can use in a number of ways. It could be presented as
a slide show in one or more public meetings or smaller gatherings, posted along with
a narrative on one or more social media sites (Facebook, YouTube, etc.) and/or on
your website, run as a loop in a public place, such as a local library, or even
broadcast on community access TV. Furthermore, it could be used by a number of
people without each having to fetch and carry large and cumbersome equipment or
signboards and the like.
Decide who will perform what assessment tasks
The group should make sure everyone has a role that fits her skills, talents, and, to
the extent possible, preferences. It should also make sure that all necessary tasks
are covered. If more people need to be recruited -- as data gatherers, survey
mailers, phone callers, etc. -- that recruitment should be part of the plan. The point of
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having a plan is to try to anticipate everything that's needed -- as well as everything

that might go wrong -- and make sure that it has been arranged for. Assigning tasks
appropriately is perhaps the most important part of that anticipation.
Create a timeline
Work out what should happen by when. How long will you spend on preparing for the
assessment -- contacting people, training interviewers and/or group facilitators,
preparing and printing surveys? How long will you gather information? How long will
you take to analyze the data and write up a report? Each phase of the assessment
should have a deadline. That creates benchmarks -- checkpoints along the way that
tell you you're moving in the right direction and have gotten far enough along so that
you'll finish the assessment on time with the information you need.
Present the plan, get feedback, and adjust it to make it more workable
Once the plan is done, it should be presented to at least a sample of those who will
be asked for information and those who will have responsibilities for parts of the
assessment. This will allow them to consider whether the plan takes the culture of
the community into account, and is likely to make data collection and analysis as
easy as possible. As a result of their feedback, you can adjust parts of the plan to
make them more acceptable to the community or more workable for the assessment
team.
Now you can celebrate the completion of the plan, but it's not an occasion for resting
on your laurels
There's a lot of work ahead as you conduct the assessment, analyze the data you
get from it, and make and implement action plans based on that analysis. It's
important to have benchmarks built into the assessment plan and the action plans
that follow, so you can keep track of your progress. But it's also important to hold
your long-term vision in view, and to keep moving toward it until the community
becomes what all its members want it to be.
IN SUMMARY
Needs and resources are really two sides of the same coin. In order to get a
comprehensive view of your community, it is important to look at what you have and
what you need. With these things in mind, you can have a positive impact on the
problem you wish to address. Understanding the community's needs and assets will
also help your organization clarify where it would like to go and how it can get there.
Understanding and Describing the Community
For those of us who work in community health and development, it's important to
understand community -- what a community is, and the specific nature of the
communities we work in. Anything we do in a community requires us to be familiar
with its people, its issues, and its history. Carrying out an intervention or building a
coalition are far more likely to be successful if they are informed by the culture of the
community and an understanding of the relationships among individuals and groups
within it.
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Taking the time and effort to understand your community well before embarking on a
community effort will pay off in the long term. A good way to accomplish that is to
create a community description -- a record of your exploration and findings. It's a
good way to gain a comprehensive overview of the community -- what it is now, what
it's been in the past, and what it could be in the future. In this section, we'll discuss
how you might approach examining the community in some detail and setting down
your findings in a community description.
WHAT IS A COMMUNITY?
While we traditionally think of a community as the people in a given geographical
location, the word can really refer to any group sharing something in common. This
may refer to smaller geographic areas -- a neighborhood, a housing project or
development, a rural area -- or to a number of other possible communities within a
larger, geographically-defined community.
These are often defined by race or ethnicity, professional or economic ties, religion,
culture, or shared background or interest:
The Catholic community (or faith community, a term used to refer to one or more
congregations of a specific faith).
The arts community
The African American community
The education community
The business community
The homeless community
The gay, lesbian, bisexual, and transgendered community
The medical community
The Haitian community
The elderly community
These various communities often overlap. An African American art teacher, for
example, might see herself (or be seen by others) as a member of the African
American, arts, and/or education communities, as well as of a particular faith
community. An Italian woman may become an intensely involved member of the
ethnic and cultural community of her Nigerian husband. Whichever community
defines your work, you will want to get to know it well.
WHAT DO WE MEAN BY UNDERSTANDING AND DESCRIBING THE
COMMUNITY?
Understanding the community entails understanding it in a number of ways. Whether
or not the community is defined geographically, it still has a geographic context -- a
setting that it exists in. Getting a clear sense of this setting may be key to a full
understanding of it. At the same time, it's important to understand the specific
community you're concerned with. You have to get to know its people -- their culture,
their concerns, and relationships -- and to develop your own relationships with them
as well.
Physical aspects. Every community has a physical presence of some sort, even if
only one building. Most have a geographic area or areas they are either defined by
or attached to. It's important to know the community's size and the look and feel of its
buildings, its topography (the lay of the land -- the hills, valleys, rivers, roads, and
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other features you'd find on a map), and each of its neighborhoods. Also important
are how various areas of the community differ from one another, and whether your
impression is one of clean, well-maintained houses and streets, or one of
shabbiness, dirt, and neglect.
If the community is one defined by its population, then its physical properties are also
defined by the population: where they live, where they gather, the places that are
important to them. The characteristics of those places can tell you a great deal about
the people who make up the community. Their self-image, many of their attitudes,
and their aspirations are often reflected in the places where they choose -- or are
forced by circumstance or discrimination -- to live, work, gather, and play.
Infrastructure. Roads, bridges, transportation (local public transportation, airports,
train lines), electricity, land line and mobile telephone service, broadband service,
and similar "basics" make up the infrastructure of the community, without which it
couldn't function.
Patterns of settlement, commerce, and industry. Where are those physical spaces
we've been discussing? Communities reveal their character by where and how they
create living and working spaces. Where there are true slums -- substandard
housing in areas with few or no services that are the only options for low-income
people -- the value the larger community places on those residents seems clear. Are
heavy industries located next to residential neighborhoods? If so, who lives in those
neighborhoods? Are some parts of the community dangerous, either because of high
crime and violence or because of unsafe conditions in the built or natural
environment?
Demographics. It's vital to understand who makes up the community. Age, gender,
race and ethnicity, marital status, education, number of people in household, first
language -- these and other statistics make up the demographic profile of the
population. When you put them together (e.g., the education level of black women
ages 18-24), it gives you a clear picture of who community residents are.
History. The long-term history of the community can tell you about community
traditions, what the community is, or has been, proud of, and what residents would
prefer not to talk about. Recent history can afford valuable information about conflicts
and factions within the community, important issues, past and current relationships
among key people and groups -- many of the factors that can trip up any effort
before it starts if you don't know about and address them.
Community leaders, formal and informal. Some community leaders are elected or
appointed -- mayors, city councilors, directors of public works. Others are considered
leaders because of their activities or their positions in the community -- community
activists, corporate CEO's, college presidents, doctors, clergy. Still others are
recognized as leaders because, they are trusted for their proven integrity, courage,
and/or care for others and the good of the community.
Community culture, formal and informal. This covers the spoken and unspoken rules
and traditions by which the community lives. It can include everything from
community events and slogans -- the blessing of the fishing fleet, the "Artichoke
Capital of the World" -- to norms of behavior -- turning a blind eye to alcohol abuse or
domestic violence -- to patterns of discrimination and exercise of power.
Understanding the culture and how it developed can be crucial, especially if that's
what you're attempting to change.

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Existing groups. Most communities have an array of groups and organizations of

different kinds -- service clubs (Lions, Rotary, etc.), faith groups, youth organizations,
sports teams and clubs, groups formed around shared interests, the boards of
community-wide organizations (the YMCA, the symphony, United Way), as well as
groups devoted to self-help, advocacy, and activism. Knowing of the existence and
importance of each of these groups can pave the way for alliances or for
understanding opposition.
Existing institutions. Every community has institutions that are important to it, and
that have more or less credibility with residents. Colleges and universities, libraries,
religious institutions, hospitals -- all of these and many others can occupy important
places in the community. It's important to know what they are, who represents them,
and what influence they wield.
Economics. Who are the major employers in the community? What, if any, business
or industry is the community's base? Who, if anyone, exercises economic power?
How is wealth distributed? Would you characterize the community as poor, working,
class, middle class, or affluent? What are the economic prospects of the population
in general and/or the population you're concerned with?
Government/Politics. Understanding the structure of community government is
obviously important. Some communities may have strong mayors and weak city
councils, others the opposite. Still other communities may have no mayor at all, but
only a town manager, or may have a different form of government entirely.
Whatever the government structure, where does political power lie? Understanding
where the real power is can be the difference between a successful effort and a vain
one.
Social structure. Many aspects of social structure are integrated into other areas -relationships, politics, economics -- but there are also the questions of how people in
the community relate to one another on a daily basis, how problems are (or aren't)
resolved, who socializes or does business with whom, etc. This area also includes
perceptions and symbols of status and respect, and whether status carries
entitlement or responsibility (or both).
Attitudes and values. Again, much of this area may be covered by investigation into
others, particularly culture. What does the community care about, and what does it
ignore? What are residents' assumptions about the proper way to behave, to dress,
to do business, to treat others? Is there widely accepted discrimination against one
or more groups by the majority or by those in power? What are the norms for
interaction among those who with different opinions or different backgrounds?
We'll discuss all of these aspects of community in greater detail later in the section.
There are obviously many more aspects of community that can be explored, such as
health or education. The assumption here is that as part of an assessment, you'll
aim for a general understanding of the community, as described in this section, and
also assess, with a narrower focus, the specific aspects you're interested in.
Once you've explored the relevant areas of the community, you'll have the
information to create a community description. Depending on your needs and
information, this description might be anything from a two-or three-page outline to an
in-depth portrait of the community that extends to tens of pages and includes charts,
graphs, photographs, and other elements. The point of doing it is to have a picture of
the community at a particular point in time that you can use to provide a context for
your community assessment and to see the results of whatever actions you take to
bring about change.
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A community description can be as creative as you're capable of making it. It can be

written as a story, can incorporate photos and commentary from community
residents (see Photovoice), can be done online and include audio and video, etc.
The more interesting the description is, the more people are likely to actually read it.
WHY MAKE THE EFFORT TO UNDERSTAND AND DESCRIBE YOUR
COMMUNITY?
You may at this point be thinking, "Can't I work effectively within this community
without gathering all this information?" Perhaps, if it's a community you're already
familiar with, and really know it well. If you're new to the community, or an outsider,
however, it's a different story. Not having the proper background information on your
community may not seem like a big deal until you unintentionally find yourself on one
side of a bitter divide, or get involved in an issue without knowing about its long and
tangled history.
SOME ADVANTAGES TO TAKING THE TIME TO UNDERSTAND THE
COMMUNITY AND CREATE A COMMUNITY DESCRIPTION INCLUDE:
Gaining a general idea, even before an assessment, of the community's strengths
and the challenges it faces.
Capturing unspoken, influential rules and norms. For example, if people are divided
and angry about a particular issue, your information might show you an event in the
community's history that explains their strong emotions on that subject.
Getting a feel for the attitudes and opinions of the community when you're starting
work on an initiative.
Ensuring the security of your organization's staff and participants. There may be
neighborhoods where staff members or participants should be accompanied by
others in order to be safe, at least at night. Knowing the character of various areas
and the invisible borders that exist among various groups and neighborhoods can be
extremely important for the physical safety of those working and living in the
community.
Having enough familiarity with the community to allow you to converse intelligently
with residents about community issues, personalities and geography. Knowing that
you've taken the time and effort to get to know them and their environment can help
you to establish trust with community members. That can make both a community
assessment and any actions and activities that result from it easier to conduct.
Being able to talk convincingly with the media about the community.
Being able to share information with other organizations or coalitions that work in the
community so that you can collaborate or so that everyone's work can benefit.
Providing background and justification for grant proposals.
Knowing the context of the community so that you can tailor interventions and
programs to its norms and culture, and increase your chances of success.
WHEN SHOULD YOU MAKE AN EFFORT TO UNDERSTAND AND DESCRIBE
THE COMMUNITY?
When you're about to launch a community assessment. The first step is to get a
clear sense of the community, before more specifically assessing the area(s) you're
interested in.
When you're new to a community and want to be well informed before beginning
your work. If you've just started working in a community -- even if it's work you've

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been doing for years -- you will probably find that taking the time to write a
community description enriches your work.
When you've been working in a community for any length of time and want to take
stock. Communities are complex, constantly-changing entities. By periodically
stopping to write a detailed description of your community, you can assess what
approaches have worked and what haven't; new needs that have developed over
time and old concerns that no longer require your effort and energy; and other
information to help you better do your work.
When you're feeling like you're stuck in a rut and need a fresh perspective.
Organizations have to remain dynamic in order to keep moving forward.
Reexamining the community -- or perhaps examining it carefully for the first time -can infuse an organization with new ideas and new purpose.
When you're considering introducing a new initiative or program and want to assess
its possible success.Aside from when you first come to a community, this is probably
the most vital time to do a community description.
When a funder asks you to, often as part of a funding proposal.
While researching and writing a community description can take time, your work can
almost always benefit from the information you gather.
WHOM SHOULD YOU CONTACT TO GATHER INFORMATION?
Much of your best and most interesting information may come from community
members with no particular credentials except that they're part of the community. It's
especially important to get the perspective of those who often don't have a voice in
community decisions and politics -- low-income people, immigrants, and others who
are often kept out of the community discussion. In addition, however, there are some
specific people that it might be important to talk to. They're the individuals in key
positions, or those who are trusted by a large part of the community or by a particular
population. In a typical community, they might include:
Elected officials
Community planners and development officers
Chiefs of police
School superintendents, principals, and teachers
Directors or staff of health and human service organizations
Health professionals
Clergy
Community activists
Housing advocates
Presidents or chairs of civic or service clubs -- Chamber of Commerce, veterans'
organizations, Lions, Rotary, etc.
People without titles, but identified by others as "community leaders"
Owners or CEO's of large businesses (these may be local or may be large
corporations with local branches)
HOW DO YOU GO ABOUT UNDERSTANDING AND DESCRIBING THE
COMMUNITY?
GENERAL GUIDELINES
To begin, let's look at some basic principles to keep in mind.

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Be prepared to learn from the community. Assume that you have a lot to learn, and
approach the process with an open mind. Listen to what people have to say.
Observe carefully. Take notes -- you can use them later to generate new questions
or to help answer old ones.
Be aware that people's speech, thoughts, and actions are not always rational. Their
attitudes and behavior are often best understood in the context of their history,
social relations, and culture. Race relations in the U.S., for example, can't be
understood without knowing some of the historical context -- the history of slavery,
Jim Crow laws, and the work of Martin Luther King and the Civil Rights Movement.
Don't assume that the information people give you is necessarily accurate. There are
a number of reasons why informants may tell you things that are inaccurate.
People's perceptions don't always reflect reality, but are colored instead by what they
think or what they think they know. In addition, some may intentionally exaggerate
or downplay particular conditions or issues for their own purposes or for what they
see as the greater good. (The Chamber of Commerce or local government officials
might try to make economic conditions look better than they are in the hopes of
attracting new business to the community, for instance.) Others may simply be
mistaken about what they tell you -- the geographical boundaries of a particular
neighborhood, for example, or the year of an important event. Get information,
particularly on issues, conditions, and relationships from many sources if you can. As
time goes on, you'll learn who the always-reliable sources are.
Beware of activities that may change people's behavior. It's well known that people
(and animals as well) can change their normal behavior as a result of knowing
they're being studied. Neighborhood residents may clean up their yards if they're
aware that someone is taking the measure of the neighborhood. Community
members may try to appear as they wish to be seen, rather than as they really are, if
they know you're watching. To the extent that you can, try not to do anything that will
change the way people go about their daily business or express themselves. That
usually means being as unobtrusive as possible -- not being obvious about taking
pictures or making notes, for instance. In some circumstances, it could mean trying
to gain trust and insight through participant observation.
Participant observation is a technique that anthropologists use. It entails becoming
part of another culture, both to keep people in it from being influenced by your
presence and to understand it from the inside. Some researchers believe it
addresses the problem of changing the culture by studying it, and others believe that
it makes the problem worse.
Take advantage of the information and facilities that help shape the world of those
who have lived in the community for a long time. Read the local newspaper (and the
alternative paper, too, if there is one), listen to local radio, watch local TV, listen to
conversation in cafes and bars, in barbershops and beauty shops. You can learn a
great deal about a community by immersing yourself in its internal communication.
The Chamber of Commerce will usually have a list of area businesses and
organizations, along with their contact people, which should give you both points of
contact and a sense of who the people are that you might want to get in touch with.
Go to the library -- local librarians are often treasure troves of information, and their
professional goal is to spread it around. Check out bulletin boards at supermarkets
and laundromats. Even graffiti can be a valuable source of information about
community issues.
Network, network, network. Every contact you make in the community has the
potential to lead you to more contacts. Whether you're talking to official or unofficial
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community leaders or to people you just met on the street, always ask who else they
would recommend that you talk to and whether you can use their names when you
contact those people. Establishing relationships with a variety of community
members is probably the most important thing you can do to ensure that you'll be
able to get the information you need, and that you'll have support for working in the
community when you finish your assessment and begin your effort.
GATHERING INFORMATION
To find out about various aspects of the community, you'll need a number of different
methods of gathering information. We've already discussed some of them, and many
of the remaining sections of this chapter deal with them, because they're the same
methods you'll use in doing a full community assessment. Here, we'll simply list
them, with short explanations and links to sections where you can get more
information about each.
Public records and archives. These include local, state, and federal government
statistics and records, newspaper archives, and the records of other organizations
that they're willing to share. Many of the public documents are available at public
and/or university libraries and on line at government websites. Most communities
have their own websites, which often contain valuable information as well.
Individual and group interviews. Interviews can range from casual conversations in a
cafe to structured formal interviews in which the interviewer asks the same specific
questions of a number of carefully chosen key informants. They can be conducted
with individuals or groups, in all kinds of different places and circumstances. They're
often the best sources of information, but they're also time-consuming and involve
finding the right people and convincing them to consent to be interviewed, as well as
finding (and sometimes training) good interviewers.
Interviews may include enlisting as sources of information others who've spent time
learning about the community. University researchers, staff and administrators of
health and human service organizations, and activists may all have done
considerable work to understand the character and inner workings of the community.
Take advantage of their findings if you can. It may save you many hours of effort.
Surveys. There are various types of surveys. They can be written or oral, conducted
with a selected small group -- usually a randomized sample that represents a larger
population -- or with as many community members as possible. They can be sent
through the mail, administered over the phone or in person, or given to specific
groups (school classes, faith congregations, the Rotary Club). They're often fairly
short, and ask for answers that are either yes-no, or that rate the survey-taker's
opinion of a number of possibilities (typically on a scale that represents "agree
strongly" to "disagree strongly" or "very favorable" to "very unfavorable.") Surveys
can, however, be much more comprehensive, with many questions, and can ask for
more complex answers.
Direct or participant observation. Often the best way to find out about the community
is simply to observe. You can observe physical features, conditions in various areas,
the interactions of people in different neighborhoods and circumstances, the amount
of traffic, commercial activity, how people use various facilities and spaces, or the
evidence of previous events or decisions. Participant observation means becoming
part of the group or scene you're observing, so that you can see it from the inside.
Observation can take many forms. In addition to simply going to a place and taking
notes on what you see, you might use other techniques -- Photovoice, video, audio,
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simple photographs, drawings, etc. Don't limit the ways in which you can record your
observations and impressions.
UNDERSTANDING THE COMMUNITY
Now let's consider what you might examine to understand and describe the
community. You won't necessarily look for this information in the order given here,
although it's a good idea to start with the first two.
The community's physical characteristics.

Get a map of the community and drive and/or walk around. (If the community isn't
defined by geography, note and observe the areas where its members live, work,
and gather.) Observe both the built and the natural environment. In the built
environment, some things to pay attention to are:
The age, architecture, and condition of housing and other buildings. Some shabby or
poorly-maintained housing may occupy good buildings that could be fixed up, for
example -- that's important to know. Is there substandard housing in the community?
Look for new construction, and new developments, and take note of where they are,
and whether they're replacing existing housing or businesses or adding to it. (You
might want to find out more about these. Are they controversial? Was there
opposition to them, and how was it resolved? Does the community offer incentives to
developers, and, if so, for what?) Is housing separated by income or other factors,
so that all low-income residents, for instance, or all North African immigrants seem to
live in one area away from others? Are buildings generally in good condition, or are
they dirty and run-down? Are there buildings that look like they might have historic
significance, and are they kept up? Are most buildings accessible to people with
disabilities?
Commercial areas. Are there stores and other businesses in walking distance of
residential areas or of public transportation for most members of the community? Do
commercial buildings present windows and displays or blank walls to pedestrians? Is
there foot traffic and activity in commercial areas, or do they seem deserted? Is there
a good mix of local businesses, or nothing but chain stores? Are there theaters,
places to hear music, a variety of restaurants, and other types of entertainment? Do
many buildings include public spaces -- indoor or outdoor plazas where people can
sit, for example? In general, are commercial areas and buildings attractive and wellmaintained?
The types and location of industrial facilities. What kind of industry exists in the
community? Does it seem to have a lot of environmental impact -- noise, air or water
pollution, smells, heavy traffic? Is it located close to residential areas, and, if so, who
lives there? Is there some effort to make industrial facilities attractive -- landscaping,
murals or imaginative color schemes on the outside, etc?
Infrastructure. What condition are streets in? Do most streets, at least in residential
and commercial areas, have sidewalks? Bike lanes? Are pedestrians shielded from
traffic by trees, grass strips, and/or plantings? Are roads adequate for the traffic they
bear? Are there foot bridges across busy highways and railroad tracks, or do they
separate areas of the community and pose dangers for pedestrians? Is there
adequate public transportation, with facilities for people with physical disabilities?
Does it reach all areas of the community? Can most people gain access to the

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Internet if they have the equipment (i.e., computers or properly equipped cell
phones)?
This is a topic that is ripe for examination. In many rural areas, particularly in
developing countries, but often in the developed world as well, there is very little
infrastructure. Roads and bridges may be impassable at certain (or most) times of
year, phone service and TV reception nonexistent, Internet access a distant dream.
Public transportation in many places, if it exists at all, may take the form of a pickup
truck or 20-year-old van that takes as many passengers as can squeeze into or onto
the bed, passenger compartment, and roof. Is any of this on the government's or
anyone else's radar as a situation that needs to be addressed? What is the general
policy about services to rural and/or poor populations? Answers to these and similar
questions may both explain the situation (and the attitudes of the local population)
and highlight a number of possible courses of action.
In the category of natural features, we can include both areas that have been largely
left to nature, and "natural" spaces created by human intervention.
Topography. An area's topography is the shape of its landscape. Is the community
largely hilly, largely flat, or does it incorporate areas of both? Is water -- rivers,
creeks, lakes and ponds, canals, seashore -- a noticeable or important part of the
physical character of the community? Who lives in what areas of the community?
Open space and greenery. Is there open space scattered throughout the community,
or is it limited to one or a few areas? How much open space is there? Is it mostly
man-made (parks, commons, campuses, sports fields), or is there wilderness or
semi-wilderness? Does the community give the impression of being green and leafy,
with lots of trees and grass, or is it mostly concrete or dirt?
Air and water. Is the air reasonably clear and clean, or is there a blanket of smog?
Does the air generally smell fresh, or are there industrial or other unpleasant odors?
Do rivers, lakes, or other bodies of water appear clean? Do they seem to be used for
recreation (boating, swimming, fishing)?
There is an overlap between the community's physical and social characteristics.
Does the lay of the land make it difficult to get from one part of the community to
another? (Biking, or in some cases even walking, is difficult in San Francisco, for
example, because of the length and steepness of the hills.) Are there clear social
divisions that mirror the landscape -- all the fancy houses in the hills, all the lowincome housing in the flats, for instance?
Studying the physical layout of the community will serve you not only as information,
but as a guide for finding your way around, knowing what people are talking about
when they refer to various areas and neighborhoods, and gaining a sense of the
living conditions of any populations you're concerned with.
Community demographics.
Demographics are the facts about the population that you can find from census data
and other similar statistical information. Some things you might like to know, besides
the number of people in the community:
Gender
Racial and ethnic background
Age. Numbers and percentages of the population in various age groups
Marital status
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Family size
Education
Income
Employment - Both the numbers of people employed full and part-time, and the
numbers of people in various types of work
Location - Knowing which groups live in which neighborhoods or areas can help to
recruit participants in a potential effort or to decide where to target activities
In the U.S., most of this and other demographic information is available from the U.S.
Census, from state and local government websites, or from other government
agencies. Depending on what issues and countries you're concerned with, some
sources of information might be the U.S. Centers for Disease Control, the U.S.
Department of Health and Human Services, similar websites in other countries, and
the various agencies of the United Nations.
On many of these websites, notably the U.S. Census, various categories can be
combined, so that you can, for example, find out the income levels in your
community for African American women aged 25-34 with a high school education. If
the website won't do it for you, it's fairly easy to trace the patterns yourself, thus
giving you a much clearer picture of who community residents are and what their
lives might be like.

Another extremely useful resource is County Health Rankings & Roadmaps, which
provides rankings for nearly every county in the nation. The County Health Rankings
model includes four types of health factors: health behaviors, clinical care, social and
economic, and the physical environment. The County Health Rankings illustrate what
we know when it comes to whats making people sick or healthy, and the new
County Health Roadmaps show what we can do to create healthier places to live,
learn, work and play. These reports can help community leaders see that our
environment influences how healthy we are and how long we live, and even what
parts of our environment are most influential.
Community history.
This can be a complex topic. The "standard" history -- when the community was
founded and by whom, how long it has existed, how people lived there in the past, its
major sources of work, etc. -- can often be found in the local library or newspaper
archives, or even in books or articles written for a larger audience. The less
comfortable parts of that history, especially recent history -- discrimination, conflict,
economic and/or political domination by a small group -- are may not be included,
and are more likely to be found by talking to activists, journalists, and others who are
concerned with those issues. You might also gain information by reading between
the lines of old newspaper articles and tracking down people who were part of past
conflicts or events.
If this all sounds a lot like investigative reporting, that's because it is. You may not
have the time or skills to do much of it, but talking to activists and journalists about
recent history can be crucial. Stepping into a community with an intervention or
initiative without understanding the dynamics of community history can be a recipe
for failure.
Community government and politics.
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There are a number of ways to learn about the structure and operation of local
government:
Go to open meetings of the city council, town boards, board of selectmen, or other
bodies, as well as to public forums on proposed actions, laws, and regulations. Such
meetings will be announced in the local paper.
In most of the U.S., these meetings are public by state law, and must be announced
in specific ways at least two days ahead.
Community bylaws and regulations are often available at the public library.
Make an appointment to talk to one or more local government officials. Many hold
regular office hours, and might actually take pleasure in explaining the workings of
the local government.
Talk to community activists for a view of how the government actually operates, as
opposed to how it's supposed to operate.
Read the local newspaper every day.
Reading the newspaper every day is a good idea in general if you're trying to learn
about the community. It will not only have stories about how the community
operates, but will give you a sense of what's important to its readers, what kinds of
activities the community engages in and views as significant, what the police do -- a
picture of a large part of community life. Real estate ads will tell you about property
values and the demand for housing, ads for services can help you identify the major
businesses in town, and the ages and education levels of the people in the marriage
and birth announcements can speak volumes about community values. Newspaper
archives can also reveal the stories that help you understand the emotions still
surrounding events and issues that don't seem current. The newspaper is an
enormous reservoir of both direct and between-the-lines information.
As we all know, government isn't only about the rules and structures that hold it
together. It's about people and their interactions...politics, in other words. The
political climate, culture, and assumptions in a particular community often depend
more on who elected and appointed officials are than on the limits or duties of their
offices.
The politics of many communities embody the ideal of government working for the
public good. In other communities, politics takes a back seat to economics, and
politicians listen largely to those with economic power -- the CEO's, owners, and
directors of large businesses and institutions. In still others, the emphasis is on
power itself, so that political decisions are made specifically to keep a particular
party, group, or individual in control.
Obviously, only in the first case is the public well served. In the other situations,
fairness and equity tend to go out the window and decisions favor the powerful.
Understanding the politics of the community -- who has power, who the power
brokers are, who actually influences the setting of policy, how decisions are made
and by whom, how much difference public opinion makes -- is fundamental to an
understanding of the community as a whole.
There's no formal way to get this information. Government officials may have very
different interpretations of the political scene than activists or other community
members. You'll have to talk to a variety of people, take a good look at recent
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political controversies and decisions (here's where newspaper archives can come in
handy), and juggle some contradicting stories to get at the reality.
Institutions.
Community institutions, unless they are dysfunctional, can generally be viewed as
assets. Finding them should be easy: as mentioned above, the Chamber of
Commerce will probably have a list of them, the library will probably have one as
well, the local newspaper will often list them, and they'll be in the phone book.

They cover the spectrum of community life, including:

Offices of local, state, and federal government agencies (Welfare, Dept. of
Agriculture, Office of Immigration, etc.)
Public libraries.
Religious institutions. Churches, synagogues, mosques.
Cultural institutions. Museums, theaters, concert halls, etc. and the companies they
support. These may also encompass community theater and music companies run
and staffed by community volunteer boards and performers.
Community centers. Community centers may provide athletic, cultural, social, and
other (yoga, support groups) activities for a variety of ages.
YMCA's and similar institutions.
Senior centers.
Hospitals and public health services.
Colleges and universities.
Public and private schools.
Public sports facilities. These might be both facilities for the direct use of the public -community pools and athletic fields, for example -- or stadiums and arena where
school, college, or professional teams play as entertainment.
Groups and organizations.
The groups and organizations that exist in the community, and their relative prestige
and importance in community life, can convey valuable clues to the community's
assumptions and attitudes. To some extent, you can find them in the same ways that
you can find institutions, but the less formal ones you may be more likely to learn
about through interviews and conversations.
These groups can fall into a number of categories:
Health and human service organizations. Known on the world stage as NGO's (NonGovernmental Organizations), these are the organizations that work largely with lowincome people and populations at risk. They encompass free or sliding-scale health
clinics, family planning programs, mental health centers, food pantries, homeless
shelters, teen parent programs, youth outreach organizations, violence prevention
programs, etc.
Advocacy organizations. These may also provide services, but generally in the form
of legal help or advocacy with agencies to protect the rights of specific groups or to
push for the provision of specific services. By and large, they advocate for
recognition and services for populations with particular characteristics, or for more
attention to be paid to particular issues.
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Service clubs. Lions, Rotary, Kiwanis, Elks, Masons, etc.

Veterans' organizations. In the U.S., the American Legion and the Veterans of
Foreign Wars are the major veterans' organizations, but many communities may
have others as well.
Chamber of Commerce and other business organizations. Some of these may be
oriented toward specific types of businesses, while others, like the Chamber, are
more general.
Groups connected to institutions. Church youth or Bible study groups, school clubs,
university student groups (e.g., Foreign Students' Association, community service
groups).
Trade unions. These may be local, or branches of national or international unions.
Sports clubs or leagues. Enthusiasts of many sports organize local leagues that hold
regular competitions, and that may compete as well with teams from other
communities. In many rural areas, Fish and Game clubs may function as informal
community centers.
Informal groups. Book clubs, garden clubs, parents' groups, etc.
Economics/employment.
Some of the information about economic issues can be found in public records, but
some will come from interviews or conversations with business people, government
officials, and activists, and some from observation. It's fairly easy to notice if one
huge industrial plant dominates a community, for example, or if every third building
appears to be a construction company. There are a number of questions you might
ask yourself and others to help you understand the community's economic base and
situation: What is the anchor of the community's tax base? Who are the major
employers? Does the community have a particular business or business/industry
category that underlies most of the jobs? Are there lots of locally-owned businesses
and industries, or are most parts of larger corporations headquartered elsewhere?
Are there corporate headquarters in the community? Is there a good deal of office
space, and is it empty or occupied? Is there new development, and is the
community attracting new business? What is the unemployment rate?

Social structure.
This may be the most difficult aspect of the community to understand, since it
incorporates most of the others we've discussed, and is usually unspoken. People's
answers to questions about it may ignore important points, either because they seem
obvious to those who've lived with them for all or most of their lives, or because
those things "just aren't talked about." Distrust or actual discrimination aimed at
particular groups -- based on race, class, economics, or all three -- may be glossed
over or never mentioned. The question of who wields the real power in the
community is another that may rarely be answered, or at least not answered in the
same way by a majority of community members. It's likely that it will take a number of
conversations, some careful observation and some intuition as well to gain a real
sense of the community's social structure.
DESCRIBING THE COMMUNITY
Once you've gathered the information you need, the next step is describing the
community. This is not really separate from understanding the community: in the
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process of organizing and writing down your information, you'll be able to see better
how it fits together, and can gain greater understanding.
There are many ways you can create a description of the community. The most
obvious is simply to organize, record, and comment on your information by category:
physical description, government, institutions, etc. You can comment about what has
changed in the community over time, what has stayed the same, and where you
think the community might be going. You might also include an analysis of how the
various categories interact, and how that all comes together to form the community
that exists. That will give you and anyone else interested a reasonably clear and
objective description of the community, as well as a sense of how you see it.
For a fuller picture, you could add photographs of some of the locations, people,
conditions, or interactions you describe (perhaps as a Photovoice project), as well as
charts or graphs of demographic or statistical information. For even more detail, you
might compose a portrait in words of the community, using quotes from interviews
and stories of community history to bring the description to life.
Given the availability of technology, you don't have to limit yourself to any specific
format. Computers allow you to easily combine various media -- photos, graphics,
animation, text, and audio, for example. The description could add in or take the
form of a video that includes a tour of the community, statements from and/or
interviews with various community members (with their permission, of course), an
audio voice-over, maps, etc. A video or a more text-based description -- or both -could then be posted to a website where it would be available to anyone interested.
Once you have a description put together, you might want to show it to some of the
community members you talked to in the course of exploring the community. They
can suggest other things you might include, correct errors of fact, and react to what
they consider the accuracy or inaccuracy of your portrait and analysis of their
community. With this feedback, you can then create a final version to use and to
show to anyone interested. The point is to get as informative and accurate a picture
of the community as possible that will serve as a basis for community assessment
and any effort that grows out of it.
The last word here is that this shouldn't be the last community description you'll ever
do. Communities reinvent themselves constantly, as new buildings and
developments are put up and old ones torn down, as businesses move in and out, as
populations shift -- both within the community and as people and groups move in and
out -- and as economic, social, and political conditions change. You have to keep up
with those changes, and that means updating your community description regularly.
As with most of the rest of the community building work described in the Community
Tool Box, the work of understanding and describing the community is ongoing, for as
long as you remain committed to the community itself.
IN SUMMARY
Understanding a community is crucial to being able to work in it. Failing to
understand it will deny you credibility and make it difficult for you both to connect with
community members and to negotiate the twists and turns of starting and
implementing a community initiative or intervention. An extremely important part of
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any community assessment, therefore, is to start by finding out as much about the
community as you can -- its physical and geographical characteristics, its culture, its
government, and its assumptions. By combing through existing data, observing, and
learning from community members, you can gain an overview of the community that
will serve you well. Recording your findings and your analysis of them in a
community description that you can refer to and update as needed will keep your
understanding fresh and help others in your organization or with whom you
collaborate.
Conducting Public Forums and Listening Sessions
What if you had a program and nobody cared? Nothing ensures the success of a
program more than citizen participation in assessing their perceived needs, problems
and hopes for the future. You will want to know what people think about important
issues and, for sure, they will want to tell you what they think. You just need to
provide the opportunity. Including citizens in identifying and solving problems is
called r-e-s-p-e-c-t! Respect for and sensitivity to the people you want to serve.
WHAT ARE PUBLIC FORUMS?
In the "public forum" or public problem-identification and problem-solving session,
citizens discuss important issues such as health problems. In this well-publicized
meeting, the facilitators lead a discussion of various aspects of the issue like the
community's strengths and potential problems. A transcript of their ideas about the
dimensions of the issue--and what can be done to solve problems and preserve
strengths--provides a basis for subsequent planning.
Public forums:
Give people of diverse backgrounds a chance to express their views
Are a first step toward understanding the community's needs and resources
WHY CONDUCT THEM?
They can offer your group valuable insights into the community
They can provide a database for guiding and explaining actions
They can help link your group with people who are able and willing to help
They can provide the group with feedback
Public forums, also referred to as town meetings, are open to everyone in the
community. These public meetings offer people from diverse backgrounds a chance
to express their views about key issues of concern to you and what can be done
about them.
WHAT DO YOU NEED TO CONDUCT A PUBLIC FORUM?
Meeting place
Community members
Easel/newsprint /markers
Facilitator
Recorder
Willingness to listen carefully
Issues and Concerns
What are the problems?
What are the consequences?
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Who is affected?
How are they affected?
Are there related issues of concern?
Are these issues of widespread concern?
Barriers
Who or what might oppose efforts to prevent or solve the problem?
Can they be involved effectively?
What are the other limits on effective prevention/treatment?
How can the barriers and resistance be overcome?
Resources for Change
What resources are needed?
What local people or groups could contribute?
What monies and materials are needed?
Where might they be obtained?
Alternatives and Solutions
What are alternatives for addressing the problem, given the anticipated barriers?
How should you organize a public forum?

Hold meetings at different sites to get real representation.

Schedule the forum at an easy-to-find, public location which is accessible and
comfortable - for example, a library, school or church.
If possible, hold the forum in the evening to avoid time conflicts with work and
school.
Publicize the forum as widely as possible. Fliers, advertisements, public service
announcements and press releases can all be used. Make sure the date, time,
location and purpose of the meeting are included.
Personally recruit community leaders and diverse community members to attend the
meetings. Ask them to recruit others as well.
Provide transportation to the meeting if necessary.
Serve light refreshments if possible. They encourage mingling and set a friendly
tone.
HOW SHOULD YOU CONDUCT A PUBLIC FORUM?
Designate a discussion leader or group facilitator who is known and respected, who
is neutral on the topic, who has good listening and group process skills, and who can
keep things moving and on track.
Introduce the leader of the community initiative and the discussion leader. If time and
group size allow, let all participants introduce themselves.
Agree upon an ending time, and keep to it.
Try to keep working groups to smaller than 30-40 participants.
If over that number, divide into smaller groups.
Designate a recorder for each group.
Provide information about your own organization, if appropriate. You can also pass
around a sign-up sheet to get on a mailing list or to help out in other ways.
Consider allowing some time for addressing each of the following topics: issues and
concerns; barriers and resistance to addressing the issues and concerns; community
resources for change; recommended alternatives and solutions.
Use newsprint to record the discussion on each of the topics.
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Conclude with a summary of what was achieved and a preliminary plan of action.
Announce the next meeting if possible.
Prepare a written summary of brainstorming ideas and mail to all participants, with
thanks, and with mention of opportunities for further involvement.
Analyzing Community Problems
COMMUNITIES HAVE PROBLEMS, JUST LIKE PEOPLE
Problems are part of life -- they go together with being alive. And every community
has problems, too; they go together with being a community. That's just a fact of
community life.
Two more basic facts:
Communities, like people, try to solve their problems.
And analyzing those problems helps in their solution.
Example, A community problem. The downtown area of a community is declining.
Stores are closing, and moving out; no new stores are moving in. We want to
revitalize that downtown. How should we do it?
Our thinking here is simple:
We'd be better off analyzing why that decline is taking place, why the problem is
occurring, rather than simply jumping in and trying to fix it.
A good analysis will lead to better long-run solutions. And therefore:
A good analysis is worth taking the time to do.
So this section explains what analyzing community problems is about, and why it can
be helpful -- and then how to do it.
WHAT IS A COMMUNITY PROBLEM?
This covers a lot of ground. There's a long list of nominees. And you probably know
some of the main contenders. Can you name the leading problems in your own
community? Chances are you can at least start the list.
Below are examples of community problems:
Example Community Problems: Adolescent pregnancy, access to clean drinking
water, child abuse and neglect, crime, domestic violence, drug use, environmental
contamination, ethnic conflict, health disparities, HIV/ AIDS, hunger, inadequate
emergency services, inequality, jobs, lack of affordable housing, poverty, racism,
transportation, violence.
WHAT OTHERS WOULD YOU ADD?
Rather than aim for a complete problem list, here are some criteria you may consider
when identifying community problems:
The problem occurs too frequently (frequency)
The problem has lasted for a while (duration)
The problem affects many people (scope, or range)
The problem is disrupting to personal or community life, and possibly intense
(severity)
The problem deprives people of legal or moral rights (equity)
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The issue is perceived as a problem (perception)

This last criterion -- perception -- is an important one, and can also help indicate
readiness for addressing the issue within the community.
Keep in mind that what is seen as a problem can vary from place to place, and from
group to group in the same place. Although there's no official definition of a
community problem, the above examples and criteria above should help you begin to
name and analyze community problems.
WHAT IS ANALYZING COMMUNITY PROBLEMS ALL ABOUT?
Analyzing community problems is a way of thinking carefully about a problem or
issue before acting on a solution. It first involves identifying reasons a problem
exists, and then (and only then) identifying possible solutions and a plan for
improvement. The techniques for analyzing community problems require simple
logic, and sometimes the collection of evidence.
WHY SHOULD I ANALYZE A COMMUNITY PROBLEM?
To better identify what the problem or issue is.
Kids gather on a street. Sometimes they drink; sometimes they get rowdy. What is
the problem here? The drinking? The rowdiness? The gathering itself? Or, the
possible fact that kids have nowhere else to go and few positive alternatives for
engagement? Before looking for solutions, you would want to clarify just what is the
problem (or problems) here. Unless you are clear, it's hard to move forward.
To understand what is at the heart of a problem.
A problem is usually caused by something; what is that something? We should find
out. And often the problem we see is a symptom of something else.
To determine the barriers and resources associated with addressing the problem.

It's good practice and planning to anticipate barriers and obstacles before they might
rise up. By doing so, you can get around them. Analyzing community problems can
also help you understand the resources you need. And the better equipped you are
with the right resources, the greater your chances of success.
To develop the best action steps for addressing the problem.
Having a plan of action is always better than taking a few random shots at the
problem. If you know where you are going, you are more likely to get there.
In general, when you tackle a problem, it's almost always smarter to analyze it before
you begin. That way, you've got a deeper understanding of the problem; and you've
covered your bases. There's nothing worse for member involvement and morale than
starting to work on a problem, and running up against lots of obstacles -- especially
when they are avoidable.

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When you take a little time to examine a problem first, you can anticipate some of
these obstacles before they come up, and give yourself and your members better
odds of coming up with a successful solution.
WHEN SHOULD I ANALYZE A COMMUNITY PROBLEM?
Every community problem should benefit from analysis. The only possible exception
is when the problem is an immediate crisis that requires action this very moment.
And even then, analysis should help later.
However, there are conditions when analysis is especially important. And these are:
When the community problem is not defined very clearly
When little is known about the community problem, or its possible consequences
When you want to find causes that may improve the chance of successfully
addressing the problem
When people are jumping to solutions much too soon
When you need to identify actions to address the problem, and find collaborative
partners for taking action.
HOW SHOULD I ANALYZE A COMMUNITY PROBLEM?
The ultimate goal is - to understand the problem better and to deal with it more
effectively, so the method you choose should accomplish that goal. We'll offer some
step-by-step guidelines here and go over a couple of specific ways to determine the
causes of the problem.
1. Justify the choice of the problem.
Apply the criteria weve listed above frequency, duration, range, severity, equity,
perception as well as asking yourself whether your organization or another can
address it effectively, in order to decide whether the problem is one that you should
focus on.
Lets take the problem we used as an example earlier: The percentage of overweight
and obese children in the community has been steadily increasing, and now
approaches 25%. Since we know that childhood obesity tends to lead to adult
obesity, and that obesity and being overweight are linked to chronic conditions
diabetes, heart disease, stroke this is a problem that needs to be addressed now.
Our organization has the will and the ability to do it.
2. Frame the problem.
State the problem without implying a solution or blaming anyone, so that you can
analyze it without any assumptions and build consensus around whatever solution
you arrive at. One way is to state it in terms of a lack of a positive behavior,
condition, or other factor, or the presence or size of a negative behavior, condition,
or other factor.
There are too many children in the community who are overweight or obese. The
problem is particularly serious among low-income families.
3. Identify whose behavior and/or what and how environmental factors need to
change for the problem to begin to be solved.

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This can be as straightforward as individuals changing their behavior from smoking

to not smoking, or as complex as persuading legislators to change laws and policies
(e.g., non-smoking ordinances) in order to change others behavior (smokers dont
smoke in buildings or enclosed spaces used by the public) in order to benefit yet
another group by changing the environment (children are protected from
secondhand smoke in public.)
All, and particularly low-income, children should have the opportunity and the
motivation to eat more healthily and exercise more. Parents may need to change
their childrens and perhaps their own diets, and schools may need to adjust their
lunch programs and exercise schedules. In low-income neighborhoods, there needs
to be greater access to healthy food and more safe places for children to play or
participate in sports, both outdoors and indoors.
4. Analyze the root causes of the problem.
The real cause of a problem may not be immediately apparent. It may be a function
of a social or political system, or may be rooted in a behavior or situation that may at
first glance seem unrelated to it. In order to find the underlying cause, you may have
to use one or more analytical methods, including critical thinking and the But Why?
technique.

Very briefly, the latter consists of stating the problem as you perceive it and asking
But why? The next step is to answer that question as well as you can and then
asking again, But why? By continuing this process until you get an answer that
cant be reduced further, you can often get to the underlying cause of the problem,
which will tell you where to direct your efforts to solve it.
The difference between recognizing a problem and finding its root cause is similar to
the difference between a doctors treating the symptoms of a disease and actually
curing the disease. Once a disease is understood well enough to cure, it is often also
understood well enough to prevent or eliminate. Similarly, once you understand the
root causes of a community problem, you may be able not only to solve it, but to
establish systems or policies that prevent its return.
There are too many children in the community who are overweight or obese. The
problem is particularly serious among low-income families. (But why?)
Because many low-income children dont eat a healthy diet and dont exercise
enough. (But why?)
Because their parents, in many cases, dont have the knowledge of what a healthy
diet consists of, and because, even if they did, they lack access in their
neighborhoods to healthy foods no supermarkets, produce markets, farmers
markets, or restaurants serving healthy food and therefore shop at convenience
stores and eat out at fast food places. Kids dont play outside because its too
dangerous gang activity and drug dealing make the street no place for children.
(But why?)
Parents may never have been exposed to information about healthy food they
simply dont have the knowledge. Market owners view low-income neighborhoods as
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unprofitable and dangerous places to do business. The streets are dangerous

because there are few job opportunities in the community, and young men turn to
making money in any way possible.
By this point, you should have a fair understanding of why kids dont eat healthily or
get enough exercise. As you continue to question, you may begin to think about
advocacy with local officials for incentives to bring supermarkets to low-income
neighborhoods, or for after-school programs that involve physical exercise, or for
parent nutrition education or for anti-gang programsor for all of these and other
efforts besides. Or continued questioning may reveal deeper causes that you feel
your organization can tackle.
5. Identify the restraining and driving forces that affect the problem.
This is called a force field analysis. It means looking at the restraining forces that act
to keep the problem from changing (social structures, cultural traditions, ideology,
politics, lack of knowledge, lack of access to healthy conditions, etc.) and the driving
forces that push it toward change (dissatisfaction with the way things are, public
opinion, policy change, ongoing public education efforts, existing alternatives to
unhealthy or unacceptable activity or conditions, etc.) Consider how you can use
your understanding of these forces in devising solutions to the problem.

Forces restraining change here include:

The desirability and availability of junk food kids like it because it tastes good
(were programmed as a species to like fat, salt, and sugar), and you can get it on
every corner in practically any neighborhood.
The reluctance of supermarket chains to open stores in low-income neighborhoods.
The domination of the streets by gangs and drug dealers.
Some forces driving change might be:
Parents concern about their childrens weight.
Childrens desire to participate in sports or simply to be outdoors.
Media stories about the problem of childhood obesity and its consequences for
children, both now and in their later lives.
A full force field analysis probably would include many more forces in each category.
6. Find any relationships that exist among the problem youre concerned with and
others in the community.
In analyzing root causes, you may have already completed this step. It may be that
other problems stem from the same root cause, and that there are other
organizations with whom you could partner. Understanding the relationships among
community issues can be an important step toward resolving them.

Weve already seen connections to lack of education, unemployment, lack of afterschool programs, and gang violence and crime, among other issues. Other
organizations may be working on one or more of these, and a collaboration might
help both of you to reach your goals.
7. Identify personal factors that may contribute to the problem.

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Whether the problem involves individual behavior or community conditions, each

individual affected by it brings a whole collection of knowledge (some perhaps
accurate, some perhaps not), beliefs, skills, education, background, experience,
culture, and assumptions about the world and others, as well as biological and
genetic traits. Any or all of these might contribute to the problem or to its solutionor
both.
A few examples:
Genetic predisposition for diabetes and other conditions.
Lack of knowledge about healthy nutrition.
Lack of knowledge/ skills for preparing healthy foods.
8. Identify environmental factors that may contribute to the problem.
Just as there are factors relating to individuals that may contribute to or help to solve
the problem youre concerned with, there are also factors within the community
environment that may do the same. These might include the availability or lack of
services, information, and other support; the degree of accessibility and barriers to,
and opportunities for services, information, and other support; the social, financial,
and other costs and benefits of change; and such overarching factors as poverty,
living conditions, official policy, and economic conditions.
Sample environmental factors:
Poverty
Lack of employment and hope for young men in low-income neighborhoods
Lack of availability of healthy food in low-income neighborhoods
General availability at school as well as elsewhere of snack foods high in salt,
sugar, and fat
Constant media bombardment of advertising of unhealthy snacks, drinks, and fast
food
9. Identify targets and agents of change for addressing the problem.
Whom should you focus your efforts on, and who has the power to improve the
situation? Often, these may be the same people. The best solution to a particular
problem may be policy change of some sort, for instance, and the best route to that
may be to mount an advocacy effort aimed at officials who can make it happen.
People who are suffering from lack of skills or services may be the ones who can do
the most to change their situation. In other cases, your targets may be people whose
behavior or circumstances need to change, and you may want to recruit agents of
change to work with you in your effort. The point of this step is to understand where
and how to direct your work most effectively.

Targets of change might include:

Parents of children in low-income neighborhoods (or all parents in the community)
for education purposes
The children themselves
Elementary and middle school teachers
School officials responsible for school food programs
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Executives and Public Relations officers of supermarket chains

Gang members and youth at risk of becoming gang members
A short list of potential agents of change:
Parents of children in low-income neighborhoods (or all parents in the community) as
controllers of their childrens diets
The Superintendent of Schools, School Committee, and school administrators, as
well as those directly responsible for school food programs
Local public officials who could create incentives for markets to move into
underserved neighborhoods
Community Recreation Commissions, school officials, YMCAs, and other entities
that might create safe outdoor and indoor physical activity programs for children
Community hospitals, clinics, and private medical practices
Public relations offices of national or regional fast food restaurant chains
With your analysis complete, you can develop a strategic plan that speaks to the real
causes of the problem and focuses on those targets and/or agents of change that
are most likely to contribute to improving the situation.
GOING BEYOND THE BASICS -- DOES ANALYSIS REALLY WORK?
Try this analysis out with a current problem in your own community setting.
What do you conclude? We hope you'll find some value in analysis. We do know that
when we have tried this method with real problems in our own communities, we have
drawn some additional conclusions of our own, going beyond the basics:
Analyzing community problems can be hard work. It takes real mental effort. We're
not used to sitting down and thinking deeply about a problem. (We're too busy!)
Real community problems are likely to be complex. Economic development may
depend on the global economy, a force you can't have much effect on. You may
have opposition, either from within the community itself, or from powerful forces
trying to protect their own interests.
When you go looking for reasons and underlying causes for significant problems,
you are likely to find more than one. Several different reasons may be influencing the
problem, in different amounts, all at the same time. It may not be an easy task to
untangle all the reasons and their relative strengths, but it may be necessary in order
to reach a solution.
The problem may not only have more than one reason; it may have more than one
solution too. Problems often call for multi-pronged solutions. That is, difficult
problems often must be approached from more than one direction. So in revitalizing
the downtown, you might want to (a) beautify the streets; (b) expand the staff of the
chamber of commerce; (c) run sidewalk sales; (d) look for outside loans; and (e)
recruit new businesses. These are all parts of the solution. Many different types of
actions might be necessary for revitalization.
When analyzing real community problems, the analysis may show multiple reasons
behind the problem. The analysis may not always be easy. The solution may be
more difficult still.

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But that's why problems are problems. Community problems exist precisely because
they often resist clear analysis and solution. They persist despite our efforts. They
can be real challenges.
Yet this doesn't mean we are helpless. Analysis, including the analytic methods we
have described, can take you a long way. With good analysis, some resources, and
enough determination, we believe even the most troublesome problems can be
addressed, and ultimately, solved.
Conducting Focus Groups
WHAT IS A FOCUS GROUP?
A focus group is a small-group discussion guided by a trained leader. It is used to
learn more about opinions on a designated topic, and then to guide future action.
Examples:
A focus group of parents of pre-schoolers meets to discuss child care needs.
Parents share their views on local child care programs, and on what could be done
to improve them.
A focus group of senior citizens meets at the new senior center. What do they think
of the programs being offered? What are their own suggestions and ideas?
An agency wants to open a group home for mentally handicapped adults in a quiet
residential area. It convenes a group of prospective neighbors. What are their
concerns? Can this work?
HOW ARE FOCUS GROUPS DIFFERENT FROM REGULAR "GROUPS"?
A focus group is different in three basic ways:
The main difference is that it is focused. The group has a specific discussion topic.
The group's task is to stay on it, and not wander all over the place.
The group has a trained leader, or facilitator. The leader's job is to keep the group on
course.
The group's composition and the group discussion are carefully planned to create a
nonthreatening environment, in which people are free to talk openly. Members are
actively encouraged to express their own opinions, and also respond to other
members, as well as to questions posed by the leader.
Because focus groups are structured and directed, but also expressive, they can
yield a lot of information in a relatively short time.
WHY ARE FOCUS GROUPS USED?
Focus groups help people learn more about group or community opinions and
needs. In this respect, they are similar to needs assessment surveys.
But needs assessment surveys typically have written, closed-ended, relatively
narrow questions which are quantitatively scored. The person being surveyed often
responds with a numerical rating, rather than with a verbal statement. Such surveys
can be very useful; but they usually can't capture all that a person is thinking or
feeling.
Responses in a focus group, on the other hand, are typically spoken, open-ended,
relatively broad, and qualitative. They have more depth, nuance, and variety.
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Nonverbal communications and group interactions can also be observed. Focus

groups can therefore get closer to what people are really thinking and feeling, even
though their responses may be harder -- or impossible -- to score on a scale.
Which is better? Both of these methods are useful. And both can be used together,
to complement each other. Which should you use in a specific situation? That
depends upon your own needs and purposes, and the resources available to you.
WHEN SHOULD YOU USE A FOCUS GROUP?
When you are considering the introduction of a new program or service.
When your main concern is with depth of opinion, or shading of opinion, rather than
simply with whether people agree or disagree.
When you want to ask questions that can't easily be asked or answered on a written
survey.
When you want to supplement the knowledge you can gain from written surveys.
When you know, or can find someone, who is an experienced and skilled group
leader.
When you have the time, knowledge, and resources to recruit a willing group of
focus group participants.
Try this exercise:

Here are several situations when you might want to know more about community
opinions before taking action. How useful would a focus group be in each case?
A new strain of flu is going around. Half the town seems to be catching it. What
should be done about it?
A wave of break-ins has hit a nearby neighborhood. How can this be stopped?
A new playground is being planned. What features should go into it?
Our viewpoints:
Controlling the flu is not a matter of citizen opinion, but rather of medical facts, and of
public health prevention and treatment. A focus group is probably not helpful here.
Increased police presence may help; but a structured discussion among neighbors
might hit upon other useful solutions. A focus group could be quite worthwhile.
Citizen input is definitely called for here. A focus group could be an ideal way for
finding it out.
A focus group is not for every social situation. But it can be useful in many situations
where action should be guided by public opinion.
THE PROS AND CONS OF GROUPS
Should you collect your opinions from groups, or from individuals? The focus groups
are, of course, groups. Most surveys, though, cover one person at a time.
One advantage of focus groups is depth and complexity of response, as mentioned
before. And group members can often stimulate new thoughts for each other, which
might not have otherwise occurred.
But there are some downsides, too.

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For example, focus groups usually take more time per respondent than individual
surveys -- because the group has to be recruited, and because the group itself takes
time. Some group members might feel hesitant about speaking openly. And the
focus group leader may sometimes need to be paid.
Of course, it's also possible to combine the advantages of both methods, and
interview one person at a time in depth. But this can be time-consuming, and take
more resources than you have on hand.
Consider your own situation. How do these factors trade off? What is the best
solution for you?
HOW DO YOU RUN A FOCUS GROUP?
BEFORE YOU BEGIN
A focus group is a small-group discussion guided by a trained leader. It is used to
learn more about opinions on a designated topic, and then to guide future action.
The group's composition and the group discussion should be carefully planned to
create a nonthreatening environment, so that participants feel free to talk openly and
give honest opinions. Since participants are actively encouraged to not only express
their own opinions, but also respond to other members and questions posed by the
leader, focus groups offer a depth, nuance, and variety to the discussion that would
not be available through surveys. Additionally, because focus groups are structured
and directed, but also expressive, they can yield a lot of information in a relatively
short time. In short, focus groups are a good way to gather in-depth information
about a communitys thoughts and opinions on a topic
Recheck your goals. Ask:
"Why do I want to conduct a focus group?"
"Why am I doing this?"
"What do I hope to learn?"
Consider other methods.
Are you planning to use other methods for learning about opinions as well?
In other words, so far: Think before you start, look before you leap.
If yes, which ones, and why?
If no, is this the single best method to use to find out what you want?
Find a good leader.
This is not a casual matter: Your leader will determine the success of your group.
What kind of leader do you want? Probably someone who:
Take a careful look around. Perhaps you can find the right leader within your own
organization. It's possible you can do the job yourself (but don't overestimate [or
underestimate] your own abilities.) Depending on the situation, you might consider
looking for someone outside your organization, someone that specializes in
facilitating these kinds of groups.

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Has experience facilitating groups

Knows something about the topic
Will relate well to the focus group participants
Will work together with you to give you the outcomes you want
Find a recorder.
A small but important point, often neglected. You want to make sure people's ideas
don't get lost. Someone should be writing down what is said, in the same way as
taking minutes at a meeting. Arrange for this in advance. (Alternatively, you can
tape-record, with the group's permission. This will take more time -- to transcribe the
tape, and interpret the transcription-- but you will have a more complete, accurate,
and permanent record.)
Decide who should be invited.
Ideally, those invited should be a representative sample of those whose opinions you
are concerned about.
Suppose you're concerned about the opinions of public housing tenants. You would
then want to spread your invitations across the different public housing facilities in
your community -- not just the best, or the worst, or the most vocal.
Or suppose you are concerned about the opinions of Main Street shopkeepers. Get
a complete list. Select a representative group, for example by size, type, or whether
they have local or outside ownership. You probably want to hear from all kinds of
businesses; so make sure you do.
You could even pull the names out of a hat. (This approaches a "random sample.")
Or, better yet, if you had time, you could run several different groups, to include more
people, and more different kinds of people.
Decide about incentives.
That is, should you offer an incentive for people to participate? Maybe not. In that
case, why should people come? What's in it for them?
Possibly people will come just because they want to help. Or because they think they
will meet other interesting people, or learn something, or just have fun. Maybe the
novelty of the experience itself will be a motivator. And maybe all these reasons are
true. (Or at least people believe them.)
But maybe those reasons aren't enough, and some other incentive is called for.
Money is one; sometimes focus group members get paid, even a small amount.
(Focus group leaders may get paid, too.) If you can afford this, consider it. If you
can't, then think about other possible incentives: food and drink (more than chips and
soda?); public recognition; something to take home; a later training opportunity.
What will do the job?
Decide on the meeting particulars.

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Specifically:
Pin these down before you start signing people up.
What day?
What place?
What time?
How long?
How many groups?
Prepare your questions.
When you go into the group, go in prepared. Don't wing it. Instead, you should make
up (and write out in advance) a list of topics and questions you want to ask. This
doesn't mean you will recite your questions from your prepared list, one-at-a-time.
Your question list is a guide, rather than an exact script; but have that guide with
you.
Below are some examples of general questions. These apply largely to groups
discussing a current program or service, but they can be adjusted for planned
programs, as well as for groups dealing with other concerns. The precise language
and order of presentation will depend on your topic and group, but some of these
questions may be adapted to your own needs.
"What are some of your thoughts about what's going on now?"
"Would you say you are satisfied with the current situation, with the way things are
going on?"
(If so) "What are you satisfied about? Why is that?" (Or, "What's going well...?")
"Are there things you are dissatisfied with, that you would like to see changed?" (Or,
"What's not going well...?")
(If so) "What are they? Why is that? How should they change? What kinds of things
would you like to see happen?"
"How about this particular aspect (of the topic). What do you think about that?"
Repeat for different aspects of the topic, with variations in style. For example, if the
main focus group topic was "community policing," some key aspects to cover might
be visibility, sensitivity, interaction, respect, etc.
"Some people have said that one way to improve X is to do Y.
Do you agree with this?' (Or, "How do you feel about that?")
"Are there other recommendations that you have, or suggestions you would like to
make?"
"Are there other things you would like to say before we wind up?"
Some "probes", or follow-ups", designed to get more information on a given
question:
"Can you say more about that?"
"Can you give an example?"
"Jane says X. How about others of you. What do you think?"
"How about you, Joe. [Or, "you folks in the corner over there...."] Do you have some
thoughts on this?"
"Does anyone else have some thoughts on that?"
Recruit your members.

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Call them up. Write them a letter. Or find them.

Remember:
Other things equal, personal contact works best.
Stress your benefits. Why should people come?
Double-check.
Review the arrangements. Is everything ready to go?
"Preparation is ___% of success." (We don't know the exact percentage, but we do
know it's high!)
WHEN THE GROUP MEETS
Conduct the group
A common sequence of events for many focus groups goes something like this: (The
leader usually takes responsibility for carrying them out.)

Thank people for coming.

Review the purpose of the group, and the goals of the meeting. Set the stage.
Go over the flow of the meeting -- how it will proceed, and how the members can
contribute. Lay out the ground rules. Encourage open participation.
Set the tone. This is important, because probably few of your members will have
been in a focus group before.
Ask an opening question. This could be a very general question ("What are your
general thoughts about X?"), or something more specific. Both choices are
justifiable; and both types of questions might be asked before the group ends.
Make sure that all opinions on that question get a chance to be heard. How do you
do this?
Some common techniques
Summarize what you think you have heard, and ask if the group agrees
Phrase the same question in a different way
Ask if anyone else has any comments on that question
Ask a follow-up question
Look around the room, and make brief eye contact, especially with those who may
not have spoken
Reminder #1: Be sure to record. If the group is not being tape-recorded, someone
should be writing the key points down.

Reminder #2: Of course, the leader's job is to elicit opinion, and not judge it. All
opinions should be supported. Judgments come later.
Ask your next question -- and proceed with other questions in the same general
manner. The phrasing of the questions, the follow-ups, the ordering of the questions,
and how much time to spend on each one are points that the leader will have to

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decide -- sometimes on the spot. An experienced leader will be able to do this. This
is why you have spent time looking for one!
When all your questions have been asked, and before the group ends, ask if anyone
has any other comments to make. This can be an effective way of gathering other
opinions that have not yet been voiced.
Tell the members about any next steps that will occur, and what they can expect to
happen now.
Don't forget to thank the group for coming!
AFTER THE MEETING

Look at the data

If you have tape-recorded, make a transcript. If not, make a written summary from
the group notes. But in any case, look closely at the information you have collected.
In some cases, you can devise and use a coding system to "score" the data and
count the number of times a particular theme is expressed. Experience helps here.
But whether you do this or not, try to have more than one person review the results
independently. (Because even the best of us have our biases.) Then come together
to compare your interpretations and conclusions.

What patterns emerge?

What are the common themes?
What new questions arise?
What conclusions seem true?
Share results with the group.
They gave you their time. The least you can do is to give them some feedback -- it's
an obligation that you have. This can be done by mail, phone, or email if you'd like.
Sometimes it's even possible to bring the group back for a second session, to review
results, verify their accuracy, and/or explore other themes.

And note: Perhaps members have now become more interested in the issue, and
would like to get more involved. Consider offering them an opportunity to do so. A
focus group, indirectly, can be a recruiting tool.
Use the results.
Of course, this isn't part of the group itself - at least not directly. But collecting useful
information was the reason you wanted to do a focus group in the first place. Now
you've got what you wanted. You have the opportunity, and perhaps also the
responsibility, to put it to use. You can improve the situation that originally motivated
you, and made you think about a focus group at the very beginning.

IN SUMMARY
A focus group is a small-group discussion guided by a trained leader. It is used to
learn more about opinions on a designated topic, and then to guide future action.
The group's composition and the group discussion should be carefully planned to
create a nonthreatening environment, so that participants feel free to talk openly and
give honest opinions. Since participants are actively encouraged to not only express
their own opinions, but also respond to other members and questions posed by the
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leader, focus groups offer a depth, nuance, and variety to the discussion that would
not be available through surveys. Additionally, because focus groups are structured
and directed, but also expressive, they can yield a lot of information in a relatively
short time. In short, focus groups are a good way to gather in-depth information
about a communitys thoughts and opinions on a topic.
Conducting Needs Assessment Surveys
You want to do something. You've got a bunch of people together. And you're just
about ready to go out and act. Then someone comes along and says, "Wait a
minute. Have you done a needs assessment survey?"
A needs assessment survey? Should you ignore that person, or tell him (politely) to
get lost? Or should you listen to what that person has to say, and maybe even follow
his advice?
This section will help you become clearer on what a needs assessment survey is,
and on whether and when you want to do one and then, if you do, what to do next.
WHAT IS A NEEDS ASSESSMENT SURVEY?
Very briefly, it's a way of asking group or community members what they see as the
most important needs of that group or community. The results of the survey then
guide future action. Generally, the needs that are rated most important are the ones
that get addressed.
Depending on your resources (time, money, and people) a needs assessment
survey may take many different forms. It can be as informal as asking around with
people you know in your community: your postal carrier, the people you work with,
the woman at the corner gas station. Or, it could take the form of a professionallywritten survey that is mailed to hundreds of people. In general, however, true needs
assessment surveys have some common characteristics:
They have a pre-set list of questions to be answered
They have a pre-determined sample of the number and types of people to answer
these questions chosen in advance
They are done by personal interview, phone, or by written response (e.g., a mail-in
survey)
The results of the survey are tabulated, summarized, distributed, discussed, and
(last, but not least) used
WHAT IS A NEED?
In most needs assessment surveys, a need means something that specifically
relates to a particular group or community. It's not usually a universal need, such as
the need for food or affection. But it's more than an individual need, as in I need a
new couch for the living room, or I really need a vacation. Those may truly be needs,
but they are not generally the types of needs that are assessed in needs assessment
surveys.
Instead, such a survey usually asks about needs that concern your particular
community or group. This could include hundreds of possibilities, ranging from trash
on the streets to vandalism, or from stores moving out of downtown to ethnic or
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racial conflict. These are examples of needs that might be perceived as a group or
community issue or problem.
Note that some surveys are very broad, and ask about any and all kinds of needs.
Others are narrow, and limit themselves to learning more about one or two. Both
kinds of surveys are common and helpful. Which to choose depends on what you
want to find out.
WHY SHOULD YOU DO A NEEDS ASSESSMENT SURVEY?
TRY OUT THESE REASONS. DO THEY MAKE SENSE FOR YOU?

To learn more about what your group or community needs are. A good survey can
supplement your own sharp-eyed observations and experiences. It can give you
detailed information from a larger and more representative group of people than you
could get from observation alone.
To get a more honest and objective description of needs than people might tell you
publicly.
To become aware of possible needs that you never saw as particularly important or
that you never even knew existed.
To document your needs, as is required in many applications for funding, and as is
almost always helpful in advocating or lobbying for your cause.
To make sure any actions you eventually take or join in are in line with needs that
are expressed by the community.
AND ALSO FOR TWO MORE REASONS, WHICH ARE LESS COMMONLY
UNDERSTOOD:
To get more group and community support for the actions you will soon undertake.
That's because if people have stated a need for a particular course of action, they
are more likely to support it. And, for the same reason....
To get more people actually involved in the subsequent action itself.
You may agree with some or all of these reasons. But you may still have concerns or
objections. That's perfectly fine. Let's get them out on the table and deal with them
as honestly as we can.
OBJECTIONS AND CONCERNS
I already know what the needs in the community are.
Maybe you do. Maybe everyone knows what the community needs are, and there's
no doubt about it. In other words, if the building is burning, put out the fire. You don't
need a needs assessment to tell you that. If your community's crime rate has
doubled, you know you need to do something about crime. And hopefully soon.
Leave your surveys at home.
But a lot of the time, the needs are not quite so clear. You (and everyone else) have
opinions and biases, but does everyone feel the same way? Wouldn't it be worth
checking what other people think, just to clarify whether others share your point of
view? You might or might not revise your opinions a little, but it's worth it to find out.
We're busy people. We want to get going.
Fine...but you wouldn't usually want to get involved in something that most of the
community doesn't really care about. If you do a needs assessment, you will feel
more comfortable knowing that what you want to do meets a real community need.
Otherwise, you might be wasting your time.
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We don't have the time to do a survey.

You probably do have enough time. The actual amount of time you need can vary a
great deal. If you really wanted to do a full-scale scientific survey, you could spend a
year or more collecting, tabulating, and writing up the data. But we're not normally
talking about that kind of time investment. You can collect useful data in hours, or
even less. You can go to a meeting where your key audience is, and ask them a few
questions, either verbally or with a printed questionnaire. All the forms come back to
you in ten minutes. In about ten minutes more, you can get results that will be
helpful. If you have a choice, you may want to survey more people, with different
questions, in different ways. There are many different degrees of
comprehensiveness. But any surveying is almost always better than no surveying at
all. It's likely that whatever time you can afford will be worth it.
Look at it this way: If you care about effective action, do you have the time not to find
out about community needs?
We don't know how to do it.
It's not that hard. Just about anybody can write useful survey questions, with a little
bit of guidance. You don't have to be an expert. The survey doesn't have to be
perfect. And there may already be an existing survey that you can borrow from, or
simply repeat.
In any case, others can help you. You can get professional advice (from a local
university, for example). And you can test out the survey on a sample group, to work
out the kinks (which are almost always present, even in surveys designed by
experts).
People are already surveyed to death. They'll resent you for asking them yet again.
More often, the opposite is true. In fact, most people are rarely asked about what
they think about community needs or projects. Usually, these projects seem to get
going, or not get going, independent of collective opinion in the community.
When was the last time a group asked your opinion about community needs, as part
of a formal survey? And if they did ask, did you resent them for it?
It's a myth that most people are assessed to death. The real problems are not
assessing enough and not acting on the basis of assessment results.
Your concerns are valid. But we hope our answers make sense, too. So let's move
on.
WHEN SHOULD YOU DO A NEEDS ASSESSMENT SURVEY?
Some good times to do a survey include:
When your group is just starting out
When there is doubt as to what the most important needs are
When your group members disagree on this point among themselves
When you need to convince outside funders or supporters that you are addressing
the most important community problems (Sometimes, these assessments are
required.)
When the community asks you to do it
When you want to be sure that you will have community support for whatever you
choose to do.
And are there times when you shouldn't?
There are. A needs assessment is not necessary before every action, and
especially:
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When there is absolutely no doubt what the most important needs in the group or
community are
When it is urgent to act right now, without delay
When a recent assessment has already been done, and it is clear that the needs
have not changed
When you feel the community would see an assessment as redundant or wasteful,
and that it would be harmful to your cause
How do these factors bear upon your own situation now? Do you think things would
work better if you had some needs assessment data to guide you?
And please note: There are other ways to learn about community needs. You can do
interviews with community members, or conduct observations, or study community
records. And certainly, you should always check about surveys that might have been
conducted in the past, and use them as best you can. You don't have to reinvent the
wheel.
HOW DO YOU CARRY OUT A NEEDS ASSESSMENT SURVEY?
A STEP BY STEP APPROACH
Here's an important point to consider: Most effective community actions start with
thought that takes place not in the community, but inside the thinker's head. Needs
assessment surveys are no exception. So if you choose to do a survey here are
some internal steps you should take, and decisions you should make, before any
information is collected at all:
Helpful hint: An assessment can be conducted by one person, acting alone, but
generally speaking, a needs assessment survey will be more effective and more
useful if it is designed and carried out by a group. This is especially true when no
one has special experience in this field. In most needs assessment cases, many
heads will usually be better than one. So start by assembling a small group of
interested people to help you answer the questions below, make decisions, and
carry out the job.
Ask yourself: What are our reasons for choosing to do this survey?
Why are we getting involved in this? The answers may be immediately clear to you.
They may also include many of the reasons previously listed. But perhaps your
reasons are not entirely clear. Asking these questions gives you the chance to
become clearer.
Ask yourself: What are our goals in doing this survey?
What do we want to get out of it? How will the results be used? Again, your goals
(and uses) may be very apparent; they may also relate to your reasons above. But
you ought to be able to state them before you begin.
Ask yourself: Are we ready to conduct this survey?
Are we prepared to do the work that needs to be done, with high-quality effort?
Before you begin, make sure your answer is Yes.
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Decide how much time you have to do the survey, from start to finish.
How much time can you allow? Your answer will depend upon what is already
known; upon the size of your target group; upon the importance involved; and upon
the resources you have at your disposal. (How many people can help? How much
money is available to spend?)
If nothing is known, the community is large, resources are low, and importance is
high, your survey may take considerable time, several months or even more. But if
the reverse is true, you could complete a good survey in a month or less.
These figures are approximations. We would like to be more specific, but there is no
one universal answer to how much time a survey should take. A minimum standard
might be this:
Collect enough reliable information from a representative group so that you are
sufficiently confident in using that information to guide future action.
Apply this standard to your own situation. How much time do you think might be
involved?
Decide how many people are going to be asked.
If you are surveying the needs of a small or even medium-sized group, you can (and
should) include every single person. But if you have a neighborhood of 5,000 people,
or a larger community, you probably will not be able to ask everyone directly.
When the group is larger, you can make your survey available to everyone who
wants to answer it. But a more objective technique, which will usually give you more
reliable information, is to construct a sample -- a pre-determined percentage of the
total group -- and to ask each member of the sample for their input.
Decide what kinds of people will be asked.
For a smaller group, where you are asking everybody, this question will not arise.
But with a larger group, when you are using a sample of the total population, you
may want to be sure that certain parts of that population are included.
For example, are you assessing community childcare needs? You'd then want to be
sure to include parents of young children, and you might also survey or interview that
group separately.
Decide what questions will be asked.
These questions will depend upon the scope of the assessment. If you are asking
about all possible needs in the community, then phrase your questions accordingly,
and allow for a wide range of possible answers. On the other hand, if you are asking
only about certain types of needs -- transportation, or violence prevention, for
example -- then your questions will naturally be geared to them.

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Either way, you have a choice between asking more quantitative, or closed-ended
questions, and more qualitative, or open-ended questions. Closed-ended questions
involve a choice among fixed alternatives -- you might state your degree of
agreement with certain questions, or place your preferences in rank order. Openended questions allow more freedom; they give those answering the chance to say
anything they want, even though the answers may be less precise. In many cases,
your survey can include both types of questions.
Decide who will ask the questions.

If you do interviews, the more people asking, the more ground you can cover.
However, you'll also have to train more interviewers, both in general interviewing
skills and in using a standard procedure, so that results don't vary just because the
interviewers operated differently. If you use written surveys, this question is less
relevant, but those who give out and collect the surveys should be thoroughly and
uniformly instructed.
And remember: If you can, bring together a group to help you design the actual
questions. Your group members will almost always think of good questions and
ideas you wouldn't come up with alone.

Create a draft of the full survey.

Include the instructions; this is an often-neglected part of survey work, but don't
forget it. Your instructions will set the tone for those who will be responding.
Try out the survey on a test group.
The test group should ideally be composed of the same kinds of people who will be
taking the full survey. A test group will let you know if your instructions are clear and
if your questions make sense. Even if your survey is perfectly clear to you, it may not
be clear to them. You need to find this out before the full survey gets dispersed.
Don't bypass this step: your test group is like a trial run, or dress rehearsal, which will
help you get rid of the rough spots before you hit the big time.
Revise the survey on the basis of your test group feedback.
Sometimes this test-and-revision process may need to be repeated more than once.
Administer the survey to the people you have chosen (once you are satisfied that all
necessary revisions have been made).
Tabulate your results.
For closed-ended questions, this can be a matter of simple addition. For open-ended
questions, you can code the results into categories. Get some feedback from others
about what categories to use, because the ones you decide on will shape how you
interpret the data -- the next step.
Interpret your results.
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Interpretation goes beyond simple tabulation. It asks the questions: What is the
meaning of the results? What are the main patterns that occur? What possible
actions do the results point to? It's helpful if a group of people -- perhaps the same
people who carried out the assessment -- review the results and share their own
interpretations. Because the same numbers can mean different things to different
people, it may take a fair amount of discussion here to clarify the most nearly
accurate interpretation of the information you have.
Plan future actions.
Now comes the main payoff of your needs assessment survey, and your main
reason for having done all this work. Bring the results and interpretations to your full
group, and decide what to do next. A good answer may once again take thought and
discussion, but you can now plan and implement future actions with greater
confidence that those actions are based upon the real needs of the people you want
to serve.
There are added benefits here, too.
The actions you take are more likely to be supported by your group or community.
Because they are supported, they are more likely to be successful.
And let's not forget a basic principle of community work -- success attracts resources
to your cause. Directly or indirectly, success can lead to more (and more favorable)
publicity, to more members, to more dollars coming your way, to a variety of
unexpected happy opportunities.
And many of those benefits might be traced back to your assessment. Aren't you
glad you listened to that stranger who asked whether you had done a needs
assessment survey?
Implement your actions.

Which of course is the reason we do these surveys in the first place. The results are
there to be used for action; and your group should have already agreed to use them,
going back to the beginning.
Now you really are ready to act. But this is a topic for another section.
We're not quite through yet, however. Very few aspects of community work are ever
really finished, and conducting a needs assessment survey is no exception.
Repeat your assessment at regular intervals.

Just as it makes sense to see a doctor once a year or so for a checkup, even if
you're young and healthy, it makes sense to revisit community needs as well.
Community needs can change; you want to be sure you know if, when, how, and
why they do. For needs assessment is really an ongoing process just like community
action itself.
COMMUNITY NEEDS OR COMMUNITY ASSETS?
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We've taken some time to talk about community needs, since knowing them is
fundamental for good community development work. But despite their importance,
needs are just part of the picture. The other part, at least as basic, is community
assets -- the skills, interests, capacities, and other resources that can be found in
any community. Those assets ought to be identified, just as thoroughly as needs
Identifying Community Assets and Resources
Many community organizations, not surprisingly, focus on the needs or deficits of the
community. Every community has needs and deficits that ought to be attended to.
But it is also possible to focus on assets and strengths -- emphasizing what the
community does have, not what it doesn't. Those assets and strengths can be used
to meet those same community needs; they can improve community life.
To use a community's assets, we first have to find out what they are. So in this
section, we will focus on identifying community assets and resources. We'll also
show how they can be harnessed to meet community needs and to strengthen the
community as a whole.
WHAT IS A COMMUNITY ASSET?
Our definition is broad. A community asset (or community resource, a very similar
term) is anything that can be used to improve the quality of community life. And this
means:
It can be a person -- The stay-at-home mom or dad who organizes a playgroup. The
church member who starts a discussion group on spirituality. The firefighter who's
willing to risk his life to keep the community safe. These are all community assets.
It can be a physical structure or place -- a school, hospital, church, library, recreation
center, social club. It could be a town landmark or symbol. It might also be an
unused building that could house a community hospice, or a second floor room ideal
for community meetings. Or it might be a public place that already belongs to the
community -- a park, a wetland, or other open space.
It can be a community service that makes life better for some or all community
members - good public transportation, early childhood education center, community
recycling facilities.
It can be a business that provides jobs and supports the local economy.
You and everyone else in the community are potential community assets. Everyone
has some skills or talents, and everyone can provide knowledge about the
community, connections to the people they know, and the kind of support that every
effort needs - making phone calls, stuffing envelopes, giving people information,
moving equipment or supplies - whatever needs doing. This suggests that everyone
in the community can be a force for community improvement if only we knew what
their assets were, and could put them to use.
One student of communities, John McKnight, has noted:
"Every single person has capacities, abilities and gifts. Living a good life depends on
whether those capacities can be used, abilities expressed and gifts given."
WHY SHOULD YOU IDENTIFY COMMUNITY ASSETS?
They can be used as a foundation for community improvement.
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External resources (e.g., federal and state money) or grants may not be available.
Therefore, the resources for change must come from within each community.
Identifying and mobilizing community assets enables community residents to gain
control over their lives. People can become active shapers of their own destinies,
instead of passive clients receiving services from a variety of agencies.
Improvement efforts are more effective, and longer-lasting, when community
members dedicate their time and talents to changes they desire.
You can't fully understand the community without identifying its assets. Knowing the
community's strengths makes it easier to understand what kinds of programs or
initiatives might be possible to address the community's needs.
When efforts are planned on the strengths of the community, people are likely to feel
more positive about them, and to believe they can succeed. It's a lot easier to gain
community support for an effort that emphasizes the positive - "We have the
resources within our community to deal with this, and we can do it!" - than one that
stresses how large a problem is and how difficult it is to solve.
WHO SHOULD IDENTIFY COMMUNITY ASSETS?
Community members of all stripes and from all sectors should be involved in
identifying assets. One reason here is the commitment to participatory process that
you'll find in most Community Tool Box sections. An even more important one,
however, is that community members from a broad range of groups and populations
are far more likely to identify assets that may not be apparent to everyone. The
community's perception of what constitutes an asset or a resource is at least as
legitimate as the "standard" list of institutions and people with specific skills.
A number of garbage-strewn, overgrown empty lots in a neighborhood can be seen
as an eyesore and a neighborhood shame. But those lots can also be seen as open
space that can be turned into playgrounds, pocket parks, and farmers' markets with
volunteer labor that in itself provides a neighborhood community-building
opportunity. Community perception is crucial, because seeing something as an asset
can make it possible to use it as one.
WHEN SHOULD WE IDENTIFY COMMUNITY ASSETS?
EVERY DAY. BUT HERE ARE SOME SITUATIONS WHEN IT'S ESPECIALLY
DESIRABLE TO DO SO:
When you are conducting a community assessment and need to find assets to
mobilize to address community needs.
When the community includes talented and experienced citizens whose skills are
valuable but underutilized.
When you can't provide traditional services, even if you wanted to, and are looking
for other ways to build up the community.
When you want to encourage residents to take pride in and responsibility for local
concerns and improvements.
When you want to strengthen existing relationships and build new ones that will
promote successful community development in the future.
HOW DO YOU IDENTIFY COMMUNITY ASSETS?
The techniques for identifying community assets aren't very hard. You don't need a
lot of special training or expertise to do the job well.

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Before you begin, though, you do need to answer some important questions. You
can do this yourself, in the privacy of your own home. But we recommend strongly
do so before you start. Here they are:
What is the size of the community you're concerned with?
An entire county? Town? Neighborhood? Housing development?
The bigger the community, the more work is involved - and you might need and
probably different study methods for a large community than for a small one.
What people are available to do the work?
An individual? A small group of people? A larger organization? If you're starting out
alone, it makes sense to reach out to others, get them excited about the project, and
recruit them to work with you. (Unless your community is very small, identifying all or
most of its assets is a big job for one person).
How much time do you have for the task or how much time can you allow?
Tonight? A week? A month? As much time as it takes?
The more time you have, the more assets you will be able to uncover.
What financial resources, if any, can you count on to support the work?
If available, resources for copying or printing and to support human resources (time)
can be helpful.
What do you want to do with the results?
Will they be posted in an online directory? Contacted about an opportunity to take
action? If so, what action, and how?
WHAT COMES NEXT?
There are different approaches to identifying community assets. Each can be valid
and useful. Which approach is right for you? The answer will depend in large part on
your answers to the starting questions above. So, once again, answer them before
you start.
But below are two basic approaches you could use in your own community. They
complement each other. One of them focuses on the assets of groups -- specifically,
associations, organizations, and institutions. The other focuses on individual people.
IDENTIFYING THE ASSETS OF GROUPS
The central task here is to take an inventory of all the groups (associations,
organizations, and institutions) that exist in your community. You want to make a list.

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But how do you figure out what goes on the list in the first place? Some suggestions
follow:
Start the list with what you know. Write down anything that comes to mind. You can
always correct your list later.
You can do this work by yourself; but it might be more useful and fun to work with
others. Are there other people who could join you and make this a group project?
This is a great project for students or interns.
USE OTHER SOURCES OF INFORMATION TO ADD TO YOUR LIST.
These can include:
United Way's 211 Information and Referral System contains information on non-profit
organizations for many communities.
Community websites. Many cities and towns have their own websites, as do other
community agencies. These can not only give you information about community
resources, but also give you the names of people you can contact who might know a
great deal more.
The yellow pages
Town directories, published for your community alone.
Lists of businesses, probably available from the chamber of commerce.
Lists of organizations and institutions that are not generally published. For example,
your local newspaper may have its own unpublished list that it could make available
to you.
Bulletin boards. Physical or virtual bulletin boards, and community-calendar type
listings.
Your friends and colleagues. They may know about other lists available. And even if
they don't, they may know of groups, organizations, and community assets that are
not on anybody else's lists.
Refine and revise your list.
You can also break your list down in several different ways: alphabetically,
geographically, by function, etc.
You now have an inventory of groups and group assets in your community -- the
associations, organizations, and institutions that are a fundamental part of
community life and that can be used for community improvement. That's an
important step.
But what do you do now?
It's possible to put these assets on a map. For more information on how to do this,
see the heading on Mapping Community Assets, coming up.
It's now desirable to think about how your list (or map) of assets could be used. See
the heading on Using Community Assets, toward the end of this section.
IDENTIFYING THE ASSETS OF INDIVIDUALS

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Compiling a list of key groups is one approach for identifying community assets.
Another approach is to compile the assets of individuals. This can be challenging,
because:
There are many more people than groups. To survey large numbers of people will
take a lot of time.
We often don't know people's assets unless we ask them. Their abilities and talents
are often unknown. When listing organizations, you often immediately know what
that group is about. But we probably won't know what individuals' talents and skills
are until we ask them. That takes more time.
For both these reasons, identifying individual assets often takes place over a smaller
community area such as a neighborhood.
But many of the above suggestions still apply. Here's how identifying individual
community assets could be done in practice:
Answer the 5 "starting questions" previously given.
This step is the same as for studying the assets of groups.
Decide on the geographic area you want to cover.
Do you want to focus on a specific neighborhood or community? Or do you want a
broad sampling of the community? Keep in mind the time and resources you have
available as you make your decision.
Decide on how many people you are going to ask within that area.
Everyone? A certain fixed percentage? As many as you can find? Resolve this
question in advance.
Draft some questions you want to ask that will get you the information you need.
Are you interested in skills, ("I can play the piano"), or interests ("I'd love to learn")?
If it is skills, what kind of skills -- academic, artistic, athletic, interpersonal, manual,
office, organizing, parenting, vocational...? Human beings have many talents, and
you probably want to narrow down your search, at least a little.
If interests, what kind as well? These too come in many and varied types.
Keep in mind:

Why am I collecting this information?

What do I want to use it for?
Design a method by which these questions can be asked.
For example:
Will you mail out a survey?
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Will you (more simply) have a survey available to pick up?

Will you go door to door?
Will you call people on the phone?
Will you have scheduled interviews?
Will you meet people in groups?
Each method has its pros and cons.
Try out your questions on a sample group.
Based on their answers and their suggestions, you will probably want to make
revisions. That's a good idea, and a natural part of the process. Professional
surveyors do the same thing, many times over.
Collect your data.
You've now got a territory to cover, some good questions that meet your needs, and
a method for getting the answers. Good work. Now it's time to put your plan into
practice and collect your data.
An added bonus: When you ask people about their talents and abilities, that can also
help encourage people to share them with others. So your survey may not only be
identifying assets, but also promoting their use.
MAPPING COMMUNITY ASSETS
Once you have collected asset information, it's often especially helpful to put it on a
map. Maps are good visual aids: seeing the data right in front of you often increases
your insight and understanding. There are several ways to go about this:
One mapping method is to find a large street map of your community, with few other
markings. (Your local Planning Department may help here, or you can probably print
one out from Google Maps or some other similar site.) Then just mark with a dot, tag,
or push-pin (maybe color-coded by type) the geographic location of the groups and
organizations you have found. The patterns that emerge may surprise you. You may
see, for example, that certain locations have different numbers or types of
associations. Those areas where few associations exist may be good targets for
community development later on.
This type of mapping can also be done by computer. Software programs are
available to help you do this. These programs are more flexible and sophisticated
than paper-and-pushpin mapping, for with them you can create "overlays," visually
placing one category of map over another, and changing these visual patterns with
the push of a button.
It's also possible to diagram your resources on a non-literal map, but one which can
more clearly show the linkages among different categories of assets.
There are a number of ways of making a non-literal map. One common one is to
start with an inner circle that lists physical spaces - buildings, parks, lakes, plazas that can be used by the community or provide community services and functions.
The next circle out lists community institutions - hospitals, schools and universities,
libraries, etc. A circle around that second circle might include organizations
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connected to those institutions or doing related work. (An adult literacy program
might be formally or informally tied to educational institutions, to the library, or to
major employers, for example.) The next circle out might list services, the next
informal groups, and the last individuals (either specific people or the types of skills
and interests you are fairly sure youll find in the community.) Lines might be drawn
between these assets to show how theyre connected, or to show how theyre
connected to the group or individuals making the map.
Other non-literal map methods might involve pictures, a photographic record, even
small models of buildings and public spaces. The method really doesnt matter as
much as the goal of plotting the communitys assets in a way that makes it clear how
they might interconnect, and how they can be combined to meet needs or enhance
community life.
USING THE COMMUNITY ASSETS YOU HAVE IDENTIFIED
Whether or not you map your assets, the next and most important step is to make
sure the assets you have identified get used. There is value just in expanding your
own personal awareness of what exists in your community, but by sharing your
results, you can also expand the awareness of others.
The real value and payoff of identifying assets is in actions that will improve your
community. You want to put your assets to work for you. If you have personal assets,
such as savings, you probably don't want to hide them under a mattress. The same
applies to the assets in your community. How can we maximize their return?
We'll itemize just a few possibilities below. Think about which might fit best for you,
and what your own next steps might be:
Community assets can be the basis for asset-based planning. Planning for
community development and interventions can be based on what the community has
to work with, and can include strengthening current assets and developing new ones
as well as addressing problems. (John McKnight and John "Jody" Kretzmann, known
as the founders of the asset-based planning movement, are also the founders and
co-Directors of the Asset-Based Community Development Institute at Northwestern
University, one of the Chicago area's community assets.)
You can publish the assets identified - on a town or separate website, in a
community newsletter, in a community service section in the local newspaper, to
name just three possibilities - and make them available to all community members.
In doing so, you will stimulate public asset knowledge and use.
You can target a particular neighborhood or other area for development, on the basis
of the asset patterns you have found.
You can use your knowledge of assets to tackle a new community project -- because
now you may have more resources to work on that project than you originally
thought.
You can find new ways to bring groups and organizations together, to learn about
each other's assets -- and perhaps to work collaboratively on projects such as the
one above.
You can publicize these assets, and attract new businesses and other opportunities
to your community. In both this example and the ones just above, you are using
existing assets to create new ones. (This is what makes community work exciting!)

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You can create a school curriculum to teach local students about these assets, thus
enriching their knowledge of the community and building community pride.
You can consider creating a "community coordinator," (or some other title), someone
who would deal with assets every day. The coordinator's new job would be to find
the right assets in the community to respond to any request or community concern.
Would this position pay for itself?
You (or the new coordinator) can keep records how assets are used in the
community, and use those records to generate ideas for improving asset exchange.
You can set up structured programs for asset exchange, which can range from
individual skill swaps to institutional cost-sharing.
Community assets keep getting reviewed, perhaps on a regular basis. New assets
are always coming on the scene; it's good to keep up to date on them. By so doing,
the whole asset-identification process can become a regular part of community life.
Community assets should be reviewed on a regular basis. Asset identification should
be a regular part of community life, so that community assets can be taken
advantage of when they're needed.
Developing Baseline Measures of Behavior
So you've set out to identify the problems that exist in your community and you've
started collecting information about a particular problem. How will you get started
attacking the problem unless you first have some idea of its extent and intensity?
Once the intervention is in place, how will you know how effective it is unless you
know how bad the problem was before it started? This is where baseline measures
come in to play.
WHAT IS A BASELINE?
To make a change in your community, one of the first things you'll need to do is
figure out how much the different factors and trends you're examining are happening
in the first place. Try to find out how prevalent any problems and positive tendencies
are, how often things happen, the duration and intensity of most incidents, etc. The
things you keep track of in order to obtain this sort of information are called baseline
measures. In other words, the baseline is the standard against which you will
measure all subsequent changes implemented by your program. We call them
baselines because they're usually shown as lines in graph form to easily show
changes over time.
Here's how baseline measures work. Suppose you've observed a high rate of
teenage pregnancy in your community, and your organization decides to do
something about it. So you gather statistics over a one-year period about the number
of reported teen pregnancies, and then you measure again, comparing the new
figure against your baseline. Depending on whether the numbers have gone up,
gone down, or stayed about the same, you'll know whether or not your intervention is
working.
Let's look at some other examples of baseline measures from everyday life.
Examples: Baseline measures in everyday life
A mother hears her baby crying. She knows from past experience how and when her
baby usually cries -- that's her baseline. Because of that, she can tell this time
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around whether the baby is crying just because he's fussy, or whether there might be
something to worry about.
Rafael gets up in the morning and doesn't feel well. He makes that judgment based
on knowing how he usually feels when he gets up. That usual feeling, based on past
experiences, is his baseline. He uses it to help decide whether he should get up and
go to work, or call in sick and get some rest.
Your friend Marisol tells you you're looking good. She knows how you usually look-that's a baseline for her. If you're looking particularly rested, or tanned, or
fashionable, or bright-eyed this morning, Marisol notices and comments.
All of these simple everyday examples involve baselines. Sometimes people may
call them other names: reference points, adaptation levels, anchors, or norms, for
example. But whatever we call them, we all have them and we all use them. In a
way, they are essential for all of us in making judgments about people and things.
Without baselines, it would be much harder to navigate our way through the world.
Most everyday baselines are casual and informal. We may not even notice them; we
certainly don't measure them. In making decisions about community actions, and
about public policies in general, however, we sometimes take baselines a lot more
seriously. For example, every month, the Consumer Price Index is released by the
Bureau of Labor Statistics. The numerical value of that index, which tells us whether
the cost of living is going up or down, relies on a baseline. Likewise, many other
indices, including stock indices (e.g., the Dow Jones), local quality of life indicators,
et cetera, rely on baseline measures.
Interpretations against a baseline are the way most policy decisions get made. If a
new law has raised the penalties for drunk driving, has drunk driving decreased?
What kinds of activities will draw visitors to local parks, based on data we already
have on park use? Good decisions in these cases and countless examples more will
depend on good collection and utilization of baseline data. Comparison to a baseline
is the standard against which policy success is judged.
Experts generally consider determining baseline measures of behavior to be the first
phase in any sort of behavior modification program, followed by implementation of
the program and finally a follow-up phase in which the results are measured and
analyzed.
WHY USE BASELINE MEASURES?
BASELINE MEASURES CAN TELL YOU WHETHER YOUR EFFORTS ARE
WORKING.
To plan a truly effective program, you have to know how much of an effect your
efforts are having. You need to have an idea of the level of the problem without your
efforts being a factor to know whether you're really making a difference at all.
Recording baseline measures, which you can then compare with whatever the
numbers are after your intervention has started, will help you figure that out.
A baseline can help you make sense about something that might be too massive and
complicated to understand otherwise.

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A question like How well are our schools working? might be overwhelming to try to
answer. However, keeping track of baselines, such as standardized test scores or
high school graduation rates, can help you better understand the bigger picture.
A baseline can help you decide whether this is a good time to start an intervention or
whether a particular intervention is appropriate.
Say you're working to decrease fatal car accidents in your county. One of the ways
you're thinking about doing this is to start a program to encourage seat belt use.
Getting some idea of how many people in your county are consistently using their
seat belts will help you decide whether you should spend any time and resources on
such a project. The rate of seat belt use will be your baseline measure. If 98% of
local citizens are already using their seat belts most of the time, you may want to
explore other possible interventions.
Baseline measures can sometimes tell you if an intervention isn't necessary at all.
For example, community leaders may be crying out about an increase in gangrelated activities among youth and demanding programs to discourage it, but a good,
accurate baseline measure of juvenile delinquency rates could show you that there
really isn't a problem at all.
Baseline measures can help you tell if you're using methods that aren't working.
If there is no change in the behavior compared to the baseline, you can stop wasting
your time with an ineffective method.
For example, let's say you're working to increase the numbers of pregnant women in
your city getting prenatal check-ups, and you've decided to use a series of public
service announcements to do this. By comparing the number of women receiving
prenatal check-ups after a given period (such as a month or six weeks) to your
baseline measure the number of women receiving prenatal check-ups just before the
public service announcements started running you can decide whether the numbers
have improved enough to warrant continuing with the public service announcements.
Maybe the numbers are increasing and you'll decide to continue running the public
service announcements, or they may be remaining steady or even decreasing, in
which case you might want to consider trying another method.
Keep in mind, however, that your method or intervention may take some time to
produce the desired effect. Behavior change may not show up immediately. Be sure
to wait a while before concluding that a method or an intervention isn't working. It
could be that it just needs more time.
HOW DO YOU DEVELOP A BASELINE?
PICK AN INDICATOR OR INDICATORS THAT BEST REFLECT THE BEHAVIORS
THAT ARE MOST IMPORTANT TO YOU.
An indicator is anything that is measurable that can be used to identify a change in
trends. An indicator can be the number of alcohol-related car accidents per county
per month throughout your state, the number of people requesting a particular
pamphlet that your organization distributes, or the number of pregnancies among
teenagers in your community in a year.
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The indicator needs to be relevant: it should tell you what you need to know.
Ask yourself these questions:
Does this represent what's most important and pertinent to our community?
Does this show some facet of the long-term well-being of our community?
Is this measure showing what it's supposed to measure and not some by-product?
Can this measure be compared to progress in similar communities on this issue?
Below is an example of a group selecting a baseline measure to use in tracking the
effectiveness in one of its programs.
Example: An anti-gang project for urban high school students
Some indicators that you might want to consider using as your baseline measures
could be rates of:
Students involved in extracurricular activities and church groups
Drug and alcohol use
Students wearing gang colors
Students in counseling programs
Students in conflict resolution programs
After-school and weekend employment
If one of the things your group is planning is an after-school discussion group, then
the first indicator would probably be a good one for you to use as a baseline
measure, because it should give you a good idea of the numbers of students who
might be likely to participate in an after-school activity.
FIND MEASUREMENTS ON THOSE INDICATORS.
Once you've chosen indicators, decide exactly what you're going to measure, and for
how long.

For example, will you measure violent gang-related incidents on school property
during the school year? Will you measure the number of alcohol-related automobile
fatalities over a four-week period? It's possible that someone else has already
measured these things; if so, then you'll just need to verify (and, if necessary,
update) the information. Otherwise, you or someone else will need to go out there
and measure them.
Some things to consider if you're doing the measures yourself:
What characteristics of behavior should be measured? Some of those characteristics
include frequency of behavior, rate of behavior, percentage of occasions the
behavior occurs, and duration of behavior.
Under what conditions should you collect data?
Will you observe continuously or do sampling? If sampling, how often to do so?
Will you collect data for given periods of time, or by intervals? If for given periods of
time, how long will those periods be? If by intervals, how long will the intervals be?
Remember that a good baseline will include information gathered at several points
over a period of time, rather than simply a snapshot of information gathered over,
say, a single weekend.
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HOW DO YOU INTERPRET CHANGES FROM THE BASELINE?

Let's say that you now have data for your baseline measure, as well as data
collected at a handful of different times afterwards. How do you make sense of this
information? First, you should know a bit about the different types of baseline data
patterns.
When you present your baseline measures in graph form, you can learn a lot about
how bad a problem is in your community and whether now is a good time to
introduce any sort of intervention to change it.

Example: Baseline data patterns

Image entitled, Example Baseline data patterns, with the following four graphs
depicting different patterns: Stable; Ascending; Descending; Variable.
STABLE BASELINES
With a stable baseline, there's no evidence of upward or downward trends; things
may fluctuate a little over time but for the most part the data points fall into a pretty
tight range.
A stable baseline is the best basis for starting your project. If rates of whatever it is
you're measuring have stayed pretty stable over a long period of time before you
start, you can be more certain that changes after your intervention begins are really
a result of your efforts.
ASCENDING AND DESCENDING BASELINES
As you might guess from the names, an ascending baseline means that whatever is
being measured has steadily increased over time, and a descending baseline means
it has decreased.
UNSTABLE OR VARIABLE BASELINES
When the data points range all over the place and there are no clear trends, you
have an unstable or variable baseline. With a variable baseline, it's usually not a
good idea to introduce any sort of intervention, because the variations in the baseline
make it too hard to tell whether any changes will be a direct result of the intervention.
When you have a more complex baseline, you need to give some serious
consideration whether the health problem is increasing or decreasing.
Say, for example, that the baseline measure you're graphing stands for the rate of
teen smoking in your county. If the baseline is descending, indicating that fewer and
fewer teens are smoking, then you may want to hold off on conducting any sort of
intervention. However, if the baseline is ascending, showing that teen smoking is on
the rise, then conducting some sort of intervention is probably the right thing to do. It
may not be as easy to tell what the effect of your intervention is as it would be with a
stable baseline, but knowing that the problem is increasing is plenty of reason to take
action!

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HOW DO YOU USE BASELINE DATA TO DEVELOP AN INTERVENTION?

DECIDE WHICH PROBLEM(S) TO ADDRESS
Based on the data, decide what problem(s) should most be addressed by your group
or coalition. What looks like it most needs to be dealt with? Is it something you can
reasonably expect to be able to change?
IDENTIFY PRIMARY TARGETS OF THE INTERVENTION
This means deciding who your intervention will be aimed at. A given group of
people? An institution? Decide how their behavior helps produce and maintain the
problem. Figure out what your research results suggest about relationships between
the problem(s) and the behaviors of the targeted group.
DEVELOP AN ACTION PLAN
Set a behavioral goal for the intervention
Study what knowledge and information you already have about the community and
the problem to decide what procedures to use.
Decide who will be in charge of making the behavior change(s).
Determine how to involve those affected by the problem(s) in the solution.
Study other models of change. What existing methods for dealing with the behaviors
have been successful in similar communities?
Decide how you will go about explaining the intervention to the public.
Get going! With the knowledge you've gained from checking your baseline
measures, you will have a much better chance of making real changes in your
community, and you can use those measures to monitor your success.
IN SUMMARY
Using your baseline measures to figure out how prevalent any problems and positive
tendencies are in your community can be very effective in helping you to monitor
how the effect your efforts are having. By giving you one way to measure the
success of your programs, baseline measures can be enormously helpful to your
efforts.
Conducting Concerns Surveys
It's important to get input from members of the community when you're working on
plans to address health problems or concerns. Actively soliciting the involvement of
community members in the process as it begins and continuing to approach them for
their input will help them become more interested in your work and more likely to
become actively involved. In addition to helping you recruit people for your cause,
soliciting community input can also give you valuable insight into what's really going
on in your community. One effective method for getting this method is to conduct a
concerns survey.
WHAT IS A CONCERNS SURVEY?
Concerns surveys are a form of community assessment in which regular folks are
asked to help identify what they see as the most important issues facing their
community. The results can then be used to help form strategies to deal with the
community's problems and to maintain the things that are working well. You can also
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use the results to rally the community around your cause. It's a great tool for building
consensus in the community.
For example, if you've done a concerns survey and concluded that 85% of the
citizens in your town think there aren't enough services for senior citizens, you can
then go public with this statistic to drum up support, increase community awareness,
and get people involved in planning for increased services for senior citizens. Finally,
the results can help set the agenda for community work that reflects people's
concerns.
Concerns surveys are conducted as part of the concerns report method of
community needs assessment to identify and address community concerns. Using
surveys and public discussions, the unique strengths and needs of a community can
be uncovered.
WHY CONDUCT A CONCERNS SURVEY?
ALONG WITH THE FACT THAT YOU SHOULD ALMOST ALWAYS START OFF
WITH PEOPLE'S CONCERNS, THERE ARE MANY REASONS TO CONSIDER
CONDUCTING A CONCERNS SURVEY IN YOUR COMMUNITY:
It involves community members in the decision-making process early on, which
increases their likelihood of getting actively involved and staying involved. Helping
community members start thinking about health and community development
problems motivates them to get involved. These are their issues!
It asks community members to define what they see as most important. This is the
kind of information that you won't get from outside professionals.
It can be a reliable, systematic, and easy to use way to tap into information about
community.
It helps coalition members and citizens alike realize exactly how they view their
community - the good, the bad, and the ugly.
It provides a useful source of information and direction for initiatives, funders, and
participants.
It keeps your organization's agenda from only reflecting the narrow interests of
service providers. Getting the perspective of the people your group serves is
important.
It's easy to do.
It helps set the agenda for community work.
It builds consensus.
WHO SHOULD YOU SURVEY?
The survey should be given out to as many local people as possible. Using other
survey methods, you might decide to do some sort of statistical sampling (e.g.,
surveying a specific subpopulation of the community, such as leaders, the elderly,
women, blue collar workers, youth, or minority groups), but this usually isn't the way
a concerns survey is used. They are designed to involve as many citizens with
health concerns as possible in the agenda-building process.
If you do decide to use concerns surveys to study a specific sample of the
population, you'll need to give some thought to who is included and who is excluded,
as well as how you can best keep the results from becoming biased.
HOW SHOULD YOU PREPARE YOUR CONCERNS SURVEY?
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THINK ABOUT BUDGET AND RESOURCES

Give some thought before you begin to know how many surveys you'll distribute.
Later in this section, we'll discuss different methods of distributing surveys and what
the rates of return are for different methods.
You'll also need to decide what sort of resources and supplies you'll need to
complete the survey.
For example, if you're doing your survey by mail, you'll need to figure out:
How many envelopes and stamps to buy
How you'll get the mailing addresses of people to send the surveys to
How much it will cost to photocopy the surveys, and
How many people you'll need to stuff envelopes, collect responses, and tabulate the
results
PUT TOGETHER A WORKING GROUP TO DESIGN THE SURVEY
Since this is a community-wide survey, it's important to be sure that you have help
from community members in deciding what issues are most important to ask about.
We suggest you select 8 to 12 representatives from the community. If you're doing a
statewide survey, you might want to assemble a somewhat larger group that
represents different public agencies, geographic areas, and interest groups.
The working group will choose items for the survey. To help ensure that relevant
survey items are selected, working group members should be similar to, and
representative of, the entire community.
For example, if you are interested in general health concerns across a community,
you will want your working group to look something like the community
demographically. On the other hand, if you are only interested in the issues related
to a specific system or organization (e.g., a hospital), you will include a
representative group associated with it (e.g., nurses, doctors, patients, relatives,
etc.). If a high percentage of the community's citizens are African-American or low
income, these groups should be reflected in the working group. Characteristics in
working group members that should line up with the community at large include
health concerns, income, sex, age, educational background, employment, living
conditions, and community leadership.
To recruit working group participants, there are several things you could do. Ask
health advocates, the local health planning council, or people who work for health
and human service agencies if they know anyone who might be interested.
Once you've selected working group members, hold a meeting with them to
brainstorm about items to include in the survey. You may wish to send them the list
of possible categories of questions (see the Tools at the end of this section) in
advance so they can think about it ahead of time. If you do this, however, be sure to
remind them that the final survey should be limited to about 30 items.
INVITE SELECTED DECISION MAKERS TO SUBMIT ADDITIONAL SURVEY
ITEMS
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At this point, you may wish to invite key decision makers in your community to
suggest additional survey items - probably not more than five total. People you may
want to approach to do this include the director of the local health department,
administrators of local social service agencies, elected or appointed city or county
officials interested in health concerns, business leaders interested in health issues,
and representatives of the boards that make decisions about local funds such as
United Way or the Community Development Block Grant Advisory Board.
If you decide to include key decision makers in writing your survey questions, you'll
need to write a letter of invitation to key decision makers, describing the process, its
uses, and the intent of the survey. Tell them that you'll call to invite them to submit
items for the survey.
After they've had some time to receive your letter and read it, call each of these
people and reintroduce yourself and explain how you're affiliated with the program
conducting the survey. Briefly explain the survey process and why the survey is
being done. Ask the decision maker if he or she has any particular topics or
concerns he or she would like to have appear on the survey. If you can, adapt what's
been suggested to what you've already got in the survey so as not to add any new
survey items if at all possible.
Before you hang up, tell the decision maker about your plans for the rest of the
survey process. Let him or her know when you expect it to be completed, and that
you'll send them a copy of the final report when it's finished. Finally, thank the
decision maker for his or her participation (as you would with any potential
participant) and request an opportunity to talk again sometime, if possible.
PREPARE YOUR SURVEY
There should be two types of questions for every selected issue: how important the
issue is to citizens and how much satisfaction citizens have with the community's
efforts on the issue. Items should be written as statements, not questions - for
example, "Drug use is a problem in our schools'" rather than "Do you feel drug use is
a problem in our schools?" You might want to have both questions listed side-byside, as in the example below.
Example: Importance and Satisfaction Questions
Please Circle One: Please
Circle One:
Not
Very Not
Very
Affordable pre-natal care for all pregnant women in Sheboygan County. 0 1 2
3 4 0 1 2 3 4
After-school recreation programs for teens in Sheboygan Public Schools. 0 1 2
3 4 0 1 2 3 4
Free transportation services for all disabled citizens in Sheboygan County. 0 1 2
3 4 0 1 2 3 4

MAKE UP A LIST OF QUESTIONS. THINGS TO ASK ABOUT:

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Specific conditions: For example, air quality

Services: Accessibility and affordability
Skills: For example, whether parents know how to talk to their kids about birth
control, or whether the schools know how to answer questions about HIV and AIDS
Programs: For example, whether health fairs are held in this county.
To make it easier to develop a survey, indices of properly worded items that can be
included in the survey have been developed.
Here are links to several such indices that might give you some ideas as to how
survey items should be worded and what sort of areas to cover:
Basic Needs and Vital Services Index
Community Health Concerns Index
Neighborhood Concerns Index
Concerns Survey - sample template
Now narrow the questions down. Try to keep the survey as short as possible - the
longer and more complicated the survey is, the fewer returns you'll get. The fewer
pages, the better (and cheaper for you to produce as well). As a rule of thumb, you
should have about 30 items, not including demographic information (which should be
about 8 to 10 questions). A 30-item survey takes the average person about 15
minutes to fill out.
Decide what type of demographic information (age, sex, race, number of children,
income, level of education, type of job, etc.) is important to include in your survey.
You may want to put the demographic questions on a separate sheet from the other
part of the survey.
HOW SHOULD YOU DISTRIBUTE YOUR CONCERNS SURVEY?
There are several strategies for distributing surveys. We'll talk about the most
common one - direct mail - in the most detail. Decide on the method you'll use to
distribute the survey. You may want to use a combination of methods.

DIRECT MAIL
Direct mailing your survey to people whose addresses are known is the most
common strategy. Distributing a survey by mail has a high percentage of nonresponders (you're lucky if 30% respond, although it tends to be higher in small
communities), but it's a lot easier than many other methods and takes less staff
hours.
Gather the items you'll need to do a direct mailing:
Mailing labels or a mailing list: If you're mailing the survey to everyone in town, the
city's billing lists for water bills might be a good source of a mailing list. The mailing
list of relevant agencies can also be useful. Good resources might be the public
health department, the Salvation Army, relevant United Way agencies, emergency
medical services, or companies that develop phone books. If you're using an
agency's mailing list, be sure to get permission from the agency's director before
doing the mailing. Give the director a sample survey and a copy of the cover letter to
review and invite him or her to suggest any changes that might further protect his or
her clients.
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Two business envelopes and two stamps for each participant: One set to send the
survey to the participant and one for it to be returned in. The return envelope should
be pre-stamped and pre-addressed.
One copy of the survey, demographics sheet, and cover letter for each participant.
Complete the cover letter. A sample cover letter you may want to use as a guide
appears with the other examples at the end of this section.
Make enough copies of the survey, demographic sheet, and cover letter for each
survey recipient.
Prepare the two business-size envelopes for each person. One should have the
agency's return address and a mailing label for the survey participant; the other
should have the agency's address listed as both the mailing and the return
addresses. Stamp both envelopes.
Stuff the envelopes that have the recipient's mailing address with all the survey
materials - the survey, the demographic sheet, the cover letter, and the return
envelope.
If you want to track the surveys in any way - trying to see what sort of answers you
get from different parts of town, for example - you may wish to code the envelopes in
some way. One way you can do this is by numbering each return envelope and
keeping a copy of the mailing list with matching numbers - for example, if John Doe
at 123 Main Street is assigned number 007, then the number 007 will also be on his
return envelope. Another option is to color code the surveys by zip code.
Mail them out. Try to get a bulk rate to reduce costs.
OTHER METHODS OF DISTRIBUTING OR COLLECTING SURVEYS
Other methods can cost less or may be used for follow-up if you have a poor return
rate on a direct mailing.
Drop boxes: Agencies that have relatively frequent contact with clients - such as
once a month - you may find that setting up a drop box in their offices are a good
source point for distributing surveys. For agencies that have an incomplete mailing
list, this may be a good option. It can also be a good way to contact clients of other
agencies who have little contact with your group or agency. However, if you use this
method of distributing surveys, consider using it along with at least one other method
of distribution, because this only surveys those who are already using your services.
Media distribution: For general distribution, publishing a survey in the local paper or
attaching a survey to your newsletter might be a good idea.
Convenience sampling: Taking surveys in a public place - setting up a booth or table
in the parking lot at a local discount store, on the sidewalk in the shopping district,
etc. - provides an opportunity to get some exposure for your organization.
Group administration: If your group or organization tends to have large group
gatherings, proving surveys to everyone who attends a particular gathering might be
a really efficient way for you to gather information.
Examples of gatherings where you might want to distribute your concerns survey
would include: immunization clinics, commodity food distribution sites, health fairs,
and meal sites for older adults. If you want to give your survey out at some sort of
group meeting or gathering, get the group's director to put you on the agenda. At the
meeting, introduce yourself and explain the purpose of the survey. Then distribute
the survey, answer any questions, and collect completed surveys. Don't forget to
thank everyone for their participation.

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Door-to-door canvassing: For those who have difficulty reading or using printed
materials and can't come to the agency, going to their homes might be the most
appropriate thing for you to do in order to get them to respond to your concerns
survey. If your organization is in an area with a high percentage of clients who can't
read, for example, door-to-door canvassing would be a good way to make sure those
clients' concerns are included in your survey.
Using multiple methods of distribution: You can combine or adapt two or more of the
above methods to suit your own purposes, if you'd like. If more than one method is
used, each survey should include instructions that each citizen should complete only
one survey.
For example, if you're having people complete surveys at a booth at the county fair,
they should not complete the survey if they've already completed one that came in
the mail to their homes.
COLLECTING THE SURVEYS
Soon after the surveys are distributed, some of them will begin to arrive at the
sponsoring organization.
Here are the steps you should take to collect your surveys:
Gather incoming surveys collected at participating sites. A representative of your
organization should collect incoming surveys as they arrive in the mail or your drop
box. He or she should also call or stop by collection sites from time to time to pick up
any surveys that have been dropped off.
Review returned surveys. Check for incomplete surveys. If any surveys were
returned for having an improper mailing address, try to find the correct address and
mail it out again, if you can.
Secure a larger return, if necessary. If less than 10% of the distributed surveys are
returned, try one or more of the following strategies:
Send a reminder to all or a random sample of people on the mailing list.
Contact the local newspaper and request an article on the survey, submit a letter to
the editor about it, or publish an announcement about the survey. This is something
you should do before you send out the survey.
Contact radio stations to run announcements inviting people to take part in the
survey.
Invite citizens to participate in the survey through announcements in local agency
newsletters, consumer group meetings, and public community events.
Post announcements of the survey in public places, like the library or grocery stores.
HOW DO YOU ANALYZE AND COMPILE THE RESULTS OF YOUR CONCERNS
SURVEY?
Now that you've gathered the completed surveys, you'll need to figure out the results
by averaging the importance and satisfaction reported for each item or issue.

Let's say this question from the last example appeared on your concerns survey:
How important is this issue to you?
How satisfied are you with the
community's efforts in this area?
Not
Very Not
Very
Affordable pre-natal care for all pregnant women in Sheboygan County. 0
1
2
3
4 0
1
2
3
4

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15 people answered this question. Here are the number of responses for each rating
(e.g., in the first column, 1 person answered with a rating of 0, 3 people answered
with a rating of 1, and so on)
1
3
2
5
4
2
6
4
2
1
Now, multiply the number of people who responded with each rating by the value of
that rating (e.g., in the first column, 1 person answered 0, so that would be 1 x 0; 3
people answered 1, so that would be 3 x 1, and so on)
1x0=0
3x1=3
2x2=4
5 x 3 = 15
4 x 4 = 16
2x0=0
6x1=6
4x2=8
2x3=6
1x4=4
Add these figures up for each question. As you see, the numbers are 38 and 24. The
overall possible score for each question is 60 (15 people responding x the total
highest possible value of each question, which is 4). 0 + 3 + 4 + 15 + 16 = 38 (out
of 60 possible)
0 + 6 + 8 + 6 + 4 = 24
(out of 60 possible)
Divide the total for each question by the total possible for each question, and this
gives you your percentages.
38/60 = .63333, or 63.3 % 24/60 = .4, or 40%

What do these numbers mean? Well, you will need to look at the overall survey to
see how each percentage rates relative to the others. Generally, you'll want to rank
items according to the ones that have the highest percentages of importance. Then,
for each of those, look at how high the percentage of satisfaction with community
efforts in those areas. Strengths are items that have high ratings in both importance
and satisfaction, while problems are rated high in importance but low in terms of
satisfaction.
The next step is to write up a brief report - one page is sufficient - summarizing the
strengths and problems as well as an overall approval rating for the community
based on the average satisfaction score for all items (an example of this sort of
report appears with the other examples at the end of this section). In your report,
identify five to ten strengths and five to ten problems in terms of health risks,
services, and public perceptions of health issues in your community. Look for any
patterns - do people in a particular part of town feel more negatively about health
services than those in other areas?
ASK YOURSELF SOME OF THESE QUESTIONS IN WRITING THIS REPORT:
Does your community have its minimum health services needs met?
Do your available health resources match your community's health problems?
Are there deficits in your community's health resources?
How can your community's existing services be better utilized to improve and
promote the health of community members?
What are the most important or pressing concerns? How should they be prioritized?
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Share the above information with your staff. Get their feedback and discuss whether
any further surveying needs to be done before completing.
WHAT DO YOU DO NEXT WITH THE RESULTS OF YOUR CONCERNS
SURVEY?
Doing a concerns survey is just one part of the concerns report method for
community needs assessment. To fully use the concerns report method, you will also
conduct a public meeting to come up with some plan of action for addressing
strengths and problems, and then you will write a concerns report.

CONDUCT A PUBLIC MEETING

Set up a public meeting and invite members of the community to discuss the results
of the concerns survey and suggest alternatives for preserving the main strengths
and addressing the main problems that were identified.
At the meeting, review main strengths and problems that you compiled from the
concerns survey. Compare the demographics of the people at the meeting to the
demographics of the community as a whole to see who didn't respond - you may
decide you need to distribute more surveys. Being sure to take detailed notes, lead a
separate discussion on the details of each important issue, focusing the discussion
on these aspects:
The dimensions of the issue
Potential barriers to solving the problem or issue
The alternatives that might be used to enhance the strengths or alleviate the
problems
Available resources
After the meeting, write up a one-page narrative for each issue discussed by the
group. This narrative will make up part of the final concerns report.
PREPARE A CONCERNS REPORT
A concerns report should be made up of a set of citizen concerns that can be used to
set an agenda or guide action plans.
Your concerns report should consist of the following:
Executive memo: one or two pages summarizing main strengths, problems, and
ideas for improvements from the perspective of citizens with health concerns.
Brief report: one-page data report summarizing the importance and satisfaction
ratings for the main strengths and problems and including a graphic display of the
overall approval rating of the community. This will basically be the same as the
preliminary report that you made up upon finishing the surveys.
Data table: a table displaying the ranking of all items by average satisfaction.
Problem-solving discussion report: Summary in outline form of the discussion that
took place in the public meeting. Each idea or issue that was discussed is
summarized separately.
Demographic data and other displays: Shows who has responded to the survey.
Suggestions on how to use the report in the planning process
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Determining Service Utilization

WHAT IS SERVICE UTILIZATION?
When we talk about service utilization (sometimes also referred to as "rates under
treatment" or "rates under direct service"), we are referring to the extent to which
people are making use of whatever services are already available in the community
or at your organization. There are many related things you may wish to find out -knowledge about services, effectiveness of services, need for services -- but this
section of the Community Tool Box is just about determining the USE of services.
Service utilization is usually determined through surveying citizens, service
providers, or both.
By "service," we mean just about anything your organization provides.
For example, you may wish to determine how many people are attending your
organization's adult literacy classes, or how many families in need are served by
your annual clothing drive, or how many people are using your organization's
domestic violence hotline.
When determining service utilization, you can either restrict your assessment to your
own organization's services or attempt to determine the overall utilization of the
same types of services across the community. For example, if your AIDS outreach
and awareness program is one of three in the community, you can either work with
other organizations to determine overall use, or assess such usage on your own.
WHY IS IT USEFUL TO DETERMINE SERVICE UTILIZATION?
There are several good reasons to determine the extent to which your organization's
services are being used.
Knowing which of your organization's services are and are not being used will help
you decide which services need to be bolstered, which need to be better
communicated to your target audience, and which should probably be dropped
altogether. This will help your organization plan future activities and use its resources
most effectively.
For example, what if you find that no one is coming to your carefully-prepared adult
literacy classes? This is an important (if painful) thing to discover, because it tells
you very clearly that your organization needs to make some changes. Further
investigation may show that your promotional campaign is inappropriate for your
target audience, or that the classes are being held when most of your target
audience is at work, or even that your community's adult-literacy needs are being
met by the organization across town.
On the other hand, you may find that your classes are so popular that they've
become overcrowded, and because of this the quality of the instruction is in danger
of being compromised. You need to expand your services. In either case,
determining the level of use is an important first step for your organization toward
knowing what it needs to do to best serve the community.
Knowing what services are being offered in the community can help your
organization identify needs and gaps community-wide.
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For example, if you run a women's shelter that is considering setting up a domestic
violence hotline, it's probably a good idea to take a look at existing hotlines -- if there
are any -- and their level of use. If there's already a very well-known and frequently
used hotline in existence, it may make the most sense to find another way to use
your organization's resources to combat domestic violence. But if you find that that
hotline is underused by women among your city's large Laotian community -- well,
you may have found your niche! (Of course, you'll first want to determine what
domestic violence resources the Laotian community actually needs.)
People connected with your organization will want to know how it's doing. If your
services are frequently used, it will make your staff feel good to know it, and if the
services aren't used enough, your staff will certainly want to make necessary
changes. Your funders, too, will want to know that their contributions are making a
difference.
SOME ADVANTAGES OF DETERMINING SERVICE UTILIZATION:
Service utilization can be monitored over time to follow any changes or trends.
It can involve other professionals in the community and help develop working
relationships with them.
It's generally inexpensive to do.
Of course, everything has a drawback or two. Give some consideration to
disadvantages when deciding whether you should try to determine service utilization:
WHAT ARE THE DISADVANTAGES OF DETERMINING SERVICE UTILIZATION?
It can be a time-consuming process. Be sure you have enough time and staff to take
this on before you do it.
Some of the records you'll need to access may not be available to you. This lack of
complete data can be frustrating and may result in your having an incomplete picture
of how frequently your services are really used. Records from private doctors and
other service providers (hospitals, clinics, community agencies) are often difficult or
impossible to get. Public agencies are the most likely to share information with you.
HOW DO YOU DETERMINE SERVICE UTILIZATION?
DECIDE WHAT SORT OF SERVICES YOU'RE GOING TO SURVEY.
Your survey will most likely be limited to just your agency, if that's all you're
interested in (e.g., "How many people use our after-school teen program, and how
many need it but don't use it?"). However, you may also want to find out about the
use of a variety of community-wide services. In that case, your service inventory
could cover a wide variety of service organizations.
These could include:

Housing assistance services

Preschool programs and child care resource and referral services
Parenting support services
Primary health care clinics and clinicians
Food and nutrition services
Youth recreation services
Employment and training services
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Adolescent parenting programs

Child abuse prevention programs and child welfare services
Services for special populations, including mental health, mental retardation, and
developmental disability services; health care services for individuals with special
health care needs; and services for the homeless
Domestic violence and sexual assault care centers
Infant and toddler programs, including assessment services for identifying
developmental delays
Crime prevention and neighborhood watch programs
Transportation services
Substance abuse treatment programs
Family support programs and centers
Something you may or may not decide to measure is service coordination -- the
extent to which different agencies and services in your community work with one
another to meet all the needs of your constituents. This isn't necessary if you're just
starting up your agency or organization. Many people make use of more than one
service provider within the community, so it only makes sense for those providers to
try to gain information about how they can best work with each other to serve their
clients or participants.
COMPILE A BASIC INVENTORY OF SERVICES.

If you are assessing service utilization across the community, you'll want to make up
a list of the services that are available in your area and who provides them. Possible
sources to use in compiling this list:
Directories of established organizations and professional services already compiled
by social service agencies, mental health centers, local YWCAs or YMCAs, United
Ways, public libraries, cooperative extension offices, schools, police departments, or
juvenile services agencies.
Surveys of current providers of service and institutions that control community
resources, including schools and public health, human service, and law enforcement
agencies.
Surveys of other community-based organizations likely to be attuned to the current
service array in a community, including community action agencies, YMCAs and
YWCAs, cooperative extension service offices, and churches.
Compilations of specific services produced at the state level, particularly when they
list information on regional services. These may include services available to a
community but not located within a community. For example, a grant-funded
educational outreach program run by the state university may serve several cities,
not just the city in which the university is located.
Telephone directories and yellow pages, which list community organizations and
associations, such as churches, preschool programs, and health providers.
DECIDE WHAT INFORMATION YOU WANT TO GATHER ABOUT THESE
SERVICES.
If you're addressing service utilization in your own organization, list all related
services.

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For example, if you run an English as a second language program, you'll want to list
the number of people who come to your classes, the number of people who sign up
for tutoring, the number of people who borrow your language tapes, and so on.
If you're including other agencies and organizations in your survey, you'll want to
know, of course, what services they provide and how much they're used. In addition
to finding out what services the agency provides and how much those services are
used, an inventory of services might include the following:
Name address, and phone number of the agency or organization
Number of clients seen annually
Days and hours of operation
Number of sites and locations
Proportion of clients served who reside in the community
Eligibility requirements
If you're only assessing service utilization in your own organization, you'll want to
remain aware of all of these items, as they may help you with your analysis.
GATHER DATA ON HOW MUCH THE SERVICES ARE BEING USED.
If you're gathering data on your own organization, this should be easy. You know
how many hot meals your "meals on wheels" program distributes each day. You
know how many homeless people are staying in your shelter each night. You know
how many individuals are coming in each day for confidential HIV counseling. And if
you don't, you should. We strongly recommend keeping careful records of how many
people use your services.
If you're trying to assess service utilization across several organizations in the
community, we recommend doing this with a public questionnaire. This can be done
by direct mail. If your town performs an annual census, you might be able to get
permission to have your questionnaire enclosed with it.
Another method you can try is to survey each agency, either with a paper survey or
by telephone or personal interviews.
ANALYZE YOUR RESULTS.
This may be the most important step of all, because it's here that you'll determine
what your next steps should be. There are a number of barriers that can keep people
from using a service at all, or from using it as effectively as they should be able to.
Restrictions on eligibility. Should you consider loosening restrictions on who receives
your services?
For example, a program that offers free flu shots for people whose income is under a
certain amount a year may leave out people whose incomes are just slightly above
that area but have no health insurance coverage.
Restrictions on availability.
For example, if the local soup kitchen for the homeless is unable to solicit enough
food donations to have enough meals available for those who need them
Location. Is your agency in a place where people will use it?

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For example, if your agency serves lower income youth and your office is located in
an affluent suburb, you will probably have a great deal of trouble reaching your
potential participants or clients.
Hours of operation -- is your office open enough hours for your clients or participants
to reach you?
For example, if you serve a lot of working-class folks, your office should be open
after regular working hours to better accommodate their schedules.
Mode of delivering services can hinder accessibility.
for example, if the local senior services agency doesn't make all correspondence and
newsletters from the be available in large print, that could hinder accessibility.
If you're looking at service utilization across several organizations, you'll want to
consider whether each organization serves a particular niche in the community. This
could be as simple as observing that Organization A is primarily used by people on
the north side of town while Organization B is the organization of choice on the south
side, but it's a good way to identify gaps in service. Also, you'll want to compare the
types of services offered by each organization, and make note of the services'
overall use. For instance, you may be comparing three local crisis pregnancy centers
and find that only one center provides free transportation for the women to their
doctors' offices -- and they're overwhelmed. Knowing this, your organization may
wish to consider adding transportation to the services you provide.

WRITE A REPORT OF YOUR RESULTS.

Things to include in your report:
Demographic information. Give a breakdown of demographic information on the
people who are using your services -- zip codes (maybe), household by age
composition, household size, average number of members per household.
Use of services -- break down by age and household info, if possible.
Use of multiple services -- Try to learn the extent to which agencies share clientele.
Are any groups underserved?
If your report is internal, share it with staff, your Board of Directors, and your funders.
You may even use the results in promoting or marketing your services, or in applying
for new funding.
For example, being able to say something you learned about service utilization, like
"Every day, Compassionate Citizens of Bay County delivers over 800 hot meals to
the homeless," can be used to impress a potential funder.
If your report describes service utilization in several organizations across the
community, share it with other organizations. The organizations can then use the
report to better coordinate services and, if necessary, avoid duplication of services.
IN SUMMARY
No matter what you find out, it's important to assess the level of use of the services
you provide. What you find out could help verify that you're on the right track, or it
could lead your organization in whole new directions. Either way, determining service
utilization is an important way to ensure that you're continuing to serve the people
who need you.
Conducting Interviews
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WHAT IS AN INTERVIEW?
When you're watching the news at night or reading the paper in the morning, you'll
notice that all the stories have a point in common: They all contain interviews. No
matter what subject is being tackled, there'll always be people willing to be
interviewed about it. And that's great, because that way we can get a sample of what
people think and feel about different issues.
Interviews are usually defined as a conversation with a purpose. They can be very
helpful to your organization when you need information about assumptions and
perceptions of activities in your community. They're also great if you're looking for indepth information on a particular topic from an expert. (If what you really need is
numerical data--how much and how many--a written questionnaire may better serve
your purposes.)
Interviewing has been described as an art, rather than a skill or science. In other
cases, it has been described as game in which the interviewee gets some sort of
reward, or simply as a technical skill you can learn. But, no matter how you look at it,
interviewing is a process that can be mastered by practice. This chapter will show
you how.
WHY SHOULD YOU CONDUCT INTERVIEWS?
Using an interview is the best way to have an accurate and thorough communication
of ideas between you and the person from whom you're gathering information. You
have control of the question order, and you can make sure that all the questions will
be answered.
In addition, you may benefit from the spontaneity of the interview process.
Interviewees don't always have the luxury of going away and thinking about their
responses or, even to some degree, censoring their responses. You may find that
interviewees will blurt things out that they would never commit to on paper in a
questionnaire.

WHEN INTERVIEWS ARE NOT THE BEST OPTION:

Interviews are not the only way of gathering information and depending on the case,
they may not even be appropriate or efficient. For example, large-scale phone
interviews can be time-consuming and expensive. Mailed questionnaires may be the
best option in cases where you need information form a large number of people.
Interviews aren't efficient either when all you need is collecting straight numeric data.
Asking your respondents to fill out a form may be more appropriate.
Interviews will not be suitable if respondents will be unwillingly to cooperate. If your
interviewees have something against you or your organization, they will not give you
the answers you want and may even mess up your results. When people don't want
to talk, setting up an interview is a waste of time and resources. You should, then,
look for a less direct way of gathering the information you need.
PROBLEMS WITH INTERVIEWS:

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You must also be well prepared for traps that might arise from interviews. For
example, your interviewee may have a personal agenda and he or she will try to
push the interview in a way to benefit their own interests. The best solution is to
become aware of your interviewee's inclinations before arranging the interview.
Sometimes, the interviewee exercises his or her control even after the interview is
done, asking to change or edit the final copy. That should be a right of the
interviewer only. If the subject you're addressing involves technical information, you
may have the interviewee check the final result for you, just for accuracy.

WHOM SHOULD YOU INTERVIEW?

Your choice of interviewees will, obviously, be influenced by the nature of the
information you need. For example, if you're trying to set up a volunteer program for
your organization, you may want to interview the volunteer coordinator at one or two
other successful agencies for ideas for your program.
On the other hand, if you're taking a look at the community's response to an ad
campaign you've been running, you'll want to identify members of the target
audience to interview. In this case, a focus group can be extremely useful.
If you're reluctant to contact a stranger for an interview, remember that most people
enjoy talking about what they know and are especially eager to share their
knowledge with those who are interested. Demonstrate interest and your chances of
getting good interviews will improve.
HOW SHOULD YOU CONDUCT INTERVIEWS?
Sometimes, being a good interviewer is described as an innate ability or quality
possessed by only some people and not by others. Certainly, interviewing may come
more easily to some people than to others, but anybody can learn the basic
strategies and procedures of interviewing. We're here to show you how.
INTERVIEW STRUCTURE:
First you should decide how structured you want your interview to be. Interviews can
be formally structured, loosely structured, or not structured at all. The style of
interviewing you will adopt will depend on the kind of result you're looking for.
In a highly structured interview, you simply ask subjects to answer a list of questions.
To get a valid result, you should ask all subjects identical questions. In an interview
without a rigid structure, you can create and ask questions appropriate the situations
that arise and to the central purpose of the interview. There's no predetermined list of
questions to ask. Finally, in a semi-structured setting, there is a list of predetermined
questions, but interviewees are allowed to digress.
TYPES OF INTERVIEWS:
Now that you've decided how structured you want the interview to be, it's time to
decide how you want to conduct it. Can you do it through the phone, or do you need
to it face-to-face? Would a focus group be most appropriate? Let's look at each of
these interview types in depth.
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Face-to-face interviews
Face-to-face interviews are a great way to gather information. Whether you decide to
interview face-to-face depends on the amount of time and resources you have
available at your disposal. Some advantages of interviewing in person are:
You have more flexibility. You can probe for more specific answers, repeat
questions, and use discretion as to the particular questions you ask.
You are able to watch nonverbal behavior.
You have control over the physical environment.
You can record spontaneous answers.
You know exactly who is answering.
You can make sure the interview is complete and all questions have been asked.
You can use a more complex questionnaire.
However, if face-to-face interviews prove to be too expensive, too time-consuming,
or too inconvenient to be conducted, you should consider some other way of
interviewing. For example, if the information you're collecting is of a sensitive and
confidential nature, your respondents may prefer the comfort of anonymity, and an
anonymous questionnaire would probably be more appropriate.

Telephone interviews
Telephone interviews are also a good way of getting information.
They're particularly useful when the person you want to speak to lives far away and
setting up a face-to-face interview is impractical. Many of the same advantages and
disadvantages of face-to-face interviewing apply here; the exception being, of
course, that you won't be able to watch nonverbal behavior.
Here are some tips to make your phone interview successful:

Keep phone interviews to no more than about ten minutes--exceptions to this rule
may be made depending on the type of interview you're conducting and on the
arrangements you've made with the interviewee.
If you need your interviewee to refer to any materials, provide them in advance.
Be extra motivating on the phone, because people tend to be less willing to become
engaged in conversation over the phone.
Identify yourself and offer your credentials. Some respondents may be distrustful,
thinking they're being played a prank.
If tape-recording the conversation, ask for authorization to do so.
Write down the information as you hear it; don't trust your memory to write the
information down later.
Speak loud, clear and with pitch variation -- don't make it another boring phone call.
Don't call too early in the morning or too late at night, unless arranged in advance.
Finish the conversation cordially, and thank the interviewee.
With the increasing use of computers as a means of communication, interviews via
e-mail have become popular. E-mail is an inexpensive option for interviewing. The
advantages and drawbacks of e-mail interviews are similar to phone interviews. Emails are far less intrusive than the phone. You are able to contact your interviewee,
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send your questions, and follow up the received answers with a thank-you message.
You may never meet or talk to your respondent.
However, through e-mail your chances for probing are very limited, unless you keep
sending messages back and forth to clarify answers. That's why you need to be very
clear about what you need when you first contact your interviewee. Some people
may also resent the impersonal nature of e-mail interaction, while others may feel
more comfortable having time to think about their answers.
Focus groups
A focus group, led by a trained facilitator, is a particular type of "group interview" that
may be very useful to you. Focus groups consisting of groups of people whose
opinions you would like to know may be somewhat less structured; however, the
input you get is very valuable. Focus groups are perhaps the most flexible tool for
gathering information because you can focus in on getting the opinions of a group of
people while asking open-ended questions that the whole group is free to answer
and discuss. This often sparks debate and conversation, yielding lots of great
information about the group's opinion.
During the focus group, the facilitator is also able to observe the nonverbal
communication of the participants. Although the sample size is generally smaller
than some other forms of information gathering, the free exchange of opinions
brought on by the group interaction is an invaluable tool.
PREPARE FOR THE INTERVIEW
So you've chosen your interviewees, set up the interview, and started to think about
interview questions. You're ready to roll, right?
Not quite. First, you need to make sure you have as much information as possible
about your interview topic. You don't need to be an expert -- after all, that's why
you're interviewing people! -- but you do want to be fairly knowledgeable. Having a
solid understanding of the topic at hand will make you feel more comfortable as an
interviewer, enhance the quality of the questions you ask, and make your
interviewee more comfortable as well.
In addition, it's important to understand your interviewee's culture and background
before you conduct your interview. This understanding will be reflected on the way
you phrase your questions, your choice of words, your ice-breakers, the way you'll
dress, which the material you'll avoid so that the questions remain inoffensive to your
interviewee.

CONDUCT THE INTERVIEW

Now that you're prepared, it's time to conduct the interview. Whether calling or
meeting someone, be sure to be on time -- your interviewee is doing you a favor, and
you don't want to keep him or her waiting.

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When interviewing someone, start with some small talk to build rapport. Don't just
plunge into your questions -- make your interviewee as comfortable as possible.
Points to remember:
Practice -- prepare a list of interview questions in advance. Rehearse, try lines,
mock-interview friends. Memorize your questions. Plan ahead the location and ways
to make the ambient more comfortable.
Small-talk -- never begin an interview cold. Try to put your interviewee at ease and
establish rapport.
Be natural -- even if you rehearsed your interview time and time again and have all
your questions memorized, make it sound and feel like you're coming up with them
right there.
Look sharp -- dress appropriately to the ambient you're in and to the kind of person
you're interviewing. Generally you're safe with business attire, but adapt to your
audience. Arrive on time if you are conducting the interview in person.
Listen -- present yourself aware and interested. If your interviewee says something
funny, smile. If it's something sad, look sad. React to what you hear.
Keep your goals in mind -- remember that what you want is to obtain information.
Keep the interview on track, don't digress too much. Keep the conversation focused
on your questions. Be considerate of your interviewee's limited time.
Don't take "yes/no" answers -- monosyllabic answers don't offer much information.
Ask for an elaboration, probe, ask why. Silence may also yield information. Ask the
interviewee to clarify anything you do not understand
Respect -- make interviewees feel like their answers are very important to you (they
are supposed to be!) and be respectful for the time they're donating to help you.
QUESTIONS:
Questions are such a fundamental part of an interview that's worth taking a minute to
look at the subject in depth. Questions can relate to the central focus of your
interview, with to-the-point, specific answers; they can be used to check the reliability
of other answers; they can be used just to create a comfortable relationship between
you and the interviewee; and they can probe for more complete answers.
It's very important that you ask your questions in a way to motivate the interviewee to
answer as completely and honestly as possible. Avoid inflammatory questions ("Do
you always discriminate against women and minorities, or just some of the time?"),
and try to stay polite. And remember to express clearly what you want to know. Just
because interviewer and interviewee speak the same language, it doesn't mean
they'll necessarily understand each other.
There are some problems that can arise from the way you ask a question. Here are
several of the most common pitfalls:
Questions that put the interviewee in the defensive -- These questions bring up
emotional responses, usually negative. To ask, "Why did you do such a bad thing?"
will feel like you are confronting your interviewee, and he or she will get defensive.
Try to ask things in a more relaxed manner.
The two-in-one question -- These are questions that ask for two answers in one
question. For instance, "Does your company have special recruitment policy for
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women and racial minorities?" may cause hesitation and indecision in the
interviewee. A "yes" would mean both, and a "no" would be for neither. Separate the
issues into two separate questions.
The complex question -- Questions that are too long, too involved, or too intricate will
intimidate or confuse your interviewee. The subject may not even understand the
questions in its entirety. The solution is to break down the question and make brief
and concise.
In addition, pay attention to the order in which you ask your questions. The
arrangement or ordering of your question may significantly affect the results of your
interview. Try to start the interview with mild and easy questions to develop a rapport
with the interviewee. As the interview proceeds, move to more sensitive and complex
questions.
FINAL THOUGHTS
Remember to take good notes, if you're taking notes. Put quotation marks around
the person's actual words, and don't embellish their quotes. You may tape-record the
conversation, but make sure your tape recorder is working well, or hours of work can
go down the drain. If you're going to tape-record your interview, make sure you
obtain the interviewee's permission beforehand and on tape.
Finally, it's important to time your interview so that it won't last for hours. Some
people may refuse to (or may be too busy to) engage on an interview they know will
last for two or more hours. Others may lose interest during a long interview. So, try to
be concise. A good rule of thumb is to make your interview long enough that you get
useful information from it and short enough that you don't tire your interviewee. If you
know you'll need to spend a lot of time interviewing somebody, consider dividing your
interviews in two or more sessions.
Interviewing in a nutshell -- summary:
Determine what you want to know.
Discuss the kinds of questions you want to ask (open ended: How do you feel
about...) or (close ended: Which do you like better: A or B?).
Draft your interview questions.
Determine who you'd like to interview (samples) Train your interviewers so they will
all ask the same questions the same way.
Contact the people you want to interview.
Make appointments and follow up on them unless you are soliciting people on the
street or in a mall, for instance.
Collect and analyze the data.
IN SUMMARY
So, your interview is done and it you've got the information you needed. It's time to
thank you interviewee for his or her kind cooperation. Send them a thank you note
soon after the interview. Be cordial and appreciative. You never know when you may
need or want to interview this person again!
Conducting Surveys
When you want somebody's opinion, you ask for it. Right? That's easy enough when
you're just dealing with one or a few people. But what if you want to know the opinion
of an entire town or an entire population? Getting an answer out of everyone in your
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town or every member of a particular group is nearly impossible. So how do you get
an idea of what these folks think? You use a survey.
Conducting surveys can be done very simply, or it can be very complicated,
depending on how much you want to ask on the survey and the number of people to
whom it is administered. This section will mainly focus on doing surveys on a fairly
small local scale, and we will give you some ideas about where to find information
should you need to do a survey on a larger scale.
WHAT ARE SURVEYS?
A survey is a way of collecting information that you hope represents the views of the
whole community or group in which you are interested.
THERE ARE THREE MAIN WAYS OF GOING ABOUT THIS:
Case study surveys, which collect information from a part of a group or community,
without trying to choose them for overall representation of the larger population. You
may need to conduct several of these before you get a sense of how the larger
community would respond to your survey. Case study surveys only provide specific
information about the community studied.
Sampled surveys, which are the type we'll be focusing on in this section, ask a
sample portion of a group to answer your questions. If done well, the results for the
sample will reflect the results you would have gotten by surveying the entire group.
For example, let's say you want to know what percentage of people in your county
would make use of an adult literacy program. Getting every person in a county with
10,000 people to fill out a survey would be a huge task. Instead you decide to survey
a sample of 500 people and find out what they think. For the sample to accurately
represent the larger group, it must be carefully chosen. We'll speak to that later in
this section.
Census surveys, in which you give your survey questionnaire to every member of the
population you want to learn about. This will give you the most accurate information
about the group, but it may not be very practical for large groups. A census is best
done with smaller groups -- all of the clients of a particular agency, for example, as
opposed to all of the citizens of a city.
Surveys are usually written, although sometimes the surveyor reads the questions
aloud and writes down the answers for another person; they can be distributed by
mail, fax, e-mail, through a web page, or the questions can be asked over the phone
or in person.
Surveys collect information in as uniform a manner as possible -- asking each
respondent the same questions in the same way so as to insure that the answers are
most influenced by the respondents' experiences, not due to how the interviewer
words the questions.
WHY SHOULD YOU CONDUCT A SURVEY?
You can collect information about the behaviors, needs, and opinions using surveys.
Surveys can be used to find out attitudes and reactions, to measure client
satisfaction, to gauge opinions about various issues, and to add credibility to your
research. Surveys are a primary source of information -- that is, you directly ask

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someone for a response to a question, rather than using any secondary sources like
written records.
You can use surveys to measure ideas or opinions about community issues related
to your initiative. For example, you may want to know how many people use your
services, what users think about your services, what new users expect from your
services, and whether users are satisfied with what you provide.
Deciding whether to conduct a survey

There are advantages in doing surveys, but you should consider whether a survey
will be the best way of obtaining the information you need. Even though surveys are
a useful method of gathering information, they are not the only way. You will need to
decide whether a survey will produce the information you need. The information you
need may be obtained through other means, such as informal unstructured
conversation that takes place in the course of another activity; census figures;
meeting with people in the community; interviews; or observation.
WHEN SHOULD YOU CONDUCT A SURVEY?
A SURVEY MAY BE YOUR BEST CHOICE WHEN:
You need a quick and efficient way of getting information
You need to reach a large number of people
You need statistically valid information about a large number of people
The information you need isn't readily available through other means
Written surveys: Pros and Cons
Advantages of written surveys:
Large numbers of people can give their input
Low cost
People can respond at their convenience
Avoids interviewer bias
Provides a written record
Easy to list or tabulate responses
Wide range of respondents
No training needed as with interviewing
Disadvantages of written surveys:
Often has low return rate
Limited alternative expression of respondent's reaction
Depends on the selected sample
May not truly represent of the whole group
Respondent may skip sections
If you have decided that what you need is a large-scale, formal survey, hiring
someone to do it for you or working with local colleagues or a nearby university may
be your best bet. If you're going to do it on your own, keep in mind that some people
you present your report to may not give much credit to a survey you did on your own.
HOW DO YOU PREPARE A SURVEY?
DECIDE ON THE PURPOSE OF THE SURVEY.
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If you have decided to do a survey, you must first be sure exactly why you're doing it.
What questions do you want to answer? Is it to get a general idea of the
demographics of your area? To find out what people think about a particular issue or
idea? Or is there another reason you're considering a survey?
In any case, you will need to keep the purpose of the survey in mind throughout the
process, as it will influence the choice of questions, the survey population, and even
the way the survey is delivered (e.g., a computer-savvy population can be surveyed
over the Internet; a population that is largely illiterate shouldn't be asked to take a
written survey, and so forth).
Example: 1997 Youth Risk Behavioral Survey purpose
The Youth Risk Behavioral Survey (or YRBS) is done annually by the Centers for
Disease Control to identify behaviors that pose health risks among young people in
America. We will be using the 1997 and 1999 YRBS for examples in this section.
The CDC decided its purpose in this survey was to track the health risk behaviors
that cause the most deaths among youth. Also, many of those behaviors are
included in the survey because they begin in youth and continue into adulthood,
having significant impact on adult health later on. Here are some of the behaviors the
YRBS attempts to measure:
Behaviors that contribute to unintentional and intentional injuries (like not using a
safety belt when driving)
Tobacco use
Alcohol and other drug use
Sexual behaviors that contribute to unintended pregnancy and sexually transmitted
diseases, including HIV
Unhealthy dietary behaviors
Physical inactivity
DECIDE WHOM YOU WILL SURVEY.
The next step is finding out who has the answers to your question or questions. In
other words, it's time for you to determine your audience -- the people who can best
answer the questions your initiative needs to ask. Who will you survey? Is it the
general public? The current program beneficiaries? People in a specific
neighborhood or segment of the community? Potential members?
Sampling
Almost all surveys rely on sampling -- that is, identifying a section of your population
that satisfies the characteristics you're trying to survey, rather than trying to do a
census.
To have a truly representative sample, you must be sure that every member of the
group you want to survey has an equal chance of being in the sample, and/or you
must have a fairly large sample. It's important to make sure that the sample size you
choose is adequate and not excessively large or small. If too large, it may be
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impossible to survey everybody effectively and within your budget; if too small, your
credibility may suffer. A general rule to keep in mind is that the larger the sample
size, the more accurate a reflection of the whole it will be.
You can figure out how big your sample should be by using a sample size calculator,
such as:
The Survey System's Sample Size Calculator allows you to decide whether you want
to calculate for 95% or 99% confidence level (the statistical term for the amount of
certainty you have about the accuracy of your results).
UCLA's Sample Size Calculator from the online statistics textbook is a bit more
advanced.
Sample Design Issues
You might also need to give some thought to the design of your sample, especially if
you are hoping to get representative responses from two or more groups. For
example, let's say you are doing a survey on youth violence and you want to get
responses from youth, parents, and educators; this means that you'll need to come
up with separate population counts for each of these groups and then select a
sample from each. The samples should be large enough to represent the group it is
drawn from, but the sample sizes should be proportional to the groups they
represent.
For example, you might design a sample that comes out like this:
Youth Parents
Educators
Population 650 200 500
Sample
65
20
50
Sampling can be a complex topic; before you start, you might want to learn some of
the basic terminology and concepts from resources such as Sampling Terminology
and Survey Sample Sizes and Margins of Error.

Potential pitfalls
Sampling is a challenge to conducting good surveys, but there are other pitfalls. For
example, when people volunteer to respond to a survey, we say they are selfselected. These people may have a special interest in answering your survey, so
their answers may not be truly representative of the group you're interested in. There
are ways of dealing with self-selected audiences, such as only using a random
selection of their surveys when only self-selection is involved.
For example, if you get back 300 completed surveys, you might decide to only use
every third one in order to randomize the results.
DECIDE WHAT METHOD YOU WILL USE TO COLLECT YOUR SURVEY DATA.
Will your survey be written or oral? Is there going to be a number where people can
call to register their results? Are you going to have a post office box to which
completed surveys should be mailed? You need to decide whether it's going to be
administered by people known to the audience and whether it will be done in person,
by phone, or by mail. Remember that the more personal you make it, the higher the
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return rate will be. Surveys that are delivered cold have a return rate of only two to
three percent, unless they're on a very hot topic for the community you're surveying.
Keep in mind whom you want to survey. Does your public feel more comfortable
writing or speaking? Will it be efficient to leave surveys somewhere for people to pick
up at their will, or should you do something to make sure they get one? If your
survey is to be administered orally, will people feel honored or annoyed about being
asked for their opinions?
Mailed questionnaires are a very useful tool in your information-gathering bag of
tools. It's a much cheaper alternative to other types of information gathering and it
allows you to get information from many people across long distances without paying
extremely high phone bills. If you're considering doing a mailed survey, be sure to
check with your local post office for information on mailing regulations, bulk mail
rates, and so on.
Some advantages of mailed questionnaires are:
The respondent can fill out the survey at his or her convenience -- it can be filled out
whenever the respondent has time.
You can make it anonymous, which is much more comfortable for some
respondents.
All respondents will have read the same questions, eliminating any interviewer bias.
The respondent will have time to check his or her records before answering -- if he or
she needs to verify information, he or she will have the chance to be accurate.
Some disadvantages of mailed questionnaires are:
They're not very flexible; there is no interviewer present to probe for answers, so you
can only read what the respondent has written, with no opportunity to look at facial
expressions or body language.
The return rate is generally low
Respondents may leave answers blank
You can't control when respondents will send the survey back
You may not be able to tell the difference between those who simply didn't return the
survey and those for whom you had an incorrect address.
How long should your survey be?
When determining the length of your survey, remember that less is more. The longer
it is, the less likely it is that people will take the time to do it. People get bored with
long surveys, and usually won't even bother to look at a survey that is more than a
page and a half long. Also, requiring long answers may lose your audience. Through
editing and condensing, you should try to keep your survey down to one page.

What it is you want to know and the method of survey (e.g., phone survey, mailed
survey) will also influence the length of your survey. Phone surveys, for example,
can take a little longer to complete.
Once you've decided on your method, you can go on to write your questions. We'll
talk in more detail about distributing your survey later on.
Example: 1997 Youth Risk Behavioral Survey sampling
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The 1997 YRBS used a type of sampling called cluster sampling. In cluster
sampling, the entire population is divided into groups, or clusters, and a random
sample of these clusters are selected. For example, age group or geographical
location determined the YRBS's clusters. All observations in the selected clusters are
included in the sample. This technique is used in large-scale surveys where it may
be more convenient to sample clusters than to do a pure random sample.
WRITE YOUR QUESTIONS.
When preparing the questions, bear in mind that they can take many forms.
Questions might be:
Open-ended: Designed to prompt the respondent to provide you with more than just
one or two word responses. These are often "how" or "why" questions.
For example: "Why is it important to use condoms?" These questions are used when
you want to find out what leads people to specific behaviors, what their attitudes are
towards different things, or how much they know about a given topic; they provide
good anecdotal evidence. The drawback to using open-ended questions is that it's
hard to compile their results.
Closed-ended (also sometimes referred to as forced choice questions): Specific
questions that prompt yes or no answers.
For example: "Do you use condoms?" These are used when the information you
need is fairly clear-cut, i.e., if you need to know whether people use a particular
service or have ever heard of a specific local resource.
Multiple choice: Allow the respondent to select one answer from a few possible
choices.
For example: "When I have sex, I use condoms... a) every time, b) most times, c)
sometimes, d) rarely, e) never." These allow you to find out more detailed
information than closed-ended questions, and the results can be compiled more
easily than open-ended questions.
Likert scale: Each respondent is asked to rate items on a response scale. For
instance, they could rate each item on a 1-to-5 response scale where:
1 = strongly disagree
2 = disagree
3 = undecided
4 = agree
5 = strongly agree
If you want to weed out neutral and undecided responses you can use an evennumbered scale with no middle "neutral" or "undecided" choice. In this situation, the
respondent is forced to decide whether he or she leans more towards the "agree" or
"disagree" end of the scale for each item. The final score for the respondent on the
scale might be the sum of his or her ratings for all of the items.
Example: Using the Likert scale

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Here are a few sample survey questions in Likert scale format, done without a
neutral category:
Please check the answer indicating your reaction to the questions listed below.
Strongly Disagree
Disagree
Agree
Strongly Agree
Violent crime is a significant problem in my neighborhood
The police have done enough to prevent crime in my neighborhood.
If a citizens watch program were implemented in my neighborhood, I would
participate in it.
I would be supportive of organized activities for youth in my neighborhood.
The questions you ask depend on the audience you're trying to reach and the
information you're trying to obtain.
For example, for demographic information (e.g., questions that determine where
people are from, their ages, and their incomes), you should make the survey all
check-offs, yes/no questions, and fill-in-the-blank questions so that it?s as easy as
possible to complete.
Creating surveys people will answer with the Total Design Method
Low response rates are a major problem with surveys; it's common for the response
rate to be as low as 30%. One way of avoiding low response rate is to use the Total
Design Method, which was developed by Don Dillman of Washington State
University. Dillman's method has been shown to yield an average return rate of 73%.
Mailed questionnaires should be printed on standard letter paper (8.5 x 11"), then
folded in half into a booklet. This size of envelope is less likely to be viewed as
advertisement or "junk" mail by the recipient, so more people will open your survey.
There should be no questions on the front or back of the folded booklet.
The first question should be directly related to the overall topic of the survey, and it
should be something that is easy to answer. Any questions that may be threatening
to the reader should appear later in the survey, but not grouped together.
Demographic questions should come towards the end; having them at the beginning
often puts people off and prevents them from completing the survey at all, but they
will be more likely to complete them if they are asked after responding to other
questions.
In layout, avoid cramming too much type onto a single page. It's better to use more
pages with a good amount of white space than to try to save on paper by crowding
the pages, because overly-dense type is intimidating to a potential survey
participant. You should also make sure you don't break any questions up over a
page break -- the entire question and its possible answers should appear on the
same page.
Your questionnaire should be no more than 125 questions or 12 pages long -anything longer is going to reduce your response rate.
Including a well-written cover letter is extremely important. It needs to be clear about
what you're looking for, why you're looking for it, what member of the household
should complete the survey, and what will be done with the results. For instance, if
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you're doing a literacy program survey, you may want to explain that the answers will
help determine whether the community might need an adult education program and
what kind of program it might need, and that the results of the survey will be
presented to possible funders. Your cover letter should be individually typed or laser
printed and signed personally with a blue ballpoint pen (survey participants pay more
attention to real letters with real signatures).
Typing the recipient's name directly on the envelope, instead of using mailing labels,
will bring a higher response rate. Using first class postage -- especially
commemorative, colorful stamps -- will increase your response rate even more.
Follow up with those who haven't responded after a week with a postcard, politely
reminding them about the survey. After the second week, send a new cover letter
and questionnaire to those who have not yet responded. After the fourth week, send
yet another questionnaire, this time by certified mail, along with a letter reminding the
recipient that you haven't yet received his or her survey and that his or her response
is very important.
Questions should be worded carefully in order to yield exactly the information you're
looking for.
To make sure your survey works the way you want it to, try it out on a few members
of the population you're aiming at before you actually distribute it.

Guidelines for writing your survey questions:

Place easier questions first
Address sensitive issues as discreetly and sensitively as possible
Avoid words that provoke bias or emotional responses
Use a logical order and place similar questions together
Example: 1999 Youth Risk Behavioral Survey questions
Here are a few examples of questions from the 1999 YRBS.
During the past 30 days, how many times did you ride in a car or other vehicle driven
by someone who had been drinking alcohol?
A. 0 times
B. 1 time
C. 2 or 3 times
D. 4 or 5 times
E. 6 or more times
During the past 12 months, did you ever seriously consider attempting suicide?
A. Yes
B. No

How old were you when you smoked a whole cigarette for the first time?
A. I have never smoked a whole cigarette
B. 8 years old or younger
C. 9 or 10 years old
D. 11 or 12 years old
E. 13 or 14 years old
F. 15 or 16 years old
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G. 17 years old or older

During your life, how many times have you sniffed glue, breathed the contents of
aerosol spray cans, or inhaled any paints or sprays to get high?
A. 0 times
B. 1 or 2 times
C. 3 to 9 times
D. 10 to 19 times
E. 20 to 39 times
F. 40 or more times
During your life, with how many people have you had sexual intercourse?
A. I have never had sexual intercourse
B. 1 person
C. 2 people
D. 3 people
E. 4 people
F. 5 people
G. 6 or more people
HOW DO YOU DISTRIBUTE YOUR SURVEY?
There are several strategies for distributing surveys. We'll talk about the most
common one -- direct mail -- in the most detail, but there are many methods to
choose from and there is no one perfect method. You may want to use a
combination of methods.
HERE ARE A FEW THOUGHTS TO HELP YOU DECIDE ON YOUR METHOD:
Self-administered questionnaires are better than interviews when you're dealing with
respondents who can read and write and the questions you're asking don't require
any visual aids like charts, graphs, etc. that might need explanation.
Phone surveys work well in the place of self-administered questionnaires if at least
80% of the population you're working with have phones in their homes. They also
work better if the questions are of a nature that respondents might be uncomfortable
or embarrassed to give their answers to an interviewer.
For example, if you are doing a survey on sexual risk behaviors, people may be
uneasy telling an interviewer how many partners they've had or other such details.
Drop boxes work best if you have limited human resources or if you are in a place
where the mail and phone systems aren't adequate.
DIRECT MAIL
Direct mailing your survey to people whose addresses are known is the most
common strategy. Distributing a survey by mail has a high percentage of nonresponders (you're lucky if 30% respond, although it tends to be higher in small
communities), but it's a lot easier than many other methods and takes less staff
hours.
Gather the items you'll need to do a direct mailing:
Mailing labels or a mailing list: If you're mailing the survey to everyone in town, the
city's billing lists for water bills might be a good source of a mailing list. The mailing
list of relevant agencies can also be useful. Good resources might be the public
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health department, the Salvation Army, relevant United Way agencies, emergency
medical services, or companies that develop phone books. If you're using an
agency's mailing list, be sure to get permission from the agency's director before
doing the mailing. Give the director a sample survey and a copy of the cover letter to
review and invite him or her to suggest any changes that might further protect his or
her clients.
Two business envelopes and two stamps for each participant: One set to send the
survey to the participant and one for it to be returned in. The return envelope should
be pre-stamped and pre-addressed.
One copy of the survey, demographics sheet, and cover letter for each participant.
Complete the cover letter. A sample cover letter you may want to use as a guide
appears in the Examples section.
Make enough copies of the survey, demographic sheet, and cover letter for each
survey recipient.
Prepare the two business-size envelopes for each person. One should have the
agency's return address and a mailing label for the survey participant; the other
should have the agency's address listed as both the mailing and the return
addresses. Stamp both envelopes.
Stuff the envelopes that have the recipient's mailing address with all the survey
materials -- the survey, the demographic sheet, the cover letter, and the return
envelope.
If you want to track the surveys in any way -- trying to see what sort of answers you
get from different parts of town, for example -- you may wish to code the envelopes
in some way. One way you can do this is by numbering each return envelope and
keeping a copy of the mailing list with matching numbers -- for example, if John Doe
at 123 Main Street is assigned number 007, then the number 007 will also be on his
return envelope. Another option is to color code the surveys by zip code.
Mail them out! Try to get a bulk rate to reduce costs.
If less than 10% of the distributed surveys are returned, try one or more of the
following strategies:
Send a reminder to all or a random sample of people on the mailing list.
Contact the local newspaper and request an article on the survey, submit a letter to
the editor about it, or publish an announcement about the survey. This is something
you should do before you send out the survey.
Contact radio stations to run announcements inviting people to take part in the
survey.
Invite citizens to participate in the survey through announcements in local agency
newsletters, consumer group meetings, and public community events.
Post announcements of the survey in public places, like the library or grocery stores.
INTERVIEWS AND PHONE SURVEYS
For those who have difficulty reading or using printed materials, or for surveys that
require more in-depth answers, interviews might be the most appropriate thing for
you to do. Phone surveys work similarly to face-to-face interviews, so we've grouped
these two methods together.
Put together a team of interviewers. The people you choose should be able to
answer any questions respondents might have, and if necessary they should be
people who can handle meeting diverse respondents. People who work in the social
sciences often have interviewing experience.
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Train the interviewers to act as a team. They should all be given the same
information about the survey, its purpose, and your organization or initiative to make
sure that the information they pass on to respondents is uniform.
For a phone survey, your sample can be as simple as every fifth phone number in
the white pages of your local phone book, or you may need to work with a survey
consultant to get a phone list of a more specific sample group.
Phone interviewers should be polite, call during reasonable hours (not at meal time
and not too late at night or early in the morning, etc.), and they should all be
consistently asking the same questions.
DROP BOXES
Agencies that have relatively frequent contact with clients -- such as once a month -you may find that setting up a drop box in their offices are a good source point for
distributing surveys. This may also be a good option for agencies that have an
incomplete mailing list. It can also be a good way to contact clients of other agencies
who have little contact with your group or agency. However, if you use this method of
distributing surveys, consider using it along with at least one other method of
distribution, because only those already using the services can respond.
MEDIA DISTRIBUTION

For general distribution, publishing a survey in the local paper or attaching a survey
to your newsletter might be a good idea.
CONVENIENCE SAMPLING
Taking surveys in a public place -- setting up a booth or table in the parking lot at a
local discount store, on the sidewalk in the shopping district, etc. -- provides an
opportunity to get some exposure for your organization.
GROUP ADMINISTRATION

If your group or organization tends to have large group gatherings, providing surveys
to everyone who attends a particular gathering might be a really efficient way for you
to gather information. Examples of gatherings where you might want to distribute
your survey would include: immunization clinics, commodity food distribution sites,
health fairs, and meal sites for older adults. If you want to give your survey out at
some sort of group meeting or gathering, get the group's director to put you on the
agenda. At the meeting, introduce yourself and explain the purpose of the survey.
Then distribute the survey, answer any questions, and collect completed surveys.
Don't forget to thank everyone for their participation!
USING MULTIPLE METHODS OF DISTRIBUTION
You can combine or adapt two or more of the above methods to suit your own
purposes, if you'd like. If more than one method is used, each survey should include
instructions that each citizen should complete only one survey. So, for example, if
you're having people complete surveys at a booth at the county fair, they should not
complete the survey if they've already completed one that came in the mail to their
homes.
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COLLECTING THE SURVEYS

Soon after the surveys are distributed, some of them will begin to arrive at the
sponsoring organization. Here are the steps you should take to collect your surveys:
Gather incoming surveys collected at participating sites. A representative of your
organization should collect incoming surveys as they arrive in the mail or your drop
box. He or she should also call or stop by collection sites from time to time to pick up
any surveys that have been dropped off.
Review returned surveys, checking for any that are incomplete. If any surveys were
returned for having an improper mailing address, try to find the correct address and
mail it out again, if you can.
Secure a larger return, if necessary. This may mean distributing surveys again or
expanding your sample size.
Example: Administering and collecting the 1997 Youth Risk Behavioral Survey
The CDC wanted to do everything it could to protect the students' privacy and insure
that questions would be answered honestly while completing the YRBS. In order for
the survey to be administered voluntarily and anonymously, it was done in a self administered written questionnaire containing 84 multiple-choice questions. Before
the surveys were administered, parental permission was obtained through whatever
methods those local schools used. Students recorded their responses to the
questionnaires on computer-scannable answer sheets, further allowing for
anonymity.
HOW DO YOU ANALYZE AND COMPILE THE RESULTS OF YOUR SURVEY?
Now that you've gathered the completed surveys, you'll need to figure out the
results. Sometimes all you have to do is tabulate the results -- that is, add them up
and display in a table.
For instance, if 100 questionnaires were returned in a survey about problems in the
neighborhood, you just need to count the answers. Let's say that there was a
question asking what people felt was the biggest challenge facing the neighborhood;
70 people mentioned law enforcement, 10 cited transportation, 15 marked potholes,
and 5 said noise. The result in cases like this is clear.
However, analysis can be far more complicated than that. If you're looking,
for instance, at how people feel about a service or problem, you may end up with a
lot of answers to open-ended questions that are apparently unrelated. In this case,
you will need to try to find patterns.
Once you've done that, what do these numbers mean? Well, you will need to look at
the overall survey to see how each percentage compares to the others.

For example, what questions had the highest proportions of similar responses?
We suggest that you write up a brief report -- one page is sufficient -- summarizing
the results of the survey. In your report, look for any patterns -- do people in a
particular part of town feel more strongly about a particular issue than those in other
areas?

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Share this information with your staff. Get their feedback and discuss whether any
further surveying needs to be done before completing.
Now that you've figured out what the results mean, you need to decide what to do
with them. To whom are you going to communicate them, and how? In case of a
community initiative, the results should be made public as soon as possible so that
members in the community and community leaders can be made aware of a problem
or potential problem and start working to solve it. If other similar surveys have done
in the same area, you may want to compare your results with the other surveys'
results.
An organization conducting a survey about its' services might want to use results to
provide a better service or to change a current policy to a more efficient one. In a
situation where funding is at stake, the results would need to go to the funder to
convince the funder of the need for new or continued support. The results could also
be used by the organization itself to determine where and what kinds of services are
needed.
The 2003 Youth Risk Behavior Survey results will give you an idea of what a survey
result report looks like.

IN SUMMARY
A well-executed survey can provide your initiative with a wealth of information about
your constituents and their needs. We hope this section has given you the tools you
need to conduct surveys that are effective and that give you the information you
need to serve your constituents better!
SWOT Analysis: Strengths, Weaknesses, Opportunities, and Threats
Change is an inevitable part of community organizing. If you know how to take stock of the
strengths, weaknesses, opportunities, and threats, you are more likely to plan and act
effectively.

SWOT provides a tool to explore both internal and external factors that may influence your
work.
WHAT IS A SWOT ANALYSIS AND WHY SHO ULD YOU USE ONE?
SWOT stands for: Strength, Weakness, Opportunity, Threat. A SWOT analysis guides you to
identify your organizations strengths and weaknesses (S-W), as well as broader opportunities
and threats (O-T). Developing a fuller awareness of the situation helps with both strategic
planning and decision-making.
The SWOT method was originally developed for business and industry, but it is equally
useful in the work of community health and development, education, and even for personal
growth.
SWOT is not the only assessment technique you can use. Compare it with other assessment
tools in the Community Tool Box to determine if this is the right approach for your
situation. The strengths of this method are its simplicity and application to a variety of levels
of operation.
WHEN DO YOU USE SWOT?
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A SWOT analysis can offer helpful perspectives at any stage of an effort. You might use
it to:

Explore possibilities for new efforts or solutions to problems.

Make decisions about the best path for your initiative. Identifying your opportunities
for success in context of threats to success can clarify directions and choices.
Determine where change is possible. If you are at a juncture or turning point, an
inventory of your strengths and weaknesses can reveal priorities as well as
possibilities.
Adjust and refine plans mid-course. A new opportunity might open wider avenues,
while a new threat could close a path that once existed.

SWOT also offers a simple way of communicating about your initiative or program and an
excellent way to organize information you've gathered from studies or surveys.
WHAT ARE THE ELEMENT S OF A SWOT ANALYSIS ?
A SWOT analysis focuses on Strengths, Weaknesses, Opportunities, and Threats.
Remember that the purpose of performing a SWOT is to reveal positive forces that work
together and potential problems that need to be recognized and possibly addressed.
We will discuss the process of creating the analysis below, but first here are a few sample
layouts for your SWOT analysis.
Ask participants to answer these simple questions: what are the strengths and weaknesses of
your group, community, or effort, and what are the opportunities and threats facing it?
Internal
Strengths

External
Weaknesses

Opportunities

Threats

If a looser structure helps you brainstorm, you can group positives and negatives to think
broadly about your organization and its external environment.
Positives

Negatives

Strengths

Weaknesses

Assets

Limitations

Resources

Restrictions

Opportunities

Threats

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Prospects

Challenges

Below is a third option for structuring your SWOT analysis, which may be appropriate for a
larger initiative that requires detailed planning. This "TOWS Matrix" is adapted from Fred
David's Strategic Management text.
STRENGTHS

WEAKNESSES

1.

1.

2.

2.

3.

3.

4.

4.

OPPORTUNITIES Opportunity-Strength (OS) Strategies

Opportunity-Weakness (OW) Strategie

1.

Use the strengths to take advantage of

Overcome weaknesses by taking advan

2.

opportunities

of opportunities

3.

1.

1.

4.

2.

2.

THREATS

Threat-Strength (TS) Strategies

Threat-Weakness (TW) Strategies

1.

Use strengths to avoid threats

Minimize weaknesses and avoid threats

2.

1.

1.

3.

2.

2.

4.
David gives an example for Campbell Soup Company that stresses financial goals, but it also
illustrates how you can pair the items within a SWOT grid to develop strategies. (This
version of the chart is abbreviated.)
STRENGTHS

WEAKNESSES

Current profit ratio increased

Legal suits not resolved

Employee morale high

Plant capacity has fallen

Market share has increased

Lack of strategic managem

system

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OPPORTUNITIES

Opportunity-Strength (OS) Strategies

Opportunity-Weakness (OW)
Strategies

Western European

unification

Rising health

Acquire food company in

Europe (S1, S3, O1)

Develop new Pepperidge

products (W1, O2, O3)

Develop new healthy soups

(S2, O2)

consciousness in
selecting foods

Demand for soups

increasing annually

THREATS

Low value of dollar

Tin cans are not

Threat-Strength (TS) Strategies

Threat-Weakness (TW) Strategie

Develop new biodegradable

soup containers (S1, T2)

Close unprofitable Europe

operations (W3, T1)

biodegradable

This example also illustrates how threats can become opportunities (and vice versa). The
limitation of tin cans (which aren't biodegradable) creates an opportunity for leadership in
developing biodegradable containers. There are several formats you can use to do a SWOT
analysis, including a basic SWOT form that you can use to prompt analysis, but whatever
format you use, don't be surprised if your strengths and weaknesses don't precisely match up
to your opportunities and threats. You might need to refine, or you might need to simply look
at the facts longer, or from a different angle. Your chart, list or table will certainly reveal
patterns.
LIST ING YOUR INTERNA L FACTORS: STRENGTHS AND
WEAKNESSES (S, W)
Internal factors include your resources and experiences. General areas to consider:

Human resources - staff, volunteers, board members, target population

Physical resources - your location, building, equipment
Financial - grants, funding agencies, other sources of income
Activities and processes - programs you run, systems you employ
Past experiences - building blocks for learning and success, your reputation in the
community

Don't be too modest when listing your strengths. If you're having difficulty naming them,
start by simply listing your characteristics (e.g., we're small, we're connected to the
neighborhood). Some of these will probably be strengths.

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Although the strengths and weakness of your organization are your internal qualities, don't
overlook the perspective of people outside your group. Identify strengths and weaknesses
from both your own point of view and that of others, including those you serve or deal with.
Do others see problems--or assets--that you don't?
How do you get information about how outsiders perceive your strengths and weaknesses?
You may know already if you've listened to those you serve. If not, this might be the time to
gather that type of information. See related sections for ideas on conducting focus groups,
user surveys, andlistening sessions.
LIST ING EXTERNAL FAC TORS: OPPORTUNIT IES AND THREATS
(O, T)
Cast a wide net for the external part of the assessment. No organization, group, program, or
neighborhood is immune to outside events and forces. Consider your connectedness, for
better and worse, as you compile this part of your SWOT list.
Forces and facts that your group does not control include:

Future trends in your field or the culture

The economy - local, national, or international
Funding sources - foundations, donors, legislatures
Demographics - changes in the age, race, gender, culture of those you serve or in your
area
The physical environment (Is your building in a growing part of town? Is the bus
company cutting routes?)
Legislation (Do new federal requirements make your job harder...or easier?)
Local, national or international events

HOW DO YOU CREA TE A SWOT ANALYS IS?

WHO DEVELOPS THE SWO T?
The most common users of a SWOT analysis are team members and project managers who
are responsible for decision-making and strategic planning.
But don't overlook anyone in the creation stage!
An individual or small group can develop a SWOT analysis, but it will be more effective if
you take advantage of many stakeholders. Each person or group offers a different perspective
on the strengths and weaknesses of your program and has different experiences of both.
Likewise, one staff member, or volunteer or stakeholder may have information about an
opportunity or threat that is essential to understanding your position and determining your
future.
WHEN AND WHERE DO YO U DEVELOP A SWOT ANA LYS IS?

A SWOT analysis is often created during a retreat or planning session that allows several
hours for brainstorming and analysis. The best results come when the process is collaborative
and inclusive.
When creating the analysis, people are asked to pool their individual and shared knowledge
and experience. The more relaxed, friendly and constructive the setting, the more truthful,
comprehensive, insightful, and useful your analysis will be.
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HOW DO YOU DEVELOP A SWOT ANALYS IS?

Steps for conducting a SWOT analysis:

Designate a leader or group facilitator who has good listening and group process
skills, and who can keep things moving and on track.
Designate a recorder to back up the leader if your group is large. Use newsprint on a
flip chart or a large board to record the analysis and discussion points. You can record
later in a more polished fashion to share with stakeholders and to update.
Introduce the SWOT method and its purpose in your organization. This can be as
simple as asking, "Where are we, where can we go?" If you have time, you could run
through a quick example based on a shared experience or well-known public issue.
Depending on the nature of your group and the time available, let all participants
introduce themselves. Then divide your stakeholders into smaller groups. If your
retreat or meeting draws several groups of stakeholders together, make sure you mix
the small groups to get a range of perspectives, and give them a chance to introduce
themselves.
o The size of these depends on the size of your entire group breakout groups
can range from three to ten. If the size gets much larger, some members may
not participate.
Have each group designate a recorder, and provide each with newsprint or dry -erase
board. Direct them to create a SWOT analysis in the format you choose-a chart,
columns, a matrix, or even a page for each quality.
o Give the groups 20-30 minutes to brainstorm and fill out their own strengths,
weakness, opportunities and threats chart for your program, initiative or effort.
Encourage them not to rule out any ideas at this stage, or the next.
o Remind groups that the way to have a good idea is to have lots of ideas.
Refinement can come later. In this way, the SWOT analysis also supports
valuable discussion within your group or organization as you honestly assess.
o It helps to generate lots of comments about your organization and your
program, and even to put them in multiple categories if that provokes thought.
o Once a list has been generated, it helps to refine it to the best 10 or fewer
points so that the analysis can be truly helpful.
Reconvene the group at the agreed-upon time to share results. Gather information
from the groups, recording on the flip-chart or board. Collect and organize the
differing groups' ideas and perceptions.
o Proceed in S-W-O-T order, recording strengths first, weaknesses second, etc.
o Or you can begin by calling for the top priorities in each category -the
strongest strength, most dangerous weakness, biggest opportunity, worst
threat--and continue to work across each category.
o Ask one group at a time to report ("Group A, what do you see as strengths?")
You can vary which group begins the report so a certain group isn't always left
"bringing up the end" and repeating points made by others. ("Group B, let's
start with you for weaknesses.")
o Or, you can open the floor to all groups ("What strengths have you noted?")
for each category until all have contributed what they think is needed.
Discuss and record the results. Depending on your time frame and purpose:
o Come to some consensus about the most important items in each category
o Relate the analysis to your vision, mission, and goals
o Translate the analysis to action plans and strategies
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If appropriate, prepare a written summary of the SWOT analysis to share

with participants for continued use in planning and implementation.

More ideas on conducting successful meetings can be found in Community Tool Box
resources on conducting public forums and listening sessions, conducting focus groups,
and organizing a retreat.
HOW DO YOU USE YOUR SWOT ANALYS IS?
Better understanding the factors affecting your initiative put you in a better position for
action. This understanding helps as you:

Identify the issues or problems you intend to change

Set or reaffirm goals
Create an action plan

As you consider your analysis, be open to the possibilities that exist within a weakness or
threat. Likewise, recognize that an opportunity can become a threat if everyone else sees the
opportunity and plans to take advantage of it as well, thereby increasing your competition.
Finally, during your assessment and planning, you might keep an image in mind to help you
make the most of a SWOT analysis: Look for a "stretch," not just a "fit." As Radha
Balamuralikrishna and John C. Dugger of Iowa State University point out, SWOT usually
reflects your current position or situation. Therefore one drawback is that it might not
encourage openness to new possibilities. You can use SWOT to justify a course that has
already been decided upon, but if your goal is to grow or improve, you will want to keep this
in mind.
IN SUMMARY
A realistic recognition of the weaknesses and threats that exist for your effort is the first step
to countering them with a robust set of strategies that build upon strengths and opportunities.
A SWOT analysis identifies your strengths, weaknesses, opportunities and threats to assist
you in making strategic plans and decisions.
Qualitative Methods to Assess Community Issues
A true story: A researcher and an outreach worker were hired to assess the need for
an adult basic education (ABE) and/or English as a Second or Other Language
(ESOL) program in a New England community. The community, although mostly
middle class, had been chosen because a large number of its residents had not
completed high school.
The researcher collected census data on the Internet, drove around the town to
assess the character of neighborhoods and housing, and talked to school officials.
The results were puzzling: the communitys unemployment rate was lower than the
state average, its average income was higher, over 90 percent of residents owned
their own homes, the high school dropout rate was tiny, and there were no apparent
pockets of poverty. The only odd number was that of the Portuguese population
nearly 25% of the town. The researcher thought an ABE or ESOL program wouldnt
draw many students.

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The outreach worker, however, made contact with the president of the Portuguese
sports club whose soccer team everyone in that community followed religiously. In
addition to setting up meetings with various groups, the club president explained the
situation.
A lot of the older Portuguese folks, the ones whove been here 40 years or more,
dont speak English. They came here and went to work in construction with their
uncles or brothers, everyone speaks Portuguese on the job, and they never had to
learn. Now, they want to go back to Portugal to retire, but theyre not American
citizens, so they cant take their Social Security with them. They need citizenship,
which means they have to be able to speak English. Youll get plenty of students,
dont worry.
Soon after, the worker and researcher held community meetings, and it was exactly
as the club president had described. As a result, an ESOL program was started, and
proved to be a great success. The outreach workers conversation provided as much
useful information as the researchers numbers had.
Sometimes, community issues, problems, or needs cant be assessed by using
information thats expressed entirely in numbers percentages, amounts, frequency,
size. Numbers can be worked with easily, and they yield exact and valuable
information, but they sometimes won't answer questions like "Why? or How? or
describe relationships fully. For some questions, you may need to add or substitute
qualitative methods, ways of gathering reliable information that cant be expressed in
numbers peoples motives, opinions, and feelings, for instance. In this section, well
discuss what qualitative assessment methods are, and why, when, and how to use
them.
WHAT ARE QUALITATIVE METHODS OF ASSESSMENT?
Qualitative methods of assessment are ways of gathering information that yield
results that cant easily be measured by or translated into numbers. They are often
used when you need the subtleties behind the numbers the feelings, small actions,
or pieces of community history that affect the current situation. They acknowledge
the fact that experience is subjective that it is filtered through the perceptions and
world views of the people undergoing it and that its important to understand those
perceptions and world views.
There are two major scientific ways of gathering information: quantitative methods
and qualitative methods. Quantitative methods are those that express their results in
numbers. They tend to answer questions like How many? or How much? or How
often? When theyre used to compare things the results of community programs,
the effects of an economic development effort, or attitudes about a community issue
they do it by subjecting all of the things or people theyre comparing to exactly the
same tests or to the same questions whose answers can be translated into numbers.
That way, they can compare apples to apples everything or everyone is measured
by the same standard. Quantitative measures are often demanded by policy makers;
they are considered trustworthy because their results can be measured against one
another, and because they leave less room for bias.

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Qualitative methods dont yield numerical results in themselves. They may involve
asking people for essay answers about often-complex issues, or observing
interactions in complex situations. When you ask a lot of people for their reactions to
or explanations of a community issue, youre likely to get a lot of different answers.
When you observe a complex situation, you may see a number of different aspects
of it, and a number of ways in which it could be interpreted. Youre not only not
comparing apples to apples, you may be comparing apples to bulldozers or
waterfalls. As a result, researchers and policymakers sometimes see qualitative
methods as less accurate and less legitimate than quantitative ones. That can be
true, but, as well see, if qualitative methods are used with care, they can also yield
reliable information.
Qualitative and quantitative methods are, in fact, complementary. Each has
strengths and weaknesses that the other doesnt, and together, they can present a
clearer picture of the situation than either would alone. Often, the most accurate
information is obtained when several varieties of each method are used. Thats not
always possible, but when it is, it can yield the best results.
There are a number of qualitative methods that can be used in assessment of issues
or community needs. Well list the major ones here, and look at them in more detail
later in the section.

They include:
Individual interviews. These may be structured interviews, where the questions are
determined beforehand, or unstructured conversations that are allowed to range
wherever the interviewee wants to go in relation to the general topic. Even in
structured interviews, there may be room for both interviewers and interviewees to
pursue topics that dont relate directly to answering the original questions. The
difference, however, is that in a structured interview, all those questions are formally
asked, and the interviewer does her best to make sure theyre answered.
Group interviews. These are similar to individual interviews, but involve two or more
interviewees at a time, rather than one. (Sometimes, these are unexpected the
interviewees mother and sister are present, and insist on being part of the
conversation.) Group interviews have some advantages, in that interviewees can act
as a check on one another (I remember that happening in a different way), and
stimulate one anothers thinking. At the same time, the interviewer has to be
somewhat of a facilitator, making sure that no one person dominates, and that
everyone gets a reasonable chance to speak.
A special case of group interviewing is a focus group. This is a group of about 6-10
people, led by a trained facilitator, assembled to answer a specific question or
questions. An effort is sometimes made to make sure that group members dont
know one another, so that social pressures wont influence them. If trained
facilitators are available, focus groups can be a good way to get accurate information
about an issue.
Observation. Here, someone actually goes and looks at a place or event, watches
situations or interactions, or takes part in the life of the community or a population
while recording what he finds as a result.
Community or other large meetings. These meetings allow a range of people a
chance to express their opinions and react to others. They can draw on a large pool

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of opinions and knowledge at one time, and uncover disagreements or differences

that can then be discussed.
Interpretation of records, transcripts, etc. This can range from qualitative analysis of
quantitative data (like the assumption of the researcher in the introduction to this
section that people who are doing well wont be interested in an adult education
program), to using quantitative data as a jumping-off point for qualitative
assessment, to case studies (detailed examinations of individual cases). The last are
not always useful in assessing community issues or needs, but they can be very
effective in convincing policymakers or funders of the importance of those issues and
needs.
Many types of qualitative information are turned into numerical results, although not
always accurately. The transformation may miss important details, or the information
may simply be too complex to fit easily into numerical constraints, unless you can
create a computer model or similar number-based framework that has the capacity
to take in an enormous amount of variety. There are many software programs
NVivo and Atlas.ti are fairly well-known, but there are many others, including some
freeware that are intended expressly for analyzing qualitative data.
Since qualitative methods give you results that are not always easy to compare, or
even to check for accuracy, people who want hard and fast evidence often see them
as suspect. In fact, both quantitative and qualitative measures are important and
necessary, depending on the situation. When youre assessing community issues, as
weve discussed, youll often get closest to the complete picture by using both. The
problem is convincing those who need to be convinced policymakers, funders, etc.
that your qualitative measures are reliable.
There is a debate in the research community about how to judge qualitative
methods. Some say they should be evaluated by the same standards as quantitative
methods. Others maintain that, because they are intrinsically different from
quantitative methods, qualitative methods need a set of standards that take into
account their philosophical base and the kind of information they yield.

The British government, for instance, has developed a framework for demonstrating
qualitative reliability, which includes a set of 18 questions that a qualitative
assessment or study should be subjected to (see Tool #1).
Guidelines that can help you argue for the reliability of your qualitative assessment
include:
Report accurately and completely. Whether youre interviewing, observing, or
engaging in some other technique, you should faithfully record such details as the
time and place of your activity, who was involved, what the situation was, etc. In that
way, you can see similarities and differences, and make comparisons where theyre
appropriate. The recording of interviews, observations, and other information should
be as accurate and nearly complete as possible (e.g., word-for-word for interviews).
Frame the right questions, and direct them appropriately. Occasionally, it works to go
fishing for information, i.e. to start without any idea of what you want to find out In
most instances, however, you should know what the important questions are, and
where you need to look for answers. The clearer you can be and the clearer it is
that the questions youre asking will lead to real understanding and effective action
the more credibility your inquiry will have.
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Use qualitative methods specifically to gain information you cant easily get from
quantitative methods. You can quantify how many members of a specific minority
live in a particular neighborhood. Its much harder to quantify a clear understanding
of how well they get along with their neighbors, and why.
Use the method(s) that can best help you answer the questions youre asking. If you
want to know the state of vacant lots in a city, youre less likely to determine it by
asking people than you are by going and looking at the lots themselves. On the other
hand, you usually can gain more information about peoples opinions through talking
to them than you can from observation.
Sort out your own and others subjective feelings and comments from objective
reality, and try to make sure that your findings are objective. Its easy to get caught
up in the passion of interviewees opinions, or in your own response to particular
conditions. If you want your findings to be reliable, you have to screen out as much
of the subjective as possible from what you find and record. (One way to approach
this issue is to have more than one person record and analyze each interview or
observation, and then to check on how well they agree, both in their recording of the
data and in their interpretation.)
Something thats objective an observation, statement, opinion, research finding,
etc. is based on reality as it actually is. Scientists, for instance, aim to be objective,
and to understand the way things really are, rather than the way the scientists or
others want them to be, or think they might be. A subjective observation, statement,
opinion, or research finding, on the other hand, is based on the thoughts and
assumptions of the person issuing it. A researcher may be so appalled by the
conditions in neighborhoods where violence is rampant that she may begin to feel
that violence is in fact the only rational response, and slant her research in that
direction.
Especially in community assessment, objectivity is vitally important. Objectivity in
looking at the community will help you understand how to most effectively address
issues, maximize and use assets, and solve problems. Understanding your own
subjective reactions to difficult conditions, to particular individuals, to cultural
practices will help you to screen them out, thereby increasing the reliability of your
findings.
WHY USE QUALITATIVE METHODS OF ASSESSMENT?
The basic reason to use qualitative methods is that there are some kinds of
questions and some dimensions of community assessment that can be better
addressed by them than by quantitative methods. The methods you use should be
determined by the questions youre asking. Since it may be hard to convince
policymakers and others that qualitative methods are useful, however, why bother to
use them at all? Some of the major reasons:
They answer some questions that quantitative measures cant. Quantitative methods
may tell you how many people do a certain thing, but theyre unlikely to tell you how
or why they do it. Qualitative methods can better answer the how and why questions,
and also provide other information in the process.
They connect directly with the population and the community with which youre
concerned. In assessment, the best sources of information are those closest to
whats being assessed: they experience it more than anyone else. Qualitative
methods generally go directly to those sources with more complex questions than
quantitative methods.
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They can get at certain underlying realities of the situation. Once again, quantitative
methods often dont answer why? questions, while qualitative methods can tell you
about the history of the community or issue, who the significant supporters and
opponents of various ideas are, whom people in the community listen to, etc. In an
assessment situation, these can be crucial pieces of information.
They can involve the population of interest, or the community at large, in helping to
assess the issues and needs of the community. This participation fosters a sense of
ownership and support for the efforts.
They often allow for a deeper examination of the situation or the community than
quantitative methods do. Quantitative methods, although helpful, can tend to put
people or events in specific categories, ask for yes-no or multiple-choice answers,
often eliminating complexity. Qualitative methods allow for following promising
directions (Why do you say that?), and can lead to the discovery of important
information that quantitative results wouldnt have touched on.
They allow for the human factor. While the information obtained through qualitative
methods is often subjective, it is also often identified as such, and can be analyzed
accordingly.
WHEN WOULD YOU USE QUALITATIVE METHODS OF ASSESSMENT?
Clearly, there are times when quantitative research will give you the information you
need. So when do you use qualitative methods? It depends to a great extent on the
question youre asking. (The first four situations below are based on a USAID guide
to using rapid appraisal methods, Performance Monitoring and Evaluation Tips.)
When what you need is qualitative, descriptive information. Particularly in an
assessment situation, what youre often looking for is descriptive or analytical
information that has little to do with quantitative measures. The type of information
provided by qualitative methods is often exactly what youre looking for in community
assessment to decide on next steps.
When youre trying to understand the reasons and motivations for peoples behavior,
or how they operate in particular situations. Why dont people take advantage of
human service programs for which theyre eligible? What are the differences in the
ways people of different cultural backgrounds respond to services? These are the
kinds of questions youre likely to want to answer in a community assessment, and
they often cant be answered quantitatively.
When youre analyzing quantitative data. As mentioned above, much quantitative
data can be analyzed using qualitative methods.
An odd set of numbers a community thats decidedly low-income, but where a vast
majority of people own their own homes, for instance might be the springboard for
a qualitative examination of why this is so. A number of reasons are possible:
The community is largely elderly, and people are living in long-since-paid-for houses
they bought 40 or more years ago, when their income was higher and housing was
less expensive.
One or more local banks have made it a priority to help people buy houses, and
provide low-interest mortgages and other subsidy programs to further that goal.
While they may be low-income, the members of the community nonetheless scrimp
on everything else in order to put away money for a house. This is often the case
among immigrants from certain cultures, where people are willing to live very simply
for many years in order to save for property and education.

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The community has been written off because of its substandard housing,
dangerous streets, and lack of services, and houses as a result are ridiculously
cheap.
A combination of factors, some of which may not be listed here.
By and large, quantitative methods wont easily tell you the reasons for this unusual
situation, but qualitative methods will.
When youre trying to develop suggestions and recommendations. Again, this is
often the primary purpose of community assessment. How should you design a
program or initiative to accomplish a major community goal or deal with an issue?
What will people respond to? Qualitative data may give the best information here, or
may be used in addition to qualitative information to provide a complete picture on
which to base your strategy.
When you want to involve the community in assessment as directly as possible.
Involving community members directly leads to ownership and support of initiatives,
and is also likely to generate the best and most effective solutions. Qualitative
assessment methods, for the most part, collect information directly from community
members themselves, and allow them to fill in the details as much as they can. By
and large, being interviewed is more likely to leave someone feeling like part of the
process than filling out a survey.
When youre doing community-based participatory research (i.e., involving the
community directly in planning and implementing assessment). Community-based
participatory research often relies greatly on qualitative assessment methods.
When quantitative data are unavailable or unobtainable.
When you dont have the capacity to use quantitative methods. You may not have
the proper training, the software or hardware that will make quantitative assessment
useful for you, or the time to use quantitative methods properly.
HOW DO YOU USE QUALITATIVE METHODS OF ASSESSMENT?
Now that youre convinced of the importance of using qualitative methods of
assessment, how are you going to do it? Theres seldom one right way to do
anything, but well offer some steps to take in using qualitative methods, including
some guidelines for doing interviews and observations, the two most common
methods. (Most of these guidelines hold equally for using quantitative methods as
well.)
START BY DECIDING WHAT IT IS YOU WANT TO KNOW.
You may remember that this is also one of the guidelines for qualitative reliability. It
may seem elementary, but it doesnt happen anywhere near as often as it ought to.
The importance of deciding what you want to know is that it determines the character
of your assessment what kinds of questions you ask, whom you ask them of, how
youll go about it, etc. Without that minimal amount of structure, youre likely to wind
up with a confused and unorganized mass of information.

There are many ways to approach a community assessment, and, consequently,

many questions you might choose to start your assessment with. You might even
use more than one, but its important to be clear about exactly what youre looking
for.
Some possibilities:

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What is the most serious issue either general or specific the community faces
(i.e., what should we turn our attention to?
What services are most needed in the community? Who most needs them?
Are people taking advantage of services that currently exist?
What are the communitys significant assets? How can they be strengthened?
Are there forces working against the good of the community that should be
opposed? (You probably wouldnt be asking this question unless you thought there
were, and had some idea who or what they might be.)
Who ought to be involved in a prospective coalition or initiative?
CHOOSE THE METHOD BEST SUITED TO FINDING THE INFORMATION
YOURE LOOKING FOR.
If you want to learn about peoples public behavior, you would probably use direct
observation. Observing mothers and children in a clinic waiting room, for example,
might give you information about the mothers anxiety levels or child-rearing
practices.
If you want to know peoples opinions or how they feel about issues, some type of
interview would be appropriate.
Once youve chosen the right method, its important to carry it out properly. Be aware
of what you can do with the resources you have. You cant conduct thousands of
interviews in a large city, for instance, without considerable money. If youre a cashstrapped nonprofit, you might look for a grant to fund your interviews, or you might
confine your assessment to one neighborhood. Perhaps youd mobilize volunteers to
conduct interviews, or interview groups rather than individuals. Its better to do a
limited community assessment well than a large one badly.
In choosing your method, be aware also that, in some cases, quantitative methods
may be more appropriate and more likely to tell you what you want to know.
CHOOSE THE PEOPLE WHO WILL GATHER THE INFORMATION, AND, IF
NECESSARY, TRAIN THEM.
With qualitative methods, where contact is often personal, the question of who
carries them out can be very important. Academics or others who are perceived by
community members as the other, whether because of their behavior, their speech,
or simply because theyre outsiders, may find it hard to gather accurate and
complete information from a population thats very conscious of class or cultural
differences. Often, it makes more sense to train members of the population or others
who are known and trusted by or at least familiar to, in their behavior, dress, and
speech those who are being asked to contribute their opinions and observations.
Data collectors should be fluent in the language and culture of those they are
interviewing. If youre assessing commercial activity in a Hispanic neighborhood,
youll miss most of whats really happening unless you understand both the Spanish
language and the normal ways in which Hispanic (or Dominican or Mexican or
Puerto Rican) customers and merchants relate to one another.
If you recruit members of the community or of a specific population to do qualitative
information gathering because they relate to the population better, because they
speak the language, because youre engaged in a participatory effort, or simply
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because you think theyll be good at it you should provide them with training to
make sure that the results they come up with are reliable. Depending on what kinds
of methods theyll be using, some of the elements of a training might be:
What to record and how: It may not be obvious how important it is to record the time,
place, details, and circumstances of an interview, observation, focus group, or larger
meeting It may also be necessary, depending on a trainees experience, to learn to
use a tape recorder or video camera, and/or to learn how to take efficient notes
without losing the thread of the conversation or missing important points in an
observation.
Interview techniques, as well as exactly what purpose an interview serves, and how
it fits into the larger assessment picture. The more clearly an interviewer
understands not just what to do and how, but why shes doing it, the better shes
likely to be at drawing out the information shes seeking.
Observation techniques: As with an interview, an observation will be far more useful
if the observer understands not just what to do and how to do it, but exactly why hes
doing it, and how it will be used.
Training in other methods: Focus groups, for instance, require specific skills and
techniques.
Training in how to think of themselves as researchers: Like those engaged in
community-based participatory research, information gatherers should understand
how researchers operate. Objectivity, attention to detail, curiosity, and the
continuous processing of information in order to generate the next question or
observation are all part of the investigative mindset, which they should be
encouraged to develop.
DETERMINE FROM WHOM OR FROM WHERE YOU NEED TO GATHER
INFORMATION.
It may be that you want to hear from all sectors of the community, but some issues
or circumstances demand more specific informants. Some possible interview
subjects may be public officials, members of a specific population or cultural group,
people from a particular geographic area, or people with certain characteristics
(parents of young children, individuals with disabilities, males 18-24, people with high
blood pressure).
Knowing whom you need to ask extends to any method in which you talk directly to
people focus groups, large community meetings, etc. Focus groups used by
marketers are chosen extremely carefully, for example, with age, gender, income,
place of residence, and even such factors as favored leisure activities considered.
Observation may or may not involve people. If it does, the question may not be
whom you want to observe, but rather what activity or situation you want to observe.
If its general what kinds of street activity take place in various neighborhoods, how
people use a public park its not necessary to focus on a particular population, but
rather on the place. If its more specific back to commercial activity in that Hispanic
neighborhood youll need to be in the right place at the right time.
GATHER THE INFORMATION.
Now its time for you or the people youve chosen to go out and collect the qualitative
information you need.
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INTERVIEWS
As mentioned above, interviews can be structured or unstructured. In a strictly
structured interview, the same questions in the same order are asked of everyone,
with relatively little room for wandering off the specific topic. Semi-structured
interviews may also be based on a list of specific questions, but while trying to
make sure that the interviewee answers all of them the interviewer may pursue
interesting avenues, or encourage the interviewee to talk about other related issues.
An unstructured interview is likely to be more relaxed more like a conversation than
a formal interview.
There are advantages and disadvantages to each approach. A structured interview
may make the interviewee focus in on the questions and the interview process, take
it more seriously, and thus provide excellent information. Because everyone is
interviewed in the same way, a structured interview may be or at least may look
reliable. It may also make an interviewee nervous, emphasize the differences
between him and the interviewer, and lead to incomplete or less-than-truthful
answers.
A semi- or unstructured interview may allow the interviewee to be more relaxed, and
thus more forthcoming. It also leaves room for pursuing a topic thats not directly
related to the formal list of questions, but that might be important or even crucial. At
the same time, because it can be far-ranging, a semi- or unstructured interview
particularly one that doesnt start with a list of questions is, or appears, less reliable
than a structured one. It also, in the hands of an inexperienced or indecisive
interviewer, may allow an interviewee to get sidetracked and never get back to the
original questions.
What kind of interview you use depends on the nature of the information youre
looking for, the needs of the people youre interviewing (e.g., whether comfort is
more important than structure), and your own comfort. The author has conducted all
three types of interviews, and has found that semi-structured interviews having
clear questions and goals for the interview, but conducting it in an informal way, with
room for pursuing tangents and some simple friendly conversation is generally
productive. The following guidelines for interviewing reflect that view.
Ask the interviewee to choose the space. You might give him a range of suggestions
his home or workplace, the office of a human service agency, a neutral space,
such as a caf or a park and go with his choice. The more comfortable he is, the
better and more informative the interview is likely to be.
Choose your clothes for the comfort of the interviewee. In general, your clothes and
hers should be similar: if shes in jeans and a t-shirt, you shouldnt be in a suit; if
youre interviewing a business executive at her office, you should be wearing a suit.
Clothes send powerful messages, and the message you should be sending here is
Were from the same planet; you can talk to me.
Talk beforehand with the interviewee if youre planning to tape record, photograph,
or videotape the interview. Get permission before you show up with equipment Its
common courtesy, and its less likely to start the interview off awkwardly.
If the results of the interview are likely to be published, even if the interviewee will be
anonymous, you might want to get a signed informed consent form, indicating that
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the interviewee understands the purpose of the interview, and gives permission for
the material to be published or used in other ways.
Record carefully the time, place, circumstances, and details of the interview. This
includes a description of the location (the neighborhood as well as the space, if
youre interviewing a community member), other people present, any distractions
(kids, pets, TV), other factors influencing the interview or the situation. Include a
general description of the interviewee (married Hispanic woman, age 25, three
children aged 6, 4, and 1).
Think out and frame your questions carefully, and ask directly for the information
youre seeking. Memorize your basic questions (not necessarily word-for-word, but
know what they are), so that you refer to notes as little as possible. Make your
questions clear and unambiguous, so that questions arent vague or difficult to
understand.
Ask open-ended questions. These are questions that require an "essay" answer,
rather than a yes-no response. For example, instead of asking "Did you enjoy being
in the program?" you might ask "What was participating in the program like?" Try to
give people the chance to answer as fully and thoughtfully as possible.
Probe. Ask follow-up questions to get at what people are really saying, or to keep
them talking about a topic. ("Why did you like it when the teacher asked your
opinion?") Don't be afraid to pursue what may seem to be a sidetrack. Sometimes
the best or most important information lies off the beaten path.
Some interviewees can manage one-word answers to nearly any question. They
might answer "What was participating in the program like?" with Good. Dont be
afraid to probe these answers. What does that mean? or How was it good? might
get you a flood of information. If it gets you another one-word answer, keep probing,
unless you sense that the person is getting angry or frustrated. Then its probably
time to move on to the next question, and hope that therell be an opportunity to
return to this one for a fuller explanation. But be aware that some people are simply
quieter or less reflective than others. You may never get much more than oneword answers from them.
Don't cut people off too quickly. Their stories, or what you can read between the
lines, may give you information as important as what they tell you directly.
At the same time, be aware when theyve strayed too far from the topic. Theres a
Mark Twain story that consists of the voice of a man telling an anecdote about a
three-legged dog. Every other word reminds him of something else another story
and he gets continually sidetracked, never finishing the story of the dog, or any of the
others, either. Beware the Curse of the Three-Legged Dog: gently but firmly direct
people back to the topic if they get too far afield.
Confirm what you're told by checking with others to the extent that you can.
Remember that you're getting people's perceptions, which aren't always the same as
objective reality. In Rashomon, a film by the great Japanese director Akira
Kurosawa, an incident is described from the perspectives of four participants, each
of whom sees it totally differently. In fact, the phenomenon of Rashomon lurks
everywhere; get everyone's side of the story.
Group interviews are both similar to and different from individual ones. The basic
guidelines being clear what youre asking, open-ended questions, probing, etc.
still hold, but the group brings its own dynamic to the situation. The interview
becomes more of a group discussion, and the interviewers concerns must extend to
making sure that everyone gets heard, reining in individuals who dominate the

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discussion, and keeping the focus on ideas and information, rather than
personalities.
As with other methods, group interviews have advantages and disadvantages. The
former include using the energy of the group to generate more information than
might otherwise be forthcoming. Members may stimulate one another to come up
with more and more useful material, as their thinking is prodded by the memories
and conclusions of others. They can also act as a check on the accuracy of the
information provided. In addition, the presence of other, often familiar, interviewees
may help to break down shyness or nervousness, and create a relaxed atmosphere
in which everyone feels comfortable talking. (The skills of the interviewer at making
people comfortable at least partially by being comfortable herself are important
here.)
With these potential positives come the possible negatives of conflict, antagonism, or
dislike among group members, as well as other negative feelings or history that can
disrupt or twist discussion and make an interview all but useless. There are also
problems that can arise from members of the group being too friendly: they may
spend too much time in chit-chat, and have trouble focusing on the questions at
hand.

Group interviews may be useful when resources and, as a result, interviewers

are limited, or when there are a large number of people who should be, or would like
to be, interviewed. Groups probably shouldnt be much larger than five or six, and
interviewers should have, or be trained in, basic group facilitation skills.
OBSERVATION
What do we mean by observation? For our purposes, there are essentially two
kinds: direct and participant observation.
Direct observation is the practice of examining or watching places, people, or activity
without interfering or taking part in whats going on. The observer is the proverbial fly
on the wall, often unidentified, who does nothing but watch and record what she
sees and/or hears. A direct observation to see how people use a public park, for
instance, might consist of one or more observers simply sitting in one place or
walking around the park for several hours, or even several days. Observers might
come back at different times of day, on different days, or at different times of year, in
order to understand as much as possible of what goes on in the park. They might
occasionally ask questions of people using the park, but in as low-key and
unobtrusive a way as possible, not identifying themselves as researchers.
Some kinds of direct observation those where people are observed in situations
they think are private have the potential of violating privacy. In these instances,
ethics generally demands that the observer obtain the permission of those being
observed.
In laboratory schools, for instance, where teachers are trained and new educational
ideas tested, classes are often observed from behind one-way mirrors. In such
cases, both the teachers and the parents of the students are generally informed that
such observation may happen, and are asked to sign consent forms. They dont
know exactly when observation is taking place, but they understand that its part of
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the laboratory school environment, and are willing to allow it in order both to improve
individual teachers skills and to foster the development of better educational
methods.
Participant observation involves becoming to some extent part of the life of the
people youre observing learning and taking part in their culture, their celebrations
and rituals, and their everyday activities. A participant observer in the park above
might introduce himself into the activities he observes a regular volleyball game,
winter cross-country skiing, dog walking, in-line skating and get to know well the
people who engage in those activities. He would also monitor his own feelings and
reactions to using the park, in order to better understand how its users feel about it.
He would probably ask lots of questions, and might well identify himself as a
researcher.
An effective participant observer may take a long time (in some cases, years) to
establish himself in this way. There are exceptions to this rule, of course. Some
marketing firms and corporations employ trend-spotters as participant observers.
Young, hip, and stylish themselves, these observers are able to identify and mingle
with adolescent and young adult trend-setters in brief interactions, and determine
what products, styles, and behaviors are likely to catch on soon with young people in
general. You may able to do something similar, but it helps greatly if youre already
part of the group that youre interested in observing, or if the group, like public park
users, can include anyone.
Both direct and participant observation can be useful in community assessment. A
participant observer in that situation is likely to be a member of the group being
observed, because of the length of time it can take to establish an outsider as a
participant observer. Direct observation is probably more common as an assessment
tool.
Regardless of its type, your observation should be conducted so as to be reliable.
Some guidelines for reaching that goal:

Think carefully about the questions you want your observation to answer. You may
be looking at peoples behavior or interactions in a given place or situation, or the
nature of social, physical, or environmental conditions in a particular place or
circumstance. If youre clear about what you want to find out, you can structure your
observation to get the best information.
Where and whom should you observe to answer these questions? You wouldnt
normally look for evidence of homelessness in the wealthiest neighborhood in town,
nor would you observe the residents of an Asian neighborhood to find out something
about the Hispanic population.
When and for how long should observation take place? Observing commercial
activity downtown on Sunday morning wont get you a very accurate picture of what
its actually like. Youd need to observe at both busy and slow times, and over a
period of time, to get a real idea of the amount, intensity, and character of
commercial activity.
What should you observe and record? That depends on the questions youre trying
to answer, but some basics include:
The physical characteristics of the setting(s), including weather, if outdoors.
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The time of day, week, and year.

A description (age, race/ethnicity, gender, clothing style, etc.) of any people involved.
Clothing reflects the way people choose to present themselves to the world. A
mohawk haircut, piercings, and black clothes represent an attitude and, to some
extent, a world view, not just a fashion statement. The same is true for an expensive
suit, or for an outfit of jeans, wool shirt, and hiking boots. Paying attention to such
details can increase both your understanding and the reliability of your observation.
The activities, events, and/or places or circumstances observed, and a description of
each.
The nature of interactions among people.
Peoples apparent attitudes toward a place, situation, activity, or event positive or
negative, happy, confused, angry, disappointed, etc.
The physical and social (unobserved, detached, participant, etc.) position of the
observer.
At a neighborhood festival, for instance, an observer could be watching from a
window high above the street, from a position just at the edge of the crowd, from
within the crowd and the festival goings-on, as a participant in a festival activity, or
even as a festival volunteer or organizer. What she would see and hear, what she
would experience, and the information she would obtain would be different from each
of these viewpoints.
The observers own responses and attitudes, including the physical and
psychological comfort of the observation. This should be separate from the recording
of the observation itself, and, in the ideal, should not influence the objective
recording of what was observed.
How do you record observations? That depends on the nature of the observation
and on your resources. Video recording, unless its done from a concealed spot, or in
a situation where such recording is expected (a tourist site, or that street festival, for
example), can change peoples behavior or put the observer under some suspicion.
Audio recording is much less obvious, but also provides less information, unless its
specifically sound information that youre seeking. In most cases, recording would be
done with a notebook and pencil or with a laptop computer. If recording during the
observation would be disruptive or out of place, youd probably wait till after you had
left the situation but as soon after as possible, so as not to forget or confuse
details.
ANALYZE THE INFORMATION.
Once youve gathered information by whatever qualitative method, you have to figure
out what it tells you. Some of that will be obvious: if youve been interested in who
uses that public park we were talking about earlier, and your observation tells you
that its mostly young people, you have an answer to your initial question. Your next
questions may be why other groups dont use the park as much, and whether the
fact that its largely used by young people keeps others away. When youve
answered those questions, you may have generated others, or you may have a
basis for planning a campaign to get more people using the park.
MAKE AND CARRY OUT A PLAN TO ADDRESS THE ISSUE OR PROBLEM
YOUVE IDENTIFIED OR WERE CONCERNED WITH.

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The final step here is to use the information and analysis that came from your use of
qualitative methods to change the community for the better. All the assessment in
the world is useless if it doesnt lead to some action thats meant to create positive
change.
IN SUMMARY
Qualitative methods of gathering information methods such as interviews,
observation, focus groups, and community meetings that dont always yield results
that can be reduced to numbers, or that are used to capture a level of information
difficult to get with quantitative methods are often extremely useful in community
assessment, especially when used together with quantitative methods, which do give
numerical results. Qualitative methods can get at the things that numbers dont, such
as the reasons for peoples actions, or community history. They can help to identify
community issues and needs, and provide a basis for planning community efforts
that lead to long-term change.
Creating and Using Community Report Cards
The citizens of River City were concerned about their children. For some
particularly the parents of kids in trouble or failing in school the concern was very
personal. Others educators and human service professionals were involved
through their work. But regardless of their connection, they were united by a
common purpose: to improve conditions for River Citys children and youth.
Some of the professionals were worried about a recent drop in the rate of
immunizations. Working parents fretted about finding high-quality, affordable day
care. And professionals and parents alike knew that teens needed more safe places
to gather and more things to do.
How could the citizens of River City express their separate but related concerns in a
way that would prompt positive action toward solving some of these problems? As
members of various groups began to come together and recognize their common
goals, they decided they needed two things: a report on where things stood at the
present moment, and a way to frame the agenda for action.
Communities often need to call attention to a growing problem or issue, or simply to
monitor their efforts to improve their quality of life. Preparing a report on the current
situation and setting goals for improvement are steps that can be taken to alert
citizens to the fact that an issue exists, and to gain support for action. This section
explains what community report cards are, and how they can be used to create
community change.
WHAT IS A COMMUNITY REPORT CARD?
Like its model, the academic report card, a community report card is a tool for
reporting progress or lack of progress toward a community goal. Weve all had
experience with report cards, so we know this news sent home from school can
mean a time for rejoicing or one for dismay. Academic report cards can prompt
celebration or a new resolve to work harder and smarter. Similarly, the community
report card can be an effective tool for both taking stock and prompting action.

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In addition to the information contained in the report card, it is also an important act
of communication between sender and receiver. Whatever the news, there is bound
to be a response if the recipient is truly involved. This is the main value of report
cards, in both the school and community contexts.
Even a straight-A student needs encouragement and new challenges. For students
(or communities) whose grades are less than stellar, a constructive response is most
needed, one that moves beyond blame or upset to a search for ways to improve the
next report card and, of course, to increase learning, not just grades. As a parent in
this situation, you might work with your child to set goals, devise a plan to improve
her study skills, and increase communication with her teacher. As a community
member, you could undertake or encourage the same type of problem-solving
responses.
The second purpose of the report card, beyond providing information, is to direct the
progress of continued problem-solving efforts toward a goal. We generally know
what is involved in the curriculum that a child in public school is expected to master;
for a community report card, however, the goals must be defined and clearly stated.
A community might be working on any number of subjects, so its report card should
evaluate areas and goals that residents agree are important and desirable. These
might include, for example, more affordable housing, safer neighborhoods, and
expanded employment opportunities for teens.
The process of preparing a report card can actually help citizens identify their
priorities and objectives. In River City, the goals that were eventually set as
standards for the report card included 100% immunization by age four, increased
day care options, and a new recreation center for teens.
Finally, it is important to remember that the report card is only the messenger. The
people on the giving and, ideally, those on the receiving end of a community report
card must be the agents of change. If youre reading this, you are most likely in the
first category taking on the role of community grader, evaluator, or reporter.
Therefore we emphasize throughout this section a question you and your
collaborators should answer before you create a community report card: What is
your purpose?
WHY MIGHT YOU CREATE A COMMUNITY REPORT CARD?
For a community report card to be useful, you must first understand its purpose.
What do you want to accomplish with a report card? What will you grade, and why?
To whom will you communicate the grades, and why?
Of course we hope that all community members will respond constructively to an
undesirable report card grade. But if youre part of the group that is sending that
report card home to the public or some specific audience, chances are good that
you are also the one who must, in some way, drive the response to the report card.
These are some of the common (and usually related) reasons and occasions for
creating a report card. Your effort might have others.

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To communicate the facts of a situation to your own group or a wider audience

To interpret the facts
To raise awareness of an issue in the general public or more specific audiences
To define goals
To prompt action
To influence policy
To help make a case for a new initiative
To be accountable to those you serve
To hold others accountable
A one-time or occasional report card might help call attention to your issue, for better
or worse. If you arent sure exactly where youre headed, a report card could even be
used as an organizing tool, helping you discover what the communitys greatest
needs are. But if you intend to use the report card to track change and progress over
an extended period of time (months at least, and usually years), make sure you
consider the extensive data gathering that is required before you begin.
If you integrate the report card into your mission, strategic plan, and objectives,
however, it will not necessarily create more work, and may offer the advantage of a
clear reporting format.
The Partnership for Children Report Card on the Status of Children in Metro Kansas
City, Missouri
From 1992 to 2006, the Partnership for Children in Kansas City, Missouri produced
an annual Report Card on the Status of Children in Metro Kansas City.
Jim Caccamo, Executive Director, stressed the importance of the first step: clarifying
the purpose of your report card. The Partnerships report card was intended to
encourage community actions to improve children's lives and to raise new voices on
behalf of children. It was also used as a public relations tool to demonstrate to the
community that their hard work was beginning to make a difference for kids.

Other communities, Caccamo notes, may want something more like a Kids Count
data book, which presents research of a more academic type. Either way, it is crucial
to determine what you want to accomplish at the beginning.
The Partnership's Report Card focuses on five categories to summarize the well
being of children and youth:
Safety and Security
Health
Early Education
Education
Teen Years
The Report Card states: Our goal is that the report card will provide the Greater
Kansas City community with information on the well-being of our children and youth
in each of the benchmarks examined. With such information, citizens, policymakers,
civic leaders, and philanthropists can be more fully educated about the needs of
children and youth in order to take appropriate actions on their behalf.

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The 2006 Report Card & Data Briefing is a great example of a community report
card; their graphic presentation communicates clearly, but also raises additional
questions. For those who want to understand more fully the measurements behind
the grades and the needs of children and youth in the area the Partnership
provides additional levels of detail and information, including:
Explanation of benchmark choices (items widely regarded as good measures of
children's well being)
Explanation of trend analysis
Explanation of how grades are assigned
Information about 2010 goals
A full data appendix
To make sure communication is clear even on the simpler issues, it also defines the
letter grades (A = Excellent, B = Good, C = Needs improvement, etc.).
Additionally, each annual Report Card featured an Honor Roll to recognize
individuals, businesses, and organizations that made significant contributions toward
improving conditions for children and youth in Kansas City.
Each year when the report card was completed, the Partnership for Children sent
print copies to change agents, including social service agencies, school
superintendents, early education practitioners and advocates, health care providers,
policymakers, influential citizens, and grant funders. The coalition also held a press
conference to announce the grades for the year and the implications for work
needed, and published the full report on its website.
It makes sense for schools to use a report card, but why should your group or effort
use this type of communication instead of some other reporting method? The
community report card format has several advantages:
People understand it. Most of us have experience with report cards, and therefore
the language of grades communicates to a broad base of people.
Selection of a few key issues or categories helps focus attention for problem-solving.
Report cards effectively communicate a general message, yet allow for more specific
levels of detail to be expressed.
WHAT ARE THE COMMON ELEMENTS OF A COMMUNITY REPORT CARD?
Your purpose will dictate the information included in your report card. The essential
questions about purpose come into play again here: What does your group or
coalition want to accomplish by grading the community? To whom will it
communicate, and for what reason?
That said, most report cards include the following:
A statement of purpose, possibly with a call to action
The report card itself
Explanations of chosen indicators and benchmarks (discussed below)
An objective measuring system that can show progress toward stated goals
The essentials, of course, are the grades and the subjects. For a community report
card, those subjects, major categories, or areas of concern are usually called
indicators.

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While people might agree that child health is an important indicator for the health of
their community, they might not agree upon or even understand the details and
complexity of that indicator. Child health might mean immunization to one person,
while to another it refers to dietary habits.
So a report card also needs to include an explanation of its indicators an outline,
essentially, of the main points involved in this subject. These are usually called the
benchmarks for an indicator the specific areas you are measuring and evaluating
to produce a grade. (In the academic model, you might think of these as the
individual quizzes, papers, and exams that comprise a final course grade.) A
community report card should at the least name and itemize these indicators. Many
report cards go further to include detailed explanations of how the indicators were
measured, the context for the data gathered, and the grading methods used.
The following example illustrates the scope and depth that a community report card
project can entail:
Pathways 2020 Cowlitz County Community Report Card 2010
Since 2000, Pathways 2020, a non-profit organization dedicated to improving quality
of life in Cowlitz County, Washington, has been issuing Community Report Cards.
According to their website, Community Report Cards serve as a guide for local
government and agencies in developing responses to public health disparities in the
county. It [is] vital for Pathways 2020 and others to focus on a few key issues in
order to maximize successful outcomes. Pathways 2020 concentrates on promoting
healthy life styles, enhancing education opportunities, and supporting families as
their target areas.
The initial Cowlitz County Community Report Cards used the guidelines of Healthy
People 2010, and the release of Healthy People 2020 prompted a review of
Pathways 2020s goals. Healthy People 2020 goals are often a 10% or 20%
improvement over the current rate, and Pathways 2020 feels that this approach
provides realistic, achievable goals that encourage action, and revised their goals
similarly.
Grades for each indicator were determined based on three factors: trend over the
years, comparison to Washington State, and progress towards the revised Pathways
2020 goals and, if applicable, the national Healthy People 2020 goals.
The Cowlitz County 2010 Community Report Card has 6 main areas that it
concentrates on, with several individual indicators for each.
Healthy Lifestyles:
Healthy Weight
Life Expectancy
Mortality Rates
Smoking While Pregnant
Childhood Immunizations
Suicide Rates
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Sexually Transmitted Infections

Adult Smoking Rate
Economy
Housing Wage
Median Household Income
Unemployed Workforce
Affordable Housing
Education

Early Childhood Education

High School Dropouts
Education Beyond High School

Families
Domestic Violence
Child Abuse and Neglect
Families in Poverty
Teen Pregnancy
Adults With Health Insurance
Elder Fatal Falls
Community
Alcohol and Drug Related Deaths
Crime Rates
Registered Voters Who Voted
Environment
Recycling
Foodborne Illness
Asthma
For each of the indicators, they include a grade A, B, C, D, or F, as well as graphs
and a brief write-up detailing the circumstances in Cowlitz County for each issue.
For each of the broad categories, the Report also includes a Call to Action section,
with suggestions for action at the individual, community, and policy-making levels.
Additionally, they feature Making an Impact box inserts for selected topics, detailing
recent improvements in that area in Cowlitz County.
The Cowlitz County Community Report Cards are an excellent example of a
thorough assessment of community indicators, written in accessible language, with
helpful, specific actions for individuals, the community, and policy makers to take to
improve current conditions.
HOW DO YOU CREATE A COMMUNITY REPORT CARD?
All of the steps involved in producing a report card have a who component, which
well discuss as they arise.

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The most important and perhaps most difficult step is the first one, which should be
repeated throughout the process.
DECIDE WHAT YOUR PURPOSE IS IN PRODUCING A REPORT CARD.
Form a working group to determine what you want to communicate, to whom, and for
what reason. Take the time to agree upon your purpose for producing a report card,
and keep this purpose in mind throughout the effort. Would a research report
accomplish your goal as well, or even better? Why is the grading format the best way
to communicate your message and motivate action?
All major partners in an effort should be involved in this decision. If the report card is
right for you, the process of discussion will also yield the general plan for the project.
To understand your purpose, consider the major elements of the report card.
What do we want to grade? Why?
Who needs to know these results? To whom will we communicate, for what reason?
What do we hope our audience will do, say, or think as a result of this information?
As discussed above, the Partnership for Children used its report cards as a public
relations tool to demonstrate to community members how their hard work is made a
difference for kids and also to highlight areas where more work was needed. While
the Partnership knew that policymakers, school superintendents and other
professionals would be interested in their report card, another goal was to reach new
groups and raise new voices on behalf of children.
Population Connections Kid-Friendly Cities 2004 Report Card provided information
on 239 cities in the U.S. with a population of more than 100,000, grading them on
population, health, education, public safety, economics, environment, and
community life. Its producers say the report card is not a relocation guide. Rather, it
is a tool for change, providing information that concerned citizens can use to identify
conditions that need improvement in their communities.
Review existing models before you begin. Kansas Action for Children, Inc., based in
Topeka, Kansas, adopted the grading system used by its neighbor in Kansas City,
Missouri, the Partnership for Children. If a good thing has been developed and
tested, borrow it!
SET A TIMELINE FOR YOUR PROJECT THAT RELATES TO YOUR GOALS.
For a report card to be most meaningful both as a report and a call to action it
needs to track change over a significant amount of time.
A timeline is usually integral to defining your benchmarks. While a particular group
might use a one-time report card to call attention to its issue, for most a meaningful
amount of time will mean years. A report card project will likely require long-term
commitment and planning.
DETERMINE THE ESSENTIAL ACTORS AND ACTIONS.

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Once you know why you want to produce a report card, the questions of who and
what will unfold together. Well elaborate on these items in the specifics steps that
follow.
Who will be involved in and responsible for the producing the report card?
Who will fund the effort?
Who will determine the benchmarks or indicators for grading?
Who will develop the measurement system?
Who will collect the data?
Who will determine the grading system and assign the grades?
Who will interpret the grades and data for the public?
Who will write the text and key messages that accompany the grades?
Who will produce the print and electronic versions?
Who will publicize the report card, to whom?
Who will follow up with the resulting plans and actions?
Most report cards are produced and funded by coalitions that organize around a
common issue. If you can join forces with other groups that share your concerns, you
will probably have greater resources in terms of person power and funds.
A collaborative effort not only widens your perspective, but also usually gives you
access to more information and research, better funding options, and a larger
potential audience.
IDENTIFY INDICATORS RELATED TO YOUR GOALS.
Knowing your purpose will help you decide what to measure. Are there certain
indicators or goals that everyone in the community agrees are important? Generally,
all members of the initiative and community representatives should be involved in
this stage of a comprehensive effort. Consult local experts as well. Find consensus
on the indicators that truly indicate your issues of concern and the impacts you seek
to have.

Choose data points that people care about, and resist the temptation or pressure to
choose too many. You cant measure everything. Members of your initiative should
decide what the significant items are, and make a realistic assessment about your
ability to collect the relevant data.
If you grade the community on more than five or six indicators, your message may
be diffused. (Remember the school model even the best students study only a
handful of subjects at time. There are exceptions, of course, and good reasons to
rank more categories, as the American Society of Engineers do in their infrastructure
report card.

Start with a few key indicators. Dont overextend. You can branch or subdivide later.
Phrase your major categories in simple language that people can easily understand.
Selecting Indicators: Some Ideas from Existing Programs

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The Partnership for Children, as illustrated above, chose to grade five broad
categories that influence the well-being of children: Safety and Security, Health,
Early Education, Education, and Teen Years.
What do your report card users want? The Kid-Friendly Cities Report Card
determines its indicators in part by responses from readers. Radhika Sarin, the
principal researcher, says: In the past, we received many comments about the
importance of intangibles. Is there a feeling of community in a city? Are the people
friendly? How diverse is that city? What about culture? Intangibles, as one youngster
said, reflect how much fun I have! That led to a new Community Life category.
Like academic report cards, most community report cards grade only a handful of
subjects. The Government Performance Project grades four main areas in its
Grading the States report cards: financial management, human resources,
information technology, and capital management.
In contrast, some projects that are titled report cards are really more similar to
annual reports. Compare the different perspective on the city of Philadelphia
presented in the Federal Reserve Banks 2011 Greater Philadelphia Chamber of
Commerce Economic Outlook Survey. This report does not issue grades, but does
provide extensive charts, graphs and other data to explore the factors behind the
relatively slow job growth in the region.
If you want to use a report card, take advantage of the common language and
experience most people have with grades to communicate your message.
IDENTIFY BENCHMARKS FOR EACH INDICATOR THAT ARE MEANINGFUL AND
MEASURABLE.
It will probably be fairly easy for your group to agree on broad areas or goals for your
indicators, such as a healthy environment for all children. Agreeing on the individual
benchmarks within each broad category, however, might be more difficult. Many
specific items contribute to the health of children, including immunization, smoke-free
environments, and prenatal care.
Keep your purpose in sight. You cant please all parties, so dont be surprised and
be ready to hold your ground if constituents or advocates for a particular issue
pressure you to include different or additional measures. You need to draw the line
somewhere on benchmarks, and need to determine which are most applicable to
your category.
For example, local high school principals might not be happy with the use of ACT
scores to grade their schools performance, but parents consider them meaningful.
Again, consider your purpose in weighing options. Choosing benchmarks often
means choosing between audiences. If you have decided to use a particular
benchmark for certain reasons, dont feel obligated to substitute or add those
suggested by specialists in a particular field.
Equally important, make sure you choose benchmarks that can be measured in
some definable way. And even if measurement is theoretically possible, make sure it

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is actually possible. Do you have the resources or ability to measure or access data
on the benchmarks?
It is important for your benchmark data to be reliable in order for your report card to
be credible.
Selecting Measurable Benchmarks
For each of its major indicators, the Partnership for Children included at least three
benchmarks that are widely regarded as good measures of children's well being.
Data is collected for each of these benchmarks, then the data is calculated according
to a set formula to produce the score for each category. The five major indicators are
listed in bold face, with measurable benchmarks listed below each:
Safety & Security
Violent Crime
Child Abuse & Neglect
Childhood Injuries
Free/Reduced Lunch
Health
Prenatal Care
Low Birth Weight
Infant Mortality
Immunizations
Early Education
Quality
Workforce Development
Workforce Stability
Access to Services
Education
School Readiness
Achievement Scores
High School Completion
Teen Years
Teen Births
Alcohol & Drug Use
Teen Homicides
For each indicator, there are probably a dozen other possibilities. Lead poisoning,
obesity, and suicide are all important factors in the health of children, but the
Partnership selected benchmarks that it felt best indicated general health.
Over the lifetime of a report card project, be careful to keep the same major
categories or data points. If you need ideas on significant and measurable
categories, the National Directory of Community Health Report Cards contains an
appendix with sample indicator sets from communities around the U.S.
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DETERMINE YOUR GRADING SCALE AND SYSTEM.

Its important to use a grading scale people understand, and to devise a system that
is sensitive to small movements so the grades can change. You want to be able to
show small gains.
The Partnership for Children adopted a 4.0 scale for its 2001 report card (A=4.0,
B=3.0, C=2.0, D=1.0), after using a percentage scale on previous report cards (9080-70-60). Donna Peck, Vice President of Communications, explained the change:
After meeting with our Data Advisory committee, we decided to switch to a 4.0 scale
because that is whats used in most area high schools and universities. It's a small
change, but we are finding that people like it better and it needs less explanation.
The Partnership also simplified its formula for calculating grades so people who were
interested in looking at the expanded data would have an easier time understanding
how the grades were figured. A committee of data experts developed the formula.
The Partnership provides a full data appendix, along with explanatory text for each
benchmark. For example, in the health category, this detail is provided:

Benchmark: Low Birth Weight

In Greater Kansas City, 7.4% of babies born during 1999 weighed less than 5.5
pounds, which means they are at greater risk for medical problems. That percentage
was down slightly from the previous year and was just below the national figure of
7.6%. Year 2010 Goal: Decrease low birth weight rate to no more than 5% of all live
births
COMPILE THE DATA FOR YOUR INDICATORS AND BENCHMARKS, THEN
TRANSLATE INTO A GRADE BASED ON YOUR PREDETERMINED SYSTEM.
The nature of your organization or coalition, your funding, and other factors about
your effort itself will determine who gathers the data. For complex report cards, this
is usually a designated person inside the effort or someone who is hired for this
specific purpose. That person or persons should be familiar with relevant data
sources (local, state, national or even international, depending on your project).
If possible, its best to use an independent or third party data collector because an
objective person has no vested interest in making your effort look good. A third party
collector confirms the objectivity of your effort and protects you from charges of
cooking the books.
If you cant afford a consultant, volunteers could help in this step. Perhaps a member
of your board has expertise working with statistics. Maybe a local marketing firm will
donate its services to compile results of a citizen survey, or perhaps one of your
volunteers can conduct research at the local health department. The main point is to
be consistent in collecting accurate, reliable data.
Some things are difficult if not impossible to measure, but once benchmarks are
chosen, you can define the category in some measurable way. Its new Community
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Life category seemed difficult to measure, but Kid-Friendly Cities decided to collect
information on two important aspects of childrens lives: libraries and parks. Their
note here points out that data collection can be a tedious process: Although this
data was difficult to obtain (the only way we could find out about parks was by
making, literally, hundreds of phone calls), we felt it was important for understanding
childrens lives outside of home and school.
Be prepared to encounter and explain problems with limited data. Heres another
example from the Kid-Friendly Cities Report Card:

For nearly a decade now, we've been pointing out the lack of environmental
monitoring under regulated standards and procedures. Water monitoring is one
example. The Safe Drinking Water Act (SDWA) requires all public water systems to
monitor water quality for coliform bacteria, contaminant levels, and water treatment
chemical byproducts. Unfortunately, SDWA violations are self-reported, and not all
cities monitor and report violations with equal frequency. It is difficult, therefore, to
make accurate comparisons between cities' water quality because some cities either
fail to examine water quality or fail to report violations.
PRODUCE THE REPORT CARD.

Create print and, if desired, electronic versions, communicating clearly with text,
design, and graphics.
Easier said than done, of course. This includes:
Writing explanatory and interpretive text, including the talking points for publicity
Designing and producing print and (if possible) Internet report cards
The text that accompanies your data offers your group a chance to interpret the
grades and statistics and frame the agenda for continued action. This is where you
can focus your message. Emphasize the areas of greatest progress and those that
need most work.
This is also where you can explain your grading system what it means and how
you calculated the grades. Does an A equal 90% and above, or 80%? How does the
formula for compiling data translate to grades? Its easiest to work with common
assumptions, so unless you have a good reason to do otherwise, stick with the
accepted definitions, such as: A Excellent, B Very Good, C Average or Fair, D
Needs Improvement, F - Failing.
Whatever you do, spell it out clearly, and make sure your text clarifies your graphics.
Visuals such as graphs and charts are effective ways of presenting the big picture,
while your text can add detail, explain, and answer questions. If youre measuring
your community against other cities or neighborhood districts, a chart will illustrate
the results, while your text will explain what these grades mean in terms of your
goals.
Whether or not you can afford a designer, make sure your graphic design
communicates as clearly as your words. In both areas, make decisions that dont

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overwhelm or confuse the reader. The value of a report card (especially if its a
public relations tool) is partially in its simplicity.
In your print and web page design, clear communication means avoiding the
Everything but the Kitchen Sink temptation i.e., refrain from overusing images,
clip art, and multiple fonts simply because theyre available. If youre using a
professional designer, these issues may not be pertinent, but sometimes designers
de-emphasize important text in pursuit of a graphic look. So be attuned to your
readers perspective when you review and approve design as well as text.

HOW DO YOU USE A COMMUNITY REPORT CARD?

Heres the key point again: Your use of the report card is embedded in your purpose
for creating it. Why do you want the report card results?
In most cases, a community report card is intended to be a catalyst for action and
further improvement. If you are measuring yourself against yourself, your next steps
will be fairly clear. If you want to know how your group or initiative measures up
against others, youll need to discuss the meaning of comparison in the early stages.
The report card speaks for itself, but you should also focus and craft the message
you want to emphasize about the results. Sometimes a dismal grade makes your
agenda very clear. This was the case in Kansas, when a grade of D for Child Care
on the 2001 Kansas Action for Children report card made it clear where effort was
needed.
PUBLICIZE AND DISTRIBUTE THE REPORT CARD.
News releases, a press conference, direct mailings, personal visits use every
method you can to get your report card in front of the specific people and groups
who should see it, as well as the general public.
The Partnership for Children publicized its report cards every fall with a press
conference. Donna Peck notes that TV stations often produce 45-second stories, so
the Partnership recognized this and offered segments to fit that format usually a
reaction to one of the grades. And the Partnership representatives came to the press
conference knowing what they want to emphasize: typically one big improvement
and one negative grade where work is still needed.
TELL PEOPLE WHAT THEY CAN DO.
Your purpose is key here once again.
The Cowlitz County Community Report Card includes a Call to Action section, with
suggestions for action at the individual, community, and policy-making levels.
Additionally, they feature Making an Impact box inserts for selected topics, detailing
recent improvements in that area in Cowlitz County, and how to expand on those
efforts.
Kansas Action for Children (KAC) works to advance alternatives by developing state
policy that is family and child friendly. Its report card is a major tool in its

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complementary strategy to paint the picture of children in Kansas by gathering and

publicizing information on child well being.
While KAC uses the report card to advance policy, it also addresses the average
citizen and offers simple advice for how every adult can improve the lives of children.
A briefing book that accompanies the report card offers action tips in each category,
under the heading It Just Takes You to. For example, in the Teen category, it
suggests:
It Just Takes You to.
Really listen
Attend their concerts, games, and school events
Listen to their favorite music with them
Get to know their friends
The American Society of Civil Engineers report card on Americas infrastructure is
meant to help people around the U.S. identify ways to encourage maintenance and
repair of the infrastructure. The website urges people to help resolve the situation
where they live in these ways:
You can send a letter to your elected officials supporting infrastructure investment.
On the ballotvote YES on bond issues for schools, roads, and other infrastructure.
Send a letter to the editor of your local newspaper about infrastructure concerns. Its
especially effective if you refer to a recent article written about your local
infrastructure. Invite legislators to forums such as this one to talk about the concerns
you have about your local infrastructure. These are just a few things you can do to
make a difference. Help Americas civil engineers deliver a shining report card the
next time around.
FOLLOW UP
Continue to call attention to the important grades and the actions you want them to
prompt. Are you providing results to the taxpayers or a funder to whom you are
accountable? Or are you compiling data for the general public to use as they need?
Posting your report card on a web site works well if your purpose is primarily one of
accountability and people will come looking for you.
In 2005, The Philadelphia Inquirer publishes an online Report Card on the Schools
that is a searchable database containing demographics, financial statistics and test
results for the regions school districts, public high schools, and private, charter, and
technical schools. Users can get information on class sizes, SAT scores, teacher
salaries, and other data.
Evaluation of the data, however, is left to the user.
If your purpose is more assertive, continue to publicize your report card with releases
that tie in to current events or reports. For instance, if a case of child abuse is
reported in the local paper, you can call a reporters attention to the report card as a
source of background material. Use e-mail lists, conferences, and other networks to
make people aware of your report card.
UPDATE THE REPORT CARD
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This long-term process of collecting and reporting data might also require you to
change practices, develop new systems, and consider larger issues of coordination
with other agencies or initiatives. Changes like these could be part of the report
cards value to your effort and those whom it means to benefit.
IN SUMMARY
Community report cards measure the status of the health or well being of a
community by grading a limited number of indicators, or key areas of concern to a
community. Report cards are effective public relation tools for informing people about
problems and success in certain areas, and are commonly used to prompt action.
Measurable benchmarks are selected for each indicator and data is compiled on
each to produce a category grade. If your purpose in creating a report card is to
focus problem-solving efforts, you should also summarize and explain the results.
A report card project should cover a meaningful period of time in order for significant
progress or change to be measured. For the citizens of River City, our example from
the beginning of this section, this could mean one report card project folds when the
original goals to improve the lives of children are met, while another report card
project begins to help assess and improve living conditions for the elderly in River
City.
Developing and Using Criteria and Processes to Set Priorities
A community needs assessment is meant to bring to light issues in the community
that need to be addressed. However, its unlikely that all those issues can be dealt
with at the same time. You have to make choices about whats most important and
timely to deal withbut how do you decide what important means? Who gets to
choose, and how? And once those choices have been made, how do you decide on
the ways to address the issues youve identified as most urgent?
If you make those decisions well, your eventual action plan will effectively target the
real needs of the community. In this section, well discuss how you might go about
choosing criteria for deciding which issues are most important to address and for
deciding on the best strategies for addressing them. Well also look at how to
develop processes for doing the choosing that are likely to result in good decisions
and community support for your effort.
WHAT DO WE MEAN BY DEVELOPING AND USING CRITERIA AND
PROCESSES TO SET PRIORITIES?
First, lets define some terms:
Criteria are standards for making a judgment. They provide guidelines for making
decisions. They arent set in stone: the criteria you use for examining a particular set
of issues may be different from those you us for another set, depending on the
community youre aiming at, the conditions that are in place at the time of the
decision, the needs and concerns of the people making the decision, and other
factors.

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Priority is the order of importance in which one thing falls in relation to another. Like
a set of criteria, priorities may change with changes in the community, or with
changes in peoples concerns or knowledge.
When a community assessment has uncovered a number of issues perhaps issues
in different areas, such as health, economics, and racial attitudes developing a set
of criteria for deciding how important each one is to address is crucial to effective
action. Without considering what its standards are beforehand, a planning group may
be reduced to each members intuition or particular pet issue, and descend into
argument and eventual chaos. Thats a worst-case scenario, but any level of
confusion or aimless flailing can be avoided by establishing some agreed-upon
criteria for determining what to tackle when.
There are two sets of criteria needed here. One will provide the guidelines for
choosing one or more issues to work on. The second will help you determine what
strategies and approaches are likely to be most effective in addressing the issues
youve chosen. Well suggest some examples of each in the how-to part of the
section.
The other necessary ingredient for cooking up a successful intervention or initiative
is a decision-making process that will allow a planning group to choose criteria and
approaches rationally and wisely.
In general, the ideal process is participatory and inclusive, involving all stakeholders
those affected by or concerned with the issues at hand and the community at
large. Its best if it includes both people with technical expertise in the relevant fields
health, social policy, employment, etc. and people grounded in the community.
With that mix, criteria are likely to reflect best practices and good theory as well as
real community needs, wishes, and norms.
To ensure community support, the fact that there is an inclusive process, developed
at least in part by input from the participants in it, may be as important as the actual
form of the process.
WHY DEVELOP AND USE CRITERIA AND PROCESSES TO SET PRIORITIES?
It creates a structure that makes setting priorities more systematic and more likely to
reflect the realities of the community.
It helps ensure the most important issues for your community are addressed. Using
a set of criteria and a good decision-making process makes it much more probable
that youll get the priorities right.
It provides an opportunity to involve the community in the effort and to get
community buy-in. Any effort is far more likely to succeed if the community feels
ownership of it and supports it.
An inclusive criteria-setting process makes sure you dont miss anything that only
stakeholders know. Community members, especially those most affected by issues,
may have a clearer understanding of whats important to the community and of which
issues actually have the greatest impact on peoples lives.
Establishing criteria in a structured and inclusive way ensures that the process is an
open one, and that any concerns are raised. It is essential to include those who are
most affected by the problem.
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The process of selecting criteria allows an opportunity to educate stakeholders who

may not have had this kind of experience before about how to make informed,
systematic decisions.
WHO SHOULD BE INVOLVED IN DEVELOPING AND USING CRITERIA AND
PROCESSES TO SET PRIORITIES?
Weve discussed involving all stakeholdersbut just who are the stakeholders?
There are several categories to be considered.
Those most affected by community issues and/or inequities. This category may
include anyone, but most often involves groups with less power and influence.
People of low income
Diverse people and ethnicities, including immigrants
Youth
Seniors
People with disabilities
People living in substandard housing
Those most seriously at risk from or affected by particular health, economic, or social
conditions
Those most seriously affected by negative environmental conditions
Organizations and institutions that serve or otherwise deal with those groups,
including:
Health and human service providers, such as hospitals, welfare agencies, homeless
shelters, and other community-based organizations
Faith communities
The business community, which needs access to a healthy and educated workforce
Schools and post-secondary institutions
Community coalitions
Those charged with carrying out or otherwise implementing proposed interventions,
changes in policies or regulation, or preventative measures. These might include:
Staff of health and human service providers
School personnel
Public officials
Those whose jobs or lives will be affected by interventions, policy changes, or
preventive measures. Some examples:
Police, who may have to respond to more calls
Landlords, who may be required to address substandard housing issues
Medical professionals, teachers, or others
Citizens concerned with the issue(s) at hand, including activists, academics, and
professionals in fields related to the issues or populations of concern.
Local and other funders, such as United Way, state agencies, and foundations.
WHEN SHOULD YOU DEVELOP AND USE CRITERIA AND PROCESSES TO SET
PRIORITIES?
It is ideal to start creating a process to develop criteria for prioritizing issues as soon
as you decide to conduct a community assessment. The process will go more
smoothly if youve discussed and agreed upon criteria beforehand. Having an
effective participatory decision-making process agreed to by community
stakeholders as early in the process as possible is essential.
HOW DO YOU DEVELOP AND USE CRITERIA AND PROCESSES TO SET
PRIORITIES?
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Assemble a participatory group representative of all stakeholders. The first step is to

ensure participation and buy-in from the community by inviting stakeholders and
other interested individuals and groups to constitute a planning group. Check with
group members to make sure that there arent others who should be at the table.
Make sure particularly that those most affected by community issues are
represented, since their voices are the ones most often ignored. If only leaders
directors of organizations, CEOs, public officials, etc. are part of the group, its
likely that the community wont feel ownership of the effort, and that the plan and
intervention that result may not speak to the real needs of the people at whom
theyre aimed.
Involving people who may not be used to being included in planning and
implementing efforts can be time-consuming. They may need training and support
before theyre comfortable speaking up in meetings and realizing that they bring a
valuable perspective. They may also feel uncomfortable about not knowing the
rules that pertain in meetings, and thus not participate for fear of getting it wrong.
With support, however, these folks can become the most valuable members of a
planning group because of their knowledge of the populations they belong to. The
time spent to orient and support them is more than worth it.
For this reason, as well as for the smooth running of the group, it would be wise to
find a facilitator who can relate to people of diverse backgrounds and who has
experience with groups and with planning processes. A skilled facilitators presence
and expertise at guiding decision-making can render the groups tasks both shorter
and more effective.
Identify the interests of various stakeholder groups in relation to the process of
setting priorities and using them to plan the implementation of an intervention or
initiative. Depending on their perspective as health or human service providers, as
part of the population affected by community issues, as public officials, etc. their
interests might have to do with:
The openness and fairness of the process
The use of a democratic process
The creation of a forum where all voices can be heard
The feasibility of the plan and of affecting the targeted issues
The costs of the plan
The use of proven practices
Whether individual or organizational certification can be obtained or enhanced by
taking part in the effort
The involvement of particular organizations or groups
The need for funding or matching funds
The necessity of a plan that will address stakeholders specific areas of concern
The necessity of addressing social determinants
The importance of being respectful of all and of their concerns, even when theres
disagreement
Establish clear criteria for setting priorities for community issues to be addressed.
Through discussion, brainstorming, or another method of generating ideas, the group
should be able to agree on a number of criteria. Some possible examples,
depending on the issues involved and the needs of the community:

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The seriousness of the issue the death of a homeless person due to extreme
temperatures, child hunger, etc.
The frequency of the issue rare, affecting a majority of the community, confined to
a single area, targeting a single population group.
The cost of the issue to the community in dollars, in time spent dealing with it, in
social costs (people afraid to leave their houses after dark, lost productivity from
illness, etc.)
The feasibility of affecting the issue.
The resources needed to address the issue adequately.
The communitys perception of the issues importance.
The readiness of the community to recognize and address the issue.
The long-term impact of the issue.
The long-term benefit of your effort.
The fit of addressing the issue with your organizations vision and mission.
The possibility of an intervention causing unintended negative consequences.
Establish a process for engaging stakeholders and the broader community in setting
priorities for issues to address. Once you have a list of criteria, youll have to decide
how to apply them in determining the priority order of the issues youve identified in
your community assessment. Creating a process for doing so will make for smoother
and more effective decision-making.

Review the criteria and ensure that everyone understands and continues to agree on
them.
Discuss the issues in question, again making sure that everyone understands them
and their implications. Some issues may in fact be eliminated as potential targets as
a result of this discussion.
For each issue, discuss whether an issue is strategic or not i.e., whether
addressing it is feasible, whether it has larger implications, whether it ties into other
efforts, whether addressing it will bring other benefits, etc.
Individually or in small groups, rate each issue in terms of its importance and the
feasibility of affecting it.
Discuss the ratings as a group, examining whether some issues can be consolidated
i.e., considered as a single issue, or as two or more issues that could be
addressed by a single intervention.
Using the criteria the group agreed upon, rank order the issues and select the
highest three to five.
There are a number of ways to do this. One is, after the discussions described
above, to simply list the issues and have the group vote to identify the top choices.
This can be done by a show of hands, or by asking people to write down their
selections and tabulating the results. A common method is to give each person
paper dots often color-coded for first choice, second choice, etc. to stick on the
list of issues. The number and colors of the dots then serve to record the vote and to
identify the issues group members thought most important.
There are a number of more formal prioritizing methods as well. See Tool #1 for
descriptions of five of the most common.
From the top choices, vote on the issue or issues that youll address.
Establish criteria for selecting an approach to address each of your priority issues.
Possible criteria might include:

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Cost-benefit
Feasibility of carrying out the approach
The likelihood that the approach will resolve the issue
The fit of the approach with the efforts/organizations/institutions vision and mission
The fit of the approach with community standards
The compatibility of the approach with efforts already ongoing
Whether the approach is a best or promising practice tried successfully elsewhere
The availability of people with the expertise to carry out the approach or to train
others to do so
The availability of community assets that can be used in this approach
The availability of adequate resources to be effective
The possibility of collaboration or shared workload
Establish a process for selecting approaches. Once again, you have choices to
make. The basic process here is likely to be very similar to the one you used to
choose the issue(s) to work on.
Review the criteria for selecting approaches that you agreed on, and make sure that
everyone understands them clearly and still agrees.
Discuss the possible approaches in terms of their history of success, their fit with the
community context and standards, their appropriateness in relation to your mission,
etc.
Individually or in small groups, rate the possibilities by how well theyre likely to work
and how feasible they would be to implement.
Discuss the ratings as a group, considering whether one or more approaches might
be consolidated or combined.
Rank order and select priorities, using the same method as that used for prioritizing
issues.
From the top choices, vote on which approach(es) to use.
Finalize your choices. Make sure youve considered such factors as what else is
going on in the community, where your resources are likely to come from, who might
best implement the effort, and whether people will have to be hired for the purpose.

Make sure as well that your final decisions are truly agreed-upon and participatory.
As weve discussed, there are likely to be people in the group who have little
experience with this kind of process, and who may be reluctant to speak up,
especially if they disagree with the majority. Yet they may have information or
emotional reactions that are extremely important because of their grounding in the
community. Its essential that the planning groups facilitator makes sure to draw
them out and that the group supports them in speaking out, regardless of the
substance of their comments.
If you are working with more than one issue, try to identify factors that relate to all of
them. You may find that, rather than approaching issues directly, you can be more
effective by directing efforts toward social determinants or root causes that affect
issues upstream. Looking at health issues, for example, a focus on environmental
changes to enhance access to healthy food for all can help reduce cardiovascular
disease and health disparities.
Look for ways in which your issue and approach might mesh with other community
efforts. Look for overlap or ways to share work or collaborate with other efforts. If
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parts of your approach or initiatives aimed at your target are already in place and
successful, make sure youre working together rather than at cross purposes, and
that youre not trying to reinvent the wheel. The more collaborative your approach,
the more likely that everyone in the community will be positively affected.
Be prepared to monitor your effort and change priorities as conditions change.
Communities continue to develop and change, and your effort should change as well
if its no longer addressing the needs that are most urgent and most important to
community members. You can use your criteria and your processes whenever you
think you might need to change direction.
IN SUMMARY
Establishing criteria standards and processes for deciding on what are the most
important issues to tackle and how to tackle them makes those decisions much
easier. It also allows for a participatory planning process from the very beginning of
an effort, thus helping to obtain community support and ownership of the plan for
addressing issues. Furthermore, it supplies a tool that the community can use both
to adjust the implementation of the effort in response to changes in conditions in the
community or in future endeavors.
Using Small Area Analysis to Uncover Disparities
Community assessments of various kinds often require us to use statistics and other
information relating to a certain area. Usually, that area is a city, a county, or even a
state or province. That kind of information doesnt always tell us what we need to
know, however.
Suppose, for instance, youre examining health disparities in a large city. You might
have citywide statistics telling you about such things as the frequency of various
diseases and medical conditions, emergency room visits, and health costs per
resident. What these statistics wont tell you is the differences among neighborhoods
or groups within the citys population.
What population(s) bear a disproportionate burden of health problems? Is there a
neighborhood where disparities are particularly prevalent? Without answers to these
kinds of questions, you cant focus prevention and care where theyre needed or
identify environmental factors that may lead to disparities in health among different
groups within the population of the city as a whole. The same is true for issues other
than health as well violence, access to goods and services, traffic flow, and
numerous others. If you dont have information pinpointing where problems and
assets exist, you cant address or use them properly.
This section deals with just that issue. By using small area analysis, you can
understand where the real needs are, tailor problem solutions to the areas where
theyre really needed, and divide resources so that they will be as effective as
possible. Well examine what small area analysis is, when its appropriate, and how
to conduct it.
WHAT DO WE MEAN BY SMALL AREA ANALYSIS?
The definition of a small area depends on your needs. It may be a geographic area,
a political or administrative district, or even a particular group of people.
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The point of small area analysis is to focus on specific areas or populations so that
you can see differences among small areas within a larger statistical pattern. If, for
instance, the smallest unit for which statistics exist is a county, there may be great
differences among different towns or areas within that county when it comes to a
particular issue, say the percentage of children with asthma. The statistics for the
county as a whole may be average, but one or two small towns may account for the
majority of the cases, with the rest of the county experiencing almost no childhood
asthma. Clearly, the focus ought to be on those towns where asthma is the most
serious.
The difficulties in conducting small area analysis come in defining the areas youre
concerned with and in finding ways to obtain information for those areas. Well
discuss both these issues defining small areas and gathering information in more
detail in the how-to part of this section.
As with most efforts described in the Community Tool Box, small area analysis can
often work best when its possible to involve the community in planning the
assessment. Those who live in the community and are affected by the issues that
the assessment reveals may have good ideas about how to divide the larger
community into small areas (i.e., towns, neighborhoods, housing developments,
etc.), and about what to look for.
WHY CONDUCT SMALL AREA ANALYSIS?
Small area analysis can identify disparities in health and services. This can uncover
lack of access, underserved areas, and populations that suffer more than others
from various negative health, economic, and social conditions.
It can uncover issues you wouldnt otherwise see. A city or province may look
problem-free, but small area analysis can identify geographic or population pockets
within the larger area where problems are serious.
It helps with deciding where to allocate resources. If you know where problems are
most serious, you can target scarce resources appropriately.
Small area analysis clarifies what problems, issues, and assets exist where.
Small area analysis can help identify causes or contributing factors to a condition. By
comparing the statistics and situations of a number of areas, you may be able to see
why a condition exists in one area and not in another. A nearby industrial facility may
be the difference between an area of high childhood asthma rates and one where
the rates are low, for example.
The classic example of this is from 19th Century London. The physician John Snow,
by mapping individual cases, traced the spread of a cholera epidemic to a particular
public water pump. When the pump was shut down, the epidemic subsided.
WHEN SHOULD YOU CONDUCT SMALL AREA ANALYSIS?
When small areas are what youre responsible for. If youre part of a coalition
representing a number of neighborhoods or several small rural towns, for instance,
or if youre part of or working with a public health agency, youll have to consider the
needs of several small areas within a larger region.
When you have to allocate limited resources. Small area analysis can inform your
decisions about where and how to use your funding, personnel, and other resources
most effectively and most efficiently.

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When overall statistics dont seem to be telling the story. Youre aware of a large and
apparently growing number of diabetes cases in an inner-city clinic, but the statistics
for the city as a whole dont seem to reflect this. Small area analysis can help you
understand the reality.
When youre trying to pinpoint sources or causes of conditions. Where do most
instances of youth violence take place, for example? Particular blocks or housing
projects?
WHO SHOULD CONDUCT SMALL AREA ANALYSIS?
Citizens concerned with or affected by conditions that create disparities among
groups in different areas or with different characteristics.
Public health agencies, officials, and coalitions
Other public agencies that provide services (e.g., welfare, childrens services)
NGOs (non-governmental organizations) and community-based human service
organizations
Community activists
Police and fire departments, and municipal service departments
Hospitals
Community developers
Community and regional planners
HOW DO YOU CONDUCT SMALL AREA ANALYSIS?
Assessing and analyzing the needs and assets of small areas is no different from
doing the same for larger areas, with one exception: data about small areas may be
much harder to come by. The availability of information depends on a number of
factors: who is gathering it (the state, federal government, county, etc.), what its
meant to be used for, and how well-defined the areas are for which its collected.
Choosing small areas for analysis may be a matter not only of what you want to
learn, but also of which areas you can gather data for, where youll get it, and what
youll do with it.
1. Ensure community participation. Involve community members at the very
beginning of the process. They can help with all the steps that lead to a
comprehensive assessment, theyre likely to know the small areas well, they are the
ones likely to be most affected by your effort, and their involvement can provide
information you otherwise might not have access to.
Enlist those you know to help you find the people and groups that should be
involved. If you dont have direct contact with key informants, leaders, or others with
deep connections in the community, you might start with community meetings,
notices sent home with children from school, and other public information strategies
to assemble a core group. That group can then help to identify and recruit others
whose participation is important to your effort.
2. Identify the outcomes you hope will result from small area analysis. What exactly
are you trying to accomplish?
Find and eliminate disparities among areas or populations.
Address issues in places or among populations where they are most serious.
Identify the potential environmental or social factors that may be responsible for the
disparities or conditions youre concerned with, and plan how your effort will address
them.
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Figure out how to most effectively allocate resources in order to have the greatest
impact.
3. Define the small areas youll examine. In some cases, your choices might be
obvious. If youre responsible for a county, for instance, you might want to divide up
the area by town.
In other cases, defining small areas may not be so simple. The real question is often
whether its possible to get information on the areas youre interested in.
Government departments and agencies, municipalities, businesses, and non-profit
organizations all may collect information in different ways and for different
geographic and demographic units. Some data may be available for zip codes or
other postal districts; some may refer to particular populations; some may only
describe large areas, such as counties or provinces. A few examples of small areas
you might want to examine:
City or town
Neighborhood
Rural village or group of villages
City block
Public housing complex or other specific housing development
Favela or similar unincorporated living area
Specific racial, ethnic, cultural, or faith group
People with a particular health condition
Public health or other government agency service area
Service area of a hospital, human service organization, etc.
County
Water district
Census tract
Defining small areas, therefore, may be a matter of balancing the availability of
useful data with your areas of concern.
4. Choose the information youll look for. What youre seeking should tell you
something about the issues youre concerned with, and help you understand and
address disparities among areas and population groups. There are several
possibilities here, any or all of which may be important to your work.
Demographics. This category includes:
Population size
Age
Income
Education
Race/ethnicity
Country of birth/citizenship
Employment
Marital status
Family size
Home ownership
Environmental conditions that affect issues of concern. Some examples:
Land use policies
Location of industrial plants
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Density of fast food and alcohol retailers

Access to services by location or public transportation
Access to safe areas to walk, jog, bicycle, etc.
Social determinants related to disparities. These can include:
Income inequality
Racial or ethnic prejudice
Access to health care and health insurance
Behavioral norms held by social groups, cultures, religions, etc.
Social capital. This is the web of social connections, trust, credits, and obligations
that people accumulate in their everyday contact with others. The less social capital
people have, the more at risk they may be for health and other problems.
Food insecurity
Context. This refers to the setting in which the small area and its residents live and
function.
Area history. Are there groups with a history of working together on common issues
or goals?
Relationships among groups and key individuals.
Is there new or expanded leadership, or a loss of/change in leadership?
Is there political commitment to change conditions?
5. Identify potential data sources for the small area(s) youre concerned with. Some
possibilities:
The census in the U.S. and other countries, in addition to counting people, gathers
basic information on everyone and detailed information on a smaller number of
individuals and families. Data on education, income, living conditions, employment,
and numerous other categories are often available. You can search the census in a
number of ways:
By state or province, county, sub-county, city or town, parish, etc. Some census data
are broken out by administrative districts, such as states or counties, and/or by
community.
Census tract. In the U.S. Census, all areas of the country are divided into census
tracts. To the extent possible, all the households in a tract are similar in terms of
demographics, economic status, and living conditions. A census tract has between
1,500 and 8,000 people, with the average at about 4,000.
Census block. Census tracts are further broken down into blocks, smaller population
units that may cover large geographic areas with few or no people, or in
metropolitan areas may contain a single apartment house that is home to several
hundred people.
Survey records.
BRFSS (Behavior Risk Factor Surveillance System)State/County-level data, with
rare oversampling to represent adults in particular smaller areas
YRBS (Youth Risk Behavior Survey) data representing school-aged youth in the
school district, with potential sub-analyses by high school catchment area
Organizational and institutional files often contain valuable information about health,
living conditions, income, etc. for very specific small areas and populations. Some
organizations and institutions that might be helpful include:
Hospitals
Health and mental health clinics
Human service organizations
Schools and colleges
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Economic development organizations

Most of these protect the privacy of individuals, but may have figures for the areas or
populations they serve.
Municipal records the records kept by cities and towns and their departments and
boards can often be helpful. Among these might be:
Police records
Planning department files (city/town/county)
GIS and other maps
Vital statistics (births, marriages, deaths)
Municipal boards (Board of Health, Zoning Board, etc.)
State and federal government agency files may be public records or may be
available again, with individual identities protected for research purposes. Some
that could prove useful:
CMS databases
Department of Education
PRAMS (CDC Pregnancy Risk Assessment Monitoring System)
Direct, hands-on information gathering can be effective when the areas youre
concerned with are small enough and you have the people often volunteers
willing to go out and get the data. Some methods of direct data gathering:
Surveys, oral or written.
Individual and group interviews
Observation watching or participating in the activities of people, places, conditions,
etc. where they exist.
Be aware that if you decide to gather your own data, volunteers or staff members will
probably need some training, especially if they have no real experience of asking
people for information or of research. How to find survey and interview subjects, how
and when to make observations, effective recording techniques, the use of any
special equipment all of these and more may be part of a training for data
collectors.
6. Determine how youll analyze the information once you have it. This is where
analysis comes in. How will you extract what you need from the data you have?
That depends on at least three factors:
The quality of the information. Where did it come from, how was it gathered, and how
accurate is it?
The timeliness of the information. As weve mentioned, data that is a year or more
out of date may not reflect current reality. The problem is that sometimes nothing
more current is available. If there are sets of data from each of several recent years,
even if theyre somewhat out of date, they may indicate trends that you can use in
your assessment. If there is only one set of out-of-date data, however, it doesnt
necessarily give you useful information about what is happening now.
If there is no up-to-date information, you have some choices as to how to proceed:

You can simply use the data you have, and assume that it is still reasonably
accurate. In many instances, this will work fine.
You can look for trends in the data (see below), and estimate what the current
numbers should be, based on past increases or decreases.
You can compare small areas with the larger area, and estimate disparities similar to
those in the existing data.

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None of these is a perfect solution, but they at least give you something reasonable
to base your planning on.
The geographic and demographic areas the information describes. The ideal, of
course, is finding information that relates specifically to the areas youre concerned
with urban neighborhoods, rural farming villages, townships, housing projects,
pockets of particular populations. You may be able to get this information using other
geographic or demographic units postal districts, for instance. On the other hand,
you may not be able to get information specific to the areas you want, and have to
settle for information relating to somewhat larger or geographically different areas.
Using childhood asthma as an example, well list some questions to consider as you
analyze the data:
Do one or more neighborhoods within a city have a higher rate of asthma among
children than the city as a whole?
What are the differences in the rates of childhood asthma between the
neighborhoods?
Do children of different racial or ethnic groups in a particular neighborhood or
housing project seem to have different rates of asthma?
Are there factors in the physical environment that might contribute to or explain
differences? In the case of our example, these might include industrial facilities,
nearby busy roads, rodents, indoor chemicals, or dumps that could be responsible
for pollution or particles in the air that might contribute to asthma. Volatile organic
compounds, or VOCs, for instance, are found in many paints, solvents, glues, and
other substances used in indoor and outdoor construction processes or materials.
Many people, particularly those with asthma or other similar conditions, find that
VOCs affect their breathing.
Are there social, political, and/or economic factors (social determinants of health or
SDOH) that might contribute to or explain differences? Poverty, for instance, or racial
or ethnic discrimination might force people to live in polluted areas or substandard
housing.
Are there cultural differences among the residents that account for different social
norms for health behaviors?
Are there trends that show the issue increasing or decreasing in particular small
areas or among particular population groups?
Are numbers dependent on when measurements were taken?
Do you know something the numbers dont? The recent start of a new initiative or
program, a recent shift in population, new or lost leadership, new funding any of
these and numerous other factors can have a positive or negative impact on the
conditions youre examining. If youre aware of events or conditions that have arisen
since your information was collected, you should take them into account.
7. Evaluate your small area analysis effort. Small area analysis is often ongoing.
Even if your effort is not, the chances are that youll want to do a small area analysis
again. Its important to know what worked well, what kind of information was most
valuable, whether your understanding of causes and identification of trends were
accurate, and whether the information you gathered was in fact instrumental in your
being able to address the issues and disparities you were concerned with.
If you collect and analyze the data carefully, small area analysis can help you to a
better assessment of the larger community, and allow you to direct your effort where
it will do the most good.
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IN SUMMARY
Small area analysis is the practice of separating out the data for small geographic
areas and/or populations neighborhoods, rural villages, housing projects, etc. in
order to identify and understand disparities among them and between them and the
larger statistical area. This makes it possible to concentrate efforts and resources
where they are most needed and where they will bring the greatest return.
Conducting small area analysis is a process that includes:

Encouraging community participation

Identifying the outcomes you hope to gain from conducting small area analysis
Defining the small areas youll examine
Choosing the information youll look for
Determining where to find the information
Deciding how to analyze the information once you have it
Evaluating your small area analysis effort
Small area analysis can be tremendously helpful in understanding the real needs
and assets of your community, and in directing efforts and resources accordingly.
Organizational Structure: An Overview
WHAT IS ORGANIZAT ION AL STRUCTURE?
By structure, we mean the framework around which the group is organized, the
underpinnings which keep the coalition functioning. It's the operating manual that tells
members how the organization is put together and how it works. More specifically, structure
describes how members are accepted, how leadership is chosen, and how decisions are made.
WHY SHOULD YOU DEVELOP A STRUCTURE FOR YOUR
ORGANIZAT ION?

Structure gives members clear guidelines for how to proceed. A clearlyestablished structure gives the group a means to maintain order and resolve
disagreements.
Structure binds members together. It gives meaning and identity to the people who
join the group, as well as to the group itself.
Structure in any organization is inevitable -- an organization, by definition, implies
a structure. Your group is going to have some structure whether it chooses to or not. It
might as well be the structure which best matches up with what kind of organization
you have, what kind of people are in it, and what you see yourself doing.

WHEN SHOULD YOU DEVE LOP A STRUCTURE FOR YOUR

ORGANIZAT ION?

It is important to deal with structure early in the organization's development. Structural

development can occur in proportion to other work the organization is doing, so that it does
not crowd out that work. And it can occur in parallel with, at the same time as, your
organization's growing accomplishments, so they take place in tandem, side by side. This
means that you should think about structure from the beginning of your organization's life. As
your group grows and changes, so should your thinking on the group's structure.

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ELEMENTS OF STRUCTUR E
While the need for structure is clear, the best structure for a particular coalition is harder to
determine. The best structure for any organization will depend upon who its members are,
what the setting is, and how far the organization has come in its development.
Regardless of what type of structure your organization decides upon, three elements will
always be there. They are inherent in the very idea of an organizational structure.
They are:

Some kind of governance

Rules by which the organization operates
A distribution of work

Governance
The first element of structure is governance - some person or group has to make the decisions
within the organization.
Rules by which the organization operates
Another important part of structure is having rules by which the organization operates. Many
of these rules may be explicitly stated, while others may be implicit and unstated, though not
necessarily any less powerful.
Distribution of work
Inherent in any organizational structure also is a distribution of work. The distribution can be
formal or informal, temporary or enduring, but every organization will have some type of
division of labor.
There are four tasks that are key to any group:

Envisioning desired changes. The group needs someone who looks at the world in a
slightly different way and believes he or she can make others look at things from the
same point of view.
Transforming the community. The group needs people who will go out and do the
work that has been envisioned.
Planning for integration. Someone needs to take the vision and figure out how to
accomplish it by breaking it up into strategies and goals.
Supporting the efforts of those working to promote change. The group needs support
from the community to raise money for the organization, champion the initiative in
the state legislature, and ensure that they continue working towards their vision.

COMMON ROLES
Every group is different, and so each will have slightly different terms for the roles
individuals play in their organization, but below are some common terms, along with
definitions and their typical functions.

An initial steering committee is the group of people who get things started. Often, this
group will create plans for funding, and organizational and board development. It may
also generate by-laws, and then dissolve. If they continue to meet after approximately
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the first six months, we might say they have metamorphosed into a coordinating
council.
A coordinating council (also referred to as a coordinating committee, executive
committee, and executive council), modifies broad, organization-wide objectives and
strategies in response to input from individuals or committees.
Often, one person will take the place of the coordinating council, or may serve as its
head. Such a person may be known as the Executive Director, Project Coordinator,
Program Director, or President. He or she sometimes has a paid position, and may
coordinate, manage, inspire, supervise, and support the work of other members of the
organization.
Task forces are made up of members who work together around broad objectives.
Task forces integrate the ideas set forward with the community work being done.

For example, from the director of a coalition to reduce violence in a medium-sized city:
"Currently, we have three operational task forces. Members of each have an ongoing dialogue
with members of the coordinating council, and also with their action committees. The oldest
was formed with the goal of eliminating domestic violence about fifteen years ago, when a
local woman was killed by her husband. Then, after several outbreaks of violence in the
schools a few years back, our group offered to help, and a second task force sprung up around
reducing youth violence. We've just started a third, with the goal of increasing gun safety.
"All of it is interrelated, and all of it applies to our mission of increasing the safety of
residents of South Haven, as well as that of our visitors. But each task force is contributing to
that mission in vastly different ways, with different objectives, and using different strategies.
'Cause, you know, the strategies you use to stop a ninth grader from bringing a gun to school
just aren't the same as the ones you use to stop a 40-year-old man on unemployment from
beating his wife."

Action committees bring about specific changes in programs, policies, and practices
in the sectors in which they work.

For example, the task force on domestic violence mentioned above has the following action
committees:

A government and law enforcement committee. Members include police officers,

lawyers, a judge, and a state representative. Currently, they are trying to pass laws
with stronger penalties for those convicted of domestic violence, especially repeat
offenders. They are also training officers to be better able to spot an abusive
relationship, and better able to inform a victim of his or her options.
A social services committee. Members (who include representatives from most of the
service agencies in town) work to assure that staff members know where to send
someone for the resources he or she needs. They are also trying to increase the
number of trained volunteer counselors who work at the battered women's shelter.
A media committee. Members include local journalists, writers, and graphic designers.
They keep the project and the issue in the public's minds as much as possible with
editorials, articles and news clips of events, as well as advertisements and public
service announcements.
Support committees are groups that help ensure that action committees or other
individuals will have the resources and opportunities necessary to realize their vision.
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Financial and media committees are examples of committees formed to help support
or facilitate your work.
Community trustees, also known as the board of trustees or as the board of directors,
provide overall support, advice, and resources to members of the action groups. They
are often either people who are directly affected by the issue or have stature in the
community. That way, they are able to make contacts, network with other community
leaders, and generally remove or weaken barriers to meeting organizational
objectives.
Grantmakers are another part of the picture. Grantmakers exist on an international,
national, state, and local level and may be private companies and foundations, or
local, county, state, or federal government organizations (for example, block grants
given by the city would fall into this category).
Support organizations (not to be confused with the support committees listed above)
are groups that can give your organization the technical assistance it needs.
Partner organizations are other groups working on some of the same issues as your
organization.

Although this list is pretty extensive, your organization may only use two or three of the
above mentioned roles, especially at the beginning. It's not uncommon for a group to start
with a steering committee, ask others to serve as board members, and then recruit volunteers
who will serve as members of action committees. In this broad spectrum of possibilities,
consider: Where does your organization fit in? Where do you want to be?
EXAMPLES OF STRUCTUR E
So how can all of these pieces be put together? Again, the form a community group takes
should be based on what it does, and not the other way around. The structures given are
simply meant to serve as examples that have been found to be effective for some communitybased organizations; they can and should be adapted and modified for your own group's
purposes.
A RELATIVE LY COMPLEX STRUCTURE
Example - The Ste. Genevieve's Children's Coalition
The Ste. Genevieve's Children's Coalition is a relatively large community-based group. They
have a coordinating council, a media committee, and three task forces, dealing with
adolescent pregnancy, immunization, and child hunger. Each of the task forces has action
committees as well. For example, the adolescent pregnancy reduction task force has a schools
committee that focuses on keeping teen parents in school and modifying the human sexuality
curriculum. A health organizations committee focuses on increasing access and use of the
youth clinic. The media committee works to keep children's issues in the news, and includes
professionals from the local television stations, radio stations, newspaper, and a marketing
professional. The coordinating council is composed of the executive director, her assistant,
the media committee chair, and the chairs of each of the three task forces. A board of
directors has been invaluable in helping keep the coalition financially viable.
In diagram form, a complex organization might look like this:

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The coordinating committee is at the center of the project. Its members develop a vision and
broad goals based on comments from the action committees or other members of the
community.
Task forces develop broad strategic approaches to solve the problem. Usually, several task
forces are created from priorities set through a community assessment process. Task force
members are chosen for their interest in a particular issue. They are actively involved in
supporting and participating in the action committees.
The action committees, which are organized around community sectors such as those listed
above, develop specific steps to carry out broad strategic approaches. Each action committee
focuses on specific actions in its sector.
The community trustees serve as a shield, helping make sure the members don't come up
against barriers such as a lack of money. An organization of this size will usually have paid
staff. This generally means they'll have an executive director and possibly project directors,
community mobilizers, and administrative assistants.
The biggest advantage to this type of structure is that it allows active participation by all
members.
A MID-SIZE STRUCTURE
Example - Safe House

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The coordinating council of Safe House, an organization for the homeless, is made up of six
people, including one couple who were once homeless themselves. Membership on the
coordinating council is open to anyone willing to accept its leadership responsibilities. The
group has no task forces: its mission (reducing the city's homeless population) is targeted
enough that they were deemed unnecessary, and the work usually done by task forces is
carried out by the coordinating council. It does have three action committees: a social
services committee, a business committee which deals primarily with job training, and a
government/law enforcement committee.
With advice it receives from members of the group's action committees and other community
members, the coordinating council discusses and debates every decision. It then acts as a
united front, and takes the decisions back to the action committees to be carried out. If group
members have any questions or problems with the decisions made, they can bring their
concerns to an individual member, or to the council as a whole.
And in diagram form:

A mid-sized organization may or may not have paid staff members, and generally will have a
more targeted mission, leading to fewer task forces.
Small action groups that are not part of a larger organization
Example - Safe intersections
A group of neighbors got together because they were worried about the possibility of traffic
accidents in their area. They decided that the worst problem was an unmarked intersection in
the neighborhood and asked the city to put up four-way stop signs there, which the city
readily agreed to do. Pleased with its success, the group started meeting on a monthly basis
over dinner, to keep in touch and deal with problems as they arose. The group's structure
remained very loose. A retired gentleman did become the unofficial leader, because he had
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more free time to arrange things, but decisions continued to be carried out by general
consensus.
As smaller size means fewer people, these groups are usually less complex, as they have less
need for a formal hierarchy and instead have governance that is consensus-based. A diagram
of such a small group might look something like this, with each of the circles representing an
individual member:

CHOOSING YOUR ORGANIZAT ION'S STRUCTURE

WHAT TYPE OF STRUCTURE SHOULD YOU CHOOSE?

First, decide upon the formality your organization will have. The following table, adapted
from The Spirit of Coalition Building can help you make this first decision.
Conditions favoring more or less formality in organizational
structures
Condition
A looser, less formal, A tighter, more formal,
less rule bound
more rule-bound
structure would be
structure would be
favored when...
favored when...
Stage of organization The organization is just The organization is in
development
starting
later stages of
development
Prior relationships
Many such relationships Few such relationships
among members
already exist
already exist
Prior member
Many such experiences Few such experiences
experience in
have occurred
have occurred
working together
Member motivation Motivation is high
Motivation is low
to be part of the
organization
Number of
There is a single task or There are multiple tasks
organization tasks or issue
or issues
issues (broadness of
purpose)
Organization size
The organization is
The organization is large
small
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Organization
leadership
Urgency for action

The leadership is
The leadership is
experienced
inexperienced
There is no particular
There is strong urgency to
urgency to take action take action now
now
Organizational structure is something that is best decided upon internally, through a process
of critical thinking and discussion by members of the group.
In your discussions, your answers to the following list of questions may guide your decisions.

What is your common purpose? How broad is it? Groups with broader purposes often
have more complicated structures, complete with many layers and parts, than do
groups with more narrow purposes.
Is your group advocacy oriented or service oriented? Service organizations use "top
down," one-person-in-charge structure much more often than do advocacy based
groups.
Is your organization more centralized (e.g., through the work of a specific agency ) or
decentralized (e.g., different neighborhoods working independently on the same
problem)? A decentralized group might find a "top-down" structure inappropriate, as
such a group often has several peers working together on an issue.
How large is your organization? How large do you envision it becoming? A very
small organization may wish to remain relatively informal, while a community-wide
group might require a more formal structure. A related question, with similar
consequences, is:
How large is the community in which you work?
How old is your organization? How long do you envision it lasting? A group formed
to resolve a single issue might not need a formal structure at all, while an organization
with long-term goals may want something more concrete, with clearer divisional
responsibilities and authority.
Is the organization entirely volunteer, or are there (or will there be) paid staff? How
many? An organization with many paid staff members may find it more necessary to
have people "in charge," as there are generally more rules and responsibilities for paid
staff members, and thus, there must be more supervision in carrying out these roles.
Should yours be a new organization, or part of an existing structure? Do you really
need to form a new structure, or would it be better to work within existing structures?
Sometimes, your goals may be better met if you are part of (or linked with) another
organization.

IN SUMMARY
Structure is what ensures that your organization will function smoothly and as you intended.
You should think about structure early in the development of your organization, but be aware
that the type that fits best may change as your organization grows.

Choosing a Group to Create and Run Your Initiative

Teen violence, HIV infection, adult literacy, or any situation in your town that has
reached a point where you've decided something has to be done are all times when
you might have to choose a group to create and run your initiative. You know you
can't be effective all by yourself, so you want to try to put together a group to look at

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the problem, come up with some ideas about what can be done about it, and then
create and implement an action plan to move forward.
But what would that group look like? Who would its members be, and where would
you find them? How would it function? What would it actually do? This section will
help you think about how to actually form such a group that can start and oversee an
initiative designed to meet a community need.
WHY WOULD YOU WANT TO FORM A GROUP TO CREATE AND RUN AN
ORGANIZATION OR INITIATIVE?
Assembling a group to guide the organization or initiative in its beginning stages has
some distinct advantages over trying to do the same thing as an individual:
It lends credibility and community support to the effort. Especially if the group is
diverse, and represents a number of different organizations, interests, and parts of
the community, it essentially gives the community a sense of ownership of the
organization or initiative. This makes it much more likely that it will continue to have
the community's enthusiastic support, even long after the group has been disbanded.
It allows more ideas to come into play. Two heads are often better than one, and ten
are better than two, although sometimes harder to reconcile. While it can be a lot of
work to sort out the different ideas of many group members, the consensus you
come to is likely to be more interesting and effective than what you could have
developed alone.
It affords an opportunity to educate the community about the issue. Everyone 's in
favor of adult literacy, for instance, but very few - including staff people of health and
human service agencies - understand how many adults need literacy services. As
members of an oversight group for a community literacy initiative, however, they 'll
have the opportunity to learn a great deal about the issue and the actual potential for
addressing it. And they'll spread the word as they learn.
It gives new organizations and initiatives the benefit of others' experience. Even if the
oversight group is largely made up of individuals from the community rather than
agencies and organizations, many of those people may have founded their own
businesses, started other organizations, been on community Boards, etc. Both these
individuals and those who work for other organizations will have valuable knowledge
and experience that can save your organization or initiative enormous amounts of
time and trouble.
It provides a base for membership, fundraising, and other support. Each of the
people in the group will know literally hundreds of others - far more than you would
have any chance of contacting on your own - and many of those others will be only
too willing to help if only they are asked. The networking possibilities are endless.
It provides personal support to its members and to the people who started the
initiative in the first place. This kind of support can be extremely important when
things look bleak... and they will, at least occasionally, in any community initiative.
When starting a new organization, you'll often find that the people involved don 't
know each other well enough yet to really know who might make the best leaders.
Yet there is still a lot of work to be done in laying the groundwork for this new entity.
Forming a group is a way to get some of these important things done before figuring
out what the ultimate governing structure will be:
Deciding the initial direction of the organization
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Forming a vision and mission for the organization

Determining and recruiting potential partners
Creating an action plan
Choosing people to head individual committees and be in charge of specific tasks
A group is also useful when your organization has started working on many tasks,
but doesn't yet have - or will never have - a staff. The group may act as a substitute
for an individual coordinator or director, either of an organization or initiative, or of an
event or particular area of an organization's functioning.
WHAT KINDS OF GROUPS MIGHT FOSTER THE DEVELOPMENT OF AN
INITIATIVE?
This question really has two sets of answers. The first depends on whether the group
is one of individuals or a coalition of organizations; and the second involves the
different ways such groups can function. Let's start by examining whether, for your
particular purposes, you're more likely to put together a group of individuals or one of
organizations.
WAYS GROUPS CAN BE FORMED
Organizations and initiatives get started in a number of ways, and the nature of the
groups that guide them is usually determined by how they originate.
One person sees a problem in her community and decides to do something about it.
In this instance, the group assembled is often a group of individuals - typically friends
or acquaintances of the initiator - who either have some personal reason to be
concerned, or are simply community-minded and interested in the issue.
When her teen-age son was beaten up on the way home from school, a woman in a
small town decided that teen violence needed to be dealt with. She put up posters,
made phone calls, and gathered 35 parents and teens at an initial meeting to discuss
the issue. Out of this first meeting grew a community initiative that involved both
parents and teens in discussions, workshops, and theater performances. With help
from a local agency, the group got a grant, and continues - successfully - to try to
reduce teen violence in the town.
An organization, community institution (a church, for instance), or local government
agency takes the lead in tackling a community issue. In this kind of situation, the
group formed is likely to be a coalition with a mixed membership of representatives
of organizations and individuals representing only themselves.
An organization decides to write a proposal for available funding to deal with an
issue that requires a group response. The group assembled in a case like this is
generally by definition a coalition of other groups, but may include individuals from
the community as well.
A community action agency responded to a request for proposals (RFP) from the
state Department of Education for a community effort to serve at-risk families of
children under four. A stipulation of the RFP was that the proposal be agreed upon
by a coordinating body for the effort. A group representing community health and
human service agencies, parents, schools, and others was assembled by the

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community action agency, and, when the proposal was successful, became the
oversight body for the initiative.
A coalition that already exists identifies a problem and resolves to address it. Here,
the coalition is the group that begins the process. It may remain the group that
spearheads the initiative, or, as in this example, it may spin off a group that
ultimately takes charge.
The North Quabbin Community Coalition in central Massachusetts is made up of
representatives of health and human service agencies, the Chamber of Commerce,
the police, the schools, local politicians, and other interested citizens. Appalled by
the high incidence of child sexual abuse in the area, the Coalition formed a Child
Sexual Assault Task Force which launched a community initiative to try to change
the situation. The initiative in turn grew into an organization that provides parenting
training and children's activities, and has become a permanent fixture in the
community.
While both organizations and individuals have their own priorities and interests,
organizational rules and politics add other elements into the mix. A group of
organizations needs to function differently than a group of individuals does, because
it has to take everyone's organizational issues into account. The simple matter of
whether or not people are on the clock when they attend group meetings can affect
how the group operates, as can the concerns of Boards, the requirements of
different organizations' funders, and the organizations' mission statements. All that
has to be considered when you look at how the group might function.
WAYS YOUR GROUP CAN FUNCTION
Groups that oversee initiatives go by a number of names which are often used
interchangeably. As a result, the descriptions below may not fit your own experience.
These names, nonetheless, imply different ways of operating, and it would make
sense to think about what might work best in your situation.
Steering committee

A steering committee, as the name implies, steers the organization or initiative at the
beginning. The committee develops action plans, considers the political and other
implications of what the organization or initiative is doing, and may develop vision
and mission statements and organizational structure, and create plans for funding
and Board development. As is explained in Section 1 of this chapter, however,
steering committees, at least in the definition used in the Tool Box, are meant to
dissolve once the initial work is done. If they continue to meet after the first six
months or so, then they have become a coordinating council.
Coordinating council

A coordinating council often does many of the same things as a steering committee,
but also coordinates the organization's or initiative's activity. It essentially takes the
place of a director or program coordinator, modifying broad, organization-wide
objectives and strategies in response to input from individuals or committees. If the
organization or initiative stages a public demonstration, for instance, the members of
the coordinating council would be the ones running around making sure that
everyone knew where they were supposed to be when, that the media was informed
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and courted, that the portable toilets were in place, etc. If you think of an
organization as a wheel, the coordinating council is the hub holding everything
together. The hub collects and directs the energy from the spokes - and without it,
the wheel would fall apart.
Advisory or supporting committee (or council or board)
An advisory committee may have no real power at all, but may guide the
organization or initiative through its members' knowledge of the community and the
issue, and may lend its members' prestige to the cause when necessary. It may help
to develop a vision and mission for the organization, but will probably not be the
determining body in that effort. Advisory committees often exist in situations where
the initiative is really the work of one charismatic or visionary individual who needs
help and support, but doesn't particularly want guidance.
Board of Directors
In this instance, the group will function as the governing (but probably not
coordinating) body for the organization. A board of Directors usually works with staff
to set policy for and oversee the functioning of an organization.

Other possibilities
There are numerous other forms that a group might take. A core group, for instance,
might assemble a larger group that ultimately takes one of the forms listed above. An
executive committee might make decisions for a larger group, and thus effectively
run the initiative. There is no one right way to start a community initiative or
organization.
If you're hoping to hire staff eventually, a steering committee might work best for you,
since it won't need to run the organization for very long. If you're starting a
community initiative or coalition that probably won't ever have staff, a coordinating
council might make more sense, since it will provide continuity as well as the
capacity to form and direct the group from the beginning. A Board of Directors is
most appropriate for an organization that already has a sense of itself. The main
consideration is what will be most effective for the organization or initiative you're
starting.
As you decide what kind of group will serve your organization or initiative best, you
need to consider the needs and priorities of the organizations and individuals
involved; the degree of involvement you're asking for; the amount of time group
members will need to put in; and what the group is actually going to do. These
factors will be discussed further in the course of this section.
WHEN IN THE PROCESS SHOULD THE GROUP BE FORMED?
The group, if it is to be most useful, should be formed as early in the process as
possible. You want it in place, for instance, so its members can participate in
developing a vision and mission. You're far less likely to find support - and far less
likely to form an effective organization or initiative - if you present a potential
oversight group with an already-formed organization or initiative. Furthermore, it's
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much harder to change your ideas, even if it becomes obvious that they're
unworkable, once you have them set in a plan. Recruiting a group at the beginning
will help avoid this kind of issue.
Another reason for recruiting your group early is that it allows your organization or
initiative to hit the ground running once your plan is in place. As mentioned above,
the group can act as coordinator either until you hire staff (which, depending upon
where funding enters into the equation, may be a while), or - in the case of many
community initiatives which operate without staff - permanently.

WHO SHOULD BE INVOLVED, AND WHERE DO YOU FIND THEM?

For your group, you'll want enough people to get everything done, but not so many
as to make things too complicated. Those numbers can vary tremendously - there
are effective groups of 10 or fewer, and of as many as 30 or more. Here are a few
general guidelines about the type of people to involve:
People who are enthusiastic about the issue and who have the time and energy to
invest in making it successful
It's important to involve people who will be able to regularly attend meetings and be
involved. For some types of bodies, such as advisory councils, this may be less
important, but for the work done by steering committees and coordinating councils
you'll want people who are willing to roll up their sleeves and jump in.
A good cross-section of the community in terms of race, socio-economic status, etc.
Members of the specific target community
Other obvious stakeholders in the issue. If your initiative is meant to reduce
substance abuse, for instance, you may want to include the police in your group,
since they're the ones who often deal with the problem on the street.
Recognized leaders in the community can add clout and credibility to your cause
Newer, up-and-coming leaders and people who hold no titles but are well respected
in the community can also be very helpful
Unless they gave the issue a bad name, be sure to consult and perhaps involve
people who've had experience with your cause in this community in the past
In situations like this, you have to do your history homework. If you're trying to start
an organization to offer services to the homeless, for instance, it's vital to know what
has been attempted along these lines in the past, and what the result was. If the
experience left a bad taste in people's mouths, you're going to have a much tougher
time. You need to know that, and to counter it as best you can. If the people who
were involved in the past attempt are respected for what they did, then they should
be involved in what you're doing. If the community thinks that they made a mess of
the whole thing, or that they're dishonest, their participation will make your effort look
like more of the same. Those who don't learn history are condemned to repeat it.
Try to get some youth involved; they often have a fresh perspective on things and
tons of infectious energy.
Be sure that at least one person on board is a good writer, and that he, or at least
one other member, has had some experience with funding proposals; they will be
instrumental in writing early grant proposals, press releases, and so on.
It's crucial to be aware that some people you want to include may have less
experience being members of groups, and of this type of group than others. Although
'meeting skills' may seem basic, not everyone has the same background, and some
people may never have been exposed to that type of situation. Thus, some
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participants may sit silent, confused by the flow of the meeting, unable to contribute,
and feeling foolish; or they may speak or act in ways or at times others deem
inappropriate. People without meeting skills need support and encouragement in
what is often for them an intimidating situation. One answer may be to pair all team
members, so that those who need support will have a mentor. Another possibility is
to start the process with a training for everyone in group dynamics and meeting
skills, so that no one is singled out and the ground rules are clear for all.
Where can you find these folks? Consider these possibilities to look for steering
committee or coordinating council members:

Local colleges or universities, schools, and libraries

Local government officials and agencies
Economic development organizations
Civic organizations
Social and sports clubs and community centers, especially in neighborhoods you
particularly want to reach
Chamber of Commerce and other business organizations
Social service agencies
Youth groups and organizations
Churches and other organizations in the faith community
Flyers in laundromats, markets, etc. that cater to the target population or to others
you specifically want to reach
As you begin your search - or perhaps even before - you'll meet, or realize you know,
people who will introduce you to others who will introduce you to others. Networking
is, in reality, probably the way you'll find most of your group.
WHAT SHOULD YOUR STEERING COMMITTEE OR COORDINATING COUNCIL
DO?
Now that you've formed a group to oversee the creation and operation of your new
organization or initiative, what will it actually do? In fact, there's an enormous amount
of work to do in getting something new off the ground, and, depending upon how
things play out, this group may do most of it. A not-necessarily-exhaustive list might
include:
Form a vision and mission for the organization. This is the first step in any process of
this sort. It defines what it is the organization or initiative exists to address, and what
its philosophical, political, and ethical base consists of. You can't go anywhere until
you've hashed those things out, and it's worth the time it takes. (And it will take time:
how much depends to some extent on how diverse the group is.) This will probably
be the most important task this group takes on.
Decide the initial direction of the organization. What's the organization or initiative
about? The fact that you have a vision and a mission statement doesn't mean you
know exactly what to do to carry them out. The direction of the organization is the
way you'll address the issue, and there may be many choices. One of the most
important is whether to create an organization that will run intervention programs of
some sort for a target population, or whether to concentrate on advocacy, public
education, linkage, or some other effort that addresses the issue, but doesn't offer
direct service to those affected.
Create an action plan. After deciding what your organization or initiative is going to
do, the next step is to determine how to do it. The first action plan may not actually
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lay out how the organization will operate, but rather how to get it started. If you're
going to operate an intervention program, you need funding, staff, space, equipment,
etc. If you're going to concentrate on advocacy, you may need only volunteers and
communication capability, or your group may already be ready to go. In either case,
you're going to need a plan for what to do next.
Although it may seem early to consider this, during planning is the time to start
thinking about whether your group is going to be a permanent part of the initiative, or
if it's going to disband at some point when a different permanent structure is in place.
The decision of whether to dissolve the group or to keep it running the organization
depends upon the financial, political, and personal realities of the situation, the
dedication of the oversight group, and the actual needs of the organization or
initiative and of the community. Many groups begin with the assumption that they 'll
dissolve, and in fact this decision - whatever it is - should be part of the action plan. It
avoids a great deal of potential trouble if the group makes the decision early in the
process.
Find partners for the organization. If the founding group is a coalition of
organizations, this task may have already been accomplished. If not, let the
networking begin!
Establish and oversee sub-committees (budget, planning, organizational, marketing,
etc.) if that seems necessary to carry out the tasks of the group.
Hire staff, if that's part of the plan.
Plan and coordinate the activities of the organization or initiative, if hiring staff isn't
part of the plan.
Whether or not to hire staff is obviously a crucial decision for an organization or
initiative. The reality of nitty-gritty issues like money and the availability of people's
time will enter into the decision, as will the question of what tasks really need to be
accomplished. If the group is purely an advocacy organization, for instance, it may
be able to operate quite effectively with just the efforts - probably considerable - of
the oversight group. If it's trying to deliver services, it may need some staff and some
sort of at least part-time regular coordination.
Apply for grants and seek other funding for seed money for the organization or
initiative. (This may be the job of staff after they're hired, or the group may take it on
itself.)
Put together a Board for the organization or initiative. This task may also devolve
upon staff if there is a staff. It also implies that the oversight group will disband at the
point that a Board exists.
IN SUMMARY
It often makes sense, in founding a new organization or initiative, to put together (if
one doesn't already exist), a group to oversee its development and at least its initial
operation. It's important to select, early in the process, a group that includes the
important stakeholders and key supporters and is representative of the diversity of
the community. That group's involvement in the creation of the organization and in
planning what it will do can greatly increase its chances of success.
Developing Multisector Task Forces or Action Committees for the Initiative
he Peterson Community Health Coalition (PCHC) realized it had a community
problem on its hands. It had become clear that the abuse of drugs - particularly
prescription drugs - at Peterson High was soaring out of control. There had been, in
the past two months, a large number of emergency room visits after parties where
kids had taken anti-depressants, painkillers, and other drugs, often mixed with
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alcohol. More and more traffic stops of speeding teenagers, more and more traffic
accidents, and more and more youth violence and crime seemed to be tied up with
the use of these substances. It was definitely time to take action.
PCHC already had a number of ongoing projects. There was the drive to immunize
all children in the community by age five, before they registered for school; the AIDS
education and prevention program; and the committee looking into possible
environmental sources of breast cancer in the community. The Coalition had a lot on
its plate, but members at the monthly meeting realized that they couldn't let the drug
problem slide. They needed a group to address it, one that involved all the affected
sectors of the community.
Two Coalition members - a physician and a youth worker - agreed to assemble a
task force to deal specifically with the problem. They thought about who else they
should ask to join. The police, certainly: they dealt with this all the time. And at least
one of the local pharmacists: they were probably dispensing these medications
unknowingly to teens who abused them, or to adults whose medications teens took.
The physician herself could represent the medical community, but she also
recommended that they include someone on the emergency room staff, and perhaps
a hospital administrator as well, since there might be a need for hospital policy
changes. The community health clinic was another obvious contact. The youth
worker made a list of other agencies, involved either with youth or with substance
abuse, who should be contacted. Teens themselves needed to be represented,
ideally by kids who actually knew what was going on, and were affected by it. School
personnel should be represented, too, as well as parents.
The organizers started making phone calls, and arranged a meeting. Within a week,
the Task Force on Prescription Drug Abuse was a reality.
When there's a specific problem that your initiative needs to address, an effective
way to do it is often by forming a task force or action committee. Such a body needs
to be directed specifically toward acting on that problem, and to involve all the
different sectors of the community affected by or in any way affecting it. In this
section, we'll discuss what task forces and action committees might look like, what
they might do, and how to put them together and use them.
WHAT IS A MULTISECTOR TASK FORCE OR ACTION COMMITTEE?
A task force or action committee (also sometimes called an ad hoc committee from
the Latin meaning "for this purpose") is a group assembled to address a specific
problem or accomplish a specific goal. That problem or goal can take at least two
different forms:
It might be related to dealing with a specific community issue - affordable housing,
child abuse, early detection and treatment of breast cancer.
It might stem from a need of the larger group. A coalition might need a smaller group
to focus on advocacy, for instance, or to draft a set of bylaws.
A multisector task force or action committee is drawn from all sectors of the
community affected by or involved in the problem or goal that is the group 's focus. In
the Peterson Community example, for instance, the task force leaders tried to

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include representatives of every group they could think of that had anything to do
with the problem of teen prescription drug abuse.
Task forces and action committees, as you might assume from their names, are
action -oriented. Their specific purpose is to do something. Depending upon the
issue they address, their initial goals may be very specific (find community shelter
space for at least 15 homeless families; draft a timeline for a community economic
development effort) or more general (address the problem of youth violence). In
either case, however, their purpose is to come up with real results.

In general, these groups are not meant to be permanent. They either disband when
their task is done, or they become another kind of group. As will be discussed in
more detail later, a task force might spin off a new community intervention, for
instance. While that venture would continue the work of the task force, it might not
involve any of the first group's members, and would have a different purpose and
structure.
A task force or action committee is usually part of a larger initiative - a community
coalition of some sort, a local or other government committee, etc. It may be one of
several such groups spawned by the initiative, each aimed at a different issue or
goal. It may operate independently, or may have to gain approval from the larger
group before taking any action.
The North Quabbin Community Coalition, in north central Massachusetts, regularly
maintains several task forces working on specific community issues. Some former
and current task forces include Information and Referral, Child Sexual Assault,
Homelessness, and Youth-Community Relations.
WHY WOULD YOU FORM A MULTISECTOR TASK FORCE OR ACTION
COMMITTEE?
There are really two questions here, each of which we'll consider separately:
Why would you form a task force or action committee?
Why should a task force or action committee be a multisector group?
WHY FORM A TASK FORCE OR ACTION COMMITTEE?
There are a number of reasons why you might want to form a task force or action
committee, rather than addressing the issue at hand within the larger group.
Task forces or action committees can make it possible for their parent groups to zero
in on the areas that need the most, or immediate, attention, while still addressing
their other concerns.
A task force or action committee can focus in on the specific issue, rather than being
pulled in a number of directions, as the larger group may be.
In general, a small group can operate more efficiently than a large one to get things
done.
Task forces and action committees give people a chance to concentrate on their
major areas of interest, and to contribute more effectively to the work of the larger
group.
Task forces and action committees can pull in members who may not be interested
in the larger group to work on just the particular issue they are interested in. The
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community thus benefits from their talents and expertise even though they aren't
members of the larger group.
WHY SHOULD A TASK FORCE OR ACTION COMMITTEE BE MULTISECTOR?
Including people from as many sectors of the community as possible is almost
always both more ethical and more effective than excluding them. This is particularly
true when assembling task forces or action committees that are aimed at
accomplishing specific goals in a community.
Advantages of a multisector task force or action committee
Community action usually requires the support, and often the participation, of all
stakeholders if it's to be successful.
"Stakeholders" is a term used throughout the Tool Box. It refers to those who are
directly affected or have some other interest in a particular issue. The stakeholders
in a discussion of discrimination in housing, for instance, include not only the
members of minority groups that are discriminated against, but also antidiscrimination enforcement agencies, housing authorities, realtors and their
employees, landlords, the police (who may get the first call on a discrimination
complaint), legal service agencies, and even homeowners in a particular
neighborhood (who may have strong feelings - and not necessarily much information
- about including or excluding minorities, and what that will mean for their property
values).
Involvement of all stakeholders in planning and carrying out any action means that
they'll take ownership of those plans and actions. They'll be much more concerned
about making sure that the action is successful because it's theirs, rather than
something imposed on them by "experts" or some other authority.
Involvement of many sectors of the community brings with it the information and
insights that those different sectors have into the issue. More information and insight
lead to better planning and more chance of successful action.
The perspectives of various sectors on community history and personalities can help
the group to a real understanding of the issue, including the vital small things that
might be otherwise ignored. (Whether or not two individuals get along well may
determine whether a given plan is workable, for example. Neighborhood people, who
are familiar with the personalities involved, are more apt to know that sort of thing
than, say, health professionals.)
Involving many sectors in the task force or action committee will generate community
cooperation and support for the action taken.
Multisector participation benefits the larger initiative and the community as well,
because it brings together individuals and groups who might not, under other
circumstances, have much contact, or who might distrust one another. In the work of
the task force or action committee, they have the opportunity to learn about one
another, and develop mutual trust and respect.
Finally, it's simply fair and reasonable to involve people in decisions which affect
their lives. Those decisions are likely to address the issue more realistically, and to
take into account the legitimate needs of the groups affected, if those groups are
involved in planning and implementing them.
Possible disadvantages of a multisector group

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Although there are many compelling reasons for forming multisector groups, there
are potential difficulties with them as well. Even if you understand the history and
current situation of your community before you start to assemble such a group, there
are still problems you may run into.
There may be enmity and distrust among segments of the community that are
normally at odds, or who have little contact. Some of these may be obvious - racial
or ethnic tensions, intergenerational conflict - but some may not, or may be onesided. Low-income people may distrust members of more affluent groups, for
instance, even if the latter have good intentions and are trying to be open and
welcoming. Politicians who are genuinely concerned with solving the problem may
nonetheless be objects of suspicion. Academics may scorn business people, or viceversa. These areas of conflict have to be resolved if the group is to function well.
There may be deep-seated disagreement about how to handle the issue. Police may
see the answer to a drug problem as more rigorous enforcement, while medical
professionals see it as one of treatment, and human service providers as one of
addressing the underlying causes - poverty, hopelessness, unemployment, child
abuse, education, etc.
The simple answer in a situation like this would seem to be "all of the above." If you
strengthen enforcement, mandate treatment, and address the underlying causes,
you'll make some headway. While that is probably true, you should also consider
here the availability of resources and loss of focus.
In order to address enforcement, treatment, and underlying causes all at once, you'll
need money and personnel time from a number of different sources. In addition, if
you try to focus on all three areas (and each is a tall order even by itself), you risk
diluting and scattering your efforts to the point where you can't be effective at
anything. Task forces or action committees usually are most successful when their
goals are clear, well-defined, and well-focused.
All of that leaves your group with having to somehow reconcile different views of the
world and of the issue at hand. It's not impossible, given good will on all hands...but
it's not easy, either. It takes good leadership, something we'll look at later in this
section.
Different individuals or groups may have very different levels of commitment to the
work of the task force or action committee. This can lead to problems in a relatively
small group where everyone depends on everyone else to carry out assignments.
There may be differences in levels of sophistication, education, and "group skills"
among members of the group from different sectors of the community. In order to
ensure that everyone's capacities are tapped, some folks may need support,
encouragement, and mentoring or training in order to feel comfortable participating.
This situation can either be seen as a potential problem or as a potential advantage,
because, while it obviously can act to the detriment of the group if not handled well, it
also provides the opportunity to develop leadership from within the community.
WHEN WOULD YOU FORM A MULTISECTOR TASK FORCE OR ACTION
COMMITTEE?
Some issues can be addressed within the context of a larger initiative, or by simply
finding more resources for existing organizations or services. When can a
multisector task force or action committee best address an issue? Here are some
possibilities:
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When the initiative as a whole identifies a specific issue, within its larger mission,
that needs to be attended to. This might, as described earlier, be a community
problem, such as substance abuse, or it might be an internal need of the initiative advocacy, recruitment of new members, etc. In either case, the issue is important for
the initiative to address, but too specific for the whole group to work on.
When new information points out something in the community that can't be ignored.
The North Quabbin Community Coalition referred to earlier found, in the late 1980s,
that one town in the region, with a population of just over 10,000, had the third
highest number of child sexual assault cases for Massachusetts communities. It was
clear that action needed to be taken as quickly as possible, and the Coalition
immediately formed a Child Sexual Assault Task Force, which included the police, all
the relevant human service and state child protective agencies, parents, the schools,
the local hospital and community health center, the YMCA, and other interested
parties.
When an existing task force or action committee realizes its work can't be completed
without addressing another area related to its own focus.
A Child Sexual Assault Task Force like that above, for instance, may find that a huge
percentage of child sexual assault cases are alcohol-related (as the North Quabbin
Task Force in fact found). The initiative might then, at the Task Force's urging, form
another task force to address alcohol abuse in the community.
When a difficult situation or critical action by an external entity makes attention to a
particular issue suddenly more important. If the state cuts health funding for your
community, for instance, your initiative might want to form an advocacy task force to
mobilize a local effort to get it restored.
When a group within a larger initiative sees an issue that it particularly wants to
concentrate on. If the driving force for the task force or action committee comes from
many of its potential members, it is likely that they will be focused and hard-working,
and that their efforts will be effective.
There can be a problem here if the issue is not one that particularly needs attention.
The energy of those in the self-propelled task force or action committee is then
diverted from more important concerns. Leaders of the larger group might try diplomatically - to turn the task force in a more appropriate direction.
WHO MIGHT BE PART OF A MULTISECTOR TASK FORCE OR ACTION
COMMITTEE?
The short answer to who might join a multisector task force or action committee is
just about anyone. Here are some considerations when you're recruiting:
Seek members who aren't part of the larger group that the task force or action
committee is part of. The only criteria for membership are their interest in the issue,
and their willingness to work on it. You can recruit friends and neighbors, program
participants, politicians - anyone who can help.

Look for stakeholders and other interested parties. Stakeholders might include:
Those directly affected by the issue
Target populations
Those who work with those directly affected

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Those responsible for the issue in the community. If the issue involves the law, for
instance, as in the case of drug abuse, the police and court personnel would be
appropriate task force members
Those affected indirectly or secondarily. Businesses are affected by low literacy
rates in a community, for instance, because they can't find workers with the skills
they need
Interested citizens may have no specific stake in the issue, but may see it as a
community problem, and therefore something they should be concerned about
Look for people who can be helpful to the effort. These folks may not be
stakeholders, but may be able to offer support and credibility, as well as resources.
Some possibilities:
Business leaders.
Clergy and other leaders of the faith community
Local or state officials
People who may hold no official position, but who have high standing in the
community
People with access to money or other resources
People with access to power
People with access to the target population
Look to engage people from different sectors. Some examples of different
community sectors include:
Youth
Older adults
Business community
Media
Schools
Youth-serving organizations
Law enforcement agencies
Religious or fraternal organizations
Civic and volunteer groups
Healthcare professionals
State, local, or tribal governmental agencies
Community organizations
Ultimately, a cross section of the community on your task force or action committee
means more access to different sectors of the community, more credibility among
those sectors, more and better information, and more chance of community support
and eventual success.
HOW DO YOU DEVELOP A MULTISECTOR TASK FORCE OR ACTION
COMMITTEE?
If you do decide that you need a task force or action committee to work on an issue
for your initiative, what do you do next? In order to put a group together and get it
working, there are a number of steps you should take. These steps are essentially
the same as those a larger group might take in defining its goals and actions.
DEFINE THE RELATIONSHIP OF YOUR TASK FORCE OR ACTION COMMITTEE
TO THE LARGER GROUP
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How are you going to operate within the context of the initiative? There is a broad
range of options here, from complete independence to having to check back before
taking any step at all.
Three common models:
The task force or action committee operates independently. In this situation, the
larger group delegates authority for the issue in question to the task force that's
working on it. It may come back to the initiative for help, support, or resources, or to
report on its progress, but the decisions about how to proceed are its own.
The task force operates fairly independently, but reports back to the larger group on
a regular basis. It doesn't need approval to do most things, but can 't commit the
initiative to anything, or act in its name, without an official okay.
The task force needs permission to take any action steps at all. Operating this way, it
would probably formulate a plan and get it approved by the larger group. Then, it
would have to check with the larger group only if the plan changed.
Decide beforehand exactly what the task force can do on its own, what it needs
approval for, and who can give that official okay. In the case of a coalition, for
instance, permission might come from the coordinator, a steering committee, an
executive board, or a vote of the whole membership.
Once a decision is made about how task forces will operate, that decision will usually
hold for all future task forces and action committees of the initiative as well, unless
there's a need for something different in a particular circumstance.
In general, the more independent the task force, the more effective it is likely to be,
since there may be times when it needs to move quickly. But, at the same time, the
more informed the larger group is, the more likely it is to be supportive and available
for help when needed. One reasonable way to incorporate both independence and
the involvement of the larger group is to create a mechanism for checking back with
the group that still allows for speed when necessary. This might mean clearing action
with one or two people, or with a small executive committee.
FIND THE RIGHT PEOPLE TO LEAD YOUR TASK FORCE OR ACTION
COMMITTEE
The person(s) you choose need(s) two characteristics:
Have, or be able to establish, credibility with all sectors of the population that you
need to draw from. (This may mean that the person is an outsider, or a neutral party
with no connection to any specific group; or maybe simply someone who's known
throughout the community for fairness and integrity, or liked by everyone.)
Be a good facilitator, who can deal with conflict and keep group members on track
and all headed in the same direction.
Given these attributes, some potential leaders might be:
The coalition or initiative coordinator
The person(s) most concerned with, or with the most credibility on the issue
The person(s) who can best articulate the task ahead and see the process for
accomplishing it
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A group representing several sectors of the community

The task force or action committee may be led collaboratively by all its members
(you'll still need a facilitator, but that person may change from meeting to meeting)
IDENTIFY INDIVIDUALS OR GROUPS WHOSE PARTICIPATION YOUR TASK
FORCE CAN'T DO WITHOUT
The questions to ask here are:
Who are the actual stakeholders in this issue?
Who are the policy makers, powerbrokers, and others whose permission, support, or
membership is necessary to get anything done?
Who will actually carry out any changes or reforms that your task force succeeds in
establishing?
Make an actual list, with both individual names and - if you can't identify an individual
- names of groups or sectors of the community who need to be involved. Ask other
members of the initiative, contacts in the community, and anyone else you know to
help you identify specific people to contact wherever you can.
There are some people whose direct participation is crucial. But there are others who
would be ideal as well, even though they may not be absolutely necessary to
success. Remember the list above of people who can be helpful.
RECRUIT MEMBERS FOR YOUR TASK FORCE OR ACTION COMMITTEE
Use your list and your contacts to get in touch with people. Many may be people
already involved with the initiative, but many may not. Where you have an individual
listed as the best representative of a particular group or segment of the community, it
might help to have second and third choices from that group as well. In addition,
people who may not be able to become members themselves will have ideas about
others who would be good additions to your task force. Don't hesitate to ask them for
names.

The best method of recruiting people is always personally. An ideal is for the first
contact to be from someone the person already knows, but a "cold call" - a personal
visit or phone call made to someone you don't know - is still better than an e-mail or
a letter.
GATHER THE GROUP AND DEFINE ITS PURPOSE
The issue is already a given, but how are you going to approach it, and what are you
going to do about it? Some task forces or action committees are convened to study
an issue, others to affect it indirectly, still others to take immediate and direct action.
Members need to decide what they're going to do. One model for achieving this
assumes that the task force works together as a group to plan its course of action:
The model below assumes also that someone acts as facilitator to guide the group
through the process. It is aimed at a group whose purpose is to address a
community issue - youth violence, homelessness, etc. A task force or action
committee that has a very specific purpose, such as drafting bylaws, won't need to
go through this whole process.
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Define the problem or issue clearly.

Envision the ideal solution - what do you want things to look like or be like when your
work is done?
Start with the solution and work backward. What things need to happen to get from
where you are now to the solution you've envisioned?
Map out benchmarks - achievements along the way - between where you are now
and where you want to be.
Brainstorm or otherwise determine ways to reach each benchmark from the one
before, and to reach your final goal.
Identify whether your plan means that other issues have to be addressed as well (not
necessarily by this group), or whether other people must be included, and decide
how to deal with those realities.
Identify the resources you'll need to get to each benchmark, and decide - realistically
- how much you can obtain. Adjust your actual goals accordingly.
Draft a plan based on what you've come up with. It should include a timeline for
when you expect to reach each benchmark, and when you expect to reach your final
goal.
Always be aware that a plan like this is a guideline. Everything always takes longer
than you expect or want it to. The purpose here is to give yourself and the initiative
some idea of what you're doing and how long it might take. Not only your timeline,
but your plan itself will change. If it's a good plan to begin with, its major elements
may survive reality, but much will be different by the time you reach your goal. The
flexibility to adjust to changes in circumstances and to things you didn't anticipate or
know about should be part of any plan.
Present your plan to the larger group. Even if you have the latitude to act
independently, it will help to hear what others think. It will also help both you and the
initiative as a whole if everyone knows what's happening, especially if you need help
from other task forces or members of the initiative.
At this point, you've actually developed your task force or action committee, and set
it on its way. Your work has hardly begun, however. There are still a number of steps
before you're ready to hang up your task force hat for good. We'll discuss them
briefly.
IMPLEMENT YOUR PLAN
Take action to reach your benchmarks and your ultimate goal.
EVALUATE AND ADJUST YOUR PLAN AND YOUR ACTIONS
As mentioned in the box above, no plan is perfect. That is why it is important to
evaluate plans, programs, and processes regularly. These evaluations give you a
chance to see what's working well, what needs to be changed, and what
assumptions are in error or outdated. Most important, evaluation makes it possible to
adjust and improve what you're doing.
CELEBRATE SUCCESSES ALONG THE WAY
Celebrate reaching benchmarks with parties or formal ceremonies. Give awards to
task force members, community volunteers, and anyone else who deserves them.

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Advertise your successes to your colleagues, and use the media to tell the
community about them.
Celebration keeps people going, and reminds them why they're putting in all that
time. It creates way stations so that the road to success doesn't seem all that long. It
makes people feel good about themselves and what they're doing, and reminds the
community that you're there.
FIND A WAY TO INSTITUTIONALIZE WHATEVER IS NECESSARY TO
CONTINUE TO ADDRESS THE ISSUE
Task forces and action committees usually disband once they've accomplished their
purposes. But public health and community issues have a habit of never being
"resolved." As long as you keep working at addressing them, you can keep things
flowing smoothly. But once you turn your back, there are those issues again, just
waiting for you to leave so they can surface.
There are a some ways that a task force or action committee can make sure that its
issues continue to be addressed:
The task force's work may be spun off into a new program or agency
For example, the North Quabbin's Child Sexual Assault Task Force eventually
spawned Valuing Our Children, an independent organization that conducts various
programs for children and teens, offers parenting classes and other support services
for parents, and runs family activities to encourage parents and their kids to have fun
together.
The implementation of the task force's plans or goals may be taken over by an
existing agency
The initiative as a whole may assume oversight of the task force's work, and
institutionalize it in the community
Reaching your goal is only the first part of your task force's job. Only when the
strategies for maintaining that goal have become institutionalized is your job done.
IN SUMMARY
Your initiative may need to develop multisector task forces or action committees to
focus in on specific community issues or particular needs of the initiative itself. A task
force or action committee is a group intended to take action; multisector refers to the
group's membership, which is drawn from all sectors of the community, or all sectors
that are concerned with the issue at hand.
Multisector task forces or action committees help a larger initiative focus in on
specific issues, and do something about them. They can be more efficient than the
larger group, and can let people concentrate on the issues that interest them. The
fact that their membership is drawn from many segments of the community gives
their work and that of the initiative credibility among various groups, gives those
groups ownership of their plans and actions, gains their support, and leaves them
feeling that they've been justifiably involved in dealing with issues that are important
to them.

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Multisector task forces and action committees are particularly useful when issues
reach crisis proportions, or are heading in that direction; when new information
identifies a hitherto unrecognized problem in the community; when an outside entity
precipitates a crisis through its actions; or when a group sees a particular issue it
wants to tackle. Membership, besides bridging cultural, class, ethnic, and other
community boundaries, usually should include representatives of all stakeholders to
the issue, people with access to policy making, and others in the community who are
interested in and can be helpful to the effort.
The process of developing a multisector task force or action committee should
include:
Defining the relationship of the task force and the larger initiative
Choosing good leadership
Listing potential members
Recruiting members
Convening the group and articulating its purpose
Once the groundwork is done, the work of the task force encompasses:
Implementing the action plan
Evaluating and adjusting the plan and the work
Celebrating successes at every step
Institutionalizing the work of the task force before it disbands
Only after the last step can the task force or action committee be considered finally
successful.
Writing Bylaws
The other officers of the local neighborhood association were growing increasingly
angry at Mimi, the treasurer. She had been missing a lot of meetings and several of
the organization's bill payments had been made late. Jose, the association's vice
president, finally spoke up one night at yet another officers' meeting from which Mimi
was missing: "This is getting ridiculous. How many meetings does she have to miss
before we can remove her from office?"
Bylaws, if they were written thoroughly, would tell the officers in the neighborhood
association exactly how to handle their dilemma.
WHAT ARE BYLAWS?
Bylaws are the written rules that control the internal affairs of an organization.
Bylaws generally define things like the group's official name, purpose, requirements
for membership, officers' titles and responsibilities, how offices are to be assigned,
how meetings should be conducted, and how often meetings will be held.
Bylaws also govern the way the group must function as well as the roles and
responsibilities of its officers. They are essential in helping an organization map out
its purpose and the practical day-to-day details of how it will go about its business.
Bylaws serve as the legal guidelines of the organization, and the organization could
be challenged in court for its actions if it violates them. For non-profits, at least, they
often have to be filed with the Secretary of State of the state in which you're
incorporated or registered.
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Bylaws are also sometimes mistakenly called standard operating procedures or

policies and procedures, but those are really different things, as they tend to govern
day -to-day operations and don't have the force of law, which bylaws do.
WHY SHOULD AN ORGANIZATION HAVE BYLAWS?
Having bylaws can be helpful to almost any type of organization, regardless of size
or purpose. Determining exactly how your organization is going to operate and
putting that down on paper can help keep things running smoothly, provide the
answers to tough questions (like what to do about a difficult officer), save enormous
amounts of time and deliberation, help you define your mission, or structure the
organization to correspond to that mission.
Having bylaws is necessary if your organization wants to apply for nonprofit status.
Having bylaws helps keep your organization focused on its intended purpose by
specifically defining that purpose.
WHEN SHOULD BYLAWS BE WRITTEN?
If your organization doesn't yet have bylaws, any time can be a good time to write
them, but here are a few specific situations in which you should consider writing
bylaws:
When your organization is just starting out
When you feel you need clarification on how officers are elected, the organization's
purpose, or other basic matters relating to how your group operates
When your organization is undergoing a big change in its purpose or the way it is run
When you want to apply for nonprofit status
HOW DO YOU WRITE BYLAWS?
Before you begin, think a bit about whether you really need bylaws and what
purpose they will serve for your organization. For non-profit organizations, bylaws
are actually a legal document that the organization is responsible for upholding. For
organizations that provide direct service, bylaws usually don't apply to the
organization as a whole; instead, they might delineate the board's powers as
opposed to those of the Director. Towns work the same way: there are bylaws that
specify what people can and can't do (just like state laws), but the various boards
often have their own bylaws. So take some time to think about what the bylaws are
for - the board? The organization as a whole? Once you have a good idea of the
purpose of your bylaws, you can proceed with writing them.
GATHER EXAMPLES OF THE BYLAWS OF SIMILAR ORGANIZATIONS FOR
REFERENCE

Seeing how other groups like yours have written their bylaws will be immensely
helpful. Getting examples from several different groups will let you see a good range
of styles and ideas. You shouldn't just copy another group's bylaws and then stick
your organization's name in here and there, but other groups' bylaws can make a
good rough guide.

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DECIDE BY WHOM AND HOW THE BYLAWS WILL BE WRITTEN AND

APPROVED
Will it be your board of directors, your officers, your steering committee, or some
combination of these groups? Will you approve portions of the bylaws by consensus,
or will each part have to be agreed upon unanimously? Before you start, know how
you're going to make these decisions, and then choose one person to be in charge
of writing up the first draft and making additional changes. If the bylaws are going to
be long or complex, you might divide up the writing tasks, with each of two or more
people writing particular sections.
WRITE A FIRST DRAFT OF YOUR BYLAWS
The group that will approve the bylaws should meet at least once to come up with a
rough outline for the writer before writing begins. Depending on how much you
already know about how your organization is going to operate, the first draft may be
easy for one person to complete on his or her own or it may require you to meet as a
group and work together. This is not the time to get into lengthy discussions about
the particulars of the bylaws; instead, you should put together enough generally
agreed-upon information for the writer to compose a first draft, and leave the
specifics for later discussion.
When writing your first draft, you may find that filling in a general bylaws outline
(such as the one included in Tools at the end of this section) is much easier than
writing it from scratch. You can leave blanks on specific things you're not sure about;
those can easily be filled in when you meet again as a group.
Below is a list of items that typically appear in bylaws. You may decide to alter this
somewhat for your own purposes, so keep in mind that your bylaws don't necessarily
have to be arranged in this order or include all of these components, and you may
decide to add components of your own.

Article I. Name and purpose of the organization.

There should be no doubt as to the official name of your organization. If there are
other names used to refer to your group (shortened versions that are easier to say in
casual conversation, for example), you might mention here that your group is also
known as these names. The name of the organization is usually indicated in bylaws
with the words, "This organization shall be known as" or "The official name of this
organization is" as seen in the example below.
Clearly defining your group's purpose helps you keep your focus. Will the primary
purpose be service, social, political, or something else? Is the organization focused
on a single issue, a set of issues, a geographic area, or a specific population?
Example:
From the bylaws of the Baylor University Faculty Senate:
Article I. Officers, Elections, and Duties.
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Section 1. The elected officers of the Faculty Senate shall be the Chair, Chair-Elect,
Secretary, and Publicity Officer, each elected annually from the Senate membership.
The Chair shall appoint a Parliamentarian and such other officers as shall be
deemed desirable.
Section 2. The officers shall be elected as follows:
On or before the regularly-scheduled April meeting of the Senate, the Chair shall
appoint a Nominating Committee comprised of seven Senators. The Nominating
Committee shall accept nominations and recommendations from members of the
Senate, shall determine whether nominees will consent to serve if elected, and shall
prepare a slate of candidates with at least one nominee for each position. Members
of the Senate shall be advised of such slate of candidates with at least one nominee
for each position. Members of the Senate shall be advised of such slate of
candidates at least one week prior to the regularly-scheduled May meeting.
This may also be a good place to include your vision and mission statements.
Article II. Membership.
This explains what the members' rights are, what their limitations are, and what, if
any, requirements there are for membership (if membership is open to anyone, say
so!). It should also clearly state any required fees, attendance requirements, and any
circumstances in which membership can be revoked. If you are going to allow
honorary memberships, the particulars about that should be included here as well.
Example:
From the bylaws of the University of Virginia's College at Wise Student Government
Association:
ARTICLE II: Membership
Section 1: All persons enrolled for six or more semester hours at The University of
Virginia's College at Wise are considered members of the Student Government
Association during the time of their enrollment and shall be entitled to all the rights
and privileges thereof.
Article III. Officers and decision-making.
In this section of your bylaws, you should explain:
Governing structure: The pecking order in your organization; who reports to whom in
terms of the overall governing structure. The bylaws will explain that the Director is
hired and overseen by the Board, for instance, but won't set out who other staff
members report to or what their duties are: that's the province of the Director and the
day-to-day operation of the organization.
Officers: Official offices of the group, with their correct titles and required duties
specifically outlined, and how long their terms should run.

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Procedures for filling and vacating offices: If an office is to be elected, who votes on
it and how; if an office is to be appointed, who makes the appointment. Also, what
must happen in order to remove someone from office.
Committees: What, if any, standing committees (committees that are ongoing) there
will be, how special committees (committees that only exist for the duration of
completing a specific task or project) will be formed, how committee chairs will be
chosen, and how members will be appointed to those committees.
Decisions: How decisions are to be made and how many members and/or officers
are required for quorum (the number that must be present for official business to
take place).
Amendments: How changes to the bylaws should be made. Usually it requires
previous notice (for example, telling members at two consecutive meetings that a
bylaw amendment will be voted on at the third meeting, or sending out a postcard to
all members telling them that a bylaw amendment will be voted on and when) and a
two-thirds majority vote.
There are numerous other areas your bylaws might cover, depending on the nature
of your organization. Some common ones include standing (i.e., permanent) and
other committees, conflict of interest, indemnification of officers (this means that
officers and board members can't be held personally liable for the debts of the
organization, or prosecuted for illegal organizational activities, unless they were
caused by the illegal actions of one or more particular officers), the specific duties of
the board as opposed to those of the director or CEO -- the list can go on. Try to
think about all the structures that have to do with governing the organization. The
more nearly complete your bylaws are, and the better they reflect the actual
character and workings of the organization, the more useful they'll be.
Article IV. General, special, and annual meetings.
This part of your bylaws should explain how often meetings are to be held. This
doesn't have to be very specific, but it should be clear whether the organization will
meet on a regular basis or if it will meet only as needed. The bylaws should explain
who has the authority to call meetings and how notice of upcoming meetings must
be given to members. You should also describe your meeting procedures (i.e.
whether you're going to use Robert's Rules of Order, the prerogatives of the Chair,
who gets the floor and how, etc.)
Special meetings should also be covered in this section of the bylaws. Special
meetings are sometimes restricted to the board or the officers. This section should
explain how special meetings are to be arranged, who has the authority to call a
special meeting, what sort of business may be conducted at a special meeting, and
who may attend.
Finally, if your organization will be having an annual meeting of any sort, the
specifics of how that will work should be included in this part of the bylaws. Annual
reports should be covered here as well - when they'll be delivered, what they'll
include, who prepares them, etc.
Example:
From the bylaws of the Producers Guild of America

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ARTICLE IV: Meetings of Members

Section 1. Regular Meetings. The Annual Meeting of the members of the Guild shall
be held on the first Monday in May in each year in the County of Los Angeles, at
such hour and place as the Board may designate, for the purpose of electing
Directors and Officers, considering reports of the affairs of this Guild and transacting
such business as may be properly brought before the meeting. If, in the opinion of
the Board of Directors, the Annual Meeting can not be conveniently held on the first
Monday of May, it shall be empowered to call said Meeting on a Monday during
either the month of May or the month of June of the same year.
Section 2. Special Meetings. Special meetings of the members of the Guild shall be
held whenever called by the Board of Directors, and such special meetings shall also
be held within thirty days after being so requested in writing by at least 20% of the
members in good standing, which request shall specify the purpose of such meeting
and shall be addressed to the Secretary of the Guild. If upon receipt of any such
request the Secretary shall fail to call and give notice of a special meeting, the
members requesting shall have the right to fix a time and place for such meeting and
give notice thereof in the manner hereinafter specified.
Section 3. Notice Of Meetings. Notice of the time and place of meetings of the
members, whether regular meetings or special meetings, shall be sent to each
member of the Guild not less than seven, nor more than fourteen days before the
date of said meeting. All such notices shall be addressed to the members at the last
address registered with the Guild, and shall be given by personal delivery, telegraph
or mail, telegraph or postage charges prepaid.
Section 4. Adjourned Meetings And Notice Thereof. Any members' meetings, regular
or special, may be adjourned from time to time by a vote of the majority of the
members present, in person or in proxy, and when any members' meeting is so
adjourned no notice of adjournment need be given unless the adjournment shall be
for a period in excess of thirty (30) days.
Article V. Board of Directors.
If your organization has a board, this section should describe what its role is in the
group, how many people will be on the board, how long a board member's term will
run, how often the board will meet, and how board members will be appointed or
selected. It should also designate how many board members must be present for
quorum, and how members can be removed from the board.
Example:
From the bylaws of the Federation of American Women's Clubs Overseas
ARTICLE V: Board of Directors
Section 1: Number, selection. The Board of Directors shall consist of the elected
officers of the Corporation and the Secretary.

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Section 2: Qualifications. At the time of election, all elected Directors must be

American members of Regular or Associate member clubs.
Section 3: Vacancies. Any vacancy occurring among the Directors between Biennial
Conferences shall be filled in the following manner:
a. The office of President shall be assumed by an elected officer only, in the order of
First, Second and Third Vice-Presidents.
b. In the absence or resignation of a Vice-President, the President shall appoint a
replacement with the approval of the Board of Directors.
c. The Assistant Treasurer shall assume the duties of the Treasurer in her absence
or resignation.
d. The appointment of a Secretary and an Assistant Treasurer pro tempore is left to
the discretion of the acting President.
Section 4: Powers.
a. The Corporation shall be governed by the Board of Directors.
b. The Board of Directors shall have full charge of the property and business of the
Corporation, with full power and authority to manage and conduct same, subject to
the instructions of the Council.
c. The Board of Directors shall have the power to remove Officers and Directors for
cause, pursuant to the instructions of the Council.
Section 5: Meetings. There shall be at least one meeting of the Board of Directors
annually.
Section 6: Quorum. Two-thirds of the members of the Board of Directors present or
represented by proxy shall constitute a quorum at a Board meeting.
Section 7: Resignations. All resignations shall be made in writing and addressed to
the President.
After you have completed your draft of the bylaws, make copies for all the people
who will be involved in the process of approving them. If possible, get copies to them
in advance of your meeting so they'll have a chance to go over them carefully before
meeting.
MEET AS A GROUP TO DISCUSS THE PROPOSED BYLAWS
Get copies of the proposed bylaws out to the group that's going to edit or go over
them well in advance of the meeting so they'll have time to reflect and can have their
questions, issues, prospective changes, or concerns ready. This will not only save
time, but it will also make it much more likely that errors or ill-considered bylaws will
be caught, and that the final version will mirror what everyone really wants.
Get together and go over the bylaws together. You may find this really calls for one
person taking charge and reading off the bylaws for approval, or if you have a
smaller or more casual group you may take turns reading the articles and sections
aloud. Go over each article and section individually for approval, and do so carefully.

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It may seem tedious, but your bylaws are very important and should be handled with
attention to detail.
This is also the time you should consider whether your bylaws are fair and
democratic. Do they distribute the power in your organization in a fair way? Do they
allow members enough of a voice in how the organization is run?
Take note and discuss any changes, voting when necessary. Depending on how
long and how complicated your bylaws are, this may take more than one meeting.
When you've worked through and made all the changes, adjourn to have the final
draft made.
COMPLETE AND APPROVE THE FINAL DRAFT
Again, make sure that people get copies ahead of time. If the whole membership has
to vote on the bylaws, you need to figure out how that's going to happen, especially if
the membership is large. You may find it easiest to send them out a letter explaining
the history of the bylaws (who wrote them, what the process was, etc.) and an
approve /disapprove form to send back. If you do it this way, there should be a last
date to receive the votes, and tallies will be made based on either the whole
membership or the number of votes received. Another option would be to designate
a meeting at which the bylaws will be voted on and give the membership written
notice about the meeting in advance.
Make all the agreed-upon changes to the bylaws and meet again to go over the final
draft. When everyone is satisfied that the changes have been made correctly and the
bylaws are as they should be, you should vote to approve bylaws. The date that the
final draft was approved should appear at the bottom of the bylaws in all future
copies.
BE SURE COPIES ARE GIVEN TO ANYONE WHO NEEDS THEM

All officers, members of your board, and committee chairs should be given copies of
the bylaws. Also, you should either give copies to all members, or make copies
easily available to those who want them.
USE YOUR BYLAWS!
So now your new bylaws are in effect - that's wonderful! But they're not worth much if
you don't actually use them. If your organization has a parliamentarian - an officer or
a consultant who advises the officers and board on parliamentary procedure and
generally makes sure that meetings are run smoothly and according to your bylaws then he or she can help remind people whenever the organization, one of its officers,
a board member, or a regular member is doing something contrary to your bylaws.
Otherwise, you will just have to make sure that your officers make an effort to keep
the bylaws in mind when doing your organization's business. Be sure that a copy of
the bylaws is handy any time that official organization business is being conducted. If
there is ever any question about how exactly you should proceed, don't hesitate to
consult the bylaws. And if you come upon a situation you didn't think of when writing
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your bylaws, consider dealing with that in the final step of the bylaw process, which
we'll talk about next.
REVIEW AND AMEND YOUR BYLAWS PERIODICALLY
Getting together as a group from time to time to go over your bylaws and, if
necessary, amend them will insure that your board, officers, and members remain
familiar with the bylaws. It also will allow you to gauge whether your bylaws
accurately reflect the direction of the organization, whether changes need to be
made in the light of events since the bylaws were written, or if any clarifications need
to be made.
Bylaw amendments can be suggested at any time, either by anyone, if that's the way
you prefer it, or by a group of people (if you use this method, be sure to specify how
many people must propose the change), or by any board member whatever
specifications work best for your organization. Not matter what, there should be room
for those kinds of suggestions whenever there's an issue.
IN SUMMARY
Bylaws can be easy to write and even easier to change if you are well-organized and
have a good plan in place for how to go about it. By following a simple outline, just
about anyone can write bylaws for a new or existing organization, and having bylaws
in place will help eliminate confusion and encourage consistency in the ways your
organization is supposed to go about the things you have to do to reach your goals.
Understanding and Writing Contracts and Memoranda of Agreement
The playground at the local elementary school was a mess. The equipment was
falling apart, the grounds were covered with trash, and the whole place turned into a
swamp whenever it rained. One student's mother decided that the situation needed
to change and took the lead in assembling a group of parents to build a new
playground.
The group studied the designs of a variety of playgrounds, talked to parents and
children in other towns, and came up with a plan for what they wanted to build. To
supervise the work, the leader recruited a neighbor who was a professional
carpenter. He agreed to advise about the purchase of materials, and to be on hand
to teach and assist the others as they actually built the equipment.
As the first work weekend got closer, the leader found herself working harder and
harder to coax the carpenter to do what he had agreed to. Finally, less than a week
before the playground was to be started, he allowed that "the process just wasn't zen
enough," and pulled out. The parents' group went ahead anyway, and completed the
playground, with the help of many other members of the community.
As a result of this experience, the leader posted on her refrigerator door a sign that
symbolized for her the whole experience of the zen carpenter. It read "Get it in
writing," and it stayed there for many years, influencing family, friends, and others
who asked about it and heard the story.

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As you collaborate with other organizations, employ consultants, deal with

foundations and public funders, or hire other organizations to provide services to you
or your target population, you'll also often find it useful to "get it in writing." This
section will help you to read, understand, and draft contracts and memoranda of
agreement, the two kinds of documents that most organizations need in their
relationships with others.
WHAT ARE CONTRACTS AND MEMORANDA OF AGREEMENT?
The greatest difference between a contract and a memorandum of agreement is that
a contract is a legal document and is enforceable in court, whereas a memorandum
of agreement is neither. We'll briefly examine each in turn, and look as well at places
where the differences between them blur.
CONTRACT
As stated above, a contract is a legal document. In its simplest terms, it is a
statement of an agreement between or among two or more parties that involves an
"exchange of value." There may be money involved, or there may be an exchange of
goods, services, space, or some other commodity. If there's an agreement to provide
something in return for something else, it's considered a contract.

In legal terms, a contract isn't enforceable without consideration, i.e. without

something being offered in exchange for something else. In addition, the terms of the
contract have to be clear enough so that a court can enforce it. If a contract says that
one organization will pay another for "collaboration and support " on a program, that
may not be specific enough to be enforceable. The court would have to have some
proof that both parties knew exactly what "collaboration and support " actually
referred to in order to enforce the terms of the contract.
A contract may or may not be written, although a written contract is both clearer and
much more easily enforceable than a verbal one, since a written document makes it
easier to prove that a contract agreement exists. It doesn't have to be labeled a
contract, if it's clear that both parties intend it to be a formal document, and there's
consideration involved. It can be extremely simple, as long as the intent is clear. (For
the sum of $500.00, Fred Smith will paint the outside of John Jones 's barn, including
all trim, window sashes, doors, and window and door frames and surrounds, with two
coats of red paint.)
In health, human service, and community work, subcontracts are common. A
subcontract is a contract used when an organization or individual that already has a
contract to provide services or goods hires another to do some of the work under
that contract. An organization that has a contract to conduct a comprehensive
employment training program, for instance, might subcontract with an adult literacy
program to provide basic skills to participants, or with a vocational school to provide
certain kinds of job training.
MEMORANDUM OF AGREEMENT
A memorandum of agreement is not a legal document, and is not enforceable in
court. In most cases, by calling a document a memorandum of agreement, the
signers are showing that they don't intend to try to enforce its terms.
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In health and community work, memoranda of agreement are usually used to clarify
and/or specify the terms of a cooperative or collaborative arrangement involving two
or more organizations. They may have to do, for example, with sharing space, with
working together toward common goals, with each organization contributing
something toward a common effort, or with agreements to serve on one another's
boards.
The purpose of a memorandum of agreement might be to indicate good will on the
part of both parties, or to help them keep track of what they've agreed on. The
agreement may help to clarify the relationship between two organizations, and to
make clear which services in the community each is responsible for.
Sometimes funders, in trying to promote collaboration, require memoranda of
agreement with particular agencies or organizations to be submitted with funding
proposals . These agreements, typically, state the commitment of the signer to work
with the organization applying for funding in a specific way - referring participants,
taking referrals, or serving on an advisory board, for example.
GRAY AREAS
Although these definitions seem reasonably clear, there are a number of situations
where the picture gets murky. If a memorandum of agreement involves an exchange
for a sum of money, for instance, it will nearly always be considered a contract under
the law. In addition, there are two other legal conditions under which a memorandum
of agreement, or no formal agreement at all, can be treated as a contract.
If one party takes a loss - in money, community standing, etc. - because the other
agreed and then failed to do something, the first party may be able to sue .
Two organizations might sign a memorandum of agreement to collaborate on a
program . One of them, on the basis of their agreement, spends grant money to set
up the program, and then the other - without whose participation the program can't
be run - backs out. The first organization may then be required to pay back the grant
money, because it was spent on a program that never took place. In that case, even
though there was no contract or exchange involved in the original agreement, the
second organization might be forced by law to pay the first organization back...or it
might not. It would depend on circumstances and the judge's opinion - that's why it's
a gray area.
If a particular exchange has become customary, whether or not there's actually a
contract covering it, a contract may be assumed to exist.
A participant has been cleaning the offices of a nonprofit health clinic every month
for over a year, and getting paid a regular amount - let's say $100.00 each time - for
doing so. Then, out of the blue, one month he cleans the office, and the clinic
director refuses to pay, saying she didn't ask him to clean. Under the law, he could
probably argue that the clinic had created a custom of paying him for this service,
and that a contract was implied by this custom. If the judge agreed, the clinic would
have to pay him the $100.00 for the cleaning he had already done. (They wouldn't
have to continue with his services, but they'd have to let him know that they didn't
want him to clean anymore.)
WHEN MIGHT YOU USE EACH DOCUMENT?

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There are times and circumstances when it's appropriate to use a contract, and
others when a memorandum of agreement makes more sense.
USE A CONTRACT OR SUBCONTRACT:
Whenever money is involved
Even if the amount is small, it's important to have a contract, rather than a
memorandum of agreement or no document at all. It's a reasonable guess that more
professional partnerships, collaborations, and other organizational and individual
relationships are ruined by money issues than by the next ten causes combined. The
reason is often either that the parties have different interpretations of what is
expected, or that one party simply ignores an understanding between the two that
the other thought was cast in stone.
A contract shows:
That the agreement is important.
Exactly what everyone's expectations and responsibilities are.
That there is a serious - and legal - obligation for all parties to fulfill the terms of the
contract.
That there is no leeway in what happens to the money. (If there is, that should be
written into the contract as well.)
Some health and community service examples of contracts and subcontracts
involving money:
A funding agency contracts with an organization to provide a specific amount of a
specific kind of service, either for a set total fee, or for a set fee per unit of service. (A
unit could be an hour or other amount of time; each individual person served; a
particular procedure, such as a blood pressure screening or a vocational aptitude
test; a place in a program; etc.)
A lead agency - i.e. an agency that receives a grant or contract directly from the
funder - may subcontract with another organization to provide goods or services
under the terms of a grant or contract awarded to the lead agency.
An organization with a subcontract may in turn subcontract part of its work to yet
another organization.
One organization may simply hire another to provide services or goods, with no
outside funding involved.
Organizations may enter into a contract - a lease, for instance - where the
commodity involved is the use of space, or the use of a name, trademark, or some
other intangible item.
An organization may hire an individual as a contractor to provide specific services .
Organizations may enter into a contract governing the sharing of staff, if each is
paying part of a staff member's time.
Situations involving a non-money exchange
Even if no money changes hands, it may be important to have a contract when two
organizations are working closely together, and the success of their efforts depends
on an exchange working smoothly. If each is performing service for the other's

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participants, for instance, or if one is using space in return for services, a contract
can help assure that each organization fulfills its obligations.
In general, if the success of an effort is riding on this type of collaboration, and on
each party fulfilling its responsibilities properly, a contract is probably in order.
Remember, however, that a contract is only enforceable if it involves a clearlydefined exchange.
USE A MEMORANDUM OF AGREEMENT:
To define a relationship between organizations that agree to do something jointly, or
to provide something other than goods or services.
Some examples of things organizations might agree to:
To provide members for each other's boards of directors.
To refer participants to each other.
To engage in or contribute to a particular activity, such as a comprehensive
community assessment.
To use the services of a particular organization if those services are needed (e.g., if
a participant in your youth leadership program needs a vocational assessment, you'll
send him to the local community economic development program to get it, rather
than somewhere else.)
To provide support (referrals, publicity, materials, etc.) for a new or ongoing program
or initiative.
To agree to affiliate in a particular way
This may encompass some of the activities described above, but may also entail a
more formal agreement to combine some elements of your organizations, or to work
together in specific ways.
For example, if one organization, at the request of a funder, agreed to act as the
money pass-through for another organization that hadn't yet received its federal taxexempt classification. The first organization would simply request money from the
funder at appropriate intervals and hand it over to the second. In this type of
situation, it is wise to draft and sign a memorandum of agreement describing exactly
how this arrangement would work.
To agree to share something
This may be space or equipment, or may cover the long-term loan of furniture or
equipment.
To agree to work together in specific ways, or to collaborate if the opportunity arises

Service providers might agree to engage in shared training or staff development, for
example, or to look for mutual funding opportunities.
For example, a diverse group of organizations, including a women's crisis center, a
senior services organization, an adult literacy program, a community-run theater, a
family-planning program, and a youth services provider came together to look for
funding opportunities that might involve two or more of them. Their purposes were to
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generate creative programs, and to find new and different sources of funding for all
the organizations. They drafted a memorandum of agreement detailing their
relationship, and describing how they would search for joint funding and how joint
funding might work in different circumstances.
HOW DO YOU READ AND UNDERSTAND A CONTRACT OR MEMORANDUM OF
AGREEMENT?
It's at least as likely that your organization will be on the receiving end of a contract,
or be asked to sign an already-drafted memorandum of agreement, as that you'll
write one. Before we discuss how to draft one of these documents, we'll look at how
to read one.
READING A CONTRACT
Most of the contracts that nonprofit organizations are asked to sign come from
funders. You've probably had no input whatsoever into a funder's contract. If the
funder is a branch of government or a public institution, the contract is probably
standard, long, in very small print, and full of legal language ("legalese" is the term
often used for this lawyers' version of English). You may be intimidated at first, but if
you follow a few simple rules, you can make sure that signing a contract won't make
you sorry later.

Read every word carefully.

Your parents probably told you never to sign anything without reading it, and they
were right. Don't assume it's all just jargon, or that you know what's there because
you and the funder have talked about it. Never, ever sign anything that you haven't
read and understood completely.
Especially in the kind of long, small-print, standard contract mentioned above, there
are often important conditions buried in odd places. Many public funders require that
you keep any records having to do with the contract for a certain length of time,
usually five years. Under the terms of the contract, they can ask for those records at
any time during that period, and if you can't produce them - particularly if you can't
prove that you spent the money the way you said you did - you may be required to
return the funds! It's important to be sure you understand all the terms of the
contract, not just those that apply specifically to the services you'll deliver.
As you read, make sure you understand each point or condition before going on to
the next. Take notes on each point in your own words, so you'll have a clear and
understandable outline of exactly what you're committing to if you sign.
Don't be frightened or put off by legal language.
It may look like gibberish, but most of it is in fact understandable if you slow down
and look at it carefully . Most funders' and large organizations' or institutions'
contracts are dense, but the points they make and the conditions they set often
aren't that complicated.
Become familiar with standard clauses and phrasing that you're likely to see in a
number of contracts.

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The person or organization receiving the contract - i.e . you - is usually referred to as
the contractor, for instance. That definition may or may not be presented at the
beginning of the document. You'll find that certain clauses - those describing how
either side can withdraw from the contract with proper notice, for example - come up
in many of the contracts you see. All contracts from state agencies may have some
of the same clauses in them (that requirement to keep your records for five years, for
instance). The more familiar you get with these standard conditions, the easier it gets
to read a contract.
If you have any trouble understanding any part of a contract, ask for clarification or
help.
The funder should be able to explain clearly anything you don't understand . If the
funder is not helpful, or if you'd rather get a second opinion, find a lawyer, a veteran
director of an organization, or someone else with knowledge and experience to go
over the contract with you and explain whatever you don't understand. (That 's one
reason why many nonprofits and community-based organizations have lawyers on
their boards.)
Be sure you agree with, or at least can live with, all the conditions of the contract
before you sign it.
As you read a contract, you should continually be asking yourself the following
questions:
Are all the conditions possible for your organization - i.e. can you carry them out as
described in the contract? Can you do it in the time specified, for instance?
Is anything in the contract dangerous to the functioning or the life of your
organization? Will it cost you money you don't have? Does it put you in conflict with
the principles of your organization, or require you to use a method you don 't believe
in?
Are the resources specified in the contract - funding or otherwise - adequate for you
to be able to do the work? Is compensation adequate to pay for everything you have
to do? If you have to spend the money first, then submit a bill to be reimbursed, can
you handle the cash flow?
Are there protections written in for you, as well as for the funder, in the case of
disagreement, or charges of violating the contract?
Are the restrictions and regulations, if there are any, reasonable and not disruptive to
the overall operation of your organization? Are there limits on whom you can serve,
for instance, that would make other parts of your work difficult?
Is anything in the contract different from what you've been told previously?
If you have questions or problems about one or more points, don't be afraid to raise
them before you sign.
Most contracts are negotiable, at least to some extent . If there's something that
won't work for your organization, or that seems unfair or unnecessarily limiting,
suggest an alternative that will work for you. Your organization is being offered the
contract because the funder thinks you can do a good job. It 's reasonable to do
everything you can to make sure that the funder's right.

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READING A MEMORANDUM OF AGREEMENT

A memorandum of agreement generally looks different from a contract. It's probably
not full of legalese, it's likely to be shorter, and it usually contains few, if any,
conditions that aren't directly related to the agreement itself. As a result, it's often
easier to read and understand than a contract.
Another major difference is that you may have input into a memorandum of
agreement. It depends on the situation. If a funder asks applicants to include
memoranda of agreement with other organizations with a proposal, for instance, the
funder may also have a form or actual wording for that memorandum. If, on the other
hand, you're entering into a previously-discussed agreement with another
organization, you've probably worked out most of the details jointly already.
Although a memorandum of agreement may not be legally enforceable, it is a
promise on the part of both parties to collaborate or otherwise work together in some
way. It should be taken just as seriously as a contract, regardless of its legal
standing. For that reason, just as with a contract, you need to be sure you
understand and agree to all its terms before you sign it.
THE GUIDELINES FOR READING A MEMORANDUM OF AGREEMENT ARE
SIMILAR IN MANY RESPECTS TO THOSE FOR A CONTRACT:
Read every word carefully.
No matter how good your relationship is with the other organization(s) involved,
make sure you understand exactly what you're agreeing to.
If you have any trouble understanding any part of the agreement, ask for clarification
or help.
As with a contract, ask the other party to explain anything that's not clear to you. If
you're still not satisfied that you understand clearly, or if you're suspicious in any
way, find a lawyer or other knowledgeable person you trust to help you.
Be sure you agree with, or at least can live with, all the conditions of the
memorandum of agreement before you sign it.
As you read the document, you should continually be asking yourself the following
questions:
Are all the points reasonable?
If you discussed the agreement previously, does it reflect what you expected and
what you've already agreed to?
Does the document address the situation or issue involved in a way you support ?
Are any parties to the agreement - including you - promising anything they can 't
deliver?
Is everything in the agreement feasible - can you do it with the resources available,
for instance, and within the necessary time frame?

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Are you being asked to agree to something that's damaging to your organization or
against its principles?
If you disagree with any of the terms of the agreement, or have questions or
problems with it, raise them before you sign.
Now's the time to negotiate if there 's anything you want to change.
HOW DO YOU DRAFT A CONTRACT OR MEMORANDUM OF AGREEMENT?
We've looked at what you need to know about contracts and memoranda of
agreement if you're the contractor or if you're signing on. What if you're the funder or
employer, or if you're the organization asking others to enter into a memorandum of
agreement? In those cases, you'll need to know how to draft the document, and to
make sure that it says exactly what you want it to.
What follows applies in general to relatively small organizations that aren't using
lawyers to draft contracts. (Larger organizations - educational institutions, state
agencies, foundations, etc. - if they require contracts, almost always have a
standardized form for them, written by the organization's lawyer or legal department,
in legalese, protecting them from anything and everything, including acts of God. If
you have the legal help available, you may want to do the same.)

The Tool Box is assuming here that most smaller organizations, whether they're
drafting contracts or agreements, will have discussed the terms already with the
contractor(s) or signer(s), and that there will be no surprises for anyone in the final
document. This type of open, collaborative process makes life easier for everyone,
and increases the chances that the terms of the contract or agreement will be
fulfilled.
CONTRACTS
Drafting a contract is essentially a logical, step-by-step process. You don't
necessarily need a lawyer, and the contract doesn't have to be written in legal
language: it just needs to be absolutely clear. Try to write in plain English, and to be
as specific as you can about absolutely everything that you expect.
As a general rule, you won't go wrong by being too detailed. The trick is not to
restrict the activity so much that no innovation or flexibility is possible. The contract
shouldn't be seen as an opportunity to micromanage, but should at the same time be
specific enough so that all parties do what they're supposed to do, and that each
side has some recourse if there's a problem.
If you don't think you're logical enough or a good enough writer to draft a contract
properly, find someone else in your organization to work with you - a board member
who's a lawyer, perhaps, or someone who's had more experience with contracts
than you have. It's worth the trouble to come up with a document that says what it
means and covers all the possibilities.
Explain who the parties to the contract are, and the time period that the contract
covers.
Use the legal names of the organizations, businesses, or individuals involved.

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Example:
"In this document, the Portersburgh Youth Development Initiative contracts with the
Portersburgh Youth Center, Inc. to provide the following services in the period July 1,
2001 to June 30, 2002 (Fiscal Year 2002):..."
Make sure to include everyone and every organization with whom you're contracting
directly. If you know that a contractor is going to subcontract all or part of its work,
that doesn't go here. It's between the contractor and subcontractor. (You might make
an exception if you specifically want the contractor itself to do the work, or are only
willing to accept certain subcontractors.)
Explain the arrangement as specifically as possible on both sides.
Include what the scope of services, products, or other exchange is, who is to be
involved, how it is to be accomplished, when it is to be done (the time frame for the
contract), and where it will take place, if that is relevant. Set out exactly what the
contractor is expected to do . If there's a service involved, for instance, the
description of services should include, where appropriate:
Exactly what the services are, including any particular methods or features that are
expected to be used
The target population
The minimum and/or maximum number of people to be served, if appropriate
The staff-to-participant ratio
How often, for how long each time, over what period of time, and when the services
will be delivered
For example:
"Provision of leadership development training for no fewer than 30 at-risk youths
ages 14-20 per calendar year. This training will include, but not be limited to, early evening courses (using attached curricula) in problem-solving, conflict resolution and
mediation, and interpersonal communication. Each course will be limited to no more
than ten (10) participants per instructor, and will encompass at least six (6 ) two (2)hour periods of instruction, discussion, and practical application (12 hours
altogether). In addition, training will include, for each trainee, a minimum fifteen (15)
hour supervised practicum, in one of the course areas of the trainee's choice, after
completion of all coursework."
Other areas might be included if they're important to you, or some of those included
could be left out if they're up to the contractor. Recruitment strategies are left out of
the example in the box above, for instance, on the assumption that the contractor will
find 30 participants in its own way. If the times of the courses were dependent on
when participants were available, you wouldn't write specific times into the contract,
but you might include that times would depend upon participants' schedules.
If there's money involved, explain the details of payment.
These details will probably include:
The total amount of payment in the contract - either an exact amount, or a range,
with a maximum.
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How payment is determined - a lump sum, or so much per unit (per hour, per person,
per treatment, etc.), or payments for each program milestone, etc.
How the contractor may request payment. Possibilities include all at once; monthly or
quarterly; or as reimbursement for money spent.
How the request for payment is documented. In some cases, you may want a form
specifying what has already been spent, or exact documentation of spending
(receipts for purchase of materials or equipment, tally of hours of service, etc.)
The reporting obligations of the contractor - documentation of spending, financial
reports, copies of its annual audit, a final report on the grant at the end of the year,
etc.
Your obligations as funder - timely payments, for instance.
Exactly what money can be used for, and the conditions under which the use of the
funding can change - negotiations, approval of a change of direction, budget change
requests, etc.
Explain any other obligations of each party.
There may be any number of other obligations that you or the contractor care about.
Some common contract obligations include:
Acknowledgment of the funder or the contractor in any publication by the other about
the work
Acknowledgment of the funding source in any public communication by the
contractor about the funded activity
Demand for, or limitations on, the use of either party's official name or logo
The publication rights of any results arising from the funded activity
The ownership of particular methods, products, or findings resulting from the funded
activity
The timeliness of particular activities (starting participant recruitment early enough to
start the program by a certain date, for instance)
Staff composition (minorities, speakers of particular languages, etc.)
Political neutrality
The use of particular space, or a particular kind of space
Responsibility for public relations and advertising
Explain how the contractor's performance will be evaluated.
The standard for success might be the number of people served, specific results
(none of the youth served in trouble with the police while enrolled in the program),
delivering the promised goods on time and undamaged, etc. If evaluation is
important, it should be written into the contract, along with who will perform it. (Will
you pay for an outside evaluator? Is a self-evaluation acceptable?)
For example:
Performance will be considered satisfactory if:
Services are delivered for at least 46 weeks in the fiscal year.
At least 25 youth, of the 30 proposed, are actually served.
At least 20 complete all coursework, with average attendance rates of 75% or
better.
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At least 16 complete a supervised practicum.

Explain the consequences if either party fails to deliver on what it has agreed to.
In general, unsatisfactory performance in itself, assuming that the contractor put in a
good faith effort to fulfill the terms of the contract, is not a failure to deliver. You may
choose not to fund that person or organization again, but if it did the work, you
probably won't refuse to pay.
But what if it didn't do the work, or didn't do the work in the agreed-upon time frame?
What if it spent the money on something else, or simply failed to follow through on
some or all of the program it promised? By the same token, what if it did the work,
and then you didn't have the money to pay?
Contracts have to be clear about what happens in these kinds of situations.That way,
everyone knows beforehand what the consequences are, and - if the worst happens,
and you end up in court - the law will be clear as well.
For example:
"If the contractor fails to conduct the program, or spends the money in ways not
agreed upon, it may be required to return any money paid to it for this service, or to
return that portion of the funds spent in unapproved ways."
(The "may" in the sentence above is intentional. It gives the funder some leeway in
deciding whether to force the return of the money, or to negotiate some other option
with the contractor.)
Explain the conditions under which the contract can be ended ("terminated" is the
official term) by either side.
Most contracts contain a clause explaining that either side can decide to terminate
the contract without specific cause with a certain amount of notice, usually 30 days.
In addition, there are often conditions under which one side or the other can
terminate the contract immediately, or almost immediately, for specific reasons.
These usually include non-performance of the terms of the contract, misspending the
money, inability or failure to pay on the part of the funder, and similar circumstances
that would prevent the fulfillment of the agreement.
Termination clauses also may include an explanation of what happens to any
remaining money if the contract is cut short early. Depending upon the
circumstances, the funder might ask that all money be returned (if the money seems
to have been misspent, for instance), or that only the unspent portion of the money
be returned.

For example:
"Either party may terminate this contract on thirty (30) days' notice without specific
cause.
"The contract may be terminated by [name of funder] on three (3) days' notice for the
following reasons:
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Failure of the contractor to perform the services or deliver the goods called for in the
contract
Illegal or unacceptable activity [such as discrimination] on the part of the contractor
Misuse of contract funds
Inability of the parties to negotiate a mutually acceptable resolution to a dispute over
the terms of the contract or the conduct of the activity specified in the contract
"The contract may be terminated by [name of contractor] on three (3) days' notice for
the following reasons:

Non-payment of contract funds

A substantive change in the contract scope of work, making it impossible or
extremely difficult for the contractor to carry out the contracted activity as specified
Inability of the parties to negotiate a mutually acceptable resolution to a dispute over
the terms of the contract or the conduct of the activity specified in the contract"
The "inability to negotiate a resolution" clause here could be tricky. How long do you
have to try to negotiate before you throw in the towel? And to what lengths do you
have to go before you've made a good-faith effort? Do you have to call in an outside
mediator, for instance? These kinds of questions make the need for complete clarity
all the more obvious.
Explain the conditions under which the contract can be changed ("amended" is the
technical term in this case).
This may be as small an issue as changing a budget item (which you may already
have a procedure for in the contract - see above), or as large as changing the whole
substance of the activity the contract covers. In general, such changes should
require the agreement of both parties, and some negotiation should probably be built
in.
Some changes can be built into the contract. If you trust the contractor as an expert
in the area in which it works, you might specify that it can determine the best course
of action to complete the terms of the contract, and that it can change that course if it
sees some reason that its original plan isn't likely to succeed . You might allow a
contractor to spend money in whatever way it sees fit, as long as the money is
dedicated to the activity of the contract.
In general, however, any major changes in the contract need to be discussed and
approved by both parties, and the contract needs to be rewritten to reflect those
changes. Otherwise, you might end up with something far different from what you
wanted and expected when you first drafted the document.
When you've finished, show the contract to others to ensure its accuracy.

It's particularly important to include those who were involved in initial discussions
with the contractor - to see if it says what you intend it to, and if it covers clearly all
the specifics that you want to address.
Give the contract to the contractor, and be prepared to negotiate some parts of it.

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Negotiations aren't negative: they're meant to assure that all parties are satisfied with
the contract that they eventually sign, and that the contract activity will take place the
way they all want it to. Remember also that, even after the contract is signed, it can
be changed if both parties agree.
MEMORANDA OF AGREEMENT
Since it's not a legal document, and usually doesn't involve money or another
exchange, a memorandum of agreement allows a bit more leeway than a contract.
On the other hand, the more specific you can be, the better, for a number of reasons:
The more everything is spelled out, the less confusion about what you're agreeing to.
Being specific helps to avoid misunderstandings, which can escalate into bad
feelings and enmity where there was originally trust and collaboration.
Clarity in an agreement provides an outline for your work or activity. You can use the
memorandum of agreement to guide you in what you actually have to do.
A clear agreement reflects the clarity of everyone's expectations. If you can draft a
clear and specific memorandum of agreement that everyone accepts, your
enterprise will probably succeed, because all the participants are in harmony.
Drafting a memorandum of agreement, then, is much like drafting a contract, with the
exception that the terms of the agreement will probably have been discussed by all
the parties beforehand. Most memoranda of agreement are no more than attempts
to state clearly in writing what the parties have already worked out and agreed to in
meetings. Where that's not the case, the parties will usually discuss the already drafted memorandum and work out any differences before it's signed.
A memorandum of agreement, as explained earlier, isn't a legal document and won't
stand up in court. You can't use it - except morally - to hold another organization to
what it's promised. But you can use it as a guide, a reminder, a spur to action.
The Tool Box recommends that you approach drafting it in just the same way you
approach drafting a contract. This reduces misunderstanding or unintended breach
of the agreement, and makes everyone feel secure that they haven't promised
anything that will harm their organization, or that will subject them to expectations
they haven't previously known about.
IN SUMMARY
When you need to "get it in writing," the options are usually a contract or a
memorandum of agreement.
A contract is a legal document, enforceable in court, that governs a relationship
involving "consideration" - an exchange of money or some other commodity for
goods, services, or something else of value. A subcontract is a contract between a
contractor (an organization or individual directly paid or funded to perform a service
or deliver a product) and another organization or individual the contractor pays to
provide part of the service or product in question.
A memorandum of agreement is not legally enforceable, but describes the terms of
an agreement between or among two or more parties to cooperate or collaborate in
some way. These agreements don't involve an exchange - if they did, they'd be
contracts .
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A contract or subcontract should be used in any relationship involving an exchange,

particularly one involving money. A memorandum of agreement is more appropriate
in situations relating to organizations collaborating on a service, agreeing to refer
participants to one another, offering mutual support, or engaging in an activity
together.
In reading a contract, try to follow these guidelines:
Read the whole document carefully
Don't be put off or frightened by legal language
Learn the standard phrases and conditions you're likely to find in a number of
contracts, particularly those from public funders
If you don't understand something, ask for clarification from the writer of the contract,
and/or check with a lawyer or other knowledgeable person you trust to make sure
you know what you're signing
Be sure that the terms of the contract are acceptable to you, and don't involve
promising something you can't do, or threaten damage to your organization
Negotiate any questionable points before you sign
The guidelines for reading a memorandum of agreement are essentially the same.
These are usually not written in legal language, and may be quite simple, so reading
and understanding them may be much easier. Even though it's not a legal document,
a memorandum of agreement is a promise, and should be treated by signers in the
same way as a contract: you should consider yourself bound by it, and, if you sign it,
you should make every effort to carry out its terms.
The touchstone for drafting a good contract or memorandum of agreement is
absolute clarity about everything the document covers. In the case of a contract, that
means describing exactly the who, what, how, when, and where of the exchange, as
well as:
The specifics of payment
Any other obligations or conditions attached to any party
Evaluation of the contractor
Termination of the contract by any party for cause or without cause
Anything else that's important to either party
If the contract is to stand up in court, its expectations have to be clear enough to be
enforced. (It's a good idea to work out the contract details with the contractor, if that's
possible. That way, it's much more likely that the contract terms will be both feasible
and acceptable, and the chances that the result will be exactly what's desired are
much higher.)
Drafting a memorandum, as with reading one, is usually a lot simpler than drafting a
contract. The Tool Box recommends, however, that you approach the process in the
same way, aiming for as much clarity and specificity as possible. That way, there will
be no misunderstandings or bad feeling about what the agreement includes. This
result is even more probable if you and other parties to the agreement draft it
together.

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If you can follow these guidelines, your contracts or memoranda of agreement whether you're the one who's writing them or the one signing on - have an excellent
chance of achieving the results you hope for.
Preparing Job Descriptions and Selection Criteria
Have you ever had a job where no one -- least of none you -- seemed to know just
what you were supposed to do? With any luck, your answer is no, but think about
how difficult it would be to operate without some clear idea of what was expected.
You'd try to guess, based on what you know about your employer and on what you
were told when you were hired, but you'd only realize you had guessed wrong after
the fact, when you were informed you had made an egregious error.
Obviously, a situation like that would not only be horrible for you, but horrible for your
employer as well. That's why most organizations prepare a job description for each
of their positions. The job description explains in general terms what the job is about,
specifies who supervises the position and lays out all the tasks the person is
expected to perform in carrying out the job, including those not necessarily
associated with the title of the position. (A math teacher, for instance, may be
expected to be able to fill out various kinds of paperwork, write messages to parents
and colleagues, attend conferences, monitor the lunchroom, and even coach a sport,
in addition to teaching algebra.)
The job description provides the standard by which an employee can be evaluated,
recognized for exemplary work, helped to improve, or -- in the worst case -dismissed for simply not doing her job.
Any job description implies the need for a person with certain characteristics. A
nurse, a community organizer, a bricklayer, a lawyer, a salesman -- each is expected
to have training, skills, traits, and experience which enable him to do the work of his
position. The list of skills, personal attributes, credentials, and other characteristics
that a person needs to do a particular job in a particular organization make up that
organization's selection criteria for that particular job. Your selection criteria may
include such formal requirements as degrees in certain fields and such informal ones
as commitment to your organization's cause or to social justice, the ability to get
along with other staff members and the community, or a particular personal style.
Selection criteria, like job descriptions, make it easier for organizations and job
applicants to understand what is expected from a person in a specific position, and
help both to determine whether the position and the individual are a good fit.
This section will discuss:
Why you should carefully prepare a job description and develop selection criteria for
a position before you start the hiring process.
How to prepare a job description that accurately reflects what you really want out of
the position, and that will help to attract the right person to fill it.
How to develop selection criteria that are right for your organization, as well as the
position, and that will help you to spot the right person for the job when she applies.
WHY IT'S IMPORTANT TO CAREFULLY DEVELOP A JOB DESCRIPTION AND
SELECTION CRITERIA BEFORE YOU ADVERTISE A POSITION
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There are a number of reasons why having clear job descriptions and selection
criteria are necessary.
They define the position for the organization, for potential applicants, and legally. If
there's any question about whether a staff member is actually doing her job, or being
asked to perform duties that have nothing to do with her position, the job description
should clarify the situation. It should also make it clear who's ultimately responsible
for specific tasks or areas.
If someone's not doing her job, the job description can become an important tool in
helping her to improve. Being able to refer to a list of specific duties and
responsibilities makes it easier for a supervisor to get across just where and how a
staff member isn't meeting standards, and to discuss what she could do to change
that situation.
By the same token, if she's not responding at all, the job description gives the
organization a standard to use in documenting the staff member's failure to carry out
the duties and responsibilities of her position, and, if necessary, to fire her for nonperformance.
They give potential job applicants a sense of whether they should apply for the job.
The clearer you can be about the requirements, duties, and responsibilities of the job
and what kind of person you're looking for, and the better you can represent these in
your advertising for the job, the less time you'll have to spend reading applications
from inappropriate candidates.
The act of developing job descriptions and selection criteria forces you to clarify your
thinking about the position, the kind of person you want for it, and the organization
itself. Organizations often have to include job descriptions in proposals for new
programs or positions. Sometimes, the act of composing the job description changes
the whole course of the proposal, as people realize that they can use a position in
ways they hadn't considered, or that what they had originally conceived was, in fact,
unworkable. A job description can sometimes serve to define a whole program.
Having a clear job description and selection criteria will help you write the copy to
advertise the position, and will make the interviewers' task easier as well. If
interviewers have a clear understanding of the tasks of the position, they can be
much clearer about how to find out whether an interviewee can perform those tasks.
Most important, a clear job description and selection criteria make it more likely that
you'll hire the best person for the job. If you know exactly the person you're looking
for, and have a distinct picture of what you want her to do, you're much more likely to
find her than if you're simply hoping someone good will turn up.
PREPARING A JOB DESCRIPTION
While job descriptions and selection criteria are closely linked, it may make sense to
work on the job description first, since that will help you decide what at least some of
your selection criteria should be. A job description that includes administering
medical treatment is unlikely to suggest hiring someone with a background only in
heavy construction, for instance. On the other hand, there may be criteria that are
important for any position you hire -- sense of humor, respect for the target
population, commitment to social change -- which, stated or unstated, may be as
important to you as the particular skills the staff person will need. We'll discuss this
issue further later in the section.
There are really three parts to the task of preparing a job description:
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Choosing the job title.

Developing a list, often bulleted or numbered, of specific duties and responsibilities
that the position requires.
Composing a capsule description of the position, including what it's meant to
accomplish, requirements other than specific tasks (e.g., hours per week and
expected schedule, whether weekend or evening work is required, necessary travel,
etc.), and who the position supervises and reports to. This section may include wage
or salary and benefit information as well.
CHOOSING A JOB TITLE
It may sound like a small thing, but, in fact, the title you pick for the position can be
very important in several ways. First, it can serve to define the job clearly, both for
the staff member and for others who deal with him. The choice of title may also have
a lot to do with the way the person in the position is regarded in the community.
A Director of Development may be more effective in the community -- getting phone
calls returned, making appointments, being invited to sit on committees and boards - than a Fund-Raiser or Grantwriter, even though all three titles may refer to exactly
the same job. By the same token, an Associate or Assistant Director may command
more respect than a Director of Development, an Executive Director more than a
Director. The perception attached to a particular title carries over to the person
bearing that title.
A better title -- one that implies more responsibility or authority -- can attract better
candidates, even though the pay may be no different from that of a position with a
"lesser" title. One of the reasons for this is that a job title can not only boost selfesteem, but it can also be helpful when a person applies for his next job, making it
easier to get a more responsible position.
A job title, then, serves to define the position and to define the place of its holder,
both in the organization and in the community. As a result, its choice demands some
serious thought. For the sake of example, let's go through the process of developing
a job description for a position that we've decided to call Community Health
Educator.
DEVELOPING A LIST OF SPECIFIC DUTIES AND RESPONSIBILITIES
There are really two steps to generating a list of specific duties and responsibilities.
The first is to define the basic elements of the position (i.e., what it is you actually
want the person to be able to do, or know, or be good at in order to do her job well.
The second is to then identify the specific activities -- all the specific activities -- that
the job requires. Let's take our hypothetical job, Community Health Educator, and
look at the development of a list of duties and responsibilities for it.
Basic elements of the position
What do you want this person to do and know and be good at? Some of these things
are skills related to the job title, which may be learned through education and training
or through experience (perhaps in previous positions, perhaps otherwise). Others

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are skills required by the job which may not be implied in the job title, and some -personality traits and characteristics -- may not be learned at all.
For a Community Health Educator, the specific skills learned from education and
training might be:
Teaching and facilitation skills, including a knowledge of appropriate teaching
materials for the target population
Counseling skills
General knowledge of community health issues
Understanding of the medical/scientific causes and treatment of particular health
problems -- AIDS, sexually transmitted diseases, tuberculosis, substance abuse,
lack of prenatal care, malnutrition, various forms of mental illness, tobacco-related
illnesses, etc.
Knowledge of the native language of a non-English-speaking target population. In
this hypothetical case, we'll assume Spanish.
(Obviously, not all of these would be necessary for every position, and some might
need skills not on this list.)
The skills acquired by experience that you might want a Community Health Educator
to have include:
Outreach skills
Understanding of the community
Understanding of the target population
Knowing the workings of the health bureaucracy -- HMOs, hospitals, state and
federal agencies -- and how to negotiate them
Understanding the social causes and potential solutions to particular health problems
Familiarity with referral possibilities and procedures
Finally, there are the non-specific skills, traits, and abilities, some learned and some
innate, that are required by the job:

Clerical and organizational skills -- filing, record-keeping, doing paperwork accurately

and on time, etc.
Computer literacy
Good written and verbal communication skills
Self-presentation -- knowing how to act, dress, and communicate with different
groups
Interpersonal ability -- getting along with and being accepted by the target
population, the community, and colleagues; dealing with conflict well; and
maintaining a sense of humor
Specific activities required for the position
Now it's time to come up with everything the person in this position will be expected
to do. Remember that the list should include absolutely everything, whether it relates
directly to the job title or not. For our Community Health Educator, the list might look
like this:
Develops and offers presentations, in the appropriate language (English or Spanish)
and using appropriate materials, on general and specific public health issues -251

including (but not necessarily limited to) HIV/AIDS, sexually transmitted diseases,
substance abuse, stress, nutrition, breast and other types of cancer, and
tuberculosis -- to the target population, community groups, populations at risk, other
professionals, and the general public.
Conducts outreach to groups at risk, particularly in the target population.
Counsels individuals on treatment of health and substance-abuse problems, and
makes appropriate referrals.
Distributes and resupplies written and/or audio-visual information on public health
issues to all sites of the organization, other agencies, businesses, and other highly
visible sites in the community.
Recruits, trains, and supervises small groups of the target population as providers of
preventive and other health education in their communities.
Testifies at public and legislative hearings on the need for health care, the health
problems of the community, and other related issues.
Runs an annual Community Health Fair in June.
Establishes and maintains contact with the local community of health and human
service professionals.
Meets regularly with other staff of the organization to develop strategies for serving
the community.
Spends at least 50 hours per year engaged in professional development activities.
Maintains up-to-date computer database of contacts and presentations, including the
number of contact hours per week.
Completes all paperwork required for the position in the prescribed time.
Attends weekly staff meetings.
Attends bimonthly supervision sessions with the Program Director.
Serves on the Board's Public Health Committee, and attends full Board meetings
upon request.
Answers office phones two hours per week.
Performs any other duties as required by the Executive Director.
This is a long list, but remember that these are all the activities you think this person
will need to perform in this position. She may not do all of them at any one time. A
year may go by without some of them being done, depending on the needs of the
community and of the organization, but they're all part of her job, and she may need
to practice any or all of them at a given time.
Some of these duties -- staff meetings, supervision, answering office phones,
perhaps committee service -- are not unique to this position, but are required of
everyone in the organization. Others -- outreach, maintaining contacts in the
community, distributing health literature, paperwork -- are ongoing, and happen in
the daily course of the job. And notice the last one: that's a catch-all, in case
anything comes up that no one thought of, or in case the organization somehow
changes before job descriptions can be readjusted.

WRITING THE CAPSULE DESCRIPTION

Now that we have a job title and have come up with a list of activities and
responsibilities to go with it, it's time to tackle the capsule description. This will be a
two-or -three sentence description of the job and its purpose, as well as any other
major responsibilities it entails. The capsule description also includes some of the
nitty-gritty information about the position (hours per week, schedule requirements,
flexibility or lack thereof, salary or hourly wage, benefits, etc.), and specifies who
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supervises it. The capsule description thus gives an overview of the position and
makes clear where it falls in the organization and what its logistics are.
Here's a try at a capsule description of our Community Health Educator position.
The Community Health Educator acts as the bridge between the organization and
the community on issues relating to public and individual health. He or she, in
addition to presenting health issues and education to the public in a variety of ways,
counsels and makes referrals in matters of individual health care, and also recruits
and trains members of the community to act as resources for health information.
The Community Health Educator reports to the Program Director. This is a full-time
position (40 hours per week), and includes some evening and weekend hours.
Scheduling is flexible within limits. Competitive salary and benefit package.
Whether or not to include the actual salary or wages and benefits in the job
description is a decision that's up to each organization. If there's an official salary
range for a position, it's often included. If the salary is particularly low, or if it's going
to depend on who gets hired, it may not be. A particular salary range may attract
some people and put off others. A high salary may indicate to some people that the
position requires more work or responsibility than they want to take on, or that the
organization is too "establishment." A low salary, on the other hand, may simply not
be livable for people with families or other responsibilities. What you choose to do
will depend on your circumstances.
The job description is complete, but there are still some important questions left to
ask:
Does this job description make sense? Do all the functions of this position hang
together?
Does it describe a job that can be done well by one person in the time she's given to
work at it (i.e. are there unreasonable expectations)?
Does the organization have the resources to support the position (the time of other
staff members, enough money to pay a salary consistent with what's required,
materials, space, etc.)?
Is the schedule reasonable?
Was the supervisor for this position chosen for logical reasons based on how the
organization operates, rather than merely for convenience or to massage someone's
ego?
Does the supervisor actually have the time and expertise to supervise this position?
Will the position accomplish what the organization designed it to?
If you can comfortably answer "yes" to all of these questions, you've done a great
job, and you can use your job description with confidence, both for recruiting
applicants and for defining the position once you've hired someone. If some of your
answers are "no" or "I'm not sure," then go back and deal with those issues right
now, before you start the hiring process. The amount of time you spend now will only
be a tiny fraction of the time those "no's" will cost you later, and won't even be in the
same universe when it comes to the amount of hassle you'll save. Work with it until
you know it's right -- you won't be sorry.
DEVELOPING SELECTION CRITERIA
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Selection criteria for a position will generally fall under four headings: education and
other formal credentials; job-specific skills and knowledge; non-job-specific skills and
knowledge; and personal attributes and traits. And once you have a job description
to work from, it should be a piece of cake to develop selection criteria, right?
Well...yes and no. First of all, selection criteria aren't exactly the same as
qualifications.
Qualifications are the credentials and experience that are stated as preferred or
required for whomever you hire for the position. Generally, they'll go into your
advertising, so that potential applicants will know whether they're eligible for the job
or not, and they're the standard you'll use in screening applications. To some extent,
especially if you have public funding, you're legally bound to them, and you could be
challenged, or even sued for discrimination if you hire someone who doesn't have
them over someone who does. (A lot of this depends on circumstance, and you're
reasonably safe if you're not discriminating and can defend your choice. A lawsuit,
however, even one you win, costs an organization time and money, both of which
might be in short supply.)
But selection criteria might not be limited to qualifications. Your organization might
want a particular kind of person as a staff member -- someone who's warm and
engaging, for instance, or who will treat participants and everyone else with respect,
or who just seems astute in certain ways. Or you might prefer someone who comes
out of a particular background, or whose politics mesh with those of the organization
and its staff members, or whose personal style fits in with those of the rest of the
staff.
These criteria aren't even always conscious...but they should be. It's important to
analyze and understand what your unspoken criteria are as well as your spoken
ones, so that you can be clear about why you're hiring who you're hiring, rather than
talking about "hunches" or "feelings" when you're arguing for your choice.
In developing qualifications, there are two ways to go: you can be as specific as
possible, because you feel you know exactly what a person will need to do the job
well; or you can be as general as possible, hoping to attract someone who may not
look exactly right on paper, but who will in fact be exactly right once they get into the
position. There are advantages and disadvantages to both approaches, and there's
also a way to hedge your bets.
Qualifications can be either "required" or "preferred." If they're required, then no one
without them will apply, and you're legally bound to them if you're operating under
those kinds of restrictions (public education, many government agencies, and other
publicly funded organizations are usually subject to such regulations). If they're
preferred, then you have a lot of discretion about whether someone actually needs
them or not. You can require some qualifications and prefer others. If you use
"preferred" for at least some qualifications, you may have to read through more
applications, but you may also find a gem where you least expect it.
EDUCATION AND OTHER FORMAL CREDENTIALS

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How important are educational and other formal credentials to performing the duties
in this job description or to the standing of the position? Do you simply require all
your staff to have college or advanced degrees? For some positions, these kinds of
questions have obvious answers: if you're looking for a doctor or a nurse or a lawyer,
she'll need not only specific degrees but other certifications -- such as passing the
Bar Exam -- in order to legally do the job at all. A psychologist or social worker needs
certain academic and other credentials in order to be reimbursed for his work by
insurance companies. But how about a teacher in a community-run school or an
adult education program? Or a job counselor in an employment training agency?
What does the person actually need, and are you possibly depriving your
organization of someone really wonderful by requiring certain degrees? (Here's
where "preferred" can be really useful.)
On the other hand, how will this person be viewed in the community? Who will she
have to deal with as a colleague, as an advisor or consultant, or as a supervisor? Is
it important for her credibility that she have academic credentials that match or
exceed those of others in the community or in her field? If so, then those credentials
must be required.
Our Community Health Educator, for instance, probably needs a degree in
Education, Counseling, Public Health, Social Work, or something similar. Why does
she need it? She's being asked to testify before legislative committees, to network
with colleagues in the community, to make community and other presentations. She
may not need the degree in order to do these things well, but she definitely needs it
for credibility in these and other situations. Hiring someone without a degree in an
appropriate area would be doing that person a disservice in this case, because it
would put her at an immediate disadvantage in a number of situations.
JOB-SPECIFIC SKILLS AND KNOWLEDGE
These are the skills and knowledge directly related to the performance of the job
you're hiring for. A doctor needs to know about various diseases and medical
conditions, anatomy, physiology, pharmacology, etc., and to be able to stitch up a
wound, take blood pressure accurately, and give an injection in order to treat
patients; a mason has to know the proportions of sand, water, and lime in different
mixtures of mortar used for different purposes, and to be able to lay a straight and
level line of brick or stone in order to build a wall. The fact that they both need to be
able to do some basic math is not specific to either of their jobs, even though they
couldn't do those jobs without it.
If you've done your job, you have a job description that should tell you just what the
skills and knowledge are that the person you're hiring will need. Let's look at our
Community Health Educator again, and determine what job-specific skills and
knowledge she needs.
According to the list of duties and responsibilities we developed for the position, the
major part of the job revolves around teaching and counseling skills, particularly on
health issues. The ideal candidate, then, would probably have some teaching
experience, some counseling experience, and a knowledge of health issues, in
addition to her degree in a related area, if you've decided upon that.
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So which of these criteria will you require, which will you prefer, and which will you
ignore? Unfortunately, you usually have to deal with the difference between "ideal"
and "actual." If you can find a person with all these qualifications, and that person is
who you want, that's great. But, in reality, it's more likely that you'll find a person you
really like who has only some of these particular credentials.
The question you have to resolve here is what's most important to you. If the person
you want has no health experience, for instance, are you willing to train her or get
her trained in that area in return for the other assets -- perhaps personality traits,
perhaps exemplary teaching skills -- she brings to the job? What skills or experience
would you absolutely require regardless of how much you liked her in every other
way? Teaching expertise? A welcoming personality? Knowledge of the workings of
the health care system? It depends on the perspective of your organization, on what
you believe can be easily learned in a relatively short time, and on what you regard
as most important for this person to accomplish.
When money for health education became available statewide from a tax on tobacco
products, an adult literacy program received funding to run a health education
program for its students and the community. The coordinator chosen for the program
was already a staff member of the organization. While she had no direct experience
in health education, she was an excellent teacher, had a great personal interest in
health, and was highly organized. Within six months, she had become so well-versed
in health-related issues and so knowledgeable about particular areas -- smoking
cessation, stress reduction, breast cancer, and others -- that health professionals in
the community were coming to her for advice. She created a program that was
recognized as one of the best in the state, even though she'd had no previous direct
experience or education in the health field.
NON-JOB-SPECIFIC SKILLS AND KNOWLEDGE
Just as both the doctor and the mason need basic math skills, everyone needs skills
and knowledge that aren't intrinsically related to his job title, but are required to do
the job.
Some examples of these include...
Familiarity with the target community, or with similar communities
Experience in a related, but not directly related, area of work
Knowledge of a particular language
Understanding of particular systems and how to negotiate them -- state bureaucracy,
private foundations, health care delivery, public schools -- or of systems in general
Excellent writing and/or public speaking skills
Understanding of a particular philosophy that your organization follows: Jungian
psychology, participatory education, Marxist economics, etc.
Knowledge of public relations
Familiarity with computers or other technology, or with particular software
Clerical skills
Organizational skills
The Community Health Educator, for instance, would have to have good
communication skills (for public presentations, testimony, networking, and outreach),
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clerical skills, a high degree of organization (paperwork, record-keeping, juggling a

lot of different responsibilities), and computer literacy (maintaining a database). She
would also need an understanding of the state and/or local health bureaucracy,
familiarity with the target or similar communities, and, according to her job
description, fluency in Spanish.
Some of these skills may not be included in job descriptions or selection criteria,
because it's assumed that anyone of a certain educational or occupational level will
have them. It's dangerous to make that kind of assumption, however; if you don't ask
for what you want, there's a good chance you won't get it. Be direct about what the
position demands, and you're more likely to hire someone who can handle it.
PERSONAL ATTRIBUTES AND TRAITS
There are a number of characteristics which are neither learned nor acquired by
experience, but are nonetheless important for success in particular positions. There
are others you might expect from anyone in your organization, which reflect your
organizational character and the things you believe in. Some of these may not fall in
the area of qualifications, but many do. These could include...
Initiative: the ability to get started and work independently when necessary, and to
come up with ideas and carry them out.
The ability to get along with a wide range of people, including other staff and
community members, and to communicate respect to everyone.
A sense of humor.
Patience.
A neat and well-groomed appearance. (In some positions, this could be a negative
rather than a positive.)
Passion for the organization's cause or issue.
Particular characteristics of birth or physique. (Does the position require heavy
lifting? Dance therapy?)
Particular racial or ethnic characteristics, gender, or residence.. You'd be unlikely to
hire a man as a sexual abuse counselor for battered women, for example; or you
might want to hire someone from the community you're targeting in order to increase
your program's credibility in that community.
Possession of one's own transportation, and willingness to use it on the job.
Willingness to travel, work odd hours, etc..
Our Community Health Educator's qualifications would probably include initiative -especially if she's expected to start the program from scratch -- and the ability to get
along with people. But it's in this category of criteria that those unspoken standards
come into play. The applicant's personality may have a lot to do with whether she
gets hired or not, even though that's not directly stated. How she dresses may be
important -- not messily, but not too well, either, so that she doesn't put off or
intimidate the low-income people with whom she's working. And there's that intuitive
flash that individuals or hiring committees sometimes get that says "hire this person"
or "don't touch this applicant with a ten-foot pole." That's why it's important to be
conscious of all your criteria.
What criteria you should use -- both publicly and privately -- depends on what's most
important to you. If a sense of humor is essential, then say so. If it would be nice, but
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there's already a long list ahead of it, let it go. What are the real preferences of the
organization?
Does the organization value certain personal attributes over knowledge and/or
experience?
Does it value certain kinds of experience more than others? (Some organizations will
go out of their way to hire people who've been in the Peace Corps, for instance,
because they feel that the experience leaves people with skills and attitudes that
lead to great competence in community work.)
Does it assume that one body of knowledge -- understanding of the causes and
treatment of specific health conditions, for example -- can be picked up more easily
than another -- e.g., understanding of low income or ethnic communities? Or vice
versa?
Does it have a philosophical commitment to hiring people with certain backgrounds
or disabilities, or to diversity in general?
The answers to all of these questions will affect how selection criteria are chosen
and applied and how job applicants are rated in an organization's hiring process.
Ultimately, the selection criteria should...
Be manageable: there shouldn't be so many that they'll severely limit the number of
people who can apply, nor so few that they don't leave you with any way to judge
applicants.
Conform to whatever legal standards to which you are subject.
Look like the profile of someone who could do a great job in the position, and whom
you'd want to work with.
IN SUMMARY
Preparing a job description and choosing selection criteria -- both spoken and
unspoken -- carefully and consciously are important elements in hiring, especially for
a new position. The work you do on these preliminary tasks will help you define the
position clearly and make the whole hiring process easier. But most important, it will
make it far more likely that you'll hire exactly the right person for the job; and that's
the whole point of the hiring process.
Designing a Training Session
Training occurs in many different ways in our organizations every day. The head of a
new teen pregnancy prevention group might look up information on the Internet to
learn how to apply for nonprofit status; that's training, of a sort. Her assistant might
show new employees and volunteers how to use new computer software. The
organization might later bring in an expert on Hispanic culture, to help community
organizers learn to better reach out to the members of the local Hispanic community.
And later in the organization's life, it might start running annual day-long retreats for
area teachers discussing how they can improve sexuality education in their
classrooms. All of these examples constitute training, too.
So overall, training is a very broad subject. It can include learning on almost any
subject in almost any way. Our focus in this section will be on training sessions in
which people are learning together. We'll deal with trainings of all lengths, from a
quick two-hour computer training session to one that takes place over several weeks
.
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In the next few pages, we'll walk you through all of the early steps in designing a
training session. We'll start with a better look at what training is, why you might want
to create a training session, and who might be the best group of people to design it.
Finally, we'll offer help in developing the content and goals of your training session.
In general, this section will help you design the content of your training session -- a
process done in the weeks and months prior to your training session. The next
section will take you through the logistics of the delivery of the session itself -- what
you do in the two or three days prior to the training , during the training itself, and as
follow-up.
A note of caution: Designing a training session is hard work, and if it's done well, it
can be extremely rewarding. Before you get started, however, make sure there isn't
already a training format in existence that your organization could borrow from or use
wholesale. For example, the American Red Cross has mapped out session formats
for its training sessions, such as First Aid or becoming an HIV/AIDS educator.
Additionally, if you don't find a format that fits your needs exactly, consider adapting
one in a way that will work for you. Our point is that organizing and running a firstclass training session is enough work. You don't need to reinvent the wheel.
Because of the broadness of both this section and the next, we encourage you to
pick and choose from the ideas we talk about in the coming pages, instead of using
every idea as is. That way, you'll be sure to design a training session that is ideal for
your organization's needs.
Ready? Then let's go!
WHAT TYPES OF TRAINING EXIST?
As we said above, there are a lot of different types of training methods out there.
Some of the most common ways that people learn include:
Training courses and workshops;
Courses taught by universities and other organizations;
Distance learning;
Internships;
On-the-job training;
Orientation sessions;
Peer-based methods;
Self-directed learning;
Tutorials; and
Large professional conferences, conventions, and retreats.
WHAT DO YOU TRAIN PEOPLE TO DO?
As we said above, trainings occur on almost every topic you can think of. But for the
needs of nonprofit groups, these trainings can be loosely grouped into two
categories : general training sessions and mission-specific training sessions.
First, your organization might want to run (or take part in) a training which covers
general topics. These are the topics that will be useful regardless of your
organization's mission. These same topics are regularly covered by organizations in
the for-profit world. Some topics for which trainings commonly occur are:

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Communication
Computer skills
Diversity
Ethics
Human relations
Safety
Sexual harassment
Self-defense
Additionally, you might also choose to conduct trainings on things that are specific to
your organization. Examples of this include:
A crisis-counseling center might have trainings on how to counsel specific groups
such as children, people that are suicidal, or victims of abuse;
The resources to which your group might direct its clients;
An HIV/AIDS service center might develop trainings on how to understand and work
with different insurance carriers; or
A half-way house for recovering addicts might design a training on facilitating support
groups.
There are probably almost as many training topics as there are nonprofit
organizations. What's important is to recognize what trainings your group wants to
develop.
WHY SHOULD YOU DESIGN A TRAINING SESSION?
The bottom line is, most organizations design training sessions when they see a
need, be it for information or skills, that is not being filled. Unless you see a need for
a new training design, your organization is probably just not going to take the time
and effort needed to create and implement a new program.
Now, members of your organizations might see a need for such a training session in
many places. First of all, the need might exist within your organization. For example,
the director of a group might see a need for a course in personal safety, especially if
your organization is based in an area where a lot of violence occurs. Or, a group
whose members volunteer to be legal advocates for abused children will need to
train and educate newcomers.
Training might also be a need you have noticed in certain groups. For example, an
advocacy group for people with physical disabilities might be frustrated with the
medical care their clients receive, and offer to conduct training sessions to help
health care providers better understand their special needs.
Finally, training might also be a need you have noticed in the larger community. For
example, an organization might offer money management skills or literacy courses to
people with lower levels of education.
When your organization does decide to design and run a training session, however,
members will often notice that doing so has several more advantages. Other reasons
to design a session include:
To develop an individualized training that will best suit your organization's needs.
That is, you might want to design a training session when existing formats just don't
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cut the mustard in terms of addressing your organization's particular concerns.

Designing your own training can help center your session around your own unique
goals.
To pass on the experience and expertise of members of your organization. After your
group has been working on something for a long time, you know the tricks of the
trade -- what needs to be done, where you can cut corners, and what looks good in
books but never really works. Developing (and sharing!) a training session based on
what works helps let other people in on your secret.
To give staff members or volunteers experience in training design. This can be a
good way to help people improve their confidence in what they know and can do.
Involving young people or people who feel they have been "left out" of the system
can be particularly rewarding.
To offer staff and volunteers additional opportunities for professional growth .
Designing and offering trainings to your staff and volunteers is a good way to keep
them learning and interested. Not only will members of your organization be better
trained and more effective, they'll also be more likely to stay.
WHO SHOULD DESIGN YOUR TRAINING SESSION?
Generally speaking, you will want a fair-sized working group to develop your training
.While there is probably a limit of how many people should be involved to keep
things streamlined and moving full speed ahead, you'll want about six or seven
people for a mid-sized training. This number will logically be bigger for more detailed,
larger trainings, and smaller for more focused events. In any case, the best mix, if
you can get it, is a group that includes:
Experts. This includes experts in the topic in which you are training people, and if
possible, an expert in training or adult learning as well.
Future learners. These are the people who can help keep you grounded, and let you
know if your plans are likely to be way over the audience's head, insultingly simple,
culturally inappropriate, or not useful for some other reason. It's important, however,
to choose future learners very carefully, especially if they are younger or less
educated than other members of the training design team. Especially when this is
the case, try to choose people who are outgoing and not easily cowed by older or
more educated people. You don't want good ideas or suggestions left unheard
because the person is too shy or embarrassed to mention them.
Future teachers. By involving future teachers, you ensure that they are comfortable
with the material they will be teaching. It is also likely that they will have many other
helpful suggestions, especially if they already have experience in formal or informal
education.
DESIGNING A TRAINING SESSION:
Learn about the people you will be training.
The first thing you need to do is to decide who your audience is. This doesn't just
mean their names, or the title of the general group you'll be training, although that's a
good start. If you know your audience will be a group of teenagers, you will already
have a pathway you'll start down that will be different from the path you'd take to
teach the same information to, say, a group of middle-aged business people.
However, just knowing the title of the group isn't enough. For example, saying, "This
training is geared towards immigrants," helps, but you'll need more information . This
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is especially true if you or other members of the design team don't know very much
about immigrants, or you don't know from what part of the world they are coming .
The bottom line is, the more you know about your audience, the better you'll be able
to teach them. If possible, try to at least learn answers to the following questions
about your intended audience.
Who are you going to train? This means names, if possible, or at least the specific
group (young people, people with disabilities, teachers, and so on) with whom you're
planning on working. Sometimes you may not know the answer to this, but be
equipped with a good guess. For example, you might be planning a class on
gardening to which you welcome the entire community, but experience has taught
you that when you teach similar classes, you tend to have a group of educated
middle-class women.
What is their background? This will include education, religion, political beliefs -- in
short, anything that tells you a little about who these people are.
What pre-training will they need? If there is knowledge (or certification) people need
before they come, that should be made very clear when promoting the course. If you
plan to train a group of people you know to be responsible (such as the staff and
volunteers you work with regularly, or people who have already gone through other
trainings with you), you might have the option of giving them reading or assignments
before the training starts. However, in general you should be a bit wary of this option.
Even the most responsible people can get busy or forgetful.
Will some people need more training than others? One of the most challenging
aspects of designing a training program occurs when you have an audience with
vastly different needs. For example, you might be designing a training to teach
people to teach others to read and write, and have in your audience a high school
student, a high school teacher, a retired secretary, a priest, and an advertising
executive. Each of these people will have different needs. In extreme cases, you
might consider having several training sessions. When differences are less
pronounced, you might consider sending out some information for participants to
read, so that they will all at least have the same minimum baseline of knowledge
when they arrive. (That's remembering, of course, our cautionary note from above,
that they may or may not read it at all.)
How do they see you? This question, in particular, can be very touchy. Especially if
the trainer comes from a different background (ethnic or class group, for example),
there might be a lot of preconceived notions on both sides of the fence. Members of
some groups or populations, for example, might feel that they shouldn't speak up or
talk about their ideas. They might even feel that they shouldn't have ideas of their
own. They might also feel that what the trainer says doesn't really apply to them or to
members of their community. While there's not an easy answer on how to deal with
this point, a good start is to be aware of it, and sensitive to it, as you are developing
your training.
Determine the needs of your target audience.
Now that you know a little bit about your audience, you need to find out a little bit
about what they need. By "need," we actually mean two different things. First, what
information or skills do learners need to know? For example, if your group is training
college students to be safer-sex peer educators, you might decide that students will
need to know some basic facts about birth control, STDs, basic communication
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skills, and where they can go (or send other young people) to get more information.
But how much do your incoming trainers know already? What will need to be part of
the curriculum?
Second, what are your audience's logistic needs? That is, what needs to happen for
them to walk through the door in the first place? If you are teaching a literacy class,
do you need to have a babysitter available? Will people be more likely to show up if
they'll get a voucher for free groceries or a movie?
Obviously, the answers to these questions will be very different for different
organizations at different times. Many of the questions, however, will remain the
same. Below is a starter list of questions that members of your design group will
want to have answered before they start designing the training. But remember, this
list is just a start. Members might want to brainstorm at the very beginning of their
work to decide what else they need to know.
How complex is the training that is needed?
How much time do learners have to learn the new knowledge and skills?
Are your potential learners ready for the training you're thinking about? For example,
you wouldn't start a basic literacy class reading Shakespeare. Will the students have
the background needed to understand what you want to teach, or will "pre-teaching"
be necessary for some or all of them?
What are learner's learning preferences and styles? A terrific number of books and
articles have been written on adult learning. See Resources for some good
examples you might check out.
What incentives do people have to come? To pay attention?
Can/should people earn CEUs? If so, how will your organization go about setting that
up?
Continuing Education Units (CEUs) are a way to offer proof or legitimacy to learning
done by professionals outside of a traditional college course. Many careers require
that professionals obtain a certain number of CEUs annually, so offering CEUs for
taking part in your training session can be a real boon for attendees, and a boost for
your attendance.
Your organization can become certified to offer CEUs for all of its trainings, or , more
easily, for a single event. The International Association for Continuing Education and
Training is responsible for arranging certifications.
A downside to offering CEUs is that doing so isn't free; fairly hefty fees are involved.
Because of this, another option your group might consider is to team with an
organization that is certified to offer CEUs, such as a university, to offer the units.
Once you know the questions to ask, however, there's still the problem of getting
your questions answered. There are many different ways to learn the needs of your
target audience. Some of the more common ways of doing so include:
Just asking people individually. This option is likely to work best if your training is for
a small, known group, such as staff members.
Giving a pre-test to learn what people already know. This is a particularly good way
to assess people's knowledge of the topic before hand. If you are running an ongoing

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training, for example, you might give students pre-tests on upcoming topics, and
design or modify those sessions accordingly.
Developing a needs assessment survey, especially if you want to offer education to
the community at large
Running focus groups. This is a good start if you will be working with specific parts of
the population, e.g., Native Americans or young men.
Consider the scope of your organization's needs and resources.
In an ideal world, your organization might want to teach the entire town how to give
basic life support, or you might want to train 500 people a year to be counselors and
advocates for children who have been abused. The problem is, the amount of time
and resources we have available are rarely ideal. So, your organization will have to
take a hard look at what's available, and maybe make some tough choices.
Questions your design group should consider include:
How much money is available to pay for the training?
How much will the training cost?
What resources are necessary? (Books, rooms, papers, markers, exercises, videos ,
facilities, trainers...the list can go on and on.)
What resources do you have available?
How much time can you allot to this training session? Time spent on designing a
training session is time spent away from other tasks you might need to get done.
Some organizations that have regular training sessions hire a staff member whose
sole job is to design and run trainings. If this is more than your organization can do,
you might consider allotting a percentage of one person's or several people's time to
take care of the training logistics.
If you find that, as hard as you try, you just don't have the resources you will need,
you'll have three options:
Scale back the training to something smaller and more manageable.
Team with another organization or organizations to run the training.
Pass (at least temporarily) on designing and developing a training session.
Teaming with other organizations is an excellent option for many organizations in
this situation.
Develop specific objectives for the training.
Even if the stubject you are covering seems very vague or intuitive, you'll still want to
have a concrete way to measure what participants learn. For example, you might be
giving a seminar on "Diversity in the Workplace," with an overall goal of making
employees more sensitive to cultural issues. That's a broad goal, so your aim should
be to come up with a way to measure it specifically. When you are developing your
objectives, remember that they should be:
Specific -- Objectives should be clear-cut and to the point, without leaving a lot of
room for ambiguity.
Good: "Participants should leave today's session with an understanding that much of
what we consider everyday language is actually offensive to members of many
different ethnic groups."

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Not so good: "Participants should think about what they are saying."
Measurable -- This can be more difficult, but it can be very helpful to develop
objectives that you can measure in some way. This accomplishes two different
things: first of all, achieving these objectives help both trainers and trainees leaves
the session with a better feeling of accomplishment. Second, it's also a good way to
be able to use your training results in future grant applications or on other documents
where your organization needs to be able to quantify what you have done.
Good: "By the end of today's session, participants will be able to list ten common
terms or phrases and explain why they are offensive to members of different ethnic
groups."
Not so good: "Participants will know that a lot of everyday phrases may be offensive
to others."
Attainable -- World peace won't happen overnight. Try to think in terms of what can
realistically be accomplished in the time you have. Particularly if this is the first
training session your organization has developed, you might try to obtain some
relatively simple objectives. Unrealistic objectives will leave everyone involved
frustrated. It's important to set yourself up for success.
Good: "Participants will try to be more thoughtful in their actions and speech towards
members of other ethnic groups."

Not so good: "Members of the session who are now active leaders of the KKK will
see the error in their ways and join the NAACP."
Develop the content of your training session.
Now that you've decided on your goals and objectives, you need to find a way to
achieve them. The pathway to get there will be through the content of your training
session, i.e., the materials and other resources you will use. There are three different
ways to gather this information:
Use materials already in existence.
Develop your own training material.
Use a hybrid approach. Meaning, you use what's already there when you can and
when it fits, and you create your own when you existing materials just won't cut it.
Let's look at these options one by one.
Using material already in existence:
There's a lot of material out there -- books, videos, exercises, and so on. Many
organizations are willing to let you use their material free of charge, as long as you
give them proper credit and don't profit from their use. (The Community Tool Box is a
great example of such a source!) Many other organizations offer their material at a
reduced price for officially-designated not-for-profit organizations, and you might be
able to obtain donations from other companies or individuals. When doing your
research, be sure to check into each organization's policy on use of their materials.
Obviously, this will be more complicated if your organization will in any way profit
from the courses you will be teaching. (And by profit, we don't mean charging to
cover the costs of the material; that's fair game.) If you are going to charge for your
trainings, this becomes much more complicated. We recommend asking legal
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counsel for their opinion if you have any questions about the legality of the material
you want to use.
Develop your own training material:
If members of your design team have the interest and background to do so,
developing your own training materials becomes a realistic option. As with any other
material that you would want to use, be sure to consider the education and
sophistication of your learners when you are developing it. For example, if you are
writing a work book, consider the level at which you are writing. The trick is in
keeping it simple without offending your audience. Remember, weekly news
magazines are usually written at about an eighth grade level. Even with a fairly
educated audience, you probably won't want to go too far beyond that. Many word
processing programs allow you to check grade level on what you write. And even
better way to check your material is to test it out by asking other people or some
potential students to look at it and give you feedback.
Beyond making your content readable, try to make it interesting. Pictures, stories,
videos, games, and puzzles can teach the same information as a page of text in
black and white. However, they're also often a lot more interesting, which means
your learners will probably remember a lot more than they would otherwise. Different
methods to train people that you might use as part of your training session include:
Lectures
Role play
Slides
Flip chart
Panel discussions
Brainstorming
Case studies
Dramatization
Games
Stories and fables
Videos
A couple of other practical tips for developing your content include:
Generally speaking, keep it practical. You may wish to involve some theory in your
materials, but use too much and you risk losing your audience.
Use breaks and energizers if the session lasts for more than about 90 minutes.
Highlight the important points. You may choose to have your trainees walk away
from the training with volumes of information, and that's fine. But without guidance,
even the most avid learner will get lost. Consider prefaces such as, "If you are going
to read just one chapter in this book, it should be . . ." Or, even better, develop a one
page summary keying in on the important points from the day's session that learners
can refer to again and again.
Decide on a format for your training.
Now that you have your goals and content, it's time to put the pieces together in a
schedule. What will happen first, second, third, and so on. How much time will you
spend on each individual activity? If none of the members of your training group
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have ever done a given activity, try to find someone from outside the group who has,
who can give you a realistic view of how long it will take to cover the material. Give
your training presentation a trial run. Practice doesn't make perfect, but it certainly
improves!
There are also a couple of other points you will need to consider. First, be sure to
schedule plenty of time for questions. Also, you might have a "filler" activity available
that can be easily added into the schedule at any time, in case a given activity won't
work at the last minute, such as the VCR dies or a speaker isn't available. Things like
this happen all the time. Be prepared!
Finally, decide if you want to send a copy of the schedule to participants ahead of
time, so they will know what to expect when they arrive. Sometimes you might want
to use an element of surprise in your training to make it more vivid or exciting.
Perhpas you're worried that a very long training schedule will overwhelm participants
with nothing there to walk them through it. Generally speaking, sending a copy out is
a thoughtful, helpful thing to do.
Decide who should run the training and what training they will need.
Trainings are run by either staff or volunteers from the organization, or by someone
from outside of the group. The outsider is usually an expert, either in the field they in
which they will be training or in facilitation in general.
Should the training be done by someone involved with the organization? Maybe so.
The design group should discuss:
Do you have someone on staff (or a volunteer) who is an expert in this field?
Is he willing to organize this training session?
Will this training take him away from his normal tasks to an extent that is not
acceptable, for whatever reason?
How much money does your organization have budgeted for trainings?
If you spend the money on outside assistance, where will you get the money? Will
something else suffer because of it? Is that acceptable?
If this is going to be a "regular" training, would an outside consultant be willing to
teach a member of the organization to do it? (E.g., train the trainer.)
Other individual factors will work into the equation as well. It's up to the group to
weigh the pros and cons and decide what's best for the organization.
Regardless of who the group chooses to run the training, there's no replacement for
experience. Experience can mean many different things. For example, if it's a
training you know your organization will be giving again and again, you might choose
a facilitator who you know will be able to do the training on a repeated basis. Also,
another good idea might be to have someone who has already gone through the
training assist in the facilitation. Not only do they understand what the training is all
about, they also know first-hand how it feels to be a trainee.
Ask people not involved in the development of the training to critique it.
We all get proud of thehard work we have done. Unfortunately, sometimes the closer
we get to a project, the less we really see it. That's why it's important to have a fresh
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set of eyes look at your work. Try to get the same types of people who developed the
training to critique it, but, as often as possible, use people who don't have anything
directly invested in it. For example, you might ask the director of another nonprofit
group to take a look at it, or someone at the local college who specializes in the
development of educational materials. And whoever you ask, make sure you stress
that you want an honest critique -- that you're not just asking for kudos.
Recruit participants.
If your training is going to be in house (just for staff and/ or volunteers), this step is
pretty easy. Just send a memo, tell people in the hallway, or write it up in your
newsletter. On the other hand, if you want to do a larger training -- for the community
at large, or for members of a specific community -- then you will have to consider the
issue of recruitment as well.
Develop a way to assess your training.
While you're in the planning stages is the right time to start thinking about how you
will evaluate the session and how it went. Some simple ways to do so include:
Participant evaluations, to be filled out at the end of the training.
Pre- and post- tests of key points can be given to see how much participants have
learned. This is also useful for future trainings, because the pre-tests will let you
know what your audience knows coming in, and so you'll be able to better
understand what to focus on in future work.
The development of a group project at the end of a training session is a good way to
see if participants can put what they learned to practical use.
Celebrate your hard work!
When you've gotten this far, you're already half way through a difficult task. Give
yourself a pat on the back, take a deep breath, and get ready to plunge into the
development side of training sessions.
IN SUMMARY:
Designing a training session is a lot of hard work for everyone involved. However, it
can also be one of the most rewarding things your organization does, because you
get to see immediately the changes you have made and what people have learned.
Oftentimes, too, that training will have a domino effect and eventually reach people
you hadn't even thought of. Designing an outstanding training and using all of the
wisdom and skils your group has earned is time well spent.
Delivering a Training Session
When a training session runs well, most people come out thinking, "Wow, I learned a
lot about X," or, "Great! Now I can do Y." On the flip side, however, is what people
think about when a training goes badly: "That speaker was awful." "I never got to ask
any of my questions." "This training really didn't fit my needs." "I ended up showing
up 45 minutes late because I didn't understand the directions -- how embarrassing."
In the last Tool Box section, we talked about how you design a training, both its
content and its presentation. However, when you have that down, you only have the
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battle half won. There is still a lot more work to be done -- important work that can be
a smooth and seamless backdrop for your training, or work that can turn into a
nightmare for trainers and trainees alike if it's done poorly. This work is all the pieces
that go into the delivery of a training session.
In this section, we're going to step onto that more practical ground and map out the
logistics of running a training session. We'll start with a look at the advantages to
your organization of holding a training session. Then, we'll look at when might be the
perfect time for your organization to hold such a training. Finally, we'll come to the
training delivery itself: what you do in the days preceding the training session, during
the session itself, and finally, as follow up in the days after the session.
WHAT ARE THE ADVANTAGES OF HOLDING A TRAINING SESSION?
Generally speaking, your organization will hold a training session for one basic
reason: to get information and skills to people who need them. However, there are a
lot of other "extra" advantages to delivering a training session. Some of them
include:
Improve organizational morale. Holding a training session can brighten spirits in your
organization by increasing the satisfaction employees and/or volunteers feel with
their work. Learning to run a training can be a terrific confidence builder for people
who don't have a lot of experience in managing group projects. One reason that this
is true is because the results of running a training session are so tangible -organizers can watch people learn and gain confidence with their skills. Also, if
attendees fill out evaluation forms at the end, organizers have almost immediate
feedback on their strengths and weaknesses.
Holding training sessions can make your organization more effective. This can
happen in several ways. First, if the training (at least in part) is for staff or volunteers
involved with your organization, you'll see immediate benefit as they get better at
what they do. If the training also includes other community members who are not
directly involved with your organization, the attendees will learn more about your
cause and your organization -- and they might even decide to sign on as volunteers!
Finally, a good teacher (or facilitator) always learns from his or her students. So if the
trainer or trainers has/have an ongoing relationship with the organization (for
example, if they are employees, or if they always run trainings for your group), they
might very well learn things they can use to help the organization in other ways. So,
delivering a training session truly can be a situation where everyone wins.
Increase community awareness. Finally, your training can be directed (at least in
part) towards the general public. This can help increase awareness of your
organization and your cause -- a definite side benefit that can occur as you try to
increase community members' competence on a given subject.
Let's look at how all of these advantages might occur together. For example, let's
say that your organization is working to reduce the incidence of heart disease in your
community. One of your actions is to host "heart healthy" cooking classes,
demonstrating healthy recipes to people who have had heart problems and their
families. In doing the class, you ask one of your newest employees to co-facilitate
the class, helping her to hone her presentation and organizational skills. During the
class, members learn new, healthier recipes, and they also learn healthy variations
of old favorites. The facilitators also talk a little about the organization's purpose and
upcoming events, and several class members decide it would be fun to help out at a
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community walk/run the organization is putting on in a few months. Finally, towards

the end of the class, everyone brings in some of their favorite healthy recipes to
share among themselves and for the facilitators to use at future trainings.
WHEN SHOULD YOU HOST A TRAINING SESSION?
Even with all of the good things your group can gain from running a training session,
your organization probably still won't want to do them every day. So how do you
decide when to take the time and resources away from other projects to run a
training?
The simple answer is that it depends on the type of training you are planning as well
as the needs of your organization. Consider the following types of training, and the
situations in which they might be useful:
Regular, repeated trainings. If your organization is planning to run trainings on topics
that everyone involved with the organization needs to understand, then trainings
might be best scheduled to occur on a regular schedule, such as biannually or
quarterly, as new members join the organization. For example, a crisis counseling
center that is manned by entirely by volunteers might decide to accept new volunteer
counselors two or three times a year, and run training sessions at those times.
Regular, topical training sessions. An organization may choose to have regular,
ongoing training sessions on different topics to keep staff and volunteers interested,
educated, and up to date on the organization and its work. For example, a teen
pregnancy prevention project might try to run quarterly training sessions on topics
that will be important to its members and also to different segments of the
community. The group might decide to give trainings on topics that they themselves
are currently contending with, or maybe on topics that have recently been talked
about in the news, and in which there exists a good deal of interest. For example,
their classes one year might include, "Preventing second pregnancies among
teenagers," "Working with the faith community," "Contraception for teenagers: What
messages are we sending our children (and what do they hear)?" and "It's not just a
woman thing: Reaching out to young men."
Trainings done occasionally on an "as needed" basis. An organization might also not
have any set training schedule, but be prepared to present occasional trainings on
topics as they become an issue in each community. For example, in a community
where several high school students have recently committed suicide, a youth
organization might put together a series of educational sessions for teens and
parents on recognizing the signs of depression and understanding how to get their
children or friends the counseling they need.
Trainings that "piggyback" onto other events. Sometimes, it makes sense to run
training sessions when interest in your issue is likely to be high. For example, your
organization might use Mothers' Day to kick off your new parent skills classes; or you
might offer short trainings on nutrition at a local health fair.
Trainings done to fulfill professional requirements. Many professions require a
certain number of continuing education units, or CEUs, to retain licensure. Your
group might choose to offer these units in conjunction with any of the types of
training listed above, depending on your target audience. This topic is discussed in
more depth in the previous Tool Box section.
Along with the needs presented above, there are other things your organization will
need to consider when deciding if right now is the right time to hold a training
session. These things will include:
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Does your organization have the time to deliver a training session?

Do you have the resources to do so (financial resources, experienced trainers, et
cetera)?
Does the training you are considering fit with your organization's mission?
Is there another organization that already runs a similar training, or that is
considering doing so?
Is there a need in your community for the training you want to provide?
Looking over these options, it might be very clear to you what type of training your
organization wants to run, and when would be a smart time to run it; or you might not
be very sure of what you want. In either case, our suggestion is to sit down with the
group of people who is considering delivering the training session. (An ideal group
would include members of the staff, a Board member or two, and if possible, an
experienced trainer.) In your meeting, talk about what kind of trainings you have in
mind, the list of questions above, and any additional concerns people have about
organizing such a session.
HOW DO YOU DELIVER A TRAINING SESSION?
Delivering a training session really has three major parts -- what you do before,
during, and after the session. Let's look at each part one by one.

BEFORE THE TRAINING SESSION:

A lot of what you do before the training happens in the weeks or even months before
the training occurs. Even if you are using a training outline developed elsewhere (for
example, if you are using a Red Cross format to educate volunteers as HIV
educators ), many of the same points will still apply. To recap very briefly, some of
your group's key steps will include:
Determine your organization's specific training needs.
Clarify the goals of the training session.
Decide who will run the session.
Develop (or choose, or modify) the training outline you will use for the training
session.
Recruit trainees for the session.
If you haven't gone through these steps already, now is probably a good time to refer
back to the last section.
Then, when you're up to speed on those pieces, you're ready to focus on game day,
or on the run-up just before it.
There's not an absolute "right" time to start on figuring out the logistics -- a last
minute training might be offered very casually to interested learners with very little
notice; a year in advance isn't too soon to start on a very large, professional training.
But for most moderate sized trainings run by community groups, a month or two
ahead of time is probably a good time to start preparing.
Set a budget.

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The first thing you'll need to consider is how much you have to spend, and where
you want to spend it.
Secure space for the training session.
This step will be very important if you will be renting or borrowing a place to hold the
training, as opposed to using your own facility. But even if you're planning on holding
the session at your office, you should still consider carefully all of the following
issues. Your group may decide that it's actually better, in the long run, to spend the
money and rent a place that is more appropriate, if it turns out there are some very
big disadvantages to your home base.
Issues to consider:
Is it accessible? This includes how user-friendly the building is for people who are
physically challenged, and also how easy to get to is the building site itself. For
example, is the training site many miles from where your students live? If members
of your audience take the bus or subway, is it on the route? If you're having Sunday
evening classes, will transportation still be available?
What facilities are available? Is there a bathroom? How about vending machines?
These are an especially welcome perk if the training will go on for more than an hour
or two.
What will parking be like? Are there enough places for your estimated audience? Is it
free and safe?
How is the lighting in the space you're looking at? Is it too bright or too dingy?
Is there adequate ventilation? Are there windows? Although windows aren't a
necessity, they can certainly help brighten a room.
Do you have access to the temperature controls? On a similar note, if you're
planning for some or all of the training to occur outside, do you have a rainy day
back-up plan?
What kind of seating is available? This includes how many seats there are, how
comfortable they are, and how flexible they are. Can the seats be moved around?
And can tables appear/disappear if you do/don't want them?
How much does the space cost to rent? Is that figure all-inclusive? How does that
number compare to your budget?
Is equipment available? Is everything you will need, such as televisions/VCRs, AV
equipment, et cetera, on hand? If not, do you own it, or can you rent it? How much
will that add to the cost of the facility?
Is food available? Are there kitchen facilities, or at least restaurants nearby? Also,
check to be sure that the space you are looking at allows food and drink to be
brought in.
Are there equipment hookups for things you might want to bring in? Enough outlets?
If you will want to connect to the Internet, are there phone jacks you'll be able to
use?
Is there technical support available? This includes for the equipment, of course, but
also for little things like someone to let you in. You don't want to plan a session, and
then not be able to get in because the person with the key isn't around.
Will childcare be available on site? If not, will this hurt attendance?

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Finally, what is the general feel of the space; does it just feel good to be there? If you
don't feel personally comfortable there (especially if you're the trainer ), and if you
have a choice, don't take it.
Prepare materials for the session.
Make sure to purchase and/or duplicate any necessary materials. It's probably a
good idea to have a list that you can check before you go to the training site. Also,
check to see if you will be able to photocopy things on site; if not, you might want to
learn where the closest copier is.

Expert tip: Some professional trainers will have a prepacked bag full of training
supplies and extras -- pens, markers, clips, tape, post-its, stuff for making signs,
spare bulbs, name tags, generic sign-in sheets and evaluation forms, certificates,
aspirin -- that they can take with them on very short notice. If you plan on doing
trainings as a not-infrequent part of your professional life, you might consider
developing a similar bag of your own.
Make sure everyone knows when and where the training will be.
If the training will include people who don't come to the organization's headquarters
every day (ie, volunteers, or community members you have recruited especially for
this meeting), be sure to send a reminder out to arrive one week before the meeting.
A postcard can be a great way to do this; if your group is small enough and/or you
have the manpower, you might also consider phone calls. Also, be sure to send out
clear directions, with maps, to arrive well before the meeting takes place.
Send "homework" to training participants.
If you want people to have done any reading or other homework for the meeting, it's
probably a good idea to send that out even earlier -- about two weeks beforehand, if
possible. And even with no homework, it's nice to send out some materials around
then, to welcome participants in advance, to give them a sense of what's going to
happen, to set the tone, and to psych them up.
One idea is to ask people to fill out a paper with questions they would like answered
during the training. The questions can be mailed back early to allow the trainer to
prepare (be sure to include a self-addressed stamped envelope), or they can be
given to the trainer at the beginning of the training session.
Have the trainer himself do "homework."
A good trainer knows that adequate preparation is key. This includes understanding
the content to be delivered, a plan for the pace of the session, and learning as much
about your audience in advance as you can, in order to gear your presentation to
them and their needs and styles. Some trainers also like to visualize the training:
how it should run, how events will unfold, and anticipate obstacles and possible
glitches to be able to counter them in your presentation, and/or through making
appropriate physical arrangements.
DURING THE TRAINING SESSION:

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Arrive early to set up shop.

The trainer(s) will probably want to get there at least half an hour early. Things to
check include:
Is the room set up the way you want?
Are signs in place?
Food accounted for?
Coffee perking?
Test the equipment; does it work today, as vs. last week?
If you're collecting money at the door, do you have a cash box, receipts, and
change?
Be ready to greet people when they arrive.
Make sure someone is ready to welcome folks as they walk in. Some welcoming and
/or a registration table are often appropriate; generally speaking, the larger the
training, the more formal the welcome. Also, if you have materials to pass out, now is
the time to do it.
If appropriate, make sure everyone knows everyone else.

If you have under about 30 people, it's possible (and often preferable) to introduce
everyone. As your numbers get larger than that, introductions may be too time
consuming and overwhelming. A good alternative for a larger crowd is the use of
nametags or badges, (badges are for a more formal training).
Set (share) the agenda.
This program could be given out as part of the packet at the beginning, with other
materials. Alternatively, it could be posted on newsprint, or even written in chalk.
Wherever it is written the leader/trainer will probably want to review the agenda at
the very beginning, including any particular goals for the day, desired outcomes,
and/or decisions that need to be made. She will probably also want to go over any
important logistical points as well, such as:
Bathroom locations
Food availability
Telephones
Asking those with cellphones and beepers to turn them off, or switch them to "vibrate
"
Set ground rules.
These may be set in advance, or the trainer may wish to ask the audience to help set
them. Some commonly used ground rules include:
No interrupting others.
Setting a "choice point" for asking questions (ie, deciding if the trainer will take
questions at any time, at prearranged intervals, or only at the very end).
Setting a limit on the amount of time for which each person may speak, if this is likely
to be necessary.
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Keep interactions respectful, even if participants are feeling frustrated or hurt. Avoid
put-downs, name calling, etc.
Everyone participates in the training
Try to avoid side conversations.
The trainer or group can develop other ground rules that are appropriate as
necessary.
Make sure everyone has the chance to talk and ask questions, as appropriate.
This will depend heavily on the type of training you are doing. Some trainings are
really didactic, and trainees are best advised to listen, take notes, and learn. Even in
these trainings, however, there should be room for some questions, if not necessarily
discussions across the room. Other trainings are less formal, and encouraging
discussions may be one of the points of the training.
Another factor to take into consideration is the size of the training. If you've got 100
people in the room, not everyone is going to talk -- but again, even in this situation,
people should generally be given the chance to do so. It's especially important in
larger trainings to make sure participants will have some way to contact the trainer at
a later date, in case time or shyness kept them from asking all the questions they
had.
Stick to the schedule, as much as possible.
If you have only a certain pre-determined amount of time to spend on each part of
your training, try to remain within the limits you have allotted yourself for each part of
the training. Of course, things come up -- issues that need to be dealt with. But
generally speaking, try to remain more or less on course. It can be very frustrating
for participants if important parts of the program are cut or shortened without just
cause, or if trainings run late, which can cause other problems for the trainees.
One idea you might consider is having a later activity that you are willing to cut, if
that becomes necessary. That way, if trainees are having an outstanding
conversation, the trainer won't necessarily have to cut a good thing short.
Conversely, you might also have an extra activity that you can insert at any time, in
case things run quickly, or if one part of the training has to be canceled at the last
minute.
A lot more could be said here about how to run an effective session, but much of this
is already well-covered in other parts of the Community Tool Box.
FOLLOW-UP: AFTER THE SESSION IS OVER:

Ask participants/leaders to evaluate the session. This might be done verbally, but is
more commonly done with anonymous evaluation forms. However you do it, though,
it's almost always a good idea to seek honest feedback from participants to see what
they liked and didn't like about the session, and what they would change in the
future. See Tools for a form that you can adapt and use.

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Other ways to evaluate the session include using pre- and post-tests, or organizing a
group project to see if people can integrate what they have learned.
Outline next steps for participants. Make sure the training participants not only have
the information they need, but that they also know how to use it. Even more than
that, you want to make sure that folks have a structure or institutional pathway in
place to make it more likely that they will go out and practice what they have learned.
This may not be in the trainer's direct control, especially if he comes from outside of
the organization. But even then, the trainer can make recommendations for
institutionalizing the training content -- recommendations that might even be
followed!
A health educator in the southeast has this to say, "There's a story -- I don't know
where it's from, I heard it at an HIV Educators workshop put on by the Red Cross.
Anyway, it's the story of a group of birds who go to school to learn to fly. Well, these
birds sit through their lectures, watch simulations, and practice their technique. And
when it's all over, they are praised for their attention and excellent questions, and
they all receive certificates of accomplishment from their instructor. So what do they
do? Well, they all just waddle on home, certificates tucked safely beneath their
wings."
Leave the room neat and tidy.
This is especially true if you've borrowed the space or had it donated; but in any
case, be sure to do your part here. You may want to come back some day!
Follow up, as appropriate.
This can mean different things for different organizations, but typically follow -ups will
consist of doing the following things:
Send thank you notes to donors, co-trainers, volunteers, et cetera.
Send minutes out to participants, along with any other materials that were promised
during the session.
Enter participants' names in a database to be notified for upcoming trainings and
events.
Have a debriefing session with everyone who ran the session to talk about what they
learned, what didn't work, and so on.
Make modifications to the existing training outline for future sessions based on this
experience.
Celebrate!
Especially if the training is long -- if it takes place over several weeks or months -some token of accomplishment is often appreciated by those who have gone through
the training. Many longer trainings have certificates of achievement passed out to
those who have successfully completed the training.
IN SUMMARY:
In this section, we're really talking about all of the behind the scenes activity that
makes a training session work. If trainers and planners have done their job well,
participants probably won't remember the details of how things were put together -276

they'll just remember the people they met and the things they learned. And in the
end, that's really what it's all about.
Conducting a Workshop
ou've probably been a participant in a number of workshops. You may have been at
a folk festival where a famous performer held a guitar workshop and demonstrated
some of his techniques. You may have been at a conference where there were
workshops on surfing the internet, or on selling to reluctant customers. There are
workshops on subjects ranging from cake decorating to treating schizophrenia, all of
which are limited in time, meant to teach practical skills or techniques or ideas, and
conducted by people like you.
Now it's your turn to conduct a workshop. You may be training staff or volunteers for
a new organization, presenting at a conference, or trying to show the world this
terrific new method your organization has developed. Whatever the case, you're
going to have to entertain, educate, and edify a group of people you've probably
never met before. That may sound frightening, but running a workshop is really very
much like anything else: if you prepare well, stay relaxed, and respect the
participants, it'll go fine.
WHAT IS A WORKSHOP?
There are probably as many answers to this question as there are workshops and
workshop presenters but, in general, a workshop is a single, short (although short
may mean anything from 45 minutes to two full days) educational program designed
to teach or introduce to participants practical skills, techniques, or ideas which they
can then use in their work or their daily lives. Most workshops have several features
in common:
They're generally small, usually from 6 to 15 participants, allowing everyone some
personal attention and the chance to be heard.
They're often designed for people who are working together, or working in the same
field.
They're conducted by people who have real experience in the subject under
discussion.
A presentation doesn't have to be limited to one person. Co-leaders or co-facilitators
are not only common, but can greatly expand the possibilities of a given workshop,
and can make everyone's job easier. Each co-leader might be responsible for
particular parts of the workshop, or all may work together throughout, depending
upon the structure and purpose. In any case, finding one or more co-leaders or cofacilitators is always an option if you're planning a workshop.
They're often participatory, i.e. participants are active, both in that they influence the
direction of the workshop and also in that they have a chance to practice the
techniques, skills, etc. that are under discussion.
They're informal; there's a good deal of discussion in addition to participation, rather
than just a teacher presenting material to be absorbed by attentive students.
They're time limited, often to a single session, although some may involve multiple
sessions over a period of time (e.g. once a week for four weeks, or two full-day
sessions over a weekend).
They're self-contained. Although a workshop may end with handouts and
suggestions for further reading or study for those who are interested, the
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presentation is generally meant to stand on its own, unlike a course, which depends
on large amounts of reading and other projects (papers, presentations) in addition to
classroom activities.
WHY WOULD YOU GIVE A WORKSHOP?
Why choose a workshop, when you could use some other method like a study circle,
a course, on-the-job training, etc.? Because there are a number of different ways to
teach people things, and because people learn things in different ways, a workshop
has some advantages (and some disadvantages, too, most notably the lack of time it
provides) over these other methods that make it a good choice in certain
circumstances.
A workshop provides a way to create an intensive educational experience in a short
amount of time, when the time for a more comprehensive effort may not be available.
Participants may be working, they may be too far apart to gather together regularly,
or may simply be unwilling to commit large amounts of time. A workshop can
introduce a new concept, spurring participants to investigate it further on their own,
or can demonstrate and encourage the practice of actual methods.
It's a great way to teach hands-on skills because it offers participants a chance to try
out new methods and fail in a safe situation. Failure is often the best teacher, and
failure in this instance doesn't carry a cost. At the same time, feedback, from both
the presenter and peers in the group, helps a participant understand what she can
do to avoid failure in a real situation.
A workshop is a way for someone to pass on to colleagues ideas and methods that
he has developed or finds important. Teaching a graduate course may not be
possible, but he may be able to reach large numbers of people by conducting
workshops in various situations.
Especially for people who work together, a workshop can help to create a sense of
community or common purpose among its participants.
WHEN WOULD YOU WANT TO CONDUCT A WORKSHOP?
A workshop, as explained above, is valuable in certain circumstances. When do
those circumstances arise, and when might you choose to conduct a workshop over
other methods of education or training? There are a number of situations in which a
workshop would be the best choice:
The beginning of something new. If your organization is adopting a new method, or
your community initiative is taking a new track, there are often new pieces of
information or ways of functioning that people must learn. A workshop, or series of
workshops, is a way to introduce these in a short time and get people ready for the
change.
The initial training of staff or volunteers. Workshops are often a good way to train
new staff members or volunteers in the philosophy, methods, and functioning of your
organization, or in techniques they'll need to do their jobs.
The in-service or ongoing training of staff or volunteers. Workshops in different
issues, techniques, etc. are a good way to keep staff and volunteers fresh and
thinking about what they're doing.
Staff development. Workshops are often used as a way of honing professional skills
and learning about new developments in the field.
The demonstration of a new concept. If someone in an organization has been
exposed to a particularly exciting new idea or technique, he may want to conduct a

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workshop on it for his colleagues, or the organization may want to bring in someone
to do so.
The explanation of something to the public. An organization may conduct a public
workshop on its issue, in order to make sure that people are informed about its
cause or about what it is doing. An adult literacy program may hold a workshop on
illiteracy in its local area, for instance, or a shelter might hold one on the causes and
consequences of homelessness.
The availability of a knowledgeable presenter. If you have particular expertise in a
subject, you may be asked to present a workshop to staff or members of another
organization, to the public, at a conference, etc. Well-known people in a given field
are often invited (and paid) to travel long distances to present workshops.
HOW DO YOU CONDUCT A WORKSHOP?
Even if you've never done it before, you can conduct a good workshop by paying
attention to all the phases of the process. There are three phases to conducting a
workshop: planning, preparation, and implementation (actually doing it). In addition,
once you're done, it's important to follow up with participants to get feedback on the
workshop, so you can improve it the next time. We'll look at each of these phases
separately.
PLANNING

Once you know what your topic will be, planning a workshop ultimately means
figuring out what you want to do to guide participants through the experience, and
what you hope they'll learn from it. In order to do that, you have to consider a number
of factors:
Consider your topic. The first element of planning a workshop is to know what you're
talking about. No matter how interactive and participatory your workshop will be, you
still have to have a good command of what you're presenting. Do your homework, so
that you're confident you can deal with most questions and issues that might come
up. That doesn't mean you have to know absolutely everything about the topic, but
that you have to know a reasonable amount about it, and understand it well enough
so that you can help participants fit it into the context of their own jobs and lives.
Consider your audience. Your audience, the people who will actually be part of the
workshop, is probably the most important piece of the puzzle here. Understanding
them and their needs will do more than anything else to help you decide what to do
and how to do it.
What do they already know? If you expect most of the participants to be familiar with
certain background material, or to have had certain kinds of experiences, that will
greatly affect how and to what extent you choose to present material.
You can sometimes do some research here. If you're presenting for a particular
group or organization, you may be able to find out either from your contact person or
from participants themselves who your audience will be, where they're starting from,
what their experience has been, and what they want from the workshop. Asking
about the audience is part of what a careful presenter is expected to do.
In other circumstances at a large conference, for instance, there may be no way to
anticipate how much knowledge participants have. In this case, it may make sense
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to prepare a range of materials and activities, and then begin the workshop by
asking people what they know about the topic. By doing that, you can gear your
workshop to most participants' needs, and be sure you're neither going over
anyone's head nor putting anyone to sleep.
Is this material out of their field? Knowing the context of participants ' experience can
help you understand how to present material.
What is their field? People in some fields may be expected to be more verbal or
introspective or outgoing than those in others. You're more likely to find a group of
social workers willing to discuss their emotions than you are a group of construction
workers, for instance. It also might take more creativity to bring the construction
workers to an understanding of why this kind of discussion might be a good idea. It's
important to find ways of presenting material that both makes sense to the
participants in this particular workshop, and doesn't pull them too far out of their
context.
In reality, any group can either be very quiet or very volatile, extremely apathetic or
extremely responsive, or (most likely) somewhere in between. It depends to a great
extent on one or two individuals who set the tone, whether or not the group is one
whose members all know one another. What kind of group you have has a lot to do
with what kind of workshop will be successful. If the group is very quiet, for instance,
discussion may be deadly, but activities based on movement may work well. If the
group is argumentative, you may be able to take advantage of that by splitting
people up into small groups and having them hash out made-up problems on the
topic. Understanding that you can't predict will help you to plan for several different
possibilities.
Do they know one another and/or work together? If so, you can perhaps dispense
with introductions (it depends on how well they know one another), and can plan a
workshop that speaks to common concerns.
Will they come in with a particular attitude toward the workshop? They will if you're
offering material that flies in the face of what they think they know is true. Are you
introducing a new concept or method that conflicts with what they've already been
doing or with their previous training? If so, the first thing you have to address may be
their hostility or skepticism. On the other hand, they might also be biased in your
favor if you're offering what seems to be a solution for a difficult problem.
This is not to imply that intentionally challenging people's beliefs in a workshop is a
bad idea. Assuming you can do it without being disrespectful, like telling them they're
stupid, this kind of workshop is often the most powerful, and results in the most
significant learning for participants. Most people find change and new ideas
uncomfortable to deal with, but are stimulated by them as well. If you can present
something new so that participants will consider it, you've more than done your job.
Under what circumstances are they attending this workshop? Did they choose it from
among several possibilities (as at a conference)? Did they request it? Is it a
requirement of their job, or to fulfill requirements for certification, licensure, or some
other credential? Is it part of their job (training, retraining, or staff development, for
example)? Is it to learn something they absolutely need to know to do their job
properly? Each of these reasons implies a different attitude, a different level of
interest and commitment, and a different approach on the part of the presenter.
Consider the workshop size. If the group is an ideal size for most purposes (about 812) you can arrange activities that involve participants as individuals, in small groups
(2-4), and in the whole group. If the group is larger than about 15, you'll probably

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want to split it up for many activities. If it's smaller than 7 or 8, you might be better off
having the whole group work together for most of the workshop.
The reason 8-12 is an ideal size is that it's small enough so that everyone has an
opportunity to have his questions answered and to get some individual attention from
the presenter, but still large enough to generate some lively discussion. If the group
is larger than 15, the voices of some people, usually those who are quieter, tend to
get lost; if it's smaller than 6-8, there may not be enough opinions, questions, and
ideas flying around.
Consider the time available. Workshops can run from as little as an hour or less to as
much as a day or even longer. It 's important that your goals for the workshop match
the time available. This means not only planning out your presentation to fill the time
appropriately, but also matching the amount of material you'll cover to the time
available. Especially if it's all new to participants, they'll need lots of time for
clarification, questions, etc. in order to understand it.
A general rule about time is that you should try to block out the time for each part of
the workshop in advance. Rehearse different parts to see how long they'll take, or
how long you want them to take (e.g., if you're going to ask people to write about
something, try it yourself and see how long it takes you). You'll seldom be 100%
accurate, but you can come close, and you'll then have an outline of the workshop
and a reasonable sense of what you might expect to do in the time you have.
Short workshop: 45-90 minutes. A workshop this short is even shorter than it seems.
People may be late by between five and fifteen minutes, and you'll lose more time if
you're distributing materials, using equipment, etc. That means you'll have to
ruthlessly pare the material you want to present down to what's actually important.
Although it's always wise to overprepare (see Preparation, below), the reality is that
you seldom get to everything you expect to do. A workshop of this length is probably
best used as a means of introducing and discussing a new concept or an issue of
concern. It makes little sense to try to teach a specific skill unless it's very limited. If it
can be learned in five or ten minutes, and practiced in the same amount of time, it's
worth a try. If it's any more complicated than that, you need a longer workshop.
If a particular skill or technique or method is really important for participants to learn
in order to do their jobs, or - especially - if its incorrect use will have serious
consequences (as in the case of many emergency medical procedures), it is
probably unwise to present it in a workshop this short. That could lead to participants
believing they know more about the topic than they actually do, and causing real
harm as a result. Use your common sense and be guided by what's really possible.
Medium-length workshop: 90 minutes to 3 hours. At this length, a workshop can
begin to address ideas and concepts in some depth, and teach some skills. Some
considerations about a medium-length workshop:
Vary activities. This type of workshop is more than long enough for participants to
get bored or overwhelmed. Two or three consecutive hours of a talking head can
send many people out the door screaming for fresh air. Breaking up the time by
involving participants in a number of different kinds of activities is far more conducive
to their learning than asking them to sit still and do one thing for the whole time.

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Attention span: Studies have shown that most people start to lose concentration after
20 minutes to half an hour. By the end of an hour, their level of attention has fallen
by more than 50% (and in some cases by a great deal more than that). Attention can
be renewed by changing activities, changing topic, changing methods of
presentation, etc. Even the short pause in the workshop caused by moving from one
activity to another is enough to refresh people and keep them interested.
Vary the seriousness of the material. Interspersing activities and ideas that are fun or
humorous with others that are more serious can not only keep participants awake
and on their toes, but can aid learning as well.

Plan a break. This will speak to the attention-span issue and allow participants a
chance to get coffee, go to the bathroom, etc. without disturbing the flow of the
workshop. But also be aware that breaks always take longer than planned. Add
another five or ten minutes onto the time that you ask people to take? you can be
sure that by the time everyone wanders back into the room and settles down, they'll
have spent at least that much extra time.
Even a long workshop isn't as long as you think, carefully reflect on the amount of
material you can present adequately in this length of time, and on the amount that
people can actually absorb. You might use the time to present a relatively small
amount of material in a number of different ways, so that participants will leave with a
clear understanding of it. Or, you might select what people really need to know about
your topic and concentrate on that, trying to give them enough so that, even if they
don't fully comprehend it, they will be intrigued enough to follow up on their own and
learn more.
In addition to considering how much is appropriate for the amount of time you have,
think about how much you know about the topic. Sometimes, the most successful
workshops are conducted by presenters who know only slightly more than the
participants. In those circumstances, presenters aren't as apt to try to fit in too much
or get too technical. Remember how long it really took you to learn this stuff, and to
become comfortable with it: it may have been months, or even years, before you
understood it completely. Try to recall your introduction to the topic and what you
really absorbed, then plan your workshop.
Participants need time to talk and connect with one another. The opportunity to get
to know others and to exchange ideas is one of the main values of a workshop for
many people, and shouldn't be shortchanged.
Long workshop: over 3 hours. A long workshop has some drawbacks, but it does
allow you to present material in some depth and to conduct a number of activities.
Six concentrated hours of work a day is about as much as most people can deal
with. Be sure to allow for plenty of breaks, both because of the need to stretch and
use the bathroom, and because of attention span. Some thoughts about long
workshops:
You can go into more detail on specific issues. Here's where you have the
opportunity to follow group interest, to explore ideas that are relevant to participants'
particular situations, or simply to present ideas in greater depth.
You can allow longer blocks of time for activities and single topics. It's important,
however, to be aware of the need for breaking up long segments of the workshop.
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You have to be aware if participants' eyes start to glaze over, and be prepared to
switch quickly to something else (particularly something active and fun) if that
happens.
You can allow more time to practice new skills and more time for discussion about
activities. Perhaps the greatest advantage of a long workshop is that it can allow
participants the time to reflect, both individually and with others, which is a crucial
part of the learning process.
You can allot more time to and follow up on participants' questions. (It can be
tempting, on the other hand, to get into a conversation with one participant about her
interesting question while the rest of the group goes to sleep. Be careful to guard
against that tendency.)
You can present both the context and the specifics of the topic (e.g. characteristics
of the HIV-infected population and techniques of community AIDS prevention).
You can provide or encourage food and drink. It helps keep people alert, sets a
relaxed and friendly tone, and sustains interest over the long haul by eliminating the
need to think about being hungry or thirsty.
It's harder to estimate how long workshop segments will take in a long workshop
because presenters tend to let activities go on if they're going well (after all, there's
plenty of time), and often find that they can't get to much of what they planned. You
need to decide whether you want to stick to your plan and, thus, limit activities to
approximately the time you planned for them, or to go with the flow, and let things go
on longer if participants seem to find them important. Neither of these options is the
"right" or "wrong" way: it depends on the needs of the group and the presenter.
Checking in with the group is usually a good way to decide which way to go.
Consider the purpose of the workshop. Workshops are given for many purposes,
and each implies some specific methods of presentation and other details. Some
common purposes and their implications:
Teaching participants a skill which they then might have to use or will use in the
future (a first aid workshop for child care workers, for instance). This kind of
workshop will generally be light on talk and heavy on activity. If people are going to
use what they're learning, it's obviously important for them to practice it, and that is
probably what you'll want the workshop to focus on.
Giving participants a chance to practice and receive feedback on techniques and
concepts they already know. Again, the emphasis here is likely to be on action, on
actually doing whatever is under discussion and getting advice and reflection on their
performance from the presenter and others in the group.
Enhancing participants' current knowledge of concepts, techniques, and methods
(new research, improvement of techniques, etc.). A new technique will have to be
practiced; a fresh take on a familiar concept might involve only discussion.
Teaching participants a new concept that they can then apply to their work (for
instance, a workshop for street outreach workers about how gangs act as substitute
families for their members). The presentation here might be more discussion
oriented, since people will need to assimilate the new ideas and talk out how they
connect to and might affect what they do.
Familiarizing people with material important for, but not directly connected to, their
jobs (Americans with Disabilities Act [ADA] regulations, for instance, or privacy laws).
A workshop of this type will probably involve direct presentation of information, with
perhaps some problem solving practice and discussion (Person X comes to your
organization with this issue; how do you handle it?) It may end up as a question and
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answer session, partially because laws and regulations are often confusing, and
partially because they cause so much anxiety.
Providing, or helping to provide, a job-related credential for advancement or initial
employment, for instance or for some certification or licensure. This category could
include anything from CPR instruction to cultural sensitivity training, and thus might
include any number of activities or methods of presentation.
Using a workshop as a way of helping participants feel comfortable with one another
and/or their situation. Often used in college orientations or in employment-related
team building, workshops of this type usually consist of a large number of rapid-fire
activities, often eliciting laughter or cooperative problem solving, or both. Any talk is
usually beneficial to understanding the activities and their effects on participants.
Introducing people to a way of looking at the world, either as an adjunct to their jobs
or volunteer situations, or as public education (a workshop on theories of moral
development, for example). This kind of workshop can allow for tremendously varied
activities: direct teaching, discussion of hypothetical situations, trying to solve moral
dilemmas, role playing, etc. In general, the more different ways people can
experience the concept, the more likely they are to understand it.
Consider your presentation. The style of your presentation both your personal style
and the actual methods of presentation you employ will do much to determine the
effectiveness of your workshop. Some of this will depend on your own personality
and experiences, but there are some general guidelines that can be useful:
Facilitation. Workshop presenters are often referred to as facilitators. A facilitator
(from Latin facile, which means "easy") is someone who smooths the way for others.
She's not a leader, exactly, or an authority figure, but more of a guide: someone who
walks beside you and helps you figure out which way to go. In general, facilitation is
more useful in a workshop than "instructing." It's called a workshop because
participants generally get a chance to do something, to actually interact on their own
terms with what's being presented. A facilitator can help make it easier for them to
have that experience, where an instructor might be more apt to tell them about the
experience, or to structure it for them.
The author's prejudice is undoubtedly apparent here. Virtually all good teaching is
really facilitation, at least to some extent. In order to learn anything, and especially to
learn it at the deepest level, one has to experience it, wrestle with it, reflect on it, live
with it. A good facilitator makes it possible for each participant to relate to new
learning in his own way and sort it out for himself, rather than telling him what he's
supposed to think or how to approach a concept. Participants are far more likely to
stay tuned in throughout the workshop if you act as a facilitator and if you're
personally accessible.
This is not to say that there's never a place for leadership in teaching, as long as it
doesn't dominate the workshop. If the presenter is a "star" in her field, participants
may in fact want to hear what she has to say, more than to be facilitated.
Consistency of presentation and the workshop's theme. Your method and style of
presentation should, to the largest extent possible, mirror the topic. If you're
conducting a workshop on experiential education, for example, it should be
experiential, not a lecture. A workshop on ADA regulations should be held in a
physically accessible space and demonstrate sensitivity to the concerns of the
disabled. A technique being introduced should be practiced in presentation as well

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as in activities. In a well-presented workshop, participants learn as much from

methods and style of presentation as they do from workshop contents.
Direct involvement of participants. Workshops are much more effective and
enjoyable if they involve participants in activities, discussion, and interaction with
others, than if they merely shower people with information. There are many
opportunities for practicing skills, small and large group discussions, reporting out of
discussions, problem solving as individuals and as small and large groups, etc. that
will give everyone in the group an opportunity to take an active role.
Variation of methods and activities. As mentioned several times, varying methods of
presentation and activities will help keep people focused, will speak to different
participants' learning styles, and will make the workshop more interesting and fun for
the presenter as well as for participants. Some possibilities to consider:
Include some sort of hands-on activity where people can be physically active.
Include both group and individual activities.
Activities should be entertaining, or at least involving. Avoid being a "talking head" as
much as possible.
Include various kinds of audio-visual material where appropriate videos, audiotapes,
overheads, projected computer-screen images, etc.
Include innovative ways of presenting material directly: a play, an interactive skit, a
song, a cartoon, etc.
Always include practice of a particular technique or method that's being presented,
even if only for a short time, to give participants the chance to see what it feels like.
The more creative you can get here, the better. Activities in which participants work
with physical objects are often great learning tools. There are the obvious ones
(workshops for elementary math teachers always include lots of "manipulatives,"
things to demonstrate math concepts with, like ping pong balls or Cuisenaire rods ),
but there are an infinite number of options. The author attended a terrific workshop
on multiple intelligences that involved small groups designing and building villages
out of legos and other blocks. Think as outrageously as you can.
Things to take home. Make sure participants get print copies of any overheads or
slides that contain important information, as well as some summary of the main
point(s) of the workshop, and anything else you think might be important. It will help
them to remember later what the workshop was about, and will assist them in
passing the ideas on to others.
Reflection time. Reflection is the key to learning. If part of the style of your
presentation is to ask participants to reflect on or discuss each activity, you 'll help
them learn in two ways: by giving them the time to reflect on the activity and talk
about it with others in the group, and by demonstrating how important it is to reflect
on what you've done and learned.
Time to talk to, socialize with, get to know, etc. the other participants. Much of the
value of a workshop is in the experience of learning together and forming a
community of learners. The shared experience can often lead to professional
collaboration and can cement and enrich the learning that goes on.
PREPARATION
Now that your planning is done, you need to prepare for the workshop. Planning is
about the delivery of the workshop itself; preparation is about logistics, making sure
you have the actual stuff and time you need to make the workshop a success. That

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means both putting together whatever materials you'll be using and getting whatever
information is necessary for you to do the best job you can.
Find out about the space you'll be using, if possible. If the space is your own, you
can choose the room or place that would be best and set it up beforehand. If you're
being assigned space in another facility, you may be able to request a particular type
or size of room, or may be able to get it set up in a certain way (chairs in a circle,
comfortable furniture, etc.). You need to think about how you'll use the space: Will
people need to move around a lot? Will there be bulky equipment to move around?
Do you need a screen or a blackboard or whiteboard? The more you can learn about
the space and the more you can set it up for your needs before participants arrive,
the smoother your presentation will go.
If the role you intend to assume is that of facilitator rather than authority figure, you'll
want to make the space as welcoming and informal as possible. Sometimes that
simply can't be done; a school classroom with desks bolted to the floor (yes, they still
exist, although there aren't many of them) isn't particularly flexible, for instance. But
where you can, arranging chairs in a circle or similar configuration, where everyone
can see everyone else and there's no head of the table, can do a lot to set a tone as
soon as people walk in.
Bring everything you need. Don't assume any of it will be there unless you've
specifically arranged for it (see no. 3 below). Even then you can't be sure.
If you're going to ask people to write something, or if they might want to take notes,
make sure you bring enough pencils and paper for everyone.
Make and collate at least twice as many copies as you think you'll need of any
printed material you want to hand out.
Bring easels, newsprint, and markers for recording ideas, questions, comments, or
for documenting what goes on in small groups.
If you're making overheads, lists, an agenda, etc., do it well beforehand, not the night
before your presentation.
If you have to take it all somewhere (i.e. if your presentation is anywhere but in your
own space) put it in your car the night before. Make and use a checklist to be sure
you don't forget anything.
Don't forget about food, coffee, etc., if you're providing them or having them
provided. You either need to arrange beforehand to have what you need in the room
when you get there, or your coffeemaker, coffee, creamer, paper cups, etc. should
be in your back seat along with everything else the night before. (Get the doughnuts
fresh in the morning.)
Arrange well beforehand for any equipment you'll need (overhead projector, VCR
and monitor, computer, etc.) or plan to bring it yourself. (If you're bringing it, make
sure you have a backup in case the one you're planning on isn't working.) Make your
arrangements well beforehand (in writing as well as verbally, if possible ), and check
a day or two before the workshop to see that everything is in order. Get there early
enough to check on it on the day of the workshop. Assume that if anything can go
wrong, it will, and that, even if it's not your responsibility, you'll have to fix it anyway.
Make materials and hand-outs as attractive and interesting as possible so that
participants will return to them.

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Use color where you can.

Easy-to-read charts and graphs are useful for a lot of people (although not
everyone), as are pictures.
If it's appropriate, organize printed material so that it's easy to read and digest.
Outline form, bullets, and the use of color or pictures can all be helpful here.
Try to keep the amount of material you hand out under control, unless it's a situation
where people really need and want a lot of information (state regulations, for
instance, which they may need as a reference over time). It can be helpful to print
different handouts on different colors of paper so that both you and participants can
easily keep track of them ("Turn to the blue sheet?").
Actual "things" people can take home (AIDS ribbons, miniature model breasts for
practicing self-examination) can serve to keep the learning of the workshop in their
consciousness.
Be overprepared. If you think a block of the workshop will probably last 30 minutes,
be ready with at least an hour's worth of material for it. In some groups, you may only
use what you thought would take 15 minutes; in others, you may use all of it and
wish you had more. It's far better to be overprepared than underprepared: the longer
the workshop, the more important this becomes.
Without knowing the individual participants beforehand, and often even then, you
can't really make accurate assumptions about time or the reactions of the group. If
they're already a group (a program staff, for example), they'll already have their own
leaders, assumptions, and norms, and those will determine to some extent how
they'll react (verbal or nonverbal, engaged or unengaged, etc.) If they're a random
group, leaders may emerge, but also may not. As discussed earlier, why they're
there, what their background and training are, and simply who they are as individuals
will determine how they respond to your presentation. With some groups, no one
may speak for the first hour or more, or at all. With others, you may have difficulty
getting a word in after the first five minutes. No matter how many times you've
presented a particular workshop, it's best to be prepared for anything.
Make up an evaluation form that people can fill out quickly at the end of the
workshop, but that covers the areas you really want to know about. (Many
conferences prepare evaluation forms for each workshop, in which case you don't
have to.) The standard for this sort of thing is usually a multiple choice form that
either asks participants to rate each area from 1 to 5, or to check off one of 5 choices
ranging from "strongly agree " to "strongly disagree." Some areas you might want to
cover include:
The clarity of your presentation.
The usefulness of each of the various kinds of activities you included, especially in
the context of the participants' jobs or lives.
How interesting and relevant the content was to participants.
Your command of the material (i.e. how well you knew your stuff).
How well the workshop kept people's interest.
How well you were able to set and sustain a comfortable tone.
General comments, if any.
There may be other specific questions you have about your particular workshop. Just
be sure to keep it short enough so that people will actually fill it out.

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Finally, get a good night's sleep the night before and allow yourself plenty of time to
get where you're going, so you don't feel rushed and frazzled. If the workshop is far
from home, and you have the option of staying somewhere near it the night before,
take it. If you have the time to relax before the workshop, you'll be more relaxed in
the course of it as well.
IMPLEMENTATION
Planning and preparation are done. You're incredibly organized; you have all your
handouts color-coded and arranged in the order you want to distribute them; you
have activities planned down to the second, with plenty of extras if they don't fill the
time completely; you have the room arranged so it will welcome participants and
work for the activities you have planned. Now all you have to do is actually pull it off.
A workshop, especially a longer one, has distinct phases. There is the introduction,
which covers the time from when the first participant walks into the room to when the
first topic-related activity begins; the substance of the workshop includes the
presentation and activities; and closure involves review, reflection, evaluation, and
ending. We'll discuss each of these, with some ideas about how to make them go
smoothly.

Introduction
This part of the workshop will let people know what their experience is going to be
like. By the time the workshop actually starts, participants often have a strong inkling
about whether they're going to like it or not. Thus, it's important to set a positive tone
and to make people feel comfortable and interested; to give them some familiarity
with you and with one another; and to make sure that they know what 's coming in
the rest of the workshop.
Setting the tone. There are some steps you can take to make participants
comfortable as soon as they walk in, and to establish the workshop as a community
of learners.
The space. We've already discussed setting up the room so that people face one
another, so that there's no obvious place of authority, and so that the environment is
as comfortable physically and psychologically as possible.
Music. Depending upon the nature of the workshop, you might consider having
music playing as participants enter, either to establish calm or to generate energy.
Music also tells people that this is likely to be a relatively informal experience. (The
concern here, of course, is that people's tastes in music vary widely. Music that you
play as a calming influence may set some participants' teeth on edge. Music you
play to generate energy may just annoy some people. It's a risk you take, unless you
know the group well.)
Greeting. As participants enter the room, a process which may cover 15 minutes or
more, there is a period when, often, no one quite knows what to do. The presenter
may smile and nod as people come in, but the workshop hasn't started yet, and
"there isn't anything to talk about." One way to eliminate this awkwardness is to
introduce yourself to people as they come in, hand them materials and an evaluation
form, and ask them about their backgrounds, or about why they're interested in the
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workshop. New arrivals can be pulled into the conversation as they come in so that
no one feels shut out. By the time everyone is in the room and the workshop is about
to start, participants will be talking to one another and to you, and the awkwardness
will have given way to conviviality.
There may be circumstances under which you might not want to make people
comfortable. At a conference, a workshop called "Separate Tables" divided
participants up as they came in, with the majority asked to sit on the floor. A small
number were seated at an elegantly appointed table and served an appetizing meal.
The others about 20? were given a loaf of bread and told to divide it up. The
workshop continued in this vein, with the floor sitters eventually protesting their
treatment. The point, of course, was to call attention to the lack of comfort that most
of the world's population experiences every day, as compared to the position of
those in the developed West.
Personal introductions. Especially if your workshop involves a lot of hands-on and
group activities, it will go better if people are comfortable with one another. If you've
started a conversation as they walked in, many participants may already have talked
to others that they didn't know, but it still makes sense to introduce yourself and
everyone else.
You might start by introducing yourself with a (very brief) explanation of why you're
conducting this workshop (experience you've had, your familiarity with the topic,
etc.). This shouldn't take more than a minute or so. Then, you might use a technique
or game to introduce the members of the group to one another (you can also take
part in this activity, if you think it will be helpful to your purpose).
Agenda and plan for the session. It's helpful to either hand out, or to have visible in
the room, and to go over with participants, an agenda for the workshop. If the
workshop will be interrupted by meals, breaks, etc., a plan for the session or day
would be helpful, as well. Previewing the agenda and asking for feedback on it ("Can
we spend more time on actually using the materials?") serves several purposes:
It includes participants in the management of the session, rather than making them
passive receptors of information.
It gives participants a sense of anticipation, so they're interested in what comes next.
It lets participants know what will happen when lunch is (at 12:30, for example) and
eliminates a certain edge of antsiness and anxiety that they often have when they
don't know the plan.
This is also the time to ask people for their expectations for the workshop, which can
be recorded on newsprint or in some other way, and reviewed at the end of the
session. If most participants' expectations are significantly different from the
presenter's, there may be room for some adjustment at this point as well.
If it's necessary for participants to reveal details of their personal lives, for instance,
or if the topic of the workshop is particularly controversial, after previewing the
agenda would be the time to ask the group to develop ground rules for the session.
A few simple norms, such as keeping disagreement away from the personal and
respecting confidentiality can make all the difference in participants' willingness to
engage with others, and with the ideas under discussion.
SUBSTANCE OF THE WORKSHOP

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This is the real meat of what you're doing, the reason why you showed up this
morning. What you actually do depends on your own planning, of course, but there
are some general guidelines, some of which have already been mentioned, that can
make your workshop more effective and enjoyable.
Keep track of time. This doesn't mean that you should be a slave to your agenda, but
rather that you should be aware when you're deviating from it. In a lot of instances, it
might make sense to ask the group how they'd like to use their time: "We're running
way over on this activity. Is that OK with you, or are there other things that are more
important to you that we should get to?" If you think what's happening is really
important and shouldn't be interrupted, don't be afraid to say so.
Giving time markers every once in a while ("In 20 minutes, we'll be stopping for
lunch") can keep participants going ("I'm hungry, but I can certainly wait 20
minutes"). It will also help you be aware of where you are in the session so that you
can, in fact, get people to lunch on time (this may be a major concern, depending
upon the facility where the workshop is being held) and conclude the activities with
enough to time to close out the session properly.
Match the presentation to the content and philosophy of the workshop. As discussed
earlier in this section, participants learn both from the content and the style, as well
as the methods of your presentation. It's tough to convince teachers to encourage
student participation by lecturing to them. If you believe in what you're presenting,
you should be demonstrating that by practicing it. People are much more liable to
understand and accept what you're trying to convey if it's obvious you believe in and
use it all the time.
Try to present material in a number of different ways. This variation is important for
two reasons: First, it helps to keep participants involved. There are many studies
showing that human beings are intrinsically interested in and respond positively to
variety, and it makes sense to take advantage of that trait. Second, variation speaks
to differences in learning styles, and thus makes it more likely that everyone in the
workshop will be able to grasp the material.
Although researchers have come up with a number of models for the ways in which
people absorb information, none would disagree that individuals differ in their
preferred methods of learning. Some people take in new information better through
their eyes, others through their ears, others through their fingers (i.e. by doing things
with their hands). Some people like to deal with the details of an idea, others with the
overall concept. Some learners are systematic and logical, others are intuitive
leapers. Still other differences include individual vs. group learning, and fast
processors vs. slow and thoughtful ones. Varying activities in a workshop lecture
/slide presentation, group problem-solving, building models, etc. can speak to at
least most of the learning styles of participants, and create a more nearly complete
learning experience for everyone.
Try to be, and to make your activities, entertaining. Humor is an extremely important
tool, even when your topic is not humorous at all. (The TV show MASH, about
Korean War surgeons who dealt with horrible deaths every day, illustrated how black
humor could help to keep people sane in an intolerable situation.) It can not only set
a tone that makes learning more fun, but can serve to underscore important points
as well.
A college geology instructor on a field trip with his students pointed out a formation
and stated, "This is called a pluck." Then, tripping lightly over to a dead crow on the
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ground, he pulled out a feather, and said, "This, too, is called a pluck." No one in the
class ever forgot what the geological term "pluck" meant.
Be enthusiastic. If you really believe in what you're presenting, show it; it will help
make participants more enthusiastic as well, and can have a huge effect on the
success of your workshop.
Encourage participants to relate the workshop content to their reality. How can they
use these ideas or methods in their jobs, or in their lives? How would their
colleagues react? They need a chance to think about and discuss these questions.
You might ask everyone to make a commitment to use something they've learned in
the workshop at least once, or to apply new concepts to a particular facet of their
work or home life. The real questions that both presenters and participants should be
asking themselves about the topic of a workshop are"How does it fit into the world?"
and "How can it be used?"
Allow ample time for reflection and discussion in all activities. People often need to
think and talk through their experiences or new information in order to understand
them. It's also important that participants have a chance to be heard about what they
think and what they've learned. If they can share it aloud, it gains more importance
and legitimacy for them. Even if the workshop content has been understood, it hasn't
really been learned until it's been assimilated into the learner's understanding of the
world. Reflection provides the vehicle for this assimilation.
CLOSURE
In the final phase of the workshop, you'll need to wrap things up and give participants
a chance to react to what they've just been through. You may want to go through
some formal activity for this purpose, or you may want to just throw out some
questions and listen to what people have to say.
Sum up and review agenda. Restate the major points that the workshop covered and
revisit the agenda to identify any areas you didn't get to. Depending upon their
importance, the group's interest, and actual possibilities, you could hand out or offer
to send people material or a bibliography on those areas, or to hold another
workshop to cover what you missed
Revisit expectations. Take a look at that list of expectations from the beginning of the
workshop. Were people's initial expectations appropriate, and were they met? If not,
where were the gaps?
Give participants a chance to sum up. This could be as simple as asking "What did
you think?" or it could involve a more structured exercise. (One possibility: go around
the room and ask everyone to state one thing she liked about the workshop or
learned from it, and one thing she would have changed about it.) It's important to
give participants a way to summarize for themselves the value, or lack of value, of
the workshop for them.
Ask for feedback on the ideas, techniques, methods, etc. that you presented. Pay
attention to participants' challenges and concerns about the material. It may be
totally new to them, and may fly in the face of everything they've learned so far.
They'll need time to digest it. Don't get defensive if they don't agree with everything
or anything you've been promoting. You may have doubts about some of the
material, too, and it's OK to say so. The purpose of a workshop is learning, and that
rarely comes without some internal conflict.
If you can find a way to record all this review, summing up, and feedback, it will
prove extremely helpful to you in developing other workshops, or in revising the one
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you just conducted. A tape recorder is one possibility. Newsprint or something similar
is another.
Collect evaluation forms. Make sure you get one from everybody, it should take less
than a minute to fill out, unless people have complex comments (the best kind,
because they give the most specific feedback).
FOLLOW-UP
After the workshop is over, there are still a few loose ends to tie up.
If you agreed to send anything to participants (materials, bibliographies, etc.) you
should do it as soon as possible, both so that you don't forget, and so the material is
still fresh in people's minds when they get it.
If you have notes on the summation and feedback, you might want to type them up
and send them to participants also, if they would be helpful to their understanding of
the workshop.
Go through the evaluations and your feedback notes soon after the workshop, so
that it's still fresh in your mind. What do most people think you might have done
differently? What areas seemed particularly strong or particularly weak? This is the
moment to think about what you'll change the next time you conduct a workshop,
and there should be a next time. Start planning now!
IN SUMMARY
In order to conduct an effective and successful workshop, you need to address its
planning, preparation, and implementation. As you plan, consider the workshop's
audience, its size, its length, its purpose, and your presentation options. Preparation
includes logistics (managing the physical items involved, materials, equipment, etc.),
and preparing psychologically as well. Finally, the implementation of the workshop
includes attending to all three of its phases: introduction, substance, and closure.
And don't forget to follow up, both by fulfilling any promises and using feedback to
redesign or change parts of the workshop so that your next one will be even better.
Servant Leadership: Accepting and Maintaining the Call of Service
Let's face it, leadership has a bad rap. From sex scandals to embezzlement, from the power
hungry monster to the inept bureaucrat, many people have a difficult time putting faith in
their leaders, and working with them efficiently to reach shared goals.
And yet, there are people leading for what we might call the "right" reasons; people who use
leadership as a means to help others, instead of as a way to gain personal power. These
people come to leadership because they want to be to serve others better.
How is that? In their service, they have found that they can do the most good by accepting the
responsibilities and possibilities of leadership. We call these people who become leaders out
of a desire to serve more effectively servant leaders.
In the next few pages, we will explore some of the ideas of servant leadership. Next, we'll
look briefly at how someone becomes a servant leader. Finally, we'll discuss an equally
important topic--how the servant leader can maintain his or her desire to serve over the long
run.
WHAT ARE THE QUALIT I ES OF THE SERVANT LE ADER?
Many of the other sections in this chapter of the Tool Box have discussed different qualities
of leadership, such as influencing others, decision-making, and identifying needs. All of these
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qualities are true of servant leaders as well. But the term servant leader asks for something
more; a different mindset, perhaps. It is truly a unique take on the idea of leadership.
What follows is a list of some of the most important qualities of servant leadership. Some of
the following ideas and actions are unique to servant leadership. Others, while they may be
found in all types of leadership, are simply emphasized more strongly by servant leaders.
The servant leader believes himself "first among equals." This idea is at the very core of
servant leadership. A servant leader does not consider himself above those he leads. Rather,
he is primus inter pares from Latin, meaning "first among equals." That is, he sees those he
leads as peers to teach and to learn from. He is willing to lead others in order to reach an
agreed upon goal, but he doesn't believe that being the leader makes him better than others.
Because of this, the servant leader is a consummate team builder. She will draw on the
strengths of followers, and be a follower herself when appropriate. Such a leader doesn't lead
by decree or dictate. Instead, he or she leads by allowing everyone to do what they do well. In
this sense, she might be like the ringmaster at the circus--directing people to their proper
position, then stepping out of the spotlight and letting them shine.
This idea is hardly new--in fact, it was captured several thousand years ago in the following
verses adapted from the Tao Te Ching:
The reason why rivers and seas receive the homage of a hundred mountain streams is that
they keep below them. Thus they are able to reign over all the mountain streams. So the sage,
wishing to be above others, stays below them; wishing to be before them, the sage stays
behind them. Thus, though the sage be above others, they do not feel the weight; though the
sage be before others, they do not count it as an injury.
Like the sage, the servant leader's style of leadership might well be called unassuming. And
this style of guidance--where people, as equals, are able to voice their concerns and work to
their potential--is not a heavy weight on followers. Instead, the servant leader shares burdens
and benefits equally with these peers. Everyone involved benefits.
The servant leader uses power honestly. A servant leader uses leadership and power
legitimately, for the good of the people he or she serves. She sees leadership as a means to
obtain the general good, not as a desired personal end.
For those of us watching people in power, the difference is very clear. We don't look up to
the loan shark who uses his muscle and brags of his brawn, nor to the politician who uses
slick talk and brags of his skill. We look up to the Mother Theresa's of the world; the Nelson
Mandela's They are servant leaders who have filled their positions with integrity.
Robert Greenleaf, in his essay The Servant as Leader, puts it this way: "It begins with the
natural feeling that one wants to serve, to serve first. Then conscious choice brings one to
aspire to lead. The difference manifests itself in the care taken by the servant--first to make
sure that other people's highest priority needs are being served."
Do our leaders always succeed in this arena? Hardly. They may fall from this--and we, as
servant leaders, may fall from it as well. We're human. Nonetheless, it is an ideal we look up
to in our public institutions and in our leaders. And by continuing to try, we may inspire our
followers to a life of service as well.
The servant leader understands the importance of day-to-day details. When we think of
great leadership, many of us think about what may be termed, "The Great Talk." We think

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about Martin Luther King's dream; we think about what we can do for our country. We think
about fire and brimstone, or slogans from revolutionaries.
And yet, the truth of the matter is these speeches make up a very small portion leadership,
and their need is even smaller for a servant leader. Being a servant leader is more about the
one-on-one discussions and in taking care of the every day details.
Exercise:
Think about a group of people you have worked with or witnessed that was particularly
effective. Things got done and done well, and members truly seemed to enjoy their work.
Who was the leader, officially or unofficially? What did (s)he do? What was his or her style
of management?
The servant leader listens to and cares for his or her constituents. Servant leaders are
willing to take the time to listen to what others have to say. In fact, they are more than
willing--they actively seek out the opinions and ideas of these followers. This is of top
importance to the servant leader.
And from this listening, a relationship of mutual respect can grow. Listening is innate to the
servant leader--caring about others is a part of who they are. They can use that skill and learn
from their followers; they aren't only teachers.
The servant leader helps people get what they want. The servant leader cares about people;
and so she will naturally find out what they want, and help them to get it.
Sometimes, however, a servant leader seems to want something very different than her
constituents. What happens then?
Often the greater goal may be the same, but people will have different ideas in mind of how
to get it. For example, a servant leader may want to meet diplomatically with leaders of the
opposition in a case of environmental pollution, while others in the group want to confront
them.
When faced with this type of situation, a servant leader tries to phrase things in the proper
terms, or put them in the right light to make people see things his way. You catch more flies
with honey than with vinegar, goes the old adage; an effective leader explains and discusses
things in a manner so that common goals are clear, or the advantages of doing things a certain
way become obvious.
Wait a minute, you might say. This is all starting to sound a little bit negative--all of this talk
of selling things, and putting them in the right light. Does a good leader, then, essentially
dupe his or her followers?
Not at all. Remember, we said at the beginning that the servant leader must lead honestly, for
the right reason(s). But if you speak English, and want to hold a discussion with someone
from Brazil, you would have to change the way you speak to him or her. You would need to
learn Portuguese. Then, you could go ahead and have a good talk.
While most cases aren't that extreme, the message is clear: a servant leader knows--and uses-the language of his constituents. Take the following example:
The leader of a teen pregnancy prevention program wanted the support of the local Catholic
priest. However, he knew he probably wouldn't get very far by discussing the program's
"condom sense" campaign. Instead, he and the priest talked about their common work. They
both promote abstinence, and both of them have a strong desire that young people's lives are
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as full and healthy as possible. In leaving the discussion, they agreed to work on several
projects together, and the priest agreed not to loudly oppose other work by the group that he
did not agree with. In the end, a great alliance was formed.
The lesson? Start where people are. Before we go on, it's important to note here that the
servant leader is not closed minded. He will do his best to convince others to see things his
way; that much is true. However, as we have said, the servant leader listens and learns from
his constituents. He is open to improvement. So, if he is convinced that the other is right, he
will gracefully accede to the other's suggestion.
The servant leader stretches his or her constituents. While, as we saw in the last point that
the servant leader starts where people are, he doesn't stop there. Instead, the servant leader
helps others see the potential that exists. This can be personally (I know you can finish a
marathon), as well as in the community (can you just imagine what this neighborhood would
look like with fresh paint and some trees?). A servant leader helps people to do things they
didn't know they could. She sits down with her constituents to set goals that are both feasible
and challenging.
The servant leader inspires others to service. Finally, a servant leader knows she can't do it
all alone--and frankly, she wouldn't want to if she could. A servant leader wants to work with
and forothers. To do so, then, the leader must be able to inspire those she serves to serve
others.

How does the servant leader inspire people? The methods he uses to inspire people to
serve aren't necessarily any different from methods used by any leader to inspire others to do
anything--or really, by anyone who inspires people. The desire of a servant leader to help
others may be inspirational in itself, but people may be inspired by many, many different
things.
We might answer this question, then, by looking briefly at inspiration in general. We can start
on a personal level. What causes us to jump out of our seat when a speaker is talking; that
convinces us to send money to a child we'll never meet ? What is this fountain of inspiration?
What do we need to do?
Exercise:
Before you go on, write down a list of five leaders you either know personally or know
about--five people whom you admire tremendously. Why do they grab you as they do? What
do they do? How do they do it? What do you like about them? Do they all have the same
style of leadership? If not, how do they differ?
Chances are the five people whose names you have in front of you are very different. One
might be quiet, another brash. One might yell, another question. One might love publicity,
another have a healthy distaste for (or distrust of) the media. Perhaps you have someone on
the list that you have never even seen, but something he wrote sent chills of excitement
running down your spine.

In any case, the folks you have in front of you are probably quite different. That's true among
leaders in general, and even among servant leaders. If you look closely, however, some
qualities might occur again and again. A partial list of qualities that inspire include:

Honesty
Awareness
Empathy
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Passion
Ability to overcome obstacles, especially obstacles that followers have grappled with
A sense of joyfulness

A servant leader adapts to fit the situation. If your house is on fire, you don't want the
firefighter to say, "Now what do you think would be the most optimal use of time and
direction at the present moment?" Rather, you probably want to hear, "The ladder is right
there, and we're going to get you and the kids out of here."
On the other hand, if you are at work discussing a major change in your organization, "What
do you think we should do?" becomes an appropriate question. In fact, you might become
pretty angry if you aren't asked.
To inspire, then, a servant leader gauges each situation and responds to each individually.
When appropriate, she will pass over the reins to someone whose leadership style is more
appropriate to the situation--she works with people's strengths. A good leader understands
when she is not necessarily the best person for the job; she knows her strengths as well as her
weaknesses, and can gracefully pass on opportunities best suited to other individuals.
HOW DO YOU BECOME A SERVANT LEADER?
As you can see, becoming a servant leader is more a state of mind than a set of directions. So
unlike many of the other sections in the Tool Box, becoming a servant leader does not follow
a step by step process. (First, you become honest. Second, you care about people...).
However, there are things that the servant leader does, rather than simply believes. You can
work on these skills to keep the servant part of servant leader fresh in your mind. Many of
these are discussed in detail in other sections, and so we will simply mention them here. They
include:

Listening to others
Involving others
Promoting teamwork rather than individual decision making
Enhance problem-solving skills

HOW DO YOU FIND INSP IRATION?

The servant leader, as we have discussed, is someone who wants to help others first--and
thus, by definition, take care of himself second. However, maybe that is sometimes a
problem. Perhaps, as a leader, you feel you are losing your edge. You want to help people--or
at least you used to. But you're wearing down. You're getting tired. The problem you took on
seems larger than ever, and the only thing larger is the pile on your desk. You don't remember
the last time you saw your spouse. You want to hand over the reigns. You don't want to serve,
you want to be spoiled for a while. You want to run off to Jamaica, and not ever, ever return.
Sound familiar? And if so, what can be done about it? What inspires--or reinspires--the
servant leader? Where do we get the energy, the excitement, and the persistence to enthrall
others and lead them to be active champions of our cause? What moves us to move others?
For the leader on the road to burn out--or for someone who wants to stay away from that path
altogether--it's not always easy to remain inspired, and full of excitement about the cause.
And yet,it may be the most important thing you can do. Burning out and giving up is all too
real a possibility. Think of it this way--if you allow yourself to burn out, a light has gone,
robbing your cause of a powerful weapon.
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A good leader, then--a strong, in-it-for-the-long-run leader--takes care of him or herself along
with helping others. It's easy for many of us to get caught up in our work, and not consider
our own needs. Or, if we do take care of ourselves, we do so haphazardly, when levels of
frustration are high and the floodgates finally burst.
To avoid that, then, the servant leader thinks about his or her needs on a continuous basis. He
takes care of himself before disaster strikes.
This sounds contradictory, you might say; I just read that the servant leader serves first. True.
But a leader must get something out of her work, and she must acknowledge that gain, or the
path to giving up becomes very short. Both elements must be there. Think about two
overlapping circles:

One of these circles represents the servant leader's desire to help others; the other represents
her need to help herself. Ideally, a servant leader should find herself doing both of these
things, in a place where these circles overlap.
So what are some things that the leader can do to remain inspired and excited about his or her
work? Answers are as individual as every leader is. However, consider these possibilities,
which have worked for many leaders. Might any of them work for you?

Take time for you. You may think you don't have time for a vacation, or for an
afternoon off: but can you really afford not to? You need time to regroup, and to
replenish your well. There are many ways you can do this. It could be in daily
meditation or on a jog, or by taking a day to do something you love. It could be
almost anything: going to a play or enjoying a picnic; taking a pottery class or
watching a football game. Whatever you do, it should be somethingjust for you that
you will enjoy and find renewing. And it should have nothing to do with work.
Read -- and not simply news and your work. Read novels, biographies, or anything
else you enjoy. One constant among many of our historical leaders is how much they
read. Reading inspires creativity and helps you to see the "big picture" more clearly.
By doing so, you make associations you wouldn't have otherwise. In short, it helps
you keep all of life in your consciousness.
Have others to sustain you. We've all heard the phrase, "It's lonely at the top." That
can be true for servant leaders, too. In fact, when you get right down to it, it can be
lonely wherever you are in the pile. All of us need people who can help us and who
support us in our challenges and our joys.

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For servant leaders, it is important that we choose these people well. That's because
unfortunately, if we don't consciously choose these people, we often hoist our needs on the
wrong people.
We might get a lot of this support from people in our personal lives: spouses, family
members, and friends. Sometimes, however, it's helpful to get support from people within
your field, who have dealt with some of the same challenges and excitements as you have.
Two ways to have such relationships are:

Having a mentor. We are always learning; hopefully, our education never ends. By
standing on the shoulders of those who came before us, our view is much broader.
Thus, maintaining a mentoring relationship can be an excellent way you to help you
continue growing professionally.
Developing strong peer relationships.Talking with other leaders, especially in your
field, can be very helpful. This is one way in which professional meetings and
conferences can be useful. By speaking to other leaders, you start understanding that
other people have the exact same problems you are dealing with. It can help you
realize you are not alone.

Exercise:
Think of someone whose leadership you admire or who you admire professionally in other
ways. Preferably, choose someone who has been working in their field for many years. Ask
them where they receive their support. When they are frustrated, who do they turn to? Are
there similar possibilities or people in your own life? Would the same forms of support work
for you?

Challenge yourself. When the "old routine" doesn't work for you any longer, find new
mountains to climb. Challenge yourself with new directions and possibilities. This
could be by starting a new program, forming a new collaboration, or revamping an
existing project. Anything that will get your excitement flowing again can work; the
possibilities are boundless.
Look at the whole picture. That is to say, remember the whole forest, and don't let
yourself get hung up in the trees. Sometimes, we can get hung up in the daily
frustrations of our work. That's when it's time to remind ourselves of our broader
vision, whether it is an end to child abuse, a thriving neighborhood, or a world
without prejudice. In doing so, we may be more willing to see these frustrations as
small obstacles we are willing to hurdle, instead of impossible mountains that aren't
worth our efforts.
Celebrate the small wins. World peace, for example, is a lofty goal. It's not one you or
even your organization will achieve alone. In fact, it may never be completely
achieved, but many of us feel it's still worth striving for. So when you do accomplish
a piece of that peace, celebrate your accomplishment.

IN SUMMARY
The servant leader sees leadership much in the same way a carpenter sees a hammer. A
hammer is a tool -- and a very important tool at that. It can be used build; to create; to realize
a dream. And with one wrong hit, a very painful thumb.
Leadership, too, allows one to develop dreams. It opens doors and allows opportunities to be
realized. However, it's something to be careful with. For like the hammer, mistakes can be
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costly. Worse yet, leadership, like that hammer, can be used to destroy instead of create; to
hurt people instead of help them. And without paying proper attention to ourselves, it can
destroy the leader as well.
The wise servant, then, is as careful with this power as she would be with that hammer,
always trying to make sure to hit the nail on the head.
Building Teams: Broadening the Base for Leadership
In the early 1940's, J. Robert Oppenheimer was put in charge of assembling a team
for a top-secret job that came to be known as the Manhattan Project. Ultimately,
many young scientists whose names would later become household words worked
together at an isolated site in Los Alamos, New Mexico, developing the first atomic
bomb. This was a remarkable achievement, especially given that many of the egos
involved were massive. It was possible because Oppenheimer was able to forge this
group into a real team.
In sports, another realm where many of the participants have both great talent and
massive egos, some teams win simply because they have the best players.
However, other teams with equally good players regularly finish far from the top, and
some teams with only average players nonetheless become champions. Again, part
of the secret is teamwork: no matter how good the individual players are, if they don't
operate as a unit, they won't win as many games.
What's true in science and sports can be true in community work as well. Successful
community leaders often have good teams behind them. In many situations, teams
can accomplish what individuals can't.
Working on a successful team is an important learning experience for future leaders.
It demonstrates that not everything can be done by one person, and shows them
what it takes to create a team. A leader who's been part of a good team will be able
to build good teams because she knows what they look and feel like.
One of the most important tasks of leadership, in fact, is being able to put together a
good team and to support its members in doing their best. This section will provide a
guide for assembling and building teams that can help your organization or initiative
be effective.
WHAT ARE TEAMS AND TEAM BUILDING?
WHAT IS A TEAM?
The answer to this question isn't as obvious as it might seem. Everyone knows what
a team is: a group of people working together toward a common goal, right? Well,
yes and no. A team is a group with a common goal, but lots of groups have a
common goal. And a team works together, but lots of groups work together. The
members of the United States Congress work together toward a common goal
(making the laws that are best for the country), but each member has her own
private interests and beliefs -- her own agenda. The Congress is no more a team
than is a soccer "team" of six-year-olds, each of whom plays as if he's the only
person on the field.

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A team is a group of people with a commitment to one another, to the team, to a high
level of achievement, to a common goal, and to a common vision. They understand
that team success depends on the work of every member.
A good team functions as a single organism. Not only do members work together
toward a common goal, but they complement and support one another so that their
work seems effortless. Compare that soccer team of six-year-olds and their
individual agendas with the Brazilian national team in its heyday. Everyone seemed
to know not only what all his teammates were doing, but what they were going to do.
Passes always hit their mark, as if there were some sort of mysterious force among
team members that directed their kicks. Obviously, their "magic" was the result of
endless practice, but it was also the result of a shared passion for accomplishment
and a shared vision of just that effortless, automatic play that made all other teams
look clumsy.
So a team has a shared interest in accomplishment and a shared vision, both of
which are different from a shared goal. The need for accomplishment provides a
driving force. The vision provides not only a goal, but directions and a compass for
reaching it. It keeps everyone moving in the same direction, at the same speed,
working together to create as little friction and as efficient a journey as possible.

One of the ways that teams reduce friction is through their members' commitment to
working as a team. They're willing to give up most of their need for individual
recognition for success in reaching the goal. It's the accomplishments of the team as
a whole that become important, and members of good teams hold themselves and
one another accountable.
When it's working well, a team is more like a single individual doing a lot of things at
once than it is a conglomeration of single individuals, each doing their own thing. The
whole becomes greater than the sum of its parts: the team can accomplish more as
a team than all its individual members could achieve if each were working alone.

WHAT IS TEAM BUILDING?

So how do you create that kind of team, a group of individuals that functions as a
single unit, even if each has a different task? There are really two ways to look at
team building. The first is putting together a team from scratch for a specific purpose.
That purpose may be for the short term (e.g., running a fundraising campaign with a
limited scope ) or much more momentous and lengthy (starting and staffing a longterm initiative meant to change the community permanently).
Members of teams need three kinds of skills: technical or functional (i.e., the
expertise in the field that they and the team are working in); problem-solving; and
interpersonal. The ideal would be to find individuals who embody all these skills, but
the reality is you'll probably have to choose some people specifically for each of
these strengths. All are obviously important. Effectively accomplishing the tasks of
the team requires technical and functional skills; approaching those tasks in a
reasonable way calls for a high level of problem-solving skills; and keeping the work
of the team from being derailed by internal conflict, jealousy, or other similar issues
demands a great deal of sensitivity and interpersonal skill.
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In addition to looking for skills, you have to find the right people for the right jobs on
the team, and assemble a group that fits together well. Judging how people will fit in
with one another is a matter, to some extent, of following hunches, listening to what
your instincts tell you about personalities and the ways people present themselves,
the kinds of words they use, their body language, etc. These are often as important
as their backgrounds and training for determining whether they would be good
additions to a particular team.
Jon Katzenbach and Douglas Smith, in The Wisdom of Teams, specifically advise
choosing people for their skills, rather than for their personalities. For an industrial
production team, this may well be sound advice, but community work requires a
different mindset. Personality, both as it relates to team "fit" and to the contact of
team members with others in the organization and in the community, is in fact
extremely important.
So much of the success of community work relies on relationships -- with
participants, with colleagues, with officials, with the community at large -- that
personality and personal style cannot be ignored here. Hiring someone who's
uncomfortable with the target population, for instance, can be disastrous to the work
of an organization. Choosing a team member who can't get along with her
teammates, or who disagrees with them on philosophical issues or on the
importance of the team's goal, can be equally troublesome. It's absolutely vital to be
keenly aware of the ways in which people will affect other team members and the
community when choosing a team.
In some ways, assembling a team from scratch is easier than the second type of
team building, which requires turning that group you've just hired or an alreadyexisting group into a real team that works well together. In the case of an alreadyexisting group, you have few choices about who's going to be a member. There may
be long-standing antagonism or conflict between some of the people involved, or
some may be difficult personalities to deal with. If people weren't chosen to fit
together in the first place, they may or may not fit together well now.
Building a team in this second sense takes strong leadership and a vision that the
team can buy into. In addition to trying to help team members learn to work together
as a unit, you have to find ways to build commitment to the idea of a team and to the
team itself, as well as to meeting the challenge the team has been given.
Sometimes, an existing group is already a team, or almost a team. They may already
share a vision, and have some idea about how to realize it. If that's not true,
however, it can take a lot of time and effort to make it true, and you have to be willing
to be patient.
WHAT ARE THE ADVANTAGES AND DISADVANTAGES OF TEAMS?
Putting together a team of skilled people may be the best choice for accomplishing a
particular task . . . or it may not. Like most other ways of addressing tasks, teams
have advantages and disadvantages. Some of their strong points include:
A team broadens what individuals can do. Team members gain from the fact that
being part of a group makes it possible to do things they couldn't necessarily do
alone. A good team supports and enhances the skills and learning of its members,
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and brings out the best in them. Humans are, after all, social animals, and, as a
species, we've worked in teams for a long time. Try killing and butchering a
mammoth single-handedly.
Several heads mean a wider range of ideas. Teams can be more imaginative than
individuals, and come at things from a larger number of perspectives.
Teams can have a greater array of talents and skills than can be found in a single
individual. That obviously increases both their effectiveness and the variety of what
they can address.
Team members learn new skills from their colleagues. This increases their own
range, and also constantly broadens the team's capabilities.
Teamwork is more efficient than a number of individuals working solo . The members
of a good team know how to assign tasks to the appropriate people, and how to
coordinate what they're doing for the maximum effect.
Teamwork provides relief when someone is having a problem. There is always
backup and help available, and the stress is less because you're not the only one
doing the job.
By the same token, the fact that each member knows he's responsible to others
works to make him more effective. No one wants to let others down, or to be seen as
the weak link. When a team is working well, all its members are aware of their parts
in the overall mission, and try to make sure that others' work isn't wasted because of
them.
A team member has more ownership of what she's doing. She's involved in the
planning of the team's actions, and she can see how her job fits into the larger
purpose of the team and the organization. She doesn't feel like she's working in a
vacuum.
Good teams can build leaders. They give everyone a chance to show what he can
do, and to exercise leadership when that's appropriate.
A shared vision keeps everyone moving forward.
That's a pretty impressive array of strengths, but there are weaknesses as well.
Team decision-making takes longer than individual decision-making, and can be a
great deal more difficult.
Depending upon the task or problem, team effort can be wasted effort. Some things
can be more easily dealt with by individuals.
The team's success may hang on the work of the weakest or least effective team
member.
Once a team gets rolling in a particular direction, even if it's the wrong direction, it
develops momentum. It may be harder for a team than for an individual to get back
on a better track.
Especially at the beginning when members are still getting familiar with one another,
the work of teams can bog down in interpersonal issues, resentments, and blame.
On the other hand, once team members are bonded and committed to one another
and the team, they may be reluctant to tell others when their work is unsatisfactory or
to point out that the team isn't getting anywhere.
Individuals on the team may lose motivation because of the lack of individual
recognition for the value of their work. The balance between team effort and
individual recognition is a delicate one.
A question that could be asked here is "Why build teams, as opposed to groups?"
The answer is that a group is simply a number of people assembled to work toward a
goal. Its members may have very little connection to one another, may care little or
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nothing about actually accomplishing the goal, and may have no interest in the goal
itself or its implications. A group may provide some of the advantages ascribed to
teams above, but that's not a given. It is a given that it won't have a common vision,
and that it probably will have most of the disadvantages that teams can have.
A group becomes a team when it has created a commonly-held vision, developed a
sense of itself as a team, dedicated itself to the quality of its accomplishment,
embraced mutual accountability, and become invested in its goal and purpose. A
team becomes a "high-performance team," in Katzenbach and Smith's view, with the
addition of the commitment of members to one another's personal growth and
success. And it is that commitment that can create some of the greatest benefits a
team can offer.
WHEN SHOULD YOU BUILD TEAMS?
Social psychologists have looked at the differences between the ways people
perform when there are others around and when there aren't. From these
observations have come some general guidelines for when a team is likely to be
more effective than an individual. Some of the most important are:
The people in the team, in general, have the skills to tackle the task at hand.
The task requires the complementary skills of a number of people.
The task specifically requires several people (moving a piano, for instance).
The success of the task is not based on the performance of the weakest team
member.
Team members have experience working in teams.
The perceived importance of the task is high.
Group commitment to the task is high.
Not all of these conditions need to be obtained for a team to be a good choice, but
some should. The more of them that are present, the more likely that a team will be
successful.
By the same token, the negatives of these guidelines (e.g, people in general don't
have the skills to handle the task) indicate that a team is not likely to be an effective
way to deal with the task at hand. In addition to those negatives, teams are unlikely
to be necessary or successful when one expert member alone is capable of handling
the task, and/or when there is an immediate deadline.
Given those guidelines, a team can be used in almost any situation that requires the
work of several people. There are, however, some particular times when teams
might work especially well.
Creating a strategic plan for addressing community issues. A participatory approach
to planning would involve building a community team to develop a strategic plan.
Starting up a new organization or initiative. You might form a community team to
plan for a new entity.
Starting a new program or intervention within an organization or initiative. A
community team might plan or begin to implement a new intervention.
Starting a coalition. Once again, a community team might be helpful in getting a new
coalition planned and going.

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Planning and carrying out a community assessment. A diverse team to plan,

communicate with the community, gather and analyze information, and report on
findings would make for an accurate and efficient assessment.
Evaluating an organization, initiative, or intervention. Evaluation is often best
accomplished by a team of evaluators who bring different perspectives to the
process.
Spearheading an advocacy campaign with a specific goal. Here, a team to handle
communication, outreach to the community, and contact with legislators and other
policy makers could make all the difference.
Running a fundraising event or campaign. Whether you're putting on a tag sale to
finance a new fax machine, or trying to raise $50,000 to support your initiative, a
good team can spread the work around, and make success more probable.
Staffing and running an organization or initiative. Staff members might be organized
into teams with each team having responsibility for some area of the work of the
entity. Another possibility here, especially in smaller organizations, is that the whole
staff functions as a single team, working toward a shared vision.
Engaging in ongoing advocacy. A team approach might make advocacy more
effective, especially if team members represent different elements of the population.
Performing a particular function within a community program or initiative. Many
health and human service organizations form teams to address specific issues or
populations. A health clinic might have a physician, a social worker, a nurse midwife, one or two physician's assistants or nurse practitioners, and some RNs all
working together as a team to assess and treat families. Mental health centers often
take a team approach, with a case manager and several therapists serving a number
of people. Child care providers, teachers (especially in middle schools, where the
team approach is standard), street outreach workers, and others often also work in
this way.
Changing the community over the long term. Community organizing and community
development are long-term processes. They're often difficult and frustrating, and they
rely on the dedication of those engaged in the work. A team approach not only
makes more activity possible, it keeps everyone involved aware of what everyone
else is doing. This means that the team can be more efficient and not duplicate
services, and that it has the ability to change what it's doing as new information
comes in. Mutual support can also add to a team's effectiveness and staying power
over the long haul.
WHAT MAKES A GOOD TEAM?
Every good team is not the same, but really good ones often have a number of
similar characteristics. In their book, Organizing Genius: The Secrets of Creative
Collaboration (Reading, MA: Addison-Wesley Publishing Company, Inc., 1997),
Warren Bennis and Patricia Ward Biederman looked at six famous groups, including
the Manhattan Project team, to understand the factors that foster creative
collaboration. Here are their 15 "Take Home Lessons" (pp. 196-218) about "Great
Groups" (thanks to Steve Fawcett). A "Great Group" is Bennis and Biederman's
version of Katzenbach and Smith 's "high-performance team":
Greatness starts with superb people. Those who see things differently, have a knack
for finding interesting and important problems, have skill in problem solving, see
connections, and are "deep generalists" with broad interests and multiple frames of
reference.

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Great Groups and great leaders create each other. The best leaders create and
maintain situations in which others can make a difference.
Every Great Group has a strong leader. Leaders might act as "pragmatic dreamers"
with original but attainable visions, as "curators" who recognize and select for
excellence in others, as coordinators of volunteer associations around "great
projects," or as "conductors" who understand the work and what it takes to produce
it.
Bennis and Biederman base their conclusions on the six teams they studied. In other
cases, successful teams have functioned well with collaborative leadership of
various sorts. It is probably fair to say that some sort of leadership is necessary, and
it may be that a single strong leader is the most effective embodiment of that
leadership.
Leaders of Great Groups love talent and know where to find it. Talented people smell
out places full of promise and energy where the future is being made. Leaders help
connect groups to networks of people, ideas, and resources that enhance the
group's work. More diverse networks increase the chances that new connections will
be made. Participants know that their inclusion in the group is a sign of excellence.
Great Groups are full of talented people who can work together. Members accept
their responsibilities to share information and advance the work. They tolerate
personal idiosyncrasies, and try to be good colleagues who advance the common
purpose.
Great Groups think they are on a mission from God. Members believe that they are
doing something vital. The work is more a crusade than a job. A powerful vision
helps them see losses as sacrifice. Their clear, collective purpose makes everything
they do seem meaningful and valuable. Members of older generations tell newer
ones what they are doing and why, and how new members can contribute.
Every Great Group is an island, but an island with a bridge to the mainland. People
trying to change the world need to be isolated from it, free from its distractions, yet
able to tap into its resources. The work should be intense and fun.
Great Groups see themselves as winning underdogs. They are feisty. They are
Davids slinging fresh ideas at Goliath. They see themselves as wily opponents in the
face of bigger competitors.
Great Groups always have an enemy. They are involved in a "War on Drugs" or a
"War on Poverty." This raises the stakes of the competition, helping the group rally
and define itself.
People in Great Groups have blinders on. They have a passion for the task at hand.
They are unusually devoted to the work.
Great Groups are optimistic, not realistic. They are talented people who believe that
they will accomplish great things together. The difficulty of the task adds to its joy.
In Great Groups the right person has the right job. Talented people are allowed to do
the work they are best suited to doing.
The leaders of Great Groups give them what they need and free them from the rest.
Leaders help bring in a "worthy challenge," a task that enables people to use their
talents fully. They provide the tools needed for the work, and help share information
and ideas by convening weekly colloquia in which problems and dilemmas are
addressed and new ideas are explored. They help members manage stress, model
and support a climate of civility, and protect the group from the broader institution
and environment.
Great Groups ship. They are places of action, not merely think tanks. They do
hands-on work that delivers products and services by deadlines.
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Great work is its own reward. They are engaged in solving hard, meaningful
problems. The work matters to people -- to those served and to those doing it
HOW DO YOU BUILD A TEAM?
Building a good team involves a great deal more than simply choosing members.
That's only the first step, and you may not even have the chance to do that if you're
working with an already-existing group. Developing and communicating a vision,
planning the team's mission to match the vision, working out how people will function
together, and then fine-tuning it over time are only some of the other elements of
team building.

The following are guidelines, and are not meant to be a step-by-step guide to team
building. Some elements of the process may get worked out over time in the course
of the team's activities. Others may reach critical points and be dealt with then. Each
team is unique, and there is no single formula for success or excellence.
CHOOSING TEAM MEMBERS
The factors below are stated as if one person will be choosing the team. Often, this
is the case, but perhaps equally often, teams choose their own members, or team
members participate in choosing the rest of the team as they come on board. This is,
in many ways, ideal, as long as everyone understands what's important for the task
and has at least a basic understanding of how a team needs to fit together.
Whether you're hiring new staff people especially for a team, or choosing from
among the existing staff members of an organization, there are a number of factors
to consider.
Start with the best people you can find. No team is any better than its members, and
finding the best people for the jobs at hand is tremendously important. "Best "
doesn't always simply mean someone who can do the work better than anyone else,
however. Someone may be a terrific practitioner, but difficult to work with, or jealous
of others' successes. It may make more sense to choose someone who's only
second best (although still very good) at the work, but better at being a member of a
team.
Choose team members so they'll have a good fit. The issue of fit was mentioned
earlier, and it can't be overstressed. In order for team members to fit together well,
they must connect on a number of levels.
Personality. People don't necessarily need to become best friends, but they need at
least to respect, and, better yet, to like one another. They're going to be spending a
lot of time together: it's far more conducive to the team's success if time spent
together is seen as pleasant. In addition, the more people like and respect one
another, the more they'll communicate, and the more loyalty they'll feel to the team
and its work. Both of these conditions add to the effectiveness of the team. As team
members are chosen, therefore, it's essential to consider whether each person is
likely to get along well with the others, and what she'll add to or take away from the
personality of the team.
World view. Especially in health, human service, and community work, it's important
that the overall goals of everyone involved be similar. If some team members see
participant empowerment as paramount, and others see participants as annoying
and obstructive, there will be friction. Not only will team members disagree and
perhaps work against one another, but the whole purpose of the team's work will be
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weakened. It's vital, therefore, that the basic vision of the team's purpose be shared.
In choosing team members, people's attitudes and general world views need to play
a large role.
Work ethic. Team members don't have to be workaholics, but they need to have
similar work ethics and similar conceptions of what doing a good job means. If that 's
the case, then no one will get upset because he's doing more work than others, or
because one person isn't pulling his weight.
Ability to use disagreement and conflict well. Team members need to be able to
disagree positively, and to use their disagreements and differences about the work to
come up with better solutions. They have to be willing to voice those disagreements,
because disagreement is often a wellspring for good ideas. At the same time, they
have to be able to remove such disagreements from the personal, and look at them
as problems to be solved with creativity and mutual respect.
Look for members with a diversity of backgrounds and perspectives. It seems
obvious that the more different frames of reference that can be brought to bear on an
issue or a community, the better. Teams that are diverse in a number of ways -background, training, culture, etc. -- bring a range of skills and perspectives to the
work they do. Choosing team members with an eye for what they bring to the mix
can create a more dynamic and creative group.
Look for members with a commitment to the concept of working as a team.
Teamwork often requires that people put aside their individual interests in order to
accomplish the team's goals. Team members need to understand just what it means
to work as part of a team. They have to be willing to compromise -- especially when
they know they 're right -- and to maintain a team atmosphere of civility and mutual
respect. More to the point, they have to check their egos at the door if the team is to
work well.
Look for team members committed the team's guiding vision. The vision may be one
that's jointly developed (see below), or it may already exist before the team is
formed. In either case, belief in it and a willingness to strive toward its realization are
a large part of what will make a team successful in the long run. Anyone you choose
needs to have the passion needed to make that kind of commitment, and the sense
of the world that will allow commitment to the team's particular vision.
Find people with a sense of humor. The work of community-based and grass roots
organizations and initiatives is always hard, often frustrating, and seldom pays well, if
at all. People need a sense of humor and fun attitude to maintain their enthusiasm,
and to deal with the disappointments or failures that are an inevitable part of even
the most successful efforts. The gallows humor that some people find appalling in
health and human service situations is often just as necessary to the smooth
functioning of the organization as the competence and devotion of the staff in the
work they do.
In the TV series "MASH," doctors and nurses in a Korean War field hospital faced
horrendous conditions and the agony of horribly-wounded patients. Humor was their
way of keeping themselves sane. If they hadn't been able to joke about their
situation, it would have been unbearable for both them and the viewers.
BUILDING THE TEAM
Once a group of team members is assembled (whether by hiring, by choosing from
among the staff of an existing organization, or by taking an existing group) has to be
turned into an actual team. The less care taken in assembling the group, the more
difficult this task will be. All of what follows applies both to teams chosen carefully for
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specific purposes and to preexisting groups that must become teams. Some of the
points, however, (working out personal issues, or making the team concept clear)
are particularly relevant for those groups not as carefully selected.
Start with the vision. As mentioned several times above, a team needs a vision to be
passionate about. ("Great Groups think they are on a mission from God.") This vision
can be developed in a number of ways:
It may be the vision of a strong and creative leader. A transformative leader has a
vision that draws others with it.
It may simply be putting flesh on the bones of what the team is already doing.
Changing the form of the work of an organization to a team approach, for instance,
may not involve a change in vision, but simply a clearer statement of, or a new
commitment to, what has already been the organization's goal and purpose.
It may be a group vision. One way to start building the team is to get it to develop its
guiding vision. For a team where the leadership is collaborative, the vision almost
has to come out of a group process. Where there is a designated leader, she can
simply join the group in developing the vision, so it will be hers also.
It may come out of an organization-wide or community-wide strategic planning
process. The vision may speak directly to the needs of the community or of the
target population.
Regardless of how the vision is arrived at, the team needs to buy into it if it is going
to be successful. That means either the vision has to be consistent with what team
members are already committed to, or that they have to be part of its development.
Build team bonds. At the outset, it's often useful to build cohesiveness through some
type of bonding activity appropriate to the nature of the group (e.g., You wouldn't
take a team of seniors on a rigorous wilderness experience.) Some possibilities:
A retreat. A full-day or several-day meeting in a place where team members can get
to know one another and develop their commitment to the team and its purpose.
Specific bonding activities. Activities where success is only possible through
teamwork. Where it's physically possible, Outward Bound-type activities like rock
climbing, mountain hikes, or cooperative games can serve these ends. Group
problem-solving, perhaps centered on the team's task, is another possibility.
Laughter is an important element here, as well as the chance to work together.
Socializing. Preparing and eating meals together, doing some enjoyable activity such
as a picnic, making music, going to a play, etc. with or without families, can create
ties among team members.
Creating team traditions. Eating lunch together, a regular lunchtime or after work
card game, fake "awards," or a continually passed-on e-mail story that everyone
contributes to can help cement the team.
Make sure that the concept of a team is absolutely clear, and that everyone
understands what that means for themselves.
Involve the team in jointly planning how it will function and what the team and each
of its members will do. The more control team members have over their work, the
more likely they are to do it well.
Address personal issues. (This may be an ongoing necessity. It should start at the
formation of the team in order to try to resolve issues as early as possible.) Any
personal issues that get in the way of the smooth functioning of the team need to be
confronted and resolved at the beginning. Some of these can be worked out privately

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with a single person, while others may need the whole group's attention. Some
common issues to address:
Conflicts or other issues between or among members of the group. You can't
necessarily make people like each other. But you can insist that they face and
resolve conflicts, that they be civil, and that they not let their antagonism get in the
way of the work of the team.
A need for individual recognition. Individuals may put themselves forward constantly
(correctly or incorrectly) as the originators of ideas, the solvers of problems, the
driving force behind team successes, etc. There are times when this is appropriate,
but if it's constant, it can destroy the cohesiveness of the team.
An inability to compromise or let go of ideas. Flexibility is a prime characteristic of a
good team member. It's important to put ideas on the table, but it's also important to
understand when to let go of them, or to incorporate some aspects of them into
someone else's conception for the sake of progress.
Lack of commitment to the work. In order for a team to function well, every member
has to believe in what he's doing, and do his job as well as he can. If folks aren't
committed to the work, that simply won't happen.
Problems arising from these kinds of issues can be the hardest to solve, but if they're
left to fester, they can destroy a team.
Establish team norms. Teams should be in agreement about the ways members
treat one another and how issues are resolved. The team standards should be
generated by the team as a whole, and hashed out so that everyone sees them as
fair and reasonable.
Areas that might be covered include:
Civility. Even in the heat of argument, there should be general agreement that namecalling, personal attacks, threats, and the like are off limits. Discussion can be
heated, but shouldn't threaten the glue that holds the team together.
Conflict resolution. There should be clear avenues for dealing with conflict that
minimize the possibility of leaving it unresolved, or of it resulting in permanent splits
between or among team members.
Communication. Team members need easy and direct access to one another, and
also need to pass information around quickly and efficiently, so that no one is left out
of the loop. Establishing systems to maintain this level of communication is an
important piece of team formation.
Responsibilities. Team members already know their job responsibilities, but they also
need to understand their personal responsibilities for maintaining the team.
Someone having a problem with another team member's behavior, for instance,
should be responsible for bringing it up in the appropriate way, rather than waiting for
the other to change, or for someone else to notice and take care of it.Other similar
responsibilities might include helping to keep everyone focused on the task, offering
help when others are struggling, calling attention to problems in the work or among
team members, etc.
Importance of the team and the mission. It can't be forced, but it adds greatly to team
effectiveness if one of the norms is that the collective goal comes first, and if
everyone on the team buys into it. If that can be established, the team is almost sure
to be successful.
Hash out the logistics of working as a team. How does a team work best? Your team
needs to establish how it can do its best work. Who's going to be responsible for
what? (Remember that a good team assigns its members the tasks at which they're
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most competent.) What kind of meeting, conference, and consultation schedules can
you establish to make sure that everyone always knows everything she needs to
know? How can you keep team thinking and decision-making dynamic, i.e. able and
ready to change a course of action or an idea when needed? All of these and many
other questions must be addressed in order for the team to work smoothly and well.
One possible way to approach some of these issues is to confer with other
successful teams, either within or outside of your organization. They may be able to
help you avoid some of the mistakes that they made, and to guide you to some
questions you may not have thought of asking.

Start the team with a task that is both doable and requires teamwork to accomplish.
As in spring training for baseball, this will give people a chance to practice working
as a team on something relatively simple. Starting with a success will help cement
the team, and give it a positive outlook upon which to base its work.
On a regular basis, go back over both successes and failures to understand what
happened and learn for the future. It's important to look at errors and failures as
chances for learning, not occasions for blame.
A story is told about Tom Watson, founder and original CEO of IBM. An executive
had made an error costing the firm $30,000.00, at the time a considerable sum of
money. Watson called him in and grilled him about how the error had been made
and what he'd learned from what he'd done. The executive, sure he was simply
being toyed with, finally burst out, "Why don't you just fire me and get it over with?"
Watson, genuinely surprised, answered, "Fire you? We've just spent $30,000.00
training you."
Provide both individual and team support. Make sure that everyone has what she
needs to do her job. Pay attention to team members' personal needs as well. They'll
work better if they don't have other things gnawing at them. If they need flexibility
because of the needs of small children or elders, make sure they have it. If it will help
the team to have food or amusement, or just space available for breaks, see what
you can do about accommodating it. If people need resources such as a library,
access to particular Internet sites, etc., try to provide it for them. If someone needs
an afternoon off, make sure she takes it. In other words, do everything you can to
make people happy, comfortable, and functional. It will pay dividends in quality of
work life and quality of work for everyone.
Give people something extra for working as a team. You can pay people more . . . if
you have the money to. More likely, you can offer them more flexibility, more power
over their jobs, a better chance at successfully achieving their shared vision, better
working conditions and quality of working life. Whatever it is, offer something to let
people know you appreciate what they're doing.
Reward accomplishments like crazy. Reward the whole team for successes, and
reward individuals for particularly good work. You may want to institute a system
whereby team members recommend their colleagues for recognition. Use praise
unsparingly, and criticism only when it's absolutely necessary, and your team will
accomplish wonders.
IN SUMMARY
A team is more than just a group of people working together toward a common goal.
It's a group that functions as a single unit, working toward a powerful shared vision of
accomplishment. In situations where teams are called for, a team that works well can
accomplish more than all of its individual members working alone, because each
member's work supports and complements the others'.
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Building a team involves both choosing the members (if you have that option), and
forging those individuals into a working unit. That involves thinking about how people
fit together, and helping them to establish group and individual bonds.
Team building also requires looking at the characteristics of good teams. It means
providing or generating with the team at the outset a vision that everyone can be
passionate about. The next step is clearly defining the concept of a team, and
making sure everyone knows how he fits into that concept. Once that's in place, the
team needs to plan jointly how it will function (who will do what, how everyone will
communicate effectively, what the team's norms will be). Any personal issues need
to be addressed at the beginning and resolved as quickly as possible.
Teams need to examine their work and understand the reasons for successes and
failures, so they can continue to improve and develop. Teams need recognition for
their accomplishments, so they'll know their work is appreciated. If you can build a
team of good people using these guidelines, the achievement of your goals is
practically in the bag.
Developing a Community Leadership Corps: A Model for Service-Learning
WHAT IS SERVICE-LEARNING?
Service-learning is an educational method that emphasizes learning through
community service. You're likely to find as many different ways of organizing servicelearning experiences as there are people who believe in it, but the following
characteristics are generally accepted as being parts of the concept of servicelearning:
Students or youth participate in carefully organized community service placements.
They receive some sort of orientation or training.
Placements are coordinated by your organization, along with an educational
institution, community service program or organization, and other groups in the
community.
Students or youth usually earn some sort of class credit or are paid for their service.
Having the students or youth report on their experiences--through journals, group
discussions, and other methods--is an important component that helps them learn
from their corps experiences.
Service-learning can be carried out in a wide variety of ways. For example, a church
leader could set up an arrangement with the local school district in which youth are
recruited to work at a homeless shelter, or a high school could set up a program in
which students in the accelerated English classes could help out with an adult
literacy program. In this section we will describe a service-learning project that may
serve as a model for you. We call it the community leadership corps.
WHAT IS A COMMUNITY LEADERSHIP CORPS?
A community leadership corps connects students with organizations or initiatives in
their communities. Corps participants work for the organizations or initiatives for a
pre-determined period of time -- often over a summer break -- and are given the
opportunity to do hands-on community health and development work in communities
in which they may have a sense of investment (often their hometowns). Most of
these are set up as short-term arrangements, but the relationships between student,
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community organization, and corps coordinators can last much longer (see our
example), as hosts and corps members develop working relationships and
friendships.
Here at the KU Work Group, we have had our own community leadership corps for
several years. The Kansas Community Leadership Corps is a 2-month summer field
experience for 10 KU students in creating healthy communities in Kansas. The
project recruits, trains, places, and supports students with local community-based
organizations and support organizations, such as Kansas Regional Prevention
Centers and neighborhood associations. During their placements, corps members
communicate with one another through weekly Internet chat room meetings and
forums, and they use technical assistance resources available through the
Community Tool Box.
WHY DEVELOP A COMMUNITY LEADERSHIP CORPS?
There are many reasons why you might want to think about developing a community
leadership corps. A community leadership corps can do many things:
Provide a relevant, significant, "real world" educational experience for students who
participate
Teach positive values, leadership, citizenship, and personal responsibility
Invite and encourage students to become active members of their own communities
Teach job skills and prepare students for life after school
Contribute your outreach efforts to local community, the state, and beyond
Increase school-community collaboration and partnerships
Help with community education
Contribute many hours of service to people in need, non-profit agencies, private
sector companies, and governmental agencies
Give students a greater understanding of the issues in their communities, and equip
them to make intelligent decisions about those issues in their later careers and civic
lives.
WHEN IS A GOOD TIME TO DEVELOP A COMMUNITY LEADERSHIP CORPS?
While you can set up service-learning opportunities any time, a community
leadership corps may be most useful for you after your organization has created its
strategic plan and developed relationships with strategic partners. You can use these
partners as host groups for the corps members and the corps members can give
your partners a boost in carrying out strategic activities: a perfect win-win situation.
WHO SHOULD BE INVOLVED IN DEVELOPING A COMMUNITY LEADERSHIP
CORPS?
For a community leadership corps to work, it is crucial to have strong, wellestablished partnerships in place. At the very least, you will need to have
partnerships between the institution or organization that recruits and supports the
students or youth and the individual organizations where they will be placed. At the
other end of the spectrum, a partnership may be a full-scale community collaboration
in which schools, agencies, community members, youth, city government, and
businesses all work together to design and implement a system-wide service
learning initiative.
HOW DO YOU GO ABOUT DEVELOPING A COMMUNITY LEADERSHIP CORPS?
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IF POSSIBLE, SECURE RESOURCES AND SUPPORT.

A community leadership corps doesn't require a lot of resources or funds, although
having them really enhances the effort. At the least, it will take some of your time to
develop the relationships between your organization, sources of youthful talent such
as churches or schools, and the host organizations where the corps members will be
placed. You will also need to provide some training (but that may only be an
afternoon orientation) and provide some support to both the corps members and the
host organizations as needed.

On the other hand, when it comes to giving resources to support youth development,
community businesses and civic groups often find a community leadership corps
attractive. A local civic group or the host organization itself may be willing to provide
support: perhaps an honorarium, or a minimum wage salary for the corps member
during the placement could be arranged. Regional foundations may find this an
interesting project as well. The KU leadership corps was supported by a grant from a
state agency and our corps members were placed in communities across the state.
A community leadership corps benefits not only the youth and host organization, but
can help your organization or partnership reach its goals, too. Given these benfits, it
might be well worth the effort to raise the resources.
IDENTIFY HOST ORGANIZATIONS AND ANY ADDITIONAL PARTNERS.
The first step is to find organizations that will host a corps member. This should start
simply, with inquiries to a handful of organizations you know. The KU program, for
example, connected students with regional prevention centers throughout the state.
(The Work Group had worked previously with many of them, knew their need for
more people, and wanted to support theirefforts.) Ideally, these would be
organizations with which you've already established some sort of working
relationship, but you may well find that the offer of setting up an organization with a
community leadership corps volunteer is a great way to begin a relationship between
your office or organization and theirs.
Other partners will be the organizations where potential corps members can be
found, such as educational institutions or churches.
Approach your potential host organizations and any other potential partners with
your proposal. This approach might take the form of a simple phone call, if you know
people in the organization well, or it might involve a more formal written proposal.
Explain what sort of arrangement you'd like to enter into, and the responsibilities that
each of you would take on to make it work. Once the corps is established you may
find that organizations come to you requesting the opportunity to host a corps
member.
A worksheet to help you identify potential partners appears in Tools at the end of this
section.
IDENTIFY HOST ORGANIZATION NEEDS.

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The next step is for your and the host organization to develop a list of goals or
activities the community leadership corps volunteers can help with. What short-term
projects do they have that a student volunteer might be able to help with during a
leadership corps placement? Are there any ongoing projects with which students
might be able to get some hands-on experience? Are there any projects the host
organization has always wanted to take on, but has never had the staff to attempt
them (and could such projects be conducted by student volunteers)?
Make sure the host organizations remain realistic in terms of the corps members
abilities and how much time they will have to complete their tasks. Giving students
too little to do (e.g., merely answering phones and copying ) doesn't afford them the
experience they need to truly learn from their corps placement; giving them too much
(e.g., managing a large or complex project without much guidance) can be
overwhelming and frustrating. You and the host organization should carefully work
through in more than one conversation what kinds of help they need, what kinds
of opportunities they can offer, and what kinds of support they can provide.
If a host organization is at a loss for ideas for projects for its corps participant (s), you
may need to assist it with some suggestions. You might also come up with things for
students to do based on their own backgrounds and experiences after they've been
placed; we will offer some suggestions for this later on in this section.
RECRUIT STUDENTS.
Finding students to participate in your community leadership corps depends largely
on the scale of your efforts. If you only seek a few students, you can simply talk to
professors or teachers in the appropriate departments or subjects (for example,
public health, civics, social work, psychology) and ask them to recommend students
they think would be good candidates for the leadership corps. For example, if you
are recruiting from a high school, then classes for gifted students, school counselors,
or service clubs may be places to recruit from. If your corps is going to be larger in
scale, you may decide to advertise or use other methods of getting the word out. The
Kansas Community Leadership Corps, which places about 10 students each
summer, recruits its students through flyers, word of mouth, and classified
advertisements.
Be careful not to focus only on the best students, especially in a high school
program. Look also for students who may not be high achievers or involved in
extracurricular activities, but who might benefit greatly from the being given
responsibility and asked to do something meaningful. A great deal of human
potential is wasted because its never recognized. Dont fall into the trap of creating a
program only for those who are already successful. The opportunity for community
service may bring out the unseen talents and potential of those whove already been
written off by school and society. Dont waste the chance to let them shine.
That said, be careful not to set anyone up for failure, either. Make sure that all
volunteers, and especially those who havent shown the work ethic and persistence
they might need as corps members, get the support and encouragement they need,
and arent handed tasks they cant accomplish. Look for students that you think can

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be successful if theyre given that support and encouragement, even if they havent
been successful in a school context.
Having an application form for students to complete makes the entire process
equitable by having all potential participants submit the same information. It provides
a means by which you can judge the applicants' readiness for this type of intensive
field experience. The Kansas Community Leadership Corps requires each applicant
to fill out a form, write an essay on building healthy communities, and submit a
college transcript, a resume, and two letters of reference.
After application materials are collected, select the students who best possess the
qualities you see as important for work in your leadership corps. Here at KU, we look
for students who are academically solid and have demonstrated experience or
interest in community service. You may find that other characteristics are important
to you, depending on your goals and the goals of your corps partners.
IDENTIFY STUDENT INTERESTS.
You will want to personally interview all corps applicants to further assess their
qualifications and potential, as well as to determine their interests. Their interests are
often related to experiences they have had in other community or volunteer activities,
but you will want to learn more about their values, as well as their personal and
career goals and how they might fit with the opportunities available with your host
partners. This information should help you screen the applicants. Experience,
commitment, and capacity are criteria you might use in the selection process.
If youre including students who have potential, but may not have yet shown the level
of commitment and capacity described here, youll have to think about recruitment in
a different way.
Have students shown commitment in other areas of their lives? (You dont learn
skateboard tricks without an enormous amount of commitment, for example, even if
you show no commitment to finishing your homework. A dedicated skateboarder has
the commitment and capacity youre looking for, although he may not apply it to
school activities.) Could responsibility change the students perspective on herself
and the world? Might the service experience help her understand her own potential
and cause her to change her priorities? These are the kinds of questions you should
ask if youre recruiting students who may seem, in some ways, to be unlikely
prospects for a community service corps.
Now that you've decided which students will be involved with your community
leadership corps, it's time to start figuring out where their placements will be. The
first part of this is identifying the students' interests.
Part of this can be discerned from the student's application essay and interview; you
can learn more about what sort of work the students may wish to do by talking with
them about their personal goals, issues they care about, and in what communities
they'd like to do their corps work.
When you put this information together, be sure to make a note in each student's file
of her individual interests. This will help you make good placements later on. Your
task is to match applicant interest with host organization need. If youre recruiting
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high school students who havent taken on responsibility before, youll have to think
carefully about which organizations can provide the kind of support they need, and
can allow them to grow into the job.
You should also think about matching student personalities with organizational
cultures. A student who has little patience for authority probably wont do well in a
hierarchical organization, whereas a more democratic one might not only be
comfortable for him, but might also help him understand that authority is not always
unnecessary or power-oriented.

TRAIN STUDENTS.
How you train your corps members -- and how much training you give them -depends on how much time and funding you have, who they are, and what kinds of
placements theyre likely to go into. One way to give college students some
academic background in community development is to have them take some related
college courses before doing their corps placements. Kansas Community Leadership
Corps participants usually take such classes as "Building Healthy Communities",
"Community Leadership", or "Community Health and Development" the semester
before their corps placement.

Kansas Community Leadership Corps members also take part in a two-day

orientation institute after their placements have been determined, but before they go
into the field.
Some of the topics covered in the Kansas Community Leadership Corps orientation
include:
Corps roles and responsibilities
Service and leadership
Building healthy communities
Models for community change
Group discussion about skills and tasks
Group exercises for getting to know your community, facilitation skills and
leadership, and strategic planning and planning interventions
Community evaluation
Some other areas that might be covered in a training might be interpersonal skills
(particularly treating everyone with respect and establishing relationships with people
from other cultures or backgrounds); conflict resolution skills; and basic facts about
the living conditions of people in poverty, particular diseases or medical conditions,
political situations, and other real-world issues they might encounter.
The amount and level of training depends on the type of corps applicants (e.g.,
college students, high school students, church youth). You will need to gauge the
amount of training they need to prepare them for the placement. The training you
provide should be broad and general in nature. Training and support for the specific
activities (e.g., web page design, developing a directory of services, coordinating a
public event) during the placement is the responsibility of the host group. You will
need to motivate as well as allay fears. Some leadership training can also be an

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important component here. Part E of the Community Tool Box is devoted to

Leadership, Management, and Group Facilitation and may be useful to you in this.
MATCH STUDENTS WITH HOST ORGANIZATIONS.
Aim for a "win/win" arrangement--one that is beneficial for the student as well as the
host organization. In matching students with their host organizations, there are
several factors to keep in mind:
Each student's experiences, goals, and interests
The goals of the host organizations
Location of host organization (we try to match students with organizations in their
hometowns or other communities in which they feel personally invested); keep in
mind that transportation may be an issue for youth.
There are many ways you can creatively match student interests and background
with an appropriate host organization. For example, a student who has worked on a
campus committee that does entertainment programming could be matched with a
host organization that hopes to have her organize a benefit concert, or a pre-vet
student might work with the county humane society to set up a pet therapy program
in local nursing homes.

Here are a few examples of things that Kansas Community Leadership Corps (KCLC
) participants have done during their placements:
Melinda Carden, who was a KCLC participant in the summer of 1999, was interested
in working with Latino communities as well as the aging. One of the things she did as
part of her placement with the Wyandotte County Regional Prevention Center was to
develop (including writing and translating) Spanish language training materials for
foster grandparents in the Hispanic community of Wyandotte County.
Christina Harms participated in the summer of 1998. Before her KCLC placement
she had volunteered with various agencies and organizations that help the
homeless, and she had also been involved in peer sexual health education. During
her placement with the Regional Prevention Center of Wichita/Sedgwick County,
Christina worked with homeless youth in Wichita to promote AIDS awareness and
reduce drug use.
Ameshia Tubbs, who participated in the KCLC during the summer of 1999, was
involved in several student organizations at KU that centered around African
American issues and culture, and she was also very involved in her church. In her
placement with Big Brothers/Big Sisters of Douglas County, she worked on recruiting
mentors from local churches and also prepared a report on recruiting people from
diverse ethnic and cultural groups.
Once matches are made, a good way to help the corps member and host create a
successful experience is to have them work together to negotiate and write up a
service-learning agreement that lays out the responsibilities of each. This way,
everyone is clear on what is expected of them before the work begins. It helps them
clarify their goals, plan the steps to reach them, determine the level of support
needed, and describe how each of them will tell whether they've succeeded. You can
find a template for one of these agreements in the Tools at the end of this section.

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MONITOR, SUPPORT, AND SUPERVISE STUDENTS DURING THEIR

PLACEMENTS.
Even with agreements signed in advance, it's important to monitor corps participants
during their work in the field. All volunteers and especially high school and college
students, who may not have a great deal of work or life experience need support
and supervision. The ideal is regular (perhaps wekly or every other week) individual
or group meetings with a supervisor from your institution (usually the person who
coordinates the program from your end). Here, they can describe their experience,
lay out problems to work on, receive feedback, and get praise and support for their
effort and their progress toward their goals.
Supervision here doesnt mean someone looking over students shoulders waiting for
them to make mistakes, but rather feedback and the opportunity to think through
their work, examine what theyve done, and determine how they might better handle
difficult situations or people. Its a time to talk through problems both with the work
itself and with the people they work with. The goal is to improve performance, not to
find fault. If its done properly, supervision should be immensely helpful for those
supervised. It should be enjoyable and satisfying enough that they look forward to it.
The KU program reviews progress halfway through the summer, revisiting the
agreements to see how well the goals of the corps members and the host
organizations are being met and how best to support both hosts and volunteers. We
also stay in regular contact with representatives of the host organizations to make
sure they are pleased with their corps participantswork, and we try to make at
least one site visit. The more corps members are clustered in a single town as they
would be if the program consuisted of high school students the easier it is to make
site visits and meet regularly with students.
ALLOW STUDENTS, HOSTS, AND SPONSORS TO REFLECT ON THE
EXPERIENCE.
One of the benefits to corps members is the learning they gain from the experience.
In order for that learning to take place, there has to be thoughtful reflection on the
experience, reflection that takes place in serenity, not in the heat of the moment. In
addition to the weekly or biweekly supervision sessions described above, you can
support reflective learning in a number of ways:
E-mail, Web-based forums, and chat rooms or instant messaging can be easy ways
to contact supervisors or other students for support, advice, or help thinking through
problems in between meetings.
Journals kept daily, provide a record of students work while its still fresh in their
minds, and help them both reconstruct events and their reactions to them, and to
think about how they might have done things differently. These journals could be
turned in at intervals for feedback from supervisors and as a record of the work, and
could also serve as a base for supervision by providing topics to discuss.
Online or print information, of which the Community Tool Box is a perfect example,
can also be extremely helpful when particular issues arise or particular problems
need to be solved.
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CELEBRATE!
This may seem like a step you could possibly skip, but we feel it's vital. Having a
celebration of some sort allows all the partners in your leadership corps -- host
organizations, students, community leaders, educators, and others -- to come
together to recognize the students for their hard work and the host organizations for
giving the students this learning opportunity.
Your celebration might take the form of a big party or an awards banquet (which is
what the Kansas Community Leadership Corps does), or you may come up with your
own unique way to applaud everyone's efforts. However you decide to do it, this is a
celebration of community effort.
Example: Kansas Community Leadership Corps Recognition Dinner
The Kansas Community Leadership Corps held its second annual recognition dinner
in the fall of 1999 at the Eldridge Hotel, a charming and historic old hotel in
downtown Lawrence.
The evening opened with a welcome and introductions from Jerry Schultz, the
director of the corps, and then everyone enjoyed dinner together. After the meal
there were remarks given by Reginald Robinson, the chair of the KU Public Service
Taskforce, and Andrew O'Donovan, the commissioner of the Kansas Office of
Prevention. Representatives of the host organizations each took a few minutes to
honor their corps members. This part of the evening meant the most to the corps
members, as these representatives of the host organizations had developed the
closest relationships with the participants.
The evening concluded with presentations from corps members about the work they
did during their placements and what they learned from their experiences.

Here are a few examples of some of the things students did as part of their
placements:
Emily Williams, who was placed with Safe Streets, organized?Night Out?, a
community -wide event that brought together neighborhoods, law enforcement, and
city services in Topeka.
Erica Swanholm, who was placed with Rosedale Development Associates,
organized a neighborhood beautification project.
Fermin Santos, who was placed with the Regional Prevention Center of Johnson,
Miami, and Leavenworth Counties, developed a media literacy course on alcohol
and tobacco.
Kristen Elliott, who was placed with the Social Norms Media Campaign, conducted
focus groups to develop media messages to prevent binge drinking.
Parents were also on hand to watch their sons and daughters receive their
certificates of achievement. Host organizations also received certificates of
recognition for their support of corps members.
IN SUMMARY:

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Using service-learning is a great way to positively impact your community while

teaching future leaders the skills they'll need to continue the effort to build healthy
communities. The most powerful learning experiences occur when ideas are put into
practice. The corps members return from their placements matured and tempered by
their experiences. If you decide to start a community leadership corps, we're sure
you'll find it to be rewarding for yourself, the host organizations that get involved, and
the participants.
Encouraging Leadership Development Across the Life Span

There are many opportunities for leadership and the development of leadership
capacity in a person's life. Some become leaders early -- eighth grade class
president, general instigator of neighborhood games and mischief, captain of the
high school basketball team. A few of these may continue on to become the movers
and shakers of their generation , but many may never take leadership positions or
act as leaders again. Others develop into leadership more slowly, taking what we
might consider the "normal" route: higher education, a succession of increasingly
responsible jobs and experiences, ending in a formal leadership position (vice
president or CEO of a company, director of a health or human service organization,
school principal.)
Many people are late bloomers, finding themselves as leaders much later in life ,
perhaps even in old age. A large number never assume leadership at all, except
perhaps briefly in informal situations (choosing teams for softball, finding the path
when everyone's lost in the woods, coming up with the solution that saves the
contract ). Some are put in leadership positions (teacher, coach), but vary in how
well they carry out their charge. The variations are endless, just as the variations in
individuals are endless.
Good leaders are always needed. They make things happen on every level from
families to national governments. While some people may have more leadership
potential than others, very few can develop as leaders without experience and
support. This section discusses how leadership can be encouraged at different
periods in people's lives.
WHO ARE POTENTIAL LEADERS?
If you've been reading Chapter 13 all the way through, you're probably tired by now
of hearing that very few people are born leaders...but it's true. Most leaders become
so by learning how to lead, often painfully and over a long period of time. Many don't
even think of themselves as leaders, but simply do what seems right, and others
follow. Many others only lead in specific situations, or only very few times in their
lives.
A great number of people, probably the vast majority, never become leaders at all. A
life of obedience to authority, a need to conform, fear of risk, or a wish to avoid
responsibility may cut some off from the possibility of leadership. Others may simply
never see the opportunity, may feel they don't have the skills, or may be quiet and
shy and not see themselves as "the leader type."
This section assumes that nearly everyone is capable of being a leader at some time
and place in her life. That doesn't mean that everyone will assume a leadership
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position, but merely that the possibility is there. Potential leaders are everywhere,
although their moment may not come for a long time. For that reason, it makes
sense to assume that everyone needs to develop leadership skills, as well as the
confidence and ability to use them when that moment comes.
At the same time, it's important to look for those who have "natural" leadership skills:
good communicators, initiators (or instigators), reasonable risk takers, serious
listeners, people who see beyond the immediate horizon. These folks are especially
in need of cultivation, because many of them will be thrust into leadership positions
whether or not they want to be. They need to be ready.
WHY LOOK FOR AND ENCOURAGE POTENTIAL LEADERS?
Almost everything significant that happens in the world starts with a leader or a
group of leaders who care enough about something to organize and get others
moving toward a goal. The goal may or may not be admirable -- Martin Luther King
galvanized the Civil Rights Movement; Hitler was a genius at mobilizing Germans to
the wrong ends -- but it is unlikely to be realized without a leader to steer others
toward it.
Not all leaders are needed for lofty goals, however. Sometimes a person with the
right combination of characteristics is in the right place at the right time: to shortcircuit panic and help people find their way out of a burning building, for instance, or
to buoy up spirits or find the right strategy in the midst of an exhausting and
frustrating advocacy campaign. There are times when 30 seconds of leadership is
just as important as the months or years that we usually picture.
During the War of 1812, an American invasion of Canada was stymied in a few
minutes by one ordinary man. At the battle of Queenston Heights in Ontario, the
defending British commander, General Brock, was killed early in the fighting. The
British line wavered, but a local militia officer, a young lawyer named McDonald,
rallied the troops with a fiery speech and led them forward. Although McDonald, too,
fell in the battle, the Americans were defeated because of his action. Had it not been
for him, and his half hour or less of leadership, history might be considerably
different.
Nor does leadership have to be dramatic. A respected high school athlete may lead
his friends by his example of not drinking or of doing his homework and asking good
questions in class. A senior citizen, by convincing her friends to form a walking
group, may lengthen and improve all their lives. Someone who writes two or three
well-reasoned letters to the Editor may start to be seen as a community
spokesperson .
Communities, advocacy efforts, and grass roots and community-based organizations
need these people, just as the larger society needs the Martin Luther Kings. They
make positive growth and change possible, and improve the quality of life for
everyone. But they don't come out of nowhere: the right people are much more likely
to step up as leaders when they've had some experiences that make them feel
they're capable.
LEADERSHIP DEVELOPMENT ACROSS THE LIFE SPAN

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It's never too early to start helping people understand leadership and their own
potential for it. Any time -- both any time in a person's life, and any particular
experience or situation -- is an appropriate time to address and encourage
leadership development. An individual's personal and cognitive (thinking)
development, however, have a lot to do with what kinds of experiences will be
significant for him. As you consider leadership development at different ages and
stages of people's lives , it's important to think about what's appropriate both to what
they can understand and where they are in their lives' journeys.
In this part of the section, we'll discuss leadership at different stages of people's lives
and look at some ways to encourage leadership development at each of those
stages.
CHILDHOOD
Among young children, there is often competition for leadership -- to be a team
captain (and get to pick the other players), to be first to do something, to walk at the
head of the line. For kids, however, leadership usually means little but privilege or
attention, without any accompanying responsibility. (There are those for whom this
concept extends into adulthood.) Nonetheless, you can still work on leadership skills
with young children, using examples and experiences that are appropriate to the
development of their logical, interpersonal, and moral reasoning.
Opportunities for encouraging leadership development
Sports and games. For pre-teen children, leadership possibilities often arise in sports
and games. Some kids seem to know instinctively how to lead, while others, who
may be more talented, are concerned only with their own performance and with
gaining recognition for it. By praising the child who runs over to offer encouragement
to the goalie who's just been scored on, and who takes responsibility for her own
shortcomings and works to correct them -- or by suggesting she'd be a good captain
-- we can begin to make clear what kind of behavior defines a leader.
School, camp, and other institutional situations. In school, camp, or other situations
where projects and meetings are the norm, we can give each child the opportunity to
lead a different activity or gathering. As children get older, they may be able to
assume more and more of the responsibilities of such leadership, such as actually
planning the activity, or helping to set the agenda for a meeting.
Community projects. Encouraging children to take on community projects, or to try to
correct problems in appropriate ways, is another way of fostering leadership
development. Kids can take leadership roles in projects as diverse as cleaning up a
vacant lot and conducting a community advocacy campaign.
Two Massachusetts 11-year-olds initiated and successfully carried out a campaign to
eliminate smoking in town buildings and restaurants. They wrote and circulated a
petition, rallied supporters, and ultimately brought their request to the City Council,
which passed a smoking ban. The two girls were quoted in the paper as saying that
they didn't think what they'd accomplished was any big deal : they'd simply seen an
issue that was important to them, and done something about it.
In all of these cases, it's important to help kids learn to plan so that they have a
chance of success. We can also point out much of the process and the idea of good
leadership, emphasizing some of its characteristics as they come up: service,
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responsibility , listening, setting an example, including everyone, trying to help

everyone do his best, sharing power, keeping everyone moving toward the goal, etc.
We can also leave kids alone to work out solutions to their own problems a lot of the
time. Constantly being bailed out by adults is not conducive to the development of
leadership abilities. Perhaps most important, we can demonstrate good leadership in
dealings with young children, by treating them with respect and acknowledging their
abilities while still providing a structure in which they can operate safely .
ADOLESCENTS
Working with adolescents is complicated. Most are still children trapped in adult
bodies. They're totally confused about which world they ought to be in (although they
think they know), and the fact that they're often treated like children but expected to
behave like adults does little to help resolve the issue. They're herd animals who
insist, in unison, that they're totally different from one another, even as they struggle
not to be seen as different by their peers. They're tremendously self-centered, and
they sleep too much. Despite -- or because of -- all this, they have some wonderful
characteristics that make this a prime time of life for leadership development.
They're idealistic. The concept of fairness, although not always clearly understood ,
is uppermost in their minds, and they're usually ready to go to the mat for what they
care about. While this can be frustrating to the adults around them, it is, in fact, an
admirable trait, and one that can be used to help them learn to think as leaders.
They're tireless. Try to keep up with 16-year-olds doing anything. They have
boundless energy when they're engaged.
They're enthusiastic. If they find the right thing to get involved in, they'll give it their
all, and pull in their friends as well.
They don't have enough experience to assume they can't do something. This may
sound presumptuous, but it's not meant to be. Starting with the assumption that you
can succeed at something is half the battle. There are certainly kids who've already
been beaten down to the point where they don't see themselves as capable of much
of anything, but there are many more who just don't see that as a problem.
They work cheap. What most adolescents crave are other adolescents and food. If
you provide those, you can keep them interested.
Given these characteristics, how can you introduce adolescents to leadership?
Opportunities for encouraging leadership development
Athletics. Athletic teams provide an outlet for some, but by adolescence, athletic
ability becomes much more necessary for leadership in this area. For those who are
talented, sports can provide a way to demonstrate and test leadership.
Since athletics is often what people think of when they envision springboards for
adolescent leadership development, it is worth some attention here. It is a platitude
that sports creates leaders. It is also a platitude that sports creates -- or attracts -and encourages insensitive, hard-drinking, sexist, intolerant bullies. Both stereotypes
have some truth to them. Much depends on the atmosphere created by coaches and
communities .

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If the leadership that adolescent athletes see is based on core values -- hard work,
respect, tolerance, honesty, doing one's best -- and if it is clear that the "jock"
stereotype of behavior is unacceptable, the adolescents are likely to absorb those
core values. If the leadership they see -- from coaches, team captains, parents, and
others -- is based on winning at any cost, on their unacceptable behavior, being
ignored because they're athletes, and on being macho (regardless of their gender),
then those are the values they are likely to absorb.
The positive lessons of athletics -- working hard to attain a goal, always putting out
your best effort, learning that you can accomplish more than you expected,
teamwork, appreciation of others' abilities -- can, and do, contribute to leadership
development in both sexes. There are abusive coaches and communities with
questionable values in both men's and women's sports. It is up to parents and others
who have close contact with adolescents, and to communities, to ensure that sports
do provide opportunities for the development of good leaders. It takes a village to
raise a child, and to help that child learn to become a leader.
For the vast majority of teens who aren't athletically gifted, there are many other
outlets for leadership development.
Music and theater. Musical and theater organizations, within and out of school, can
help adolescents overcome shyness and learn communication and technical skills,
and even give them opportunities to write, direct, stage, or design performances.
Music and theater, whether you're involved as a performer, a technician, or as part of
the stage crew also breed an intense sense of teamwork and community, and an
understanding of how everyone's contribution fits into the success of the whole.
Youth groups and clubs. Church and community youth groups and clubs connected
to community organizations and schools provide another avenue for leadership
development. Depending upon the purpose of the organization, they can teach teens
how to run meetings, reach consensus, accomplish tasks collectively and
individually, and reach goals. Organization-run retreats and group-building
experiences enable adolescents to step into leadership roles, and to learn the
importance of planning, collaboration , encouraging others, keeping everyone
moving toward a goal, and other elements of good leadership.
Involvement in community and political issues. Among the most powerful
experiences for adolescents are those in which they can have some effect on the
larger world . They may organize to try to bring about something important to them,
such as the building of a skate park, or the lifting of a curfew. Involvement in
community volunteer efforts -- to clean up vacant lots in the neighborhood, to
canvass for a political candidate or a cause, to provide services for invalid elders, to
participate in a violence prevention initiative -- put adolescents in close contact with
caring adults, make them feel -- rightly -- that they're doing something substantive for
the community, and give them the opportunity to take leadership positions.
In Flint, Michigan, adolescents at risk helped to create and run a successful
community garden program. In Santa Barbara, California, current and former gang
members who have agreed to forgo violence receive a $50,000 grant to use in
community development. The first year of this program, these street-hardened
gangsters decided to use their grant for food to make sure none of the younger kids
in the community went hungry. Adolescents can surprise you if you give them the
chance.

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Challenging outdoor activity. Outward Bound and other similar programs can build
confidence and provide numerous opportunities for developing leadership skills.
They help adolescents understand the necessity of both teamwork and self-reliance,
give them responsibility, and also give non-athletes a chance to shine in physical
pursuits. They demonstrate to teens that they can exceed what they thought were
their limits, improve their confidence and self-control, and help them learn to deal
with adversity, all of which are vital to good leadership.
Scouting, under a cloud because of its exclusion of gays, has traditionally provided
adolescents of both sexes with chances to earn and exercise leadership. Many local
councils have disavowed or challenged the national position, however. These are
modeling ethical leadership, while continuing to provide adolescents with the
traditional scouting experiences in leadership development.
COLLEGE STUDENTS AND OTHER YOUNG ADULTS
Young adults of college age and beyond (approximately 18-25) still have much of the
idealism and enthusiasm of adolescents. Because of both their physical and
emotional development and their increased experience and freedom, however, they
generally have better judgment and a somewhat more realistic understanding of how
the world works . Many are ready to, and do, take on real leadership positions at this
time.

Ironically, while young adults probably occupy the bulk of entry-level positions in
human services, they also make up one of the most resistant groups among target
populations. Often concerned with jobs, sorting out their adult identities,
relationships, and parenting, they seem to have little time or inclination to participate
in community interventions or initiatives. For young adults in this position, this may
be a time to step temporarily off the track: leadership development or actual
leadership opportunities may simply hold no attraction for them at this point.
Opportunities for encouraging leadership development
Entrepreneurship. During the technology boom of the late '90s, particularly, many
people as young as 20 started their own companies while still in college (or left
college to do so). The Internet portal Yahoo, for instance, was started by a group of
undergraduates. Young adults have also functioned as social entrepreneurs, starting
or guiding community interventions and organizations.
Politics. In the '60s, college students, some of whom gained national prominence
while still in their teens, provided much of the manpower and leadership of both the
Civil Rights and the anti-Vietnam War movements, as well as Gene McCarthy's 1968
presidential campaign. Some, like John Lewis and Tom Hayden, went on to
continued national prominence in later life. Young adults run for elective office as
well - one local school committee, for instance, has elected at least two members at
21 in the past two decades.
Service learning. Many colleges have traditionally sponsored voluntary community
service organizations staffed by students, and continue to do so. In addition, service
learning - students receiving instruction in, and credit for, providing community
service, or having to fulfill a community service requirement to graduate - has
become a fixture on numerous campuses. In addition to introducing students to a
part of the real world they may have been unaware of, these programs, often
student-run, provide a variety of leadership possibilities.
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I participated in college in a student-run, volunteer social service organization, which

operated a variety of programs for target populations ranging from disadvantaged
children to prisoners to the elderly. After becoming a team leader in a studentfounded settlement house, I eventually, as a college senior, founded and ran an
educational program for young children. The experience was by far the most
educational and important of my college years, both steering me to my life's work
and demonstrating to me many of the rewards and difficulties of leadership.
Employment. Many young adults and college students enter on career paths at this
time of their lives. First jobs, summer jobs, or cooperative education jobs may
acquaint them with particular career paths and give them their first taste of
leadership. Work study jobs at school may evolve into supervisory positions over
time. Those who don't attend college may find themselves cast as group leaders,
foremen, or even employers when they are hardly out of their teens. The high-tech
industry still regularly offers (often high-paid) leadership positions to people just out
of college.
Government-sponsored service programs. Peace Corps, VISTA, and AmeriCorps
positions have placed large numbers of young adults in situations where they have
had to learn and exercise leadership. The result of being thrust into an unfamiliar
culture -- often without a real grasp of the language -- with, more often than not, an
amorphous mission, can be the development of impressive self-reliance and
leadership skills.
Many human service agencies, faced with the choice of two equally qualified
applicants, one of whom served in the Peace Corps, will almost always take the
former Peace Corps volunteer. They know she'll be self-starting, adaptable, able to
relate well to just about anyone, and cheerful about the often adverse conditions that
accompany community human service work.
Non-profit and non-governmental organizations. College students and other young
adults form much of the support and do much of the legwork for such organizations
as the Public Interest Research Group (PIRG) and Amnesty International. This work
can afford supervisory opportunities and expose young adults to the dedication and
styles of the leaders of these types of organizations.
A number of people who've gone on to prominence as policy makers and advocates
for progressive causes in the U.S., for instance, began their careers as members of
Nader's Raiders, college students and young adults who spent short periods of time
working as researchers and operatives for Ralph Nader. These young people
uncovered government and corporate misdoing, investigated consumer complaints
and issues, and made it possible for Nader to be, for a period, the nation's
ombudsman and watchdog . The opportunities for leadership development for the
Raiders were enormous, and many grasped them and never looked back.
PARENTS AND OTHER ADULTS THROUGH MIDLIFE (25-50)
This is the time of life when people most often assume leadership. Both men and
women generally seem to experience a drive, at about age 30, to get their lives in
order and to pursue long-term goals. In their mid-30s, people of both sexes seek
independence, often starting their own businesses, or changing their lives to be more
consistent with their visions of themselves. At midlife, generally in the 40s or early
50s, many people change their focus. Those who have been work-oriented may slow
down and pursue other interests or spend more time with their families. Those
whose lives have been consumed with relationships, whether raising children or in
other ways, may reach out into the larger world.
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These are generative years, the time when people are most likely to start to create -through raising children, through their work, through their contributions to the
community, or a combination -- the legacy they will leave in the world. It is a period
when people are most willing and eager to take on leadership positions, and most
ripe for the development of good leadership.
Many older people in this age group and the ones following act as mentors to
younger colleagues or friends. This relationship can occur in almost any situation,
from an older worker helping a younger one learn his job, to a CEO of a large
corporation advising the person she sees as her eventual successor. The mentor
role can be an important one in community activism or development, with those who
have been engaged for years advising and supporting newcomers. More
experienced people in this situation can help to moderate and channel the
enthusiasm of those with a lot of passion and somewhat less grasp of when to be
passionate and when to take a lower-key attitude.
Opportunities for encouraging leadership development
Community activism. Finding a local issue that members of a community or a target
population feel passionately about is a way to get them involved in leadership
development opportunities and in actually taking on leadership.
Organizations and associations. Churches, sports or other activity-based groups,
service clubs (Lions, Kiwanis, Rotary, etc.), and work-related organizations all
provide the opportunity for people from all walks of life to take leadership positions,
from team captain to chair of the entertainment committee. Professional associations
and unions also recruit leaders from among their ranks, and often provide people
with their first experience of leadership.
Some people are seen as community leaders simply by their positions, whether they
choose to be leaders or not. Clergy often find themselves in this situation, as do
certain members of the business community (who they are may vary from
community to community), some community officials (police and fire chiefs, for
instance), school and college administrators, and directors of some health or human
service agencies or organizations (hospital administrators, e.g.).
Parenting. Perhaps the most unrecognized leadership position, because it's so
common, is that of the parent. Parents are leaders -- and mentors -- whether they
want to be or not. What they model and teach is what their kids will learn, and
probably carry into the rest of their lives. Good parents are likely to be the children of
good parents, just as abusive parents are often themselves victims of abusive
parents. It is ironic that the most widespread and important leadership role in the
society is seldom acknowledged as such.
Parenting-related experiences. Parenting often leads to other opportunities for
leadership. The desire to help their children in school may lead people to the PTA or
School Committee. They may see the need for a community playground or other
facility, and go about getting it built. Or they may take the lead in trying to prevent
community violence or substance abuse.
Volunteering. Many adults at this stage volunteer in community programs as literacy
tutors, mediators, mentors to at-risk children and youth, soup-kitchen workers,
soccer coaches, etc. Many others volunteer in community and national initiatives and
political campaigns, or on non-profit boards or community advisory committees.

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These volunteer positions can become leadership opportunities (board chair, for
example) or even permanent positions (program director).
Local politics. In small communities, particularly, political office is a volunteer or nearvolunteer position. As a result, it is often seen as more accessible than in a
community where it carries considerable financial reward and prestige. Election to a
town board, a school committee, or a city council may be an adult's first experience
of leadership.
ELDER STATESPERSONS (50-65)
While not substantially different from the members of the previous group, and while
fitting into many of the same leadership and leadership development circumstances,
people in this age group have lots of experience and expertise. They may command
a good deal of respect in their community by this time in their lives, and thus qualify
as leaders simply because they've been around long enough. They are often very
willing to take leadership positions in the community. Their children are often older or
gone, and they may, thus, have more time for community service.
This group is referred to here as elder statespersons because, while they're not
retired or elders, most have accumulated some wisdom. They're often less
concerned with the way they appear to others than with actually dealing with issues
in effective ways. They may also have a good deal of influence among those who
know them, and may thus be able to help sway the balance of opinion.
Folks at this age, whether members of target populations or the community at large,
are likely to have had some experience of leadership in their lives, often similar to
that of the previous group.
Opportunities for encouraging leadership development
Employment. Members of this group often have leadership positions at work, if only
because of seniority. They've been around long enough to have demonstrated their
ability and have been promoted.
Organizations and associations. Many have belonged to some organization long
enough to have become an officer at some point.
Volunteering and community service. The boards of community-based and grass
roots organizations are often filled with people from this group. Their volunteer work
tends to be in this vein, although they may volunteer to work in community programs
and interventions as well.
Local politics. They may have already been elected to office, or have been
outspoken on a community issue. As a result, they may be more willing to take on
political leadership again, unless their experience has been totally negative. In
addition , because of their knowledge of the community and of practical matters, they
may make up a majority on town boards and committees.
RETIRED PERSONS AND SENIORS
Many retired and older people remain deeply involved in community life. They have
more time than other groups, and they want to fill it with something meaningful.
Those who've spent their lives immersed in work and family may discover,
sometimes for the first time, community-centered interests. As volunteers, as

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mentors, as part -time workers in agencies and community-based organizations, and

in numerous other ways, they continue to serve their fellow citizens.
Seniors in general are an untapped resource in too many communities. Even those
who are physically frail are often intellectually acute, and have much to offer. In
target populations, it is often seniors who have the clearest sense of community
history and who know where the bodies are buried. They can be the most important
individuals to a community intervention or initiative in helping it to avoid the pitfalls of
the past and to embrace methods and directions that are likely to be effective.

Opportunities for encouraging leadership development

Numerous opportunities for leadership and leadership development exist for this
group.
Community service. Community boards and committees offer many older people an
outlet for their talents
Advocacy. Advocacy organizations sometimes find an unexpected resource in older
citizens who have the interest and passion - and the time - to work on issues they
may have long been concerned with.
Local politics. Again, time is often the issue here. People who are retired may be
more willing than others - especially in small communities where elective office is
essentially a volunteer job -- to serve on town boards or as elected officials .
Volunteering. Many retired and older people volunteer in community agencies and
for such organizations as Meals on Wheels. They participate in Foster Grandparent
programs, providing relationships with caring adults for children at risk. In addition ,
they join organizations such as RSVP (Retired Senior Volunteer Program) and
SCORE (Service Corps Of Retired Executives), which offer retired people the
chance to pass on their accumulated knowledge and offer community-based and
other nonprofit organizations both program-level volunteer time and free consultation
with experts in business, accounting, law, and other fields.
SOME GENERAL GUIDELINES FOR ENCOURAGING LEADERSHIP
DEVELOPMENT ACROSS THE LIFE SPAN
How do you get people at any age involved in leadership? There are a few basic
rules:
ASK THEM.
Many people would never consider the possibility of volunteering, much less
assuming leadership, unless it's suggested to them. The best way to make them
aware that they could be helpful is to ask them. Leadership might be part of your
initial request, or it might grow out of another role. Follow up on your request to make
sure that someone who's interested actually gets involved.
START WHERE PEOPLE ARE.
Provide opportunities at the level at which people feel comfortable. Someone who
has never before even spoken up at a meeting is unlikely to be willing to lead an
advocacy effort. If secretary of the bowling league is what someone is ready for, then

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that's a good first step. Once he's comfortable in that position, he may be convinced
to go on to something broader.
PROVIDE REAL-WORLD OPPORTUNITIES.
The most powerful leadership experiences are those that have an impact on people's
lives and the lives of those around them. Being involved, simply as a participant, in a
successful effort to support a needle exchange program to stop the spread of AIDS
among heroin users, or to stop the development of a wilderness area, can be a
powerful spur toward taking leadership in similar efforts.
CHALLENGE PEOPLE WITH REACHABLE GOALS.
It's far better to begin by succeeding at something small than by failing at something
huge. Small successes are not always easy to come by, either, especially for those
who've never tackled them before. Challenges should be real, but not so great that
they can't be overcome.
PROVIDE TRAINING.
Don't ask anyone to assume a leadership role without helping them gain enough of
the skills to discharge that role successfully. Among the areas in which people might
need training:
Communication skills
Planning
Group facilitation
Problem solving
Conflict resolution
Coalition building
Especially for members of a target population who may have never had leadership
experience, and who may not have had the common middle-class experience of
sitting on committees or participating in meetings, training is crucial. People need the
right tools for the job.
BUILD ON SUCCESS.
Continue to provide leadership opportunities with increasing levels of responsibility
as people become ready for them.
PROVIDE PEER SUPPORT.
A mechanism by which leaders - especially those who are in leadership positions for
the first time - can receive support from others who understand their situation can
keep enthusiasm high and prevent discouragement and burnout over the long term.
WHERE POSSIBLE, PROVIDE AN INSTITUTIONAL STRUCTURE FOR
LEADERSHIP DEVELOPMENT OPPORTUNITIES.

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Some examples are college community service offices, volunteer clearinghouses,

and the community service programs of some Chambers of Commerce. These
structures should afford not only recruitment, but training, placement of volunteers in
appropriate situations, a support network, and the possibility of increasing
responsibility.
PROVIDE MODELS OF EFFECTIVE LEADERSHIP.
Participatory, respectful, and visionary leadership are not intuitive for most people:
they have to be learned, ideally through experiencing them. If potential leaders have
been exposed to examples of the kind of leadership that both works and empowers
others, they are far more likely to learn to practice it.
IN SUMMARY:
The possibility of leadership and leadership development experiences exists for
people throughout their lives. In childhood, adolescence, college and young
adulthood, parenting and adulthood, the midlife "elder statesman" years, and
beyond, there are opportunities for virtually everyone to exercise leadership of some
sort, particularly community leadership. Encouraging people to take leadership
positions of any sort, and providing some training to help make their leadership more
successful, can bring them to leadership in community efforts.
Collaborative Leadership
WHAT IS COLLABORATIVE LEADERSHIP?
Collaborative leadership is really defined by a process, rather than by what leaders
do. It has much in common with both servant leadership and transformational
leadership. It starts, according to David Chrislip and Carl Larson, in Collaborative
Leadership, from the premise that "...if you bring the appropriate people together in
constructive ways with good information, they will create authentic visions and
strategies for addressing the shared concerns of the organization or community."
Collaborative leadership can be employed in almost any situation, and indeed is
practiced in some businesses with great success, but is seen more often in
community coalitions and initiatives, in community-based health and human service
organizations, or in alternative education. People often find it particularly useful in
situations where "no one is in charge," where there are issues or problems so
complex that no one person or entity has either the information or the power to
change them. (This does't mean that no one has responsibility, but rather that
sharing responsibility for the issue is necessary in order to arrive at a successful
resolution of it.)
While it can be practiced in a number of ways, good collaborative leadership is
almost always characterized by some specific traits. Among the most important:
Collaborative problem-solving and decision-making. It's not the leader's job to decide
what to do and then tell the group. Rather, the group considers the problem, decides
what to do, and counts on the leader to help them focus their effort.
Open process. The leader - or some other interested party, like Putnam's mayor doesn't just start with his goals in mind and steer the group in that direction.
Collaborative leadership means that the process of decision-making is truly
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collaborative, and has no set end-point when it begins. The end result is worked out
among all the participants: that's collaboration.
Leadership of the process, rather than the group. The purpose of collaborative
leadership is to help the collaborative process work, rather than to lead the people
involved toward something - to a particular decision, for instance, or in a particular
direction.
There are some differences between collaborative leadership within an organization
and collaborative leadership among organizations. In the first case, a leader may
have to spend much of her time initially trying to coax people to take leadership roles
in certain circumstances, or even to participate in collaborative decision-making. In
the second instance, a leader's biggest task may be to keep everyone from trying to
lead in different directions all at once.
There are really two ways to define collaborative leadership. In this section, we will
focus on the first of these situations, though the orienting principles are the same in
both cases.
Collaborative leadership: leadership of a collaborative effort. This definition refers to
taking a leadership role in a coalition, organization, or other enterprise where
everyone is on an equal footing and working together to solve a problem, create
something new, or run an organization or initiative. The leader is not in control of the
group, but has responsibility for guiding and coordinating the process by which the
group decides upon and carries out actions to accomplish its goals.
Leading collaboratively: leadership as a collaborative effort. In this case - usually in
an organizational rather than a coalition or community setting - leadership may shift,
by group decision, from one person to another as different talents or abilities are
called for, or (more often) leadership is permanently shared by all, or several,
members of the group. Here, there is no one leader: the group functions as a true
collaborative, and guides itself.
WHY PRACTICE COLLABORATIVE LEADERSHIP?
A coalition or other collaboration will nearly always function best with collaborative
leadership. Most other organizations and enterprises may function without
collaborative leadership, but there are benefits that collaborative leadership can
confer even in situations where there are other possible choices.
Advantages of collaborative leadership include:
Buy-in. Collaborative leadership encourages ownership of the enterprise, whether it's
a coalition, an organization, a business, or a community project. By involving
everyone in decision making and problem solving, it makes what people are doing
theirs, rather than something imposed on them by someone else. The sense of
ownership builds commitment to the common purpose.
More involvement in implementation. Members of a collaborative group are more
likely to be willing to take responsibility for implementing the group's action plan,
because they were part of developing it.
Trust building. Collaborative leadership, by its use of an open process and its
encouragement of discussion and dialogue, builds trust among those involved in the
enterprise.
Elimination of turf issues. Similarly, collaborative leadership can help to address turf
issues through establishing mutual trust, making sure everyone's concerns are
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heard, and helping organizations, factions, or individuals find common ground and
work together.
Turf issues arise when individuals or organizations feel someone else is invading
their "turf," their professional or philosophical or personal territory. In a community,
this can mean competition among organizations for prestige, credibility with a target
population, or - worst of all - funding, and can result in organizations that should be
natural allies working against one another. In an organization, it can mean
individuals asserting "ownership" of information, the use of equipment, or
administrative procedures, and can cause disastrous splits among staff and
ineffective and inefficient operation.
Access to more and better information and ideas. When all involved in an issue are
party to addressing it, they bring with them a wealth of information, as well as a
variety of perspectives. As a result, the solutions they arrive at are likely to be better
than those developed in a vacuum, or by only a small number of people.
Better opportunity for substantive results. The combination of ownership of the
process and its results, trust, real collaboration, and better planning yields real
success in the real world. In looking at successful community development efforts,
Chrislip and Larson found that nearly all were characterized by collaborative
leadership.
Generation of new leadership. Collaborative leadership helps to train new leaders
from within the group, thus assuring continuity and commitment to the issues the
group is addressing.
Community or organizational empowerment. The inclusion of all stakeholders anyone with an interest or involvement in an issue or organization - in problemsolving and decision-making not only prepares potential leaders, but leads to people
taking more responsibility and caring more about what they do. It leads to better
functioning in every sphere.
Fundamental change for the better in the ways communities and organizations
operate. Collaborative leadership breeds more collaborative leadership and more
collaboration, leading to a different way of looking at solving problems. This in turn
brings more willingness to find common ground and common cause with others,
more willingness to tackle new issues, and more effective and wide-reaching
solutions.
For all its advantages, there are disadvantages that go with collaborative leadership
as well. It can be frustrating, and there's no guarantee that it will work with a
particular group.
The major difficulties with collaborative leadership include:
It's time-consuming. Collaboration takes time, and decision-making that involves a
large number of people and organizations may seem to proceed glacially - very
slowly, and with a great deal of friction.
It demands the ability to face conflict directly and mediate it to a resolution
acceptable to everyone. Collaborative leadership is not a job for people who like
everything calm and who would prefer that no one ever raise her voice.
It may mean trying to overcome resistance to the whole idea of collaborative
leadership. Many people, particularly in organizations, would prefer a leader to tell
them exactly what they need to do, so they know they're doing the right thing. Being
asked to share leadership just makes them resentful, and leaves them feeling that
the leader isn't doing her job. Selling the concept may be the hardest part of the job.
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At the beginning of Chapter 13, Section 3: Styles of Leadership, there is a true story
of a high school principal who tried for several years to be a collaborative leader. His
overtures were roundly rejected by a majority of the school's faculty, who preferred to
do what they had always done, and to know exactly what the rules were. He
eventually left the school, having succeeded only marginally in convincing teachers
to become more collaborative, and to take more control of their teaching.
It can lead to groups taking what seems to you to be the wrong path. As a
collaborative leader, you have to be able to let go of your own ideas and biases, and
maintain a process that will guide the group to its own goals, strategy, and action
plans.
It demands that leaders subordinate their egos. You're not the boss in this situation,
and furthermore, you may not get any credit if the group is successful.
Whether or not these last two possibilities actually play out depends on the situation.
In an organization, the opinions and status of a collaborative leader might still carry
more weight than those of other staff members, regardless of how hard he tries to
eliminate any hierarchy. In a coalition or community-wide collaboration, even though
there may be more and more varied participants, it may be easier for the leader to be
seen as a peer.
WHEN IS COLLABORATIVE LEADERSHIP APPROPRIATE?
Collaborative leadership is not always the best solution for a particular group. In the
military, for instance, particularly in a combat situation, collaborative leadership
would be fatal: while the group carefully worked out its plans, it would be overrun.
There are numerous other situations - often related to how quickly decisions have to
be made and how decisively people have to act - where collaborative leadership
wouldn't work well. Time is clearly a factor, as is the ability of a group to gather and
digest information, its level of experience and judgment (you wouldn't put preschoolers in charge of their own safety, for instance), its freedom to act, etc.
So how do you know when to employ collaborative leadership? Here are some
possibilities to consider:
When the timing is right. Good timing is often necessary for collaborative leadership
to succeed. When circumstances conspire to bring a situation to a crisis point, that
can break down barriers and convince otherwise-reluctant stakeholders that they
need to collaborate. By the same token, when things are going well, there may be
the time, the funding, and the common will to take on a new collaborative effort.
When problems are serious and complex, and both affect and require attention from
a number of individuals and groups. This is the kind of situation, referred to earlier,
when no one is in charge. It's impossible for any one individual or group to solve the
problem by tackling it alone. At the same time, the seriousness and complexity of the
problem mean that it's in the self-interest of the individuals and groups involved to
put turf issues and the like aside, and to collaborate on dealing with it.
When there are a number of diverse stakeholders, or stakeholders with varied
interests. In order for these stakeholders to work together, collaborative leadership is
needed to build trust - both among stakeholders and in the process - and to make
sure that everyone's agenda is heard and honestly considered.
When other attempts at solutions haven't worked. Individual organizations or officials
may have tried to deal with an issue and failed, or a coalition may have faltered
because of internal conflict and/or inability to generate effective action.

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When an issue affects a whole organization or a whole community. If everyone's

affected, everyone needs a voice. Collaborative leadership can provide the
opportunity for all to be heard and involved.
When inclusiveness and empowerment are goals of the process from the beginning.
A coalition that has set out, for instance, to broaden political participation throughout
the community would do well to operate with collaborative leadership and a
collaborative process. Such a structure would give it credibility among those it's
trying to reach, and would also provide that target population with the opportunity to
develop its own voice, and to increase its ability to participate fully.
WHO ARE COLLABORATIVE LEADERS?
While no one walks around with a name tag saying "Hi, I'm a collaborative leader,"
potential and actual collaborative leaders are everywhere in a community or
organization. They may be independent consultants hired for their facilitation skills,
or they may emerge from unexpected places - the corner office of a powerful
business, for instance, or a three-room apartment in a public housing complex.
Regardless of who they are or where they come from, collaborative leaders usually
have some characteristics in common.
Collaborative leaders are - or quickly become - trusted and respected by all the
groups and individuals they have to deal with.

Depending on the circumstances, this may mean that they're viewed as neutral,
unconnected to any of the interests involved in the collaboration, or having no prior
history with any group, and therefore unbiased. Or it may mean that they have a
solid reputation for fairness and integrity. It almost always means that, while they
may stand to gain from the success of the collaboration, they have nothing personal
to gain from their leadership position.
Collaborative leaders relate to diverse groups and individuals with respect and ease.
The necessity of approaching everyone with openness and without condescension,
and of being trusted by people of diverse backgrounds and experience, make this
quality a great asset for a collaborative leader.
Collaborative leaders have good facilitation skills.
Because they have to deal with whatever comes up in the collaborative process,
collaborative leaders have to be skilled at facilitating more than meetings. Facilitation
skills include:
A tolerance for and understanding of how to use conflict.
The ability to involve everyone and make sure all voices are heard.
The capacity to restate arguments, ideas, or issues so that everyone's clear on them.
This includes the gift for reframing debate to disarm or enlist as allies many who
might otherwise be opponents.
An understanding of group process.
The words "group process" often conjure up graduate school courses and psychosocial models of how a group works. Some people may not have this educational or
professional background, but have an intrinsic understanding of what's happening in

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a group, and of how to intervene to address whatever needs to be addressed. If

that's the case, groups quickly learn to trust their judgment.
An ability to see the big picture. A good facilitator can both view the process that the
group is going through, and consider and act on it in light of what's needed to realize
the group's goals.
Collaborative leaders are catalysts.
They bring the right people together at the right time to make things happen, and
continue to sustain the process that will lead the collaborative to success.

Collaborative leaders nurture new leadership within the collaboration and the
community.
Rather than trying to protect their leadership positions, good collaborative leaders
encourage potential leaders. They provide opportunities for them to hone their
leadership skills, and afford mentoring and support. Collaborative leaders know that
new leadership is the life breath of a collaboration.
Collaborative leaders have a commitment to the collaborative process and to finding
real solutions to problems.

Good collaborative leaders have to believe in the process, and to champion and
maintain it, often in the face of strong opposition. At the same time, they have to
keep everyone moving toward the group's goals, even when it feels like nothing's
happening.
Collaborative leaders keep the focus on what's best for the group, organization, or
community as a whole.
Just as the leader has to be willing to let go of his ego or specific concerns, he tries
to help group members learn to do the same, and to focus on solutions that address
the broadest, rather than the narrowest, interests.
HOW DO YOU PRACTICE COLLABORATIVE LEADERSHIP?
There are a number of elements that need to be mentioned in any discussion of the
practice of collaborative leadership: leadership of the process; understanding of the
context of leadership in a particular situation; the role of motivator; flexibility and
persistence; and the importance, already referred to more than once, of the leader's
willingness to put aside her own ego. We'll look at each of these elements in turn.
LEAD THE PROCESS, NOT THE PEOPLE.
As a collaborative leader, your most important task is not to make sure that the
group comes up with the "right" ideas or plans, or to produce single-handedly the
vision or goals that it needs to follow. Your main job is to establish, maintain, and
safeguard the collaborative process that allows everyone to participate fully in the
group's work. In order to fill your role well, there are a number of things you need to
do:

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Help the group set norms - for meetings, communication, and general operation that it can live by, and that encourage respect, participation, and trust.
Norms may be stated or unstated, depending on the group and its needs, but in
general, the more explicit they are, the better. They can range from, say, the
formality of Robert's Rules of Order as a structure for meetings, to the arrangement
of seating (chairs in a circle - often an unstated norm), to the responsibilities of
particular subgroups or individuals, to guidelines for discussion (no interruption until
someone's thought is finished, no name-calling, etc.)

Assure that everyone gets heard.

That means not just letting people speak in meetings, but actively soliciting the
opinions of those who haven't spoken, and recording and reviewing with the group
everyone's concerns and ideas as you discuss possibilities. Between meetings, it
means communicating any news and developments to people on a regular basis and
giving them a chance to respond, and making sure they communicate with one
another.
Encourage and model inclusiveness.

As a collaborative leader, you have an obligation to invite participation from all

segments of the community or organization, to welcome new participants and make
sure they meet others (and to encourage other members to do the same), to include
them in discussion and subgroups, to help them gain whatever skills they need to
participate fully, etc. Perhaps most important, you should be instrumental in creating
an atmosphere where all these things happen automatically, without your
intervention.
Help people make real connections with one another.
In order to develop trust, especially in those who might formerly have been seen as
competitors or enemies, people need time to get to know one another. It's up to the
collaborative leader (as well as others) to make sure they get it, in an atmosphere
that's safe and open. The leader must exhibit trust as well as encouraging it
As is probably obvious here, the collaborative leader must set an example by
practicing what she preaches. To a large extent, the group will become what the
leader models, and therefore, she must model what she wants the group to become.
Modeling all the functions on this list will help a leader to institutionalize the
collaborative process.
Mediate conflicts and disputes.

In any group, conflict is almost inevitable. Trying to ignore it and hoping it will go
away is probably the absolute worst way to handle it. In collaborative groups,
especially, it needs to be faced head-on and not only resolved, but used
constructively, to build trust and further the work of the group. Creative dispute
resolution is a vital function of collaborative leadership.
Help the group create and use mechanisms for soliciting ideas.
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Suggesting and teaching, if necessary, such techniques as brainstorming;

introducing research or other relevant ideas from outside the group; gaining the help
of knowledgeable non-members (university faculty or graduate students, for
instance) - these are some of the ways that a collaborative leader can assist the
group to examine complex issues and come up with potential solutions.
Maintain collaborative problem-solving and decision-making.
The leader must guard against an individual, organization, or small group running
away with the process. In many circumstances, it's not only reasonable but
necessary to ask a small group to come up with suggestions or plans. But the larger
group should instruct them to do so in the first place, and their results should come
back to the larger group for discussion and approval.
Push the group toward effectiveness by:
Urging it to come to decisions after there's been enough discussion.
Helping it to devise appropriate action plans.
Making sure that people take and honor responsibility for implementing action plans
in a timely and competent way.
Holding people accountable to their implementation (and other) responsibilities.
Reminding the group to evaluate, adjust, and reevaluate both plans and their
implementation, based on results.
Help the group choose initial projects that are doable, in order to build confidence
and demonstrate collaborative success.
It's important that the collaborative leader do all she can to encourage the group to
take on tasks that can be accomplished with the available time and resources. Initial
success will both motivate the group and give it legitimacy.
Help the group identify and obtain the necessary resources to do the work.
Insist on and protect an open process, one that has no expected outcome when it
starts, no predetermined decisions demanding only the group's rubber stamp. The
process should belong to the group from the very beginning.
Keep the group focused on what's best for the organization, collaborative, or
community as a whole, rather than on individual interests.
KNOW THE LEADERSHIP CONTEXT
The context of leadership - all the elements that affect what a leader may have to
face and what will be required of him - is unique to each situation. As a collaborative
leader, you need to understand your particular situation fully, so that you're not
caught by surprise by a development that you could have anticipated
The community. Important factors here are:

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The current circumstances. What are the issues that the coalition or organization is
responding to, and why are they issues?
History. What brought the community to this point? What is its history of trying to
deal with the current issues? Are there roadblocks that might be thrown up as a
result of what happened in the past?
The stakeholders and other interested parties. What are their relationships to the
issues? Perhaps more important, what are their relationships to one another? How
might those relationships help or hinder the effort?
Community attitudes. Are there things you need to know about how most people in
the community view particular issues, or about what they'll respond to and what they
won't accept?
The nature of the problem. The nature of the problem can be considered in two
ways. The first is problem type. Chrislip and Larson, following Ronald Heifetz and
Riley Sinder, put problems in three categories:
Type I is an obvious, clearly-defined problem with an equally obvious, clearly-defined
solution that can be exercised by an expert. (The remedy for a broken window is to
replace the glass, which can be done by anyone who knows how to glaze windows.)
Type II is a clearly-defined problem, but one whose solution requires both an expert
and effort on the part of those affected as well. (If your windows are always broken
because you keep hitting baseballs into them during backyard games, they not only
need glazing, but you need to take your games farther away from your windows.)
Type III problems have neither a clear definition nor a clear solution. (All the windows
in the neighborhood are continually broken, and no one knows why.)
Barriers to collaboration. Collaborative leaders are often confronted with situations or
factors that work against collaboration. It's important to anticipate the most common
of these, and to be aware of some ways to eliminate them.
If people don't know how to work together, teach them. A community development
effort in Newark, NJ, brought in a consulting firm to facilitate group building and to
teach collaborative problem-solving and other techniques.
If there are turf issues, emphasize the benefits to everyone of collaboration. Show
people that they're better off collaborating, and the chances are that they will.
If there's unfortunate community history, either among organizations and individuals,
or with the issue itself, mediate disputes; point out the differences between now and
then; point out the differences between collaboration and groups working separately;
and structure the situation so that groups and individuals can interact and make
connections.
If professionals or some other elite seem to be dominating the collaboration, work
with that group to emphasize the importance of inclusiveness, while modeling it
yourself. At the same time, provide support and, if necessary, training for others so
that they feel more comfortable participating. Structure face-to-face situations
(meetings, workshops, etc.) to equalize input from everyone.
If there are poor links to the community, forge new ones. Bring people together
through introductions and events. Encourage organizations and groups to reach out
with active solicitation of help and advice, publicity, public education, and events.
If there is little organizational capacity, find resources to hire a coordinator, or tap the
collaboration's internal resources for one. Create, with the collaboration as a whole,
structures that address this issue.

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If there seems to be no funding available, look for unusual sources, as well as

looking within the collaboration for ideas. At the same time, work on projects that are
significant, but require little or no funding to complete.
As is mentioned in many places in the Tool Box, resist applying for or accepting
funding that isn't directly relevant to what the collaboration wants or needs to do, and
that isn't consistent with the goals, mission, and philosophy of the group. Selling your
principles will cause far more problems than the money will solve.
The group's capacity for change. Organizations, groups, and communities vary
greatly in their acceptance of change in general and in their openness to particular
kinds of change. It's important to start where the group is, rather than at some point
which most members may see as radical or impossible. Knowing how ready a group
is to try something new can mean the difference between a highly successful
collaboration and a group that breaks up with recriminations and a certainty that
collaboration doesn't work.
Motivate, motivate, motivate
Keeping the collaboration or organization enthusiastic and eager to continue its work
is a significant part of the collaborative leader's role. Being upbeat, even when things
look bleak, keeping the group focused on the future and on the larger picture, and
identifying and celebrating even the small successes all act to strengthen
commitment and guard against discouragement and burn-out.
At the same time, the leader has to ensure that there continue to be reason for
optimism and successes to celebrate by being realistic. It's also part of her job to act
as a reality check, and keep the group from taking on more than it can accomplish.
Success is usually incremental, step by step. In guiding those steps, and making
sure that the group doesn't try to run before it can walk, the collaborative leader not
only safeguards the group's effectiveness, but provides motivation as well.
Be flexible; be unyielding Be flexible in:
Trying out new ideas, and ideas from unusual or unlikely sources
Changing course when the situation demands it
Letting go of something that's not working
Creating opportunities for more participation
Protecting the integrity of the open, collaborative process
Inclusiveness
Keeping the group on track
Advocating for what's in the best interests of the organization or community as a
whole
Be unyielding in:
Check your ego at the door
As a good collaborative leader, you have to let go of your own ego, and forget about
taking credit or being seen as a hero. The role calls for contributing to problemsolving and decisions, but only as a member of the group. The group has to go
through its own process, and you, as leader, have to accept the decision it comes to.

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This doesn't mean you can't argue for a different position, or that you can't refuse to
participate in something you consider unethical. It's important, and is in fact your
duty, to model reason and integrity. But while you shouldn't budge on integrity, your
reasoning may be faulty, or may simply fail to convince others. If you make your
argument forcefully, and people don't buy it, integrity dictates that you respect the
process and go along with what's decided.
If you're absolutely certain that the group's plan is suicidal, you can, of course, refuse
to participate. But you can't force a collaborative enterprise into a path it's not willing
to take.
In addition, you have to encourage ideas from all quarters, and encourage new
leadership from within the group. Often, you may step aside while others assume
leadership on particular issues. In some situations, it may be best for you to step
aside permanently, and cede leadership entirely. The ability to do that may be the
true mark of a collaborative leader.
IN SUMMARY
Collaborative leadership is the leadership of a process, rather than of people. It
means maintaining a process that allows for the inclusion of all stakeholders involved
in an issue or organization or community effort; that depends on collaborative
problem-solving and decision-making; and that is open and open-ended, with no
foreordained conclusions. It is particularly valuable in situations where "no one is in
charge," where the size and complexity of problems make it impossible for any
individual or organization alone to effect change.
Collaborative leadership encourages ownership of the collaborative enterprise,
builds trust and minimizes turf issues, allows for more and better information, leads
to better and more effective solutions, encourages new leadership from within the
collaboration, empowers the group or community, and can change the way a whole
community operates. It can also take inordinate amounts of time, and requires that
leaders deal with conflict and resistance to the collaborative process, bite their
tongues as the group moves in directions they don't agree with, and subordinate
their egos to the process of the group.
In general, the advantages far outweigh the disadvantages, but not in every
situation. The best times for collaborative leadership are when the timing is right;
when complex and serious problems arise; when stakeholders are characterized by
diversity and/or a variety of interests; when other solutions haven't worked; when an
issue affects a whole organization or community; or when empowerment is a goal of
the process from the beginning.
While collaborative leaders may come from anywhere, they usually have in common
community credibility; the ability to relate comfortably to everyone in the community;
good facilitation skills; the ability to be catalysts; a commitment to the collaborative
process; and a commitment to the common good, rather than to narrow interests.
To be a good collaborative leader, you have to lead, maintain, and safeguard the
collaborative process; understand and use the leadership context (the community
and the nature of the problem you're facing); be a motivator with a firm footing in
reality; be flexible in your dealings with people and inflexible in your defense of the
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inclusiveness, openness, and collaborative nature of the process; and leave your
ego needs at home. If you can do all that, the chances are good that your
collaborative effort will succeed.
Developing a Management Plan

Whether your organization is a one-person volunteer operation or a multi-program

giant with dozens of staff, it needs a management plan to make sure that it operates
smoothly and gets everything done. The plan for a tiny organization can obviously be
a lot simpler than that for a huge one, but the intent in both cases is still the same: to
carry out the mission of the organization and the day-to-day tasks needed to support
that mission and keep the organization running as effectively as possible.
WHAT IS A MANAGEMENT PLAN?
A management plan is a blueprint for the way your organization is run, both day-today and over the long term. It includes the standard methods for doing various things
-- handling money, dealing with the actual work of the organization, addressing the
way people in the organization do their jobs -- and the overall philosophical and
intellectual framework in which these methods operate.
The management plan for your particular organization depends on a number of
factors:
What is the organization trying to accomplish? A neighborhood initiative that exists to
achieve a single goal -- keep a historic building from being torn down, preserve a
piece of open space, build a playground -- has very different management needs
than, say, a health clinic that plans to serve the community for years. Issues that are
both important and ongoing for the clinic (staff pay and benefits, for instance) may
simply not exist for the other organization.
What actually needs to get done day-to-day to keep the organization running? The
actual tasks that keep the organization alive, maintain its standing with funders and
the community, and allow it to accomplish its goals, need to be carried out efficiently
and on time. Who's responsible for that, how many people will it take, and what are
the mechanisms that will allow it to happen for your particular organization?
What degree of freedom do people at all levels of the organization need in order to
do their jobs well? If nothing can get done without going through several layers of
management, the organization isn't going to be very effective.
What are the resources available for carrying out a management plan? How many
administrators could the organization support, given its finances? If the answer is
one (or one part-time), your management plan will look very different than it would if
the answer were three.
How does the management plan fit in with the mission and philosophy of the
organization? It's important, both for the internal workings of the organization and for
the way it's viewed in the community, that there be consistency between what the
organization says about itself and the way it runs. If an organization claims to be
democratic, but keeps its staff totally powerless, it is not only violating its own
principles -- and thereby making it less likely it will accomplish its goals -- but also
compromising its reputation.
WHY DOES YOUR ORGANIZATION NEED A MANAGEMENT PLAN?
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Granted, a lot of work goes into keeping an organization going. Why can't it just get
taken care of as it comes up? Why go to the trouble of creating an actual plan for just
doing what needs to be done?
Except for the last, the points below all apply to organizations with a number of staff
members. But even a one-person organization needs some management planning.
When do bills get paid? How do you relate to other organizations and entities? Will
you have a bank account? These are all management issues. If you are a really
small organization, you may not need a formal plan, but it's still important to do some
planning.
The general answer here is that your organization is too important for you to leave
things to chance. If there's no plan, everyday tasks may fall through the cracks,
emergencies may arise with which no one knows how to cope, responsibilities may
not be clear, and--the bottom line--the work of the organization may not be done well
or at all. A good management plan helps you accomplish your goals in a number of
ways:
It clarifies the roles and responsibilities of everyone in the organization so that
everyone knows what she and everyone else is supposed to do. Staff members
know who they need to go to for information, consultation, supervision, etc. They
also know what the boundaries of their own positions are -- when they can do
something without checking with someone else, and when they can't.
It divides the work of the organization in reasonable and equitable ways, so that
everyone's job is not only defined, but feasible.
It increases accountability, both internally (when something doesn't get done, it's
obvious whose responsibility it was) and externally (the better the management of
the organization, the better it will serve the community).
It ensures that necessary tasks are assigned to the appropriate staff members, and
creates a time schedule to get them accomplished. Bills get paid on time, staff
members are where they're supposed to be to provide the organization's services,
funding proposals get written and submitted, problems are dealt with, and the
organization functions smoothly as a result.
It helps the organization define itself. By developing a plan that's consistent with its
mission and philosophy, an organization can be clear on what it believes in and
communicate this with clarity to its staff, its target population, and the community as
a whole.
This is the second reference in this section to consistency between the
organization's philosophy and its management plan, and it won't be the last. This
issue has been the downfall of many an organization. Some organizations that are
inconsistent on this matter simply fall apart amidst wrangling among staff, director,
and board. Many more change to become exactly what they initially hoped never to
be: dictatorial, or more concerned with income than with the services or support they
provide to their target populations and the community.
For an organization, as for an individual, living your principles is not a small matter. It
is what defines you as either a respected and admired member of the community, or
as a hypocrite who isn't worthy of attention. You simply cannot give too much
thought to how your management structure mirrors the principles of your
organization: it could be a matter of life and death for the organization.
HOW DO YOU DEVELOP A MANAGEMENT PLAN?
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In this part of the section, we'll go step by step through the formation of a
management plan.
DECIDE ON A MANAGEMENT MODEL (OR DETERMINE WHAT YOU ALREADY
HAVE)
The management philosophy of your organization defines how you view
management and how you want your organization to function. What will work best
for, and best reflect the character of, your organization? If the organization is very
small -- one or two people -- this may simply not be an issue. But if it's larger, what
do you need and want? Is it important that the organization be extremely efficient,
and that decisions can be made at the drop of a hat? Is it important that the
organization be open, and that staff and others feel valued? You need to think
carefully about what kind of model will get you what you want, and not get you what
you don't want.
Some common management models are:
Classic hierarchy: Authority is top-down, typically from the director or board chair. As
in the military -- a textbook example of a hierarchy -- there is a "chain of command."
Everyone knows exactly where he is in that chain, from whom he takes orders, and
to whom he can give them. In general, people can act only in a very limited sphere
without instructions or express permission from above.
Democratic hierarchy: Final authority still resides at the top, but managers and
administrators at all levels confer with those affected before making decisions. Many
non-profits and some corporations operate in this way, with decisions made at the
level of those who actually do the work and see the results. This model generally
allows people the authority to oversee their own work, and encourages incentive.
Collaborative management: The whole group -- which usually includes all staff and
may include participants as well -- takes part in major decisions, and everyone takes
part in decisions which affect her directly. At the same time, everyone has enough
authority to fulfill her own responsibility and do her job effectively. The collaborative
model allows everyone to feel a sense of ownership in the organization. (A food coop or other cooperative business often functions in this way, with everyone having a
vote in major decisions.)
A community-based literacy program with several sites was in danger of losing a
large amount of funding because of state budget cuts. The organization convened a
meeting to which all interested stakeholders, staff, students, board, and supporters
were invited. The group discussed the situation and decided that the bottom line was
that no sites should be closed, and that any cutbacks should reflect this thinking. The
board and director took this decision as organizational policy, and made contingency
plans accordingly. Even those staff members who were in danger of being laid off as
a result of the cuts felt good about the decision because they knew it had been
arrived at through careful discussion involving elements of every part of the
organization, including themselves. (Funding ultimately came through, and no
program cuts were necessary.) This is how collaborative management can work.
Collective management: Everyone takes part in all decisions, and the organization is
jointly "owned" by the whole collective as a unit. Usually, as a result, consensus
(universal agreement) rather than a majority vote, is needed for a decision to be
made.
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If you're a new organization, and just forming, you'll need to make some serious
choices. If you're designing a plan for an organization that's already operating, your
choices may be easy or they may be even more difficult. Does your current model
work for you? If the answer is "Not as well as we'd like," then you might consider
making some changes. But how much can you change, and how fast?
Before you make changes, it's important to negotiate them with those who'll be
affected. If they don't agree to a new set of rules, you'll have a difficult time putting
those rules in place. Try to look at change as a process that occurs over time. If you
want to change the style or philosophical structure of your organization's
management -- especially if you want to change it drastically -- you may have to start
with small elements and work toward a larger change. That may seem frustratingly
slow, but it may lead to better results in the long run.
Although the number of management models described in this section is limited,
there are, in fact, infinite varieties combining aspects of two or more. The issue here
is not what box you can fit into, but what you think will work for your organization,
given the people involved and the work that needs to be done. You might want to be
collaborative in some areas and not in others. Your board may set some, but not all,
policy. Try to consider what results particular aspects of a model will have, and don't
be afraid to try something new.
DEFINE THE ROLES AND RELATIONSHIPS AMONG THE BOARD, DIRECTOR,
AND STAFF
Roles and relationships are crucial to the smooth operation of the organization.
There are a number of questions you need to ask as you define these in a way that
suits your organization and gives you the management results you want:
Where are the limits of everyone's authority?
A classic problem in non-profit organizations of all sorts is the struggle for power
between the director and the board. Such struggles are not inevitable -- in fact,
many, perhaps most, organizations never experience them -- but they are common
enough that avoiding them should be a priority. Good directors are usually strong
individuals, and good boards are usually made up of strong individuals. If they all
work together, they can create a powerful organization; if they wrestle for control,
they can handicap, or even destroy, an organization. Therefore, clearly describing
the scope and limits of everyone's authority is extremely important.
How and when are they expected to work together?
On which, if any, issues is decision-making a shared process? Shared by whom?
What are the lines of communication among them? (Can the board give instructions
directly to staff, for instance? Can staff contact the board directly about issues in the
organization? Or does all communication go through the director or some other
specific person?)
How will disputes among them be resolved?
Do board, director and staff agree about how the organization is run? Conflict in this
area can quickly cripple an organization.
A young organization that was essentially a collaborative had a board chair who had
had considerable experience on the boards of other, more traditional, organizations.
She viewed her role, and that of the board in general, as "The Boss," and felt that it
was her and their prerogative to dictate policy without discussion. The director, on
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the other hand, was passionate about the collaborative nature of the program, and
saw the board as only one element of many in the governance structure. Although
they were personally quite fond of each other, the clashes between board chair and
director were monumental and often public. The conflict was difficult for everyone,
and wasn't effectively resolved until the board chair's term ended, and she was
replaced by someone much more sympathetic to the collaborative model. It was only
at that point that the organization actually jelled, and was able to plan its future
development.
Spelling out the answers to these questions in job descriptions, board information,
employee handbooks, etc. is one way to address this area of concern. Another is to
be extremely careful to describe the roles and relationships when hiring a director or
staff person, or when taking on new board members. Most important is to try to hire
people who share the organization's concept of how it should operate.
PREPARE CAREFULLY TO HIRE THE RIGHT PEOPLE FOR MANAGEMENT
POSITIONS
If you hire an authoritarian as the director of a collaborative organization, you will
have serious difficulties (no "may" or "might" here). By the same token, if you hire
someone who doesn't clearly understand what kind of management philosophy you
have in mind, or who isn't capable of fostering the relationships necessary to make
your model work, it won't work. Hiring the right people is probably the most important
thing you can do to make sure that the management plan you've devised is
successfully carried out.
An alternative to choosing and developing a particular management structure is to
hire the person you're sure you want and go with her management preferences. This
works best if the organization (and the staff) has no passionate philosophical leaning
toward one model or another. Hiring a terrific person who's a bad fit with the
organization is often worse than hiring someone far less competent who's a good fit
with the organization.

The right person, on the other hand, can -- with charisma, excellent interpersonal
skills, and effective management -- bring a resistant organization around to a new
way of thinking. It's a tough call, especially since it's seldom possible to get a
complete picture of the person you're hiring from a resume, some references, and
one or two interviews.
How can you be sure that the people you hire will do the job you want them to do?
The short answer is that you never have an absolute guarantee, but there are a
number of things you can do to increase your chances.
Explain the organization's management model as precisely as possible, so no job
applicant will have any question about what she's walking into, and won't find any
surprises (beyond the inevitable ones that go with every job) if she takes the
position.
Try to structure the interview so it mirrors as closely as possible the management
model you have in mind. In this way, you can get a sense of the applicant's comfort
with the situation, and of his skill in handling it. This information should be helpful
when you make your choice.

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Ask questions and use probes that really get at the applicant's philosophy of
management. What does her past experience tell you? What would she be willing,
and not willing, to do as a manager or administrator?
Use the applicant's references well. Ask his former employers and colleagues about
his management style, his relationships with others in the organization, the ways in
which he might solve a particular problem, etc.
Listen to your instincts. If someone makes you uncomfortable or feels "wrong," that's
significant: don't ignore it, no matter how great her resume looks. If you have a sense
of the people you're looking for, you'll know at least some of them when you see
them.
EXAMINE WHAT NEEDS TO BE MANAGED
Whatever the management looks like, there is usually some agreement about what
in an organization needs to be managed. The broad categories are people; money;
supplies and equipment; activities; and relationships with the outside world (funders,
the media, the community, target population, etc.) Each of these categories should
have a set of policies and procedures that addresses whatever you can think of that
might come up in that area.
Another, and extremely important, responsibility of management is to pursue the
goals of the organization. In general, these goals are subsumed in the five areas
mentioned. If a goal, for instance, is the acceptance of the organization in the
community, that goal becomes part of relating to the outside world. If a goal is to
provide ever-improving service to a particular population, that goal becomes part of
the management of the organization's activities. The reality is that you should never
lose sight of your organizational goals, because they define all five of these
categories of management for your organization.
Not all of these management areas have to be addressed by the same person,
although in small organizations they probably will be. In larger organizations, there
are often assistant directors or program directors who oversee one area or another.
If the organization is large enough, the director may delegate much of this work.

As with the rest of this section, considering each of these management categories
has to be done with an eye toward the mission and philosophy of the organization.
There is plenty of room here for making policy that's inconsistent with what you say
you believe in, so it's important to ask yourself how what you're developing will fit in
with your mission statement. If you're an empowerment organization, a restrictive
and punitive personnel policy doesn't make sense, for instance. If one of your goals
is to help low-income people learn how to manage money, your own money
management should be as organized and efficient and frugal as possible (no fancy
furniture or expensive offices). You need to practice what you preach, or the lesson
is lost.
People: personnel management
People are the most valuable part of any organization, and often the most difficult to
manage. Personnel management encompasses a number of areas:
How, and how well, staff members do their jobs.
Relationships among people in the organization.

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Supervision: who supervises whom and how often, what supervision means for the
organization, what kinds of records are kept, what is done with them, and who has
access to them.
Quality-of life issues: staff compensation and benefits, work hours, leave policy, etc.
Staff training and ongoing professional development.
Hiring, firing, appeal, and grievance procedures.
Legal or other regulations involving personnel, such as ADA (Americans with
Disabilities Act), funders' requirements, non-discrimination in hiring, etc.
Money: fiscal management

Although you may hate the thought of it, your organization is, in many ways, a
business, and you have to manage your finances just as any other business does if
you're going to continue to operate. Fiscal management includes:
Day-to-day management of the money you actually have: taking care of payroll,
paying bills, billing others, handling cash flow, deciding where and when to make
purchases of materials, supplies, and equipment.
Accounting: keeping the books.
Financial planning: finding new resources, tying financial planning to organizational
goals, looking for sources of income to replace others that may be drying up,
deciding what to do if money is short.
Fundraising.
Banking, investment, and capital development: taking care of the money you have,
dealing with a surplus, and handling money specifically meant to be used for the
long-term health and development of the organization.
Goods and services
Just buying what you need for your organization to run isn't the end of the story.
Equipment maintenance and repair: keeping track of regular service schedules for
copiers and other office equipment, as well as specialized machinery your particular
organization may use to do its job (medical devices, for instance, or vehicles); getting
equipment fixed or replaced when it breaks down.
Training and updates for those who need to use particular equipment, whether
computers and software or something more complicated.
Ordering materials and supplies when needed, with an eye toward the total amount
of money available for them.
Keeping track of the price and quality of goods and services, and changing suppliers
when necessary.
Establishing and maintaining relationships with the companies and individuals from
whom the organization buys goods and services.
Defining who gets what when: who has access to what equipment, how much does
each staff member get to spend for supplies for her position, etc.
Activities
What your organization actually does is usually the reason it exists. Keeping careful
track of what goes on and how is therefore fundamental to the success of the
organization. Among the management necessities here are:

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Making sure that the organization's activities are carried out in the way they're meant
to be.
Tracking the results of what you do, and attempting to find ways to improve your
effectiveness, even if it's already high.
Evaluating the organization's activities, with input from staff, the target population,
and, if appropriate, the community at large.
Planning for change and improvement, based on evaluations and assessment of
results.
Continually reassessing the needs of the target population, the field, or whatever is
appropriate, to make sure that what you're doing is, in fact, aimed at accomplishing
what's necessary.
Keeping up to date on best practices and processes, so that you can take advantage
of new and proven ideas, methods, and techniques.
Updating staff training as the organization's activities or methods expand or change.
Relations with the outside world
If your organization aims to serve the community in some way (or is dependent on
the community for resources or good will) then your management plan better include
some ways for the organization to become recognized as part of the community. If
your organization gets funding from state agencies, foundations, or other funders, it's
important to establish and maintain good relationships with both the individuals who
oversee that funding and with the funding institutions as a whole.
In reality, organizations don't deal with other organizations or communities: people
deal with other people. The positive personal relationships that your organization's
director, board, and staff members establish go a long way toward strengthening
your organization's credibility and standing with funders and the community. A
management plan that addresses this issue might include:
Encouraging the director or other staff to be members of community and/or other
organizations, and to assume positions of responsibility in those organizations where
appropriate.
Establishing, where possible, collaborative relationships with other groups and
agencies (e.g. referring participants back and forth, sharing staff and equipment, or
writing joint proposals, funding for which would benefit both organizations).
Keeping a high profile in the community.
One program director made it a point never to turn down an opportunity to speak to a
community group or to publicly support other agencies (delivering a keynote to
United Way major donors, participating in a Big Brother/Big Sister fundraising event,
turning out at a rally for a homeless shelter, etc.). He tried to make sure that the
organization's name appeared in the newspaper on a regular basis, if only in public
service announcements about program activities. As a result, most people in the
community were aware of the program and the services it offered, and thought of it in
a positive way.
Making it a matter of policy to assist other community groups and agencies
whenever possible.
Making sure that the director and staff establish and maintain personal relationships
with directors and staff of other organizations.
Establishing and maintaining personal relationships with the appropriate people at
funding agencies.
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Cooperating with funders by getting paperwork in on time, conforming to rules if you

have agreed to do so, and generally trying to make their work easier.
Establishing and maintaining relationships with representatives of the media
(reporters, editors, station managers, etc.).
WRITE POLICIES AND PROCEDURES FOR EACH MANAGEMENT AREA
Policies are the official rules, structures, and philosophical principles that guide an
organization. Procedures are the actual ways in which policies and the work of the
organization are carried out. (Equal opportunity in hiring, particularly with regard to
minority candidates, might be a policy of an organization. Advertising in urban
newspapers, adding "Minority candidates encouraged to apply" to all job ads and
postings, and specifically searching out possible minority candidates are procedures
that carry out this policy.) It makes life in an organization much easier for everyone -and much less subject to legal and other challenges -- if policies and procedures for
every aspect of its functioning are spelled out as clearly as possible, and everyone
has access to them.
Not every organization needs a formal set of policies and procedures. If you're a
small group with very little budget and few staff or rotating volunteers, you may be
able to operate perfectly well with an informal set of norms and methods. As you
grow, you can institute policies and procedures as they become necessary.
Sometimes it's hard to tell when that moment comes: often you realize it only when
there's a problem because you don't have the appropriate structure to cover
something that's already happened.
The best way to assure that policies and procedures in the various areas make
sense and are workable is to draft them with the participation of those who will be
subject to them and who will carry them out. As has been mentioned several times in
this section, it is essential that everyone in the organization feel some ownership of
the management plan if it is to work reasonably well. In this instance, it simply makes
sense to include those who will be affected by particular policies and procedures,
because they are best qualified to understand what will work in those areas and what
won't. (For the same reason, it makes sense to hire the director and other
administrators before you develop policies and procedures.)
Once again, when you're finished, consider how the policies and procedures you've
generated match your philosophy and mission, and reexamine any that don't.
With the writing of your policies and procedures, your management plan is done,
except for one element: a plan for evaluating and improving it.
HOW DO YOU EVALUATE AND ADJUST A MANAGEMENT PLAN?
No plan of any sort is complete without a mechanism for evaluating and improving
on it. This is especially true for a management plan, which may be the foundation for
an organization's success or failure. If a management plan works well in practice,
then it's likely that staff will be reasonably happy and the organization's work will get
done well. If the plan doesn't work well, then the reasons for that need to be
understood, and management needs to be changed accordingly.

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There are both formal and informal ways of telling whether a management plan is
working, and both can be used as part of an evaluation plan. An informal
assessment of the plan might include answers to the following questions, among
others:
Do time-sensitive tasks -- funding proposals, reports, etc. -- seem to be completed
on time?
Are there any staff grievances?
Is there a significant number of -- and that might mean any -- complaints from the
community or from funders about the organization or what it does?
Are participants dropping out of programs or services in large numbers?
Is the organizational atmosphere one of calm, or one of chaos? Do staff and
participants seem excited or contented, or stressed and unhappy?
Staff discontent, apparent inefficiency, significant participant or community
dissatisfaction, widespread stress -- these can all be warning signs that all is not
right with the organization. You should take them seriously and search for their
causes, so they can be addressed.
An informal evaluation is not enough, however. It's important to evaluate your
organization's management just as you evaluate its work on a regular basis (typically
once a year). Once again, the format and basis of your evaluation and adjustment
strategy should be consistent with the philosophy and mission of your organization.
Some formal ways to accomplish an evaluation could include:
Some form of structured feedback from all constituents of the organization -- staff,
board, participants, volunteers -- as well as from managers and administrators
themselves.
An organizational self-assessment, through which the organization develops a list of
desired results, and checks itself against the list on a regular schedule (e.g.
annually).
The use of someone outside the organization -- a consultant, the director of another
organization -- to evaluate the management function and suggest refinements or
changes. (This could be part of a larger evaluation of the organization as a whole.)
Regularly comparing policies and procedures to what really happens in the
organization in the circumstances they cover. If there is not general agreement
between what happens and what is supposed to happen, then something needs to
be done. (That"something" could be changing policies and procedures to match
practice, or vice-versa, or some other solution that might involve elements of both.)
However you choose to do it, creating a regular process for evaluating and adjusting
your management plan should be an integral part of the plan itself. Once you've
nailed down that process, your management plan should be complete, and it's time
to get to work and put it into practice.

IN SUMMARY
The management of your organization is too important to be left to chance. Having a
management plan will allow you to shape the organization the way you want to, and
will make it much more likely that your work -- the reason for the organization's
existence -- will be effective.

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To develop a management plan that works for your organization, you should think
carefully about what's consistent with your mission and philosophy (and what your
organization says about itself). Then, with that in mind:
Consciously choose or design a management model that will comfortably fit the
organization and will accomplish your purposes.
Define the relationships among director, board, staff, and volunteers to conform to
the needs of effectively operating the management structure you've chosen.
Develop, with appropriate input from those affected, a comprehensive set of policies
and procedures to cover the five essential management areas: people; money;
supplies and equipment; activities; and relations with the outside world.
Design a regular system and schedule for evaluating and adjusting your
management plan, so that it will continue to function successfully.
When you have a management plan that seems right for your organization, you've
completed a necessary step on the road to effective action.
Day-to-Day Maintenance of an Organization
You've been asked to serve on the Board of a local community-based organization,
and you're visiting its offices for the first time. You notice that the floor doesn't seem
to have been swept in months, and when the receptionist looks for a piece of paper
to write down your name, he can't find one. Participants are milling around,
apparently, as you hear from their conversation, because a staff member hasn't
shown up for their meeting. You realize you haven't heard much about this
organization from friends and acquaintances, except for rumors that it's constantly in
financial difficulty; you've never seen it represented at any of the numerous
community events and meetings you've attended. You've only been in the office for a
minute, and you're already wondering whether you want to be associated with it.
Your impression of this organization has been colored by its apparent lack of day-today management. Section 1 of this chapter is intended to help you develop a
management plan for your organization. But all the plans in the world won't do you
any good unless you carry them out efficiently every day. The day-to-day
maintenance of an organization - the nitty-gritty tasks that carry its work forward - is
what really determines whether it will be successful or not.
These tasks cover not only the obvious details - getting the organization's work done
each day, keeping track of money and supplies, cleaning the office - but the larger
issue of relationships, both within the organization and between the organization and
the community. It's been said that God is in the details, and that's just as true for
managing an organization as it is for raising children or running a country. This
section will help you think about how to keep those details under control.
WHAT DOES DAY-TO-DAY MAINTENANCE CONSIST OF?
Nearly all areas of management require at least some day-to-day attention.
The work of the organization
Each day, whether your organization runs programs, provides services, or pursues
advocacy, you have to make sure that the right people are in the right places at the
right times to do the work of the organization. In addition, someone has to carry out
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the everyday procedures (record keeping, attention to how well particular techniques
are working, etc.) that make evaluation possible.
Fiscal management
Someone has to keep track of finances and make sure that the books are kept
properly, that employees and bills get paid, that income gets to the bank, and that
there's enough money in the checking account to keep operating. Someone also has
to keep track of grants and contracts, and be responsible for contact with funders.

Personnel management
Handling problems among staff, keeping current on what everyone's doing,
maintaining a positive organizational climate, arranging or overseeing supervision,
organizing staff development, evaluating staff performance, and generally making
sure that everyone's happy and focused on her job - all of these demand daily
attention.
Board maintenance
Maintaining regular contact with the Board and keeping it informed, assisting Board
involvement in the organization, and sustaining relationships with individual Board
members are all ongoing tasks that need to be addressed regularly.
Relationship with the larger community
The organization's relationship with the community it serves needs to be fostered
constantly. You must continually keep the organization's profile high, inform the
community of what you do and of the needs of the target population, make friends
and allies, and communicate with the media if you're going to get the community
support you need.

General logistics
Somehow, in the midst of everything else, the floors have to get swept, equipment
has to be maintained and repaired, paper and other supplies have to be ordered
before they run out, errands have to be run...in short, life has to go on for the
organization.
The spirit of the organization
An invisible maintenance task is that of maintaining the passion for the work and the
belief in the vision and mission that drive most grass-roots and community-based
organizations. This is almost always the work of the leader, and, though not always
conscious, is among the most important of her day-to-day tasks.
WHO'S RESPONSIBLE FOR DAY TO DAY MAINTENANCE?
It's beginning to look like the day-to-day maintenance of an organization requires a
lot of work. Who's going to do it all? The answer to that question depends on a
number of factors: the size of the organization, its structure, its geography (i.e.
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whether everything happens in one office or space, or whether the organization is

spread out over several spaces, or even several towns), and the particular talents of
its staff members.
In a smaller organization, or one that doesn't have a large administrative structure,
most of the day-to-day management will probably fall on the director or coordinator.
If the organization really is small - a couple of staff, one office - that's usually not a
problem. If the organization is administratively understaffed, it can become a very
large problem, because it can lead to a lot of the work simply not getting done. In a
larger organization, or in one where the director simply can't handle everything
herself, there are creative ways to ensure that everything necessary is
accomplished.
Delegate work to other administrators. Administrative staff can split up
responsibilities for day-to-day management.
Hire a bookkeeper/accountant. Many organizations have such a person on staff, but
others may contract with an independent bookkeeper who works only a few hours a
week. That way, they get the money-management services they need without having
to pay more than they can afford.
Split day-to-day management duties among several staff members. Some people on
staff may have skills in management areas, or may simply gain satisfaction from
particular tasks. This solution may be especially useful in situations where parts of
the organization are geographically separated.
Share some functions among all staff (or staff and Board) in rotation. Serving on
community committees, making public presentations, cleaning up at day's end,
buying the coffee - these are all tasks that could be handled in turn by many people
in the organization.
Hire a cleaning service or other outside concern to take some of the burden
Share services with another organization
There are even more creative ways to get the messy stuff done. You can ask
everyone to stay late and clean once a month or so, and follow the clean-up with a
party. You could even invite families in and buy or chip in for pizza or something
similar.
In some community-based organizations, participants help out, either as volunteers
or as paid workers. You may even be able, in some circumstances, to pay them out
of grant money. Other possibilities are to recruit volunteers particularly to help out
with maintenance tasks, or to find a community business that's willing to give you
some service in return for a tax write-off or the publicity value. While most
maintenance tasks need to be done by staff members, most of the chores that fall
under logistics can be delegated to someone else.
Regardless of how you parcel out the work, however, it's important that some
individual - usually the director - oversees the day-to-day management. Someone
has to understand the overall view of the situation, so he can intervene if there's a
problem or a gap, and make sure that the functioning of the organization isn't
disturbed or interrupted.
WHAT DO YOU ACTUALLY NEED TO DO TO CARRY OUT THE DAY-TO-DAY
MAINTENANCE OF AN ORGANIZATION, AND HOW DO YOU DO IT?

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Now that you've figured out the areas you need to address and who'll be responsible
for each, what do you actually have to do to make sure everything goes smoothly?
What exactly do you have to pay attention to daily, or on most days? And how do
you make sure that attention gets paid and necessary tasks get done?
In many cases, you can set up systems to make sure that things get done on time.
Some may be as simple as deciding that when the last box of copier paper is down
to four reams, it's time to order more. Others may be far more complicated, and may
need official organizational policies to guide them, along with a policies and
procedures manual so that everyone will know what those policies are. Whatever the
situation, it makes sense to try to anticipate problems and snags and to set up
systems, where possible, to counter them before they become emergencies.
In general, the tasks of maintenance come under eight headings:
The actual work of the organization
Financial management
Personnel management
Board maintenance
Community relations
Logistics
The spirit of the organization
The big picture
THE WORK OF THE ORGANIZATION
There are a number of areas that must be attended to if the everyday work of the
organization is to get done effectively.
Making sure the work gets done
In the event of illness, a personal emergency, weather, etc., the right systems can be
lifesavers.
A system for notifying administrators, participants, other staff, and anyone else who
needs to know when something is canceled or delayed, or when someone is unable
to be where he's supposed to. In addition to specifying to every staff member whom
she should call in that situation, some possibilities are:
Designated phone callers
Staff and/or participant phone or contact chains (a participant without a phone might
be contacted by another who lives nearby)
E-mail lists
Radio and/or TV announcements (for weather cancellations)
A system for substituting for staff who can't make it. To avoid canceling programs or
services when staff members are sick or unavailable, a common strategy is for an
off-duty staff member to cover another's hours, and then have the other return the
favor later. Many organizations that can afford it include money for substitutes in
their budgets. If you lack the resources for this, it may be possible to create a pool of
volunteers to cover for absent staff members.
Record Keeping

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Most organizations need to keep records, whether for tax purposes, for internal
evaluation, for accountability to funders, for external evaluators, or for use in
publicity, fundraising, or advocacy. These records can range from simple notations of
staff or participant hours to long discussions of activities and achievements. They
may include test results, samples or descriptions of participant work, medical reports,
etc.
If record keeping is to be accurate, it needs to be timely, with staff members making
entries each day they work. Everyone has to know what he is responsible for
recording and when, and someone has to make sure that record keeping doesn't fall
by the wayside in the crush of other tasks. No one likes to do paperwork, and it's
often the first thing to be ignored when work piles up. Once you fall behind in it,
however, it's difficult to catch up. If recordkeeping is important for the organization,
you have to attend to it in day-to-day management.
Regular staff meetings
Staff meetings - weekly if possible - give staff members and administrators a chance
to keep informed about what's happening in the organization, to share ideas and
successes, to help one another with problems, and to take on organizational tasks.
In order for meetings to be effective and reasonably enjoyable, you have to engage
in some preparation.
Someone - it might always be the director, but it could also be someone else, or be a
rotating position - needs to take responsibility for chairing meetings, and for
generating and/or gathering agenda items. That could mean taking calls or e -mails
from other staff during the week before the meeting, or posting a paper or electronic
agenda sheet where anyone can add to it. It could also mean distributing the agenda
in advance of the meeting, or distributing materials that relate to particular agenda
items (spreadsheets, letters from other organizations, etc).
If you want food or drink at meetings, someone has to buy it, whether the
organization pays for it or staff members take turns providing it. Finally, someone
has to take care of any specific preparations: getting an easel and newsprint, for
instance, or making sure that staff members have completed assignments from the
last meeting. (For more on staff meetings, please see Section 4 of this chapter,
Promoting Internal Communication.)
Staff development and information-sharing
No matter what your organization does, staff members will be more effective if they
have the chance to learn new ideas and techniques that will help them become
better at their jobs and to share experiences and ideas with one another. Offering
everyday encouragement here might mean programming some time into staff
meeting for discussion of what people are actually doing, what's been working for
them, new ideas they've encountered, etc. It might also mean developing an inhouse list-serv, specifically for exchanging this type of information. You might start
an in-house staff development program, which either brings in presenters or rotates
responsibility for staff development presentations among staff members.

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In any case, someone - again, whether the director, some other individual, or staff
members in rotation - has to take responsibility for polling staff members about their
staff development needs and preferences, finding presenters, and scheduling or
preparing presentations. This becomes even more of a day-to-day task if staff
development meetings are frequent (e.g. weekly or biweekly).
Program development
It's important to realize that no matter how well you do your job, it can always be
improved. Good program development (working on ways to improve what you do,
planning new initiatives, incorporating new ideas, etc.) is a daily activity. At the same
time, it depends on the organization and everyone in it taking a long-term
perspective that views the organization as dynamic and subject to constant change.
Program development requires that anyone involved in the work of the organization particularly program directors, grant writers, and line staff - be ready each day to
make suggestions or enter into discussion about new possibilities or changes to
make the organization's work more effective. That can be institutionalized through
regular meetings or through a written or e-mail discussion system, or both. In any
case, it should be part of the day-to-day work of the organization.

Advertising and/or recruitment

The organization might as well not be doing its work if no one knows it's there. A
constant task is to make sure that the public and the target population are aware of
the organization's name and work. If you offer programs or services, then part of that
task is informing the target population and recruiting participants. Everyday attention
to all this requires:
Keeping in touch with the local media, placing press releases and stories about
organizational activities, writing or renewing advertisements when necessary,
holding press conferences, etc.
Maintaining a presence in the target community (through the work of line staff,
regular contacts with key individuals, street outreach, whatever it takes.)
Enhancing the organization's image through public speaking, attendance at meetings
and forums, service on committees and boards, etc.
FISCAL MANAGEMENT
Perhaps no other aspect of organizational management needs as much day-to-day
attention as the financial aspect. Fiscal responsibility requires keeping control of your
money in a number of different ways.
Bookkeeping
Whether you do it yourself, have an in-house bookkeeper or accountant, or hire it
out, day to day bookkeeping and accounting have to be correct and current.
Expense and income journals have to be kept up to date (usually within a few days,
ideally daily), and the general ledger - the overall financial record of the organization
- has to be updated and balanced regularly. In addition, you have to keep daily or
almost-daily track of your budget, so you know just where you are in relation to what
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you planned for income and expenses. Perhaps most important, you have to
manage your cash flow, so you don't run out of operating money; this is also a daily
or almost-daily chore.
"Cash flow" refers to the actual flow of money through the organization, as opposed
to what's on paper. If you're owed $500.00 by your friend, but he hasn't paid you yet,
and you only have $5.00 in the bank, that's a cash flow issue. You can't pay your
electric bill with the fact that your friend owes you money.
Organizations deal with this issue all the time. Money from grants and contracts
often flows slowly, and fundraising is unpredictable. Bills, on the other hand, come
regularly, and salaries have to be paid. How well your organization manages cash
flow can make a tremendous difference in its health, financial and otherwise.
Billing/receiving, paying bills, and payroll
There should be a regular payment and billing schedule, so that bills get paid on
time, there's a steady flow of income, and cash flow stays relatively healthy. The
daily details here seem obvious, but, especially in a large organization, they can
easily get lost. You have to ensure that someone gets the mail every day, that the
bills get to the right person on time, that checks get deposited quickly, and that bills
are paid with a constant eye, not only on the bank account, but also on what's about
to come due.
Payroll, in just about all organizations, is handled on a regular schedule, but there
need to be ways to address holidays, payment during vacations, and other issues
that break the pattern. Some organizations have their payroll taken care of by a
payroll service or a bank, which takes the burden off staff members, but may be
complicated in a situation like those mentioned. How flexible are you prepared to be
about payroll?
Tracking grants and contracts

Each grant or contract that funds the organization brings with it daily responsibilities.
You'll need to track each grant or contract separately, so that you can compare it to
your budget, and decide whether your original spending plan was adequate, or
whether it needs to be changed. The funder expects you to know how much of your
funding you've spent at a given time, and in what categories you've spent it. If you're
billing on a contract, particularly, you'll have to provide documentation for your
spending, which means that you have to copy all receipts, payroll stubs, etc. that
pertain to that contract. Much of this tracking and record-keeping requires daily or
almost-daily attention.
Ordering and purchasing materials and supplies
Especially where materials and supplies may be crucial - in a community clinic, for
instance, or a child nutrition program - the staff members who use or distribute them
must have an avenue for making their needs known. In some cases, the responsible
staff members may do their own ordering; in others, they may have to submit their
requests to someone else. In either case, there should be a system so that materials

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and supplies are constantly available (i.e. get ordered often enough so that they
never run out), at least as long as the money lasts.
An efficient day-to-day ordering process has several elements:
The person closest to the particular materials or supplies in question has a guideline
for when more is needed
That person first checks with whoever knows whether there is enough money
available, and where it will come from
If there is enough money, depending upon organizational procedures, he either
places the order himself, or asks the appropriate person in the organization to do so
When the order is placed, the cost is conveyed to the bookkeeper or whoever is
responsible for making sure that expenses get recorded properly
Many organizations streamline this process by having the bookkeeper or director do
the ordering. She will know if the money for ordering is available, and can then
record the amount as soon as the order is placed. She might also monitor the use of
materials, and ask questions if it seems significantly different from past use.
Banking
The day-to-day issues here include:

Who goes to the bank when there's money to deposit or other banking to be done.
Your bank may be able to provide you with a direct deposit option for at least some
of your daily banking needs. Thus, funders or purchasers of your service may be
able to send checks directly - either through the mail or electronically - to your bank
to be deposited in your organization's account. You may be able to arrange for
automatic payment of some bills as well. Depending upon how efficient this system
is and how accommodating your bank is willing to be, such an arrangement can save
large amounts of time and trouble for your organization.
Who can actually write checks. In some smaller organizations, both the director and
a Board member may have to sign each check, or any check over a certain amount.
This can create logistical problems if one of the signers is unavailable at a crucial
time. In most organizations, checks are normally signed by one of two or three
individuals, with someone having oversight over the whole process.
If, for instance, both the director and bookkeeper can sign checks, the bookkeeper
might pay the bills, but the director will decide which bills should be paid before the
bookkeeper gets them. Another standard procedure is one person normally signs all
checks, but one or two others are authorized to sign if that person is unavailable.
Someone needs to keep track of cash flow and make necessary adjustments (e.g.
holding up on ordering or waiting to pay certain bills until more cash is available ).
Guidelines for transferring money between and among accounts (interest-bearing
and non-interest-bearing, high and low interest, Certificates of Deposit, etc.) should
be developed and followed.
PERSONNEL MANAGEMENT
Day-to-day personnel management has to operate on two levels: one is the actual
management of both regular and unexpected personnel issues; the other is
maintaining an organizational climate conducive to staff job satisfaction and
enthusiasm, and - as a result - organizational effectiveness.

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Day-to-day management of personnel issues

In order to keep everything running smoothly, someone must oversee:
Supervision. Making sure that supervision happens for everyone on a regular basis,
and that supervisors know for whom and for what they're responsible.
Awareness of - and attendance to - potential problems before they become more
urgent. Such problems might include:
Interpersonal problems among staff or among staff and participants or community
members
Issues of poor staff job performance
Issues of job satisfaction, compensation, work hours, supervision, etc. that relate to
the enthusiasm of staff members for their jobs and the work at hand
Philosophical differences among staff or between staff and administration, staff and
Board, administration and Board, etc. about the mission and methods of the
organization
Handling actual personnel problems and crises. For most of these, there should be
organizational policies, but policies only outline the actions to be taken. Addressing
these issues capably demands tact, interpersonal and listening skills, patience,
flexibility, tolerance, fairness, firmness, openness to unusual solutions, and a sense
of humor. These issues might include:
Official grievances
Interpersonal disputes
Official warnings or reprimands
Firing (for insubordination or poor performance)
Firing a staff member, both because of the organizational disruption it causes, and
because of the possibility of a lawsuit, is not something to be entered upon lightly.
There should be a clear procedure of warnings, documentation, etc. so that the staff
member in question understands exactly what the problem is, what he can do to
correct it, what kind of help is available, and what the time limits are.
MAINTAINING A FAVORABLE ORGANIZATIONAL CLIMATE

Organizational climate is the way an organization "feels," both to those who work in
it, and to those whom it serves or who have contact with it in other ways. The ideal
for most grass roots or community-based groups is an organizational climate that's
comfortable, welcoming, and relaxed. In order to establish and preserve such a
climate, there are some steps you can take every day:
Make time every day for informal conversation with staff members, both individually
and in groups. You don't have to talk to everyone every day, but lunch, five minutes
at the copier, a shared task - all are occasions for human contact. These
conversations can strengthen the organization in several ways:
Life in the organization will be seen as comfortable and pleasant, and the trust that is
built in these interactions can carry a long way in times of trouble. Organizations
work better when everyone feels a human connection to others in the organization.
You can learn of conditions in people's lives that are affecting their jobs, and that can
be eased by adjustments at work - increased time flexibility, a change in title, etc.
Professional issues may also surface. Philosophical differences, feelings about work
or the organization, new ideas, etc. can turn into productive discussion and

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organizational growth if they're acknowledged, rather than simmering into

resentment and anger if they're ignored or unmentioned.
Provide opportunities for staff members to socialize and play together. This doesn't
have to happen weekly, but an optional social occasion or recreational activity a few
times a year can do a lot toward creating a relaxed and friendly climate, and helping
people work together.
Pass around praise and credit freely, both in private and in public. Tell staff members
how much you appreciate what they do, and especially single them out for what they
do well. If you can give them credit in the community - through newspaper articles,
"employee of the month" awards, citations by other organizations - so much the
better.
Set the organizational tone by your own behavior. If you're the director, you can
imply the dress code - formal, "business casual," or none - by what you wear. If you
want to hear the truth from staff members, you have to be willing to give out the truth
in turn, and to deal reasonably with the consequences in both instances. If you want
the organization to be a warm and friendly place, you have to be warm and friendly.
If you want people to work hard, you have to demonstrate that by your own work
ethic.
Slightly different from organizational climate is organizational culture. The
organizational climate is the way the organization feels day to day; the organizational
culture is the way the organization is. It develops over a long period of time, and
consists of the assumptions that the organization makes about itself. The ideas that
go into its makeup are those not only of the people who work there, but of all the
people who have worked there in the past.
Whether your organization is established or new, you and its current staff are
creating its culture from day to day. What kind of organizational culture do you want
to foster? Do you want to be known as a great place to work, as one that
accomplishes its goals in an atmosphere of harmony and shared enthusiasm? If so,
you have to think about that every day, talk about it, make it apparent, and model it,
working with others in the organization to achieve a climate and culture that will
make the organization what you want it to be.
BOARD MAINTENANCE
Boards are not self-sustaining, but need care and feeding, just as staffs do. There
are some everyday things you can do to keep your Board productive and running
smoothly.
Someone, almost always the director, must keep Board members - particularly the
officers - informed about the organization and what it's doing. (Board members, in
general, don't need to know about day-to-day operation or management, except to
understand the organization, but should be informed about any major positive or
negative events or conditions that affect the organization as a whole, and about
changes in financial matters.)
The director should meet regularly - often weekly or biweekly - with the Board chair
to discuss ongoing issues and projects, to plan meetings, set agendas, etc.
Meet with individual Board members (perhaps only once or twice a year, but if you
have a large Board, this means a meeting every other week or so) to make sure that
they have Board work that they enjoy and that matches their talents, that their ideas
are being heard, and that they feel satisfaction about being part of the organization.
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Keep track of and plan for Board training needs. Monitoring training needs is
especially necessary with Boards that include participants or members of a
disadvantaged target population. They may not have had experience on Boards or
committees, or even in meetings, and may need not only training, but support and
mentoring in order to feel comfortable as Board members, and in expressing their
ideas and opinions.
COMMUNITY RELATIONS
Maintaining good relations and credibility in the community can greatly increase the
health and effectiveness of your organization. While a good bit of this task usually
falls on the director, larger organizations may split it up among several administrators
and staff members. Whoever in the organization engages in community involvement,
there are some specific actions they can take in the service of good community
relations.
Attend and participate in meetings of open community groups - economic
development coalitions, human service agency councils, health promotion
committees, etc. Be willing to take responsibility in these groups if you have the time,
and to demonstrate your ability to generate good ideas and to carry them out
competently.
Network, network, network! Try to forge relationships with individual community
members and leaders - business people, elected officials, doctors, clergy, educators
- so you'll have friends and allies who are respected voices in the community, and
who understand what you do and why it's needed.
Having personal relationships can solve a whole host of problems. One organization
had outgrown its quarters, and desperately needed inexpensive space. The director
called the most important real estate broker in town, whom he knew from United
Way and other functions. Through the broker's intervention, the organization found
exactly the space it needed at a price it could afford.
Make and maintain connections with other organizations and agencies, community
groups, individuals, etc. to ensure smooth referrals and transitions from one program
to another for participants, and to strengthen recruitment. These connections may be
at many levels - administrators, line staff, support staff, and volunteers.
Develop and maintain relationships with the media, and with individual reporters,
columnists, and editorial writers. Call them with interesting stories or information, and
get their help in composing ads, press releases, etc.
Be willing to serve on organizational and community boards - human services,
hospitals, foundations, etc.
Speak in public at every opportunity where you can call attention to the work of the
organization, or to the needs of the target population. Possibilities include service
clubs (Kiwanis, Lions, etc.), religious organizations, community forums, and public
hearings on matters that concern the target population or the work of the
organization.
Encourage everyone connected to the organization - staff, participants, volunteers,
Board members - to participate in the life of the community, both as citizens and as
representatives of the organization.
LOGISTICS
The daily concerns here are really basic:

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Keeping the office or workspace clean and relatively neat, which may mean doing it
yourself; staff, volunteers, or participants (paid or unpaid) or a combination sharing
the responsibility; or hiring an individual or cleaning service
Ensuring that everyone knows who's opening and closing the office or workspace
and when
Dealing with security issues
There should be clear security guidelines, but someone has to handle day-to-day
concerns and deal with actual situations - a disappearing key, a participant's abusive
ex-husband at the door, a broken car window. Depending upon what's needed, that
"someone" might be the director, the person in charge at the time, a large male staff
member, etc.
Paying attention to the condition of equipment - copiers, computers, phones, etc. and maintaining, repairing, or replacing it when necessary. Everyone should know
who's responsible for equipment, and whom to report problems to.
Equipment use may be an issue as well. If computers are at a premium, for instance,
everyone should know who gets priority, whether it's participants at certain times of
day, or the director when she's writing a grant proposal. There may be times when
someone has to referee a conflict or potential conflict over who gets to do what
when.
Monitoring services, from phones to the organization's law firm, to make sure that
everything is working properly and getting done when it's supposed to.
Addressing daily emergencies - not just security, but flooded bathrooms, illness,
power failures, bad press...whatever has the potential to seriously inconvenience or
harm people or the organization.
THE SPIRIT OF THE ORGANIZATION
Most grass-roots and community-based organizations (and many more
"establishment " organizations and agencies as well) have a sense of mission and
purpose and a belief in what they do that goes far beyond merely liking the work.
The success of much health, human service, and community work depends upon a
passion that keeps people going even when things look bleak, and keeps them from
becoming complacent when things are going well.
It's largely the responsibility of the organization's leader to nurture and support this
passion, and to inspire it by example. She has to be endowed with the passion itself,
and to communicate that. But she also has to have the courage to uphold her and
the organization's principles in the face of opposition, the ethical compass that allows
her to choose the route that keeps to the moral high ground, the strength of
character to remain optimistic in tough times, the creativity to keep the organization
moving forward and improving, and the tenacity and commitment to stay with it for as
long as it takes. All of this can be viewed as part of the daily maintenance of the
organization.

This is not the sort of thing that can be taught in courses, but it is what keeps an
organization going from day to day, week to week, and year to year. In order to
sustain an organization in this way, a leader probably needs to do most or all of the
following:
Find a personal outlet of some sort - anything from psychotherapy to weightlifting to
a regular informal meeting with other organizational leaders to discuss the trials of
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organizational leadership. Burn-out is the greatest danger of intense, active

leadership.
Strive constantly to be proactive rather than reactive. Engage in, and engage others
in, planning and other forward-looking activities. Maintenance, on some level, must
be seen as moving forward: maintaining momentum, rather than just holding place.
Cultivate and train new leadership, so that the burdens of leadership and the spirit of
the enterprise are carried by many, and there are others in the organization capable
of filling the leader's shoes if and when she decides to leave.
Remind people every day about why they're there, and try to continue to provide
reasons for them to stay. Maintaining workplace quality of life, and maintaining a
shared sense of mission are part of building and sustaining a successful
organization.
THE BIG PICTURE
An often-neglected part of management, whether day-to-day or long-term, is
monitoring the organization as a whole. All of the day-to-day management items
above add up to a whole greater than the sum of its parts. As a manager, you need
to be aware of how everyone and everything in the organization works together, and
of when something isn't working right. You need to set up feedback systems so that
you can understand relationships within the organization, the relationships of the
organization with the rest of the world, and how these influence one another. You
must have an understanding of the whole as a whole, and be able to see how
intervention in one place will affect other areas.
This section presents day to day management as a series of tasks and proven
principles, but it's also an art. You have to act on your gut feelings as well as your
intellect; if something feels wrong, it probably is. Every organization needs someone
- usually the director, but perhaps someone else, especially in a collaborative or
collective organization - who is responsible for noticing when something feels wrong
and acting to defuse it before there's a crisis...and for noticing when something feels
especially right, and following up on it to help the organization develop. An
organization, like an ecosystem, must be understood and nurtured as a whole if its
parts are to remain healthy.
IN SUMMARY
For a management plan - and the organization it sustains - to work properly, its
elements have to be carried out every day. It helps to develop systems for day-today maintenance, and to make clear who's responsible for what. The general areas
that need attention if the organization is to run smoothly include:
The actual work of the organization
Finances
Personnel matters
Board maintenance
Community relations
Logistics
The spirit of the organization
In order to keep all this together, it's important that someone - usually the director have an overview of the organization as a whole, and be able to recognize and act to

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address both potential trouble and potential opportunity. Attending to the big picture
in this way is perhaps the most important daily management task of all.
Providing Supervision for Staff and Volunteers
Pilar, who had once been a homeless teenager, was a counselor for homeless
children. She was trying to understand why she couldnt seem to connect with one
particular teen-age girl, a girl who seemed a lot like Pilar herself had been at that
age. She brought up the issue in her biweekly meeting with her supervisor. They
discussed the girl, her own feelings about the relationship, what she had tried so far.
The supervisor suggested some techniques for using body language and other nonverbal signals to tell the girl that Pilar cared about her needs and was on her side.
They also talked about Pilars own experiences, and about how her work with this girl
might be bringing up things that were difficult for Pilar to deal with At the next
meeting, Pilar told her supervisor that she had tried several of the techniques they
had discussed, and that she had also begun to better understand how her own
feelings played into her counseling. All in all, she felt things had improved, and
would continue to.
Alejandro had been at the housing office for nearly a year, but he was still struggling
to learn his job. He couldnt seem to keep paperwork straight, and he had, as a
result, made life difficult for a number of people trying to find affordable housing
whose lives were difficult enough already. Furthermore, rather than apologizing
when he made mistakes, he treated clients as if his errors were their fault. He and
his supervisor had talked about the situation once before, and now the supervisor
called him in again. Your work has been unsatisfactory, and this is the second time
Ive had to tell you so, the supervisor said. If it continues this way, you could lose
your job. Before Alejandro could protest, the supervisor continued, Lets look at
what youre having problems with. We should be able to come up with some ways
that you can improve your performance and do your job well, and Ill try to help
however I can. But weve already had this conversation twice; if we have it again,
that will probably be the last time.
Both of these scenarios are examples of supervision. In this section, well discuss
what supervision means, and how to go developing good supervision for staff and
volunteers.
WHAT IS PROVIDING SUPERVISION FOR STAFF AND VOLUNTEERS?
When you hear the word supervision, you may picture a large, mean person
looking over your shoulder trying to find fault with everything you do. There may be
some supervisors who fit that description, but, in health and community service
organizations, supervision is usually the opposite. Its helpful, and often welcomed
by supervisers as a source of advice, information, and emotional support for work
that can be demanding and difficult. At the same time, supervisors are responsible
for making sure that the people they supervise are doing a good job that theyre
where theyre supposed to be when theyre supposed to be there, and that the work
they do is of high quality.
There are really two kinds of supervision, often both practiced by the same person,
sometimes at the same time. One puts the supervisor in a teacher/counselor/mentor
role, providing helpful and constructive feedback, developing a good relationship with
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the supervisee, and working with him to continually improve his understanding of and
competence in his job. The other casts the supervisor in her role in the
organizational chart, as an administrator responsible for making sure that those in
her department do their jobs. The two are not necessarily contradictory, but they do
occasionally place supervisors in an uncomfortable position, as the case of Alejandro
above illustrates.
The duties of a supervisor may include training new workers, supporting and
mentoring supervisees, providing professional development, assigning and creating
projects, making sure plans are being carried out effectively, providing support,
assisting with projects or activities, and identifying and addressing unsatisfactory
performance. All of these duties have the same goal: to help those supervised do the
best job they can, and continue to learn and improve.
Each of the paid staff members in your organization probably has (and should have)
a job description laying out her responsibilities. Many volunteer programs also
provide job descriptions for volunteers, but staff supervision and volunteer
supervision are different. Staff members are expected, perhaps after some initial
training, to be professionals who know their jobs and can function independently.
They understand the workings of the organization, know the field, and often are
expected to make complex decisions about their actions without consulting with a
supervisor.
Volunteers, on the other hand, are unpaid, and have chosen to help the organization
for their own reasons usually because they believe in what its doing, and want to
have a role in it in some way. They are generally not professionals in the field, dont
necessarily know the workings of the organization (they may spend as little as an
hour or two a week on their volunteer assignments), and may need a lot of ongoing
guidance from a supervisor in order to perform well. A supervisor of volunteers may
also have to pay more attention to logistics scheduling, making sure everyone
knows about meetings or changes, checking with people to ensure they fulfill their
commitments, etc. because volunteers arent tied to the organizational schedule in
the same way employees are.
Both staff members and volunteers should meet regularly with their supervisor.
Depending on the position and the size and resources of the organization, these
supervision meetings may always be individual, or may often be in a group. In the
latter case, the group can often be helpful in identifying and working out problems or
making suggestions about resolving difficult situations. Whatever the situation,
supervisors should have a chance to meet with supervisees individually at least a
few times a year to review performance, call attention to problem areas, and provide
support or where necessary explain and try to help improve unsatisfactory work.

Heres where supervision becomes difficult. The supervisor should be an important

source of comfort and help to anyone she supervises. At the same time, it usually
falls to her to be the bearer of bad news when a supervisees job performance is, or
has become, unsatisfactory. The supervisor is expected to and should provide as
much support as possible in that situation, helping the staff member or volunteer to
bring his efforts in line with the standards of the organization. Neither the supervisor
nor her supervisee can ignore the fact, however, that she may be the person who
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decides that despite repeated warnings and efforts to correct the problem
performance has simply become or continued to be unacceptable, and the employee
or staff member must be asked to leave.
As must be obvious by now, supervision which is considered an afterthought in
many organizations is both an important and a difficult job, one that requires a lot
of thought and effort. Thats perhaps the most important point of this section: dont
take supervision for granted. It can be the difference between an organization that
functions smoothly and one thats continually in crisis.

WHY SHOULD YOU SUPERVISE STAFF AND VOLUNTEERS?

Good supervision benefits both the individuals supervised and the organization:
Supervision geared toward helping staff members and volunteers gain competency
makes them feel supported and valued, and makes the organization more competent
and effective as well.
Supervision can explain the requirements and responsibilities of staff members and
volunteers positions, the methods theyre expected to use, and the organizational
norms and culture, so that expectations are clear from the beginning. This can
prevent problems later, or if they arise, provide a standard against which
performance, behavior, and relationships can be measured.
Poor performance by staff or volunteers reflects poorly in the community and with
fundraisers. Proper supervision can not only catch poor performance, but prevent it,
by identifying areas of concern and working on them with staff and volunteers.
Adequate supervision can help to recognize and address potential problems, such
as staff burnout, before they become actual problems.
Good supervision keeps staff and volunteers with the organization.. It makes them
feel that someone cares whether or not they do a good job, and that theres a solid
structure supporting them if they run into problems. These are factors that keep
people happy with their jobs, and encourage them to stay.
Good supervision models the type of relationship that should exist throughout the
organization. Supervisors who understand their job treat all employees and
volunteers with respect, focus on the professional and personal needs and
development of those they supervise, and inspire enthusiasm for the work and
loyalty to the organizations vision and mission.
Supervision, coupled with constructive feedback, can result in better employees who
feel they are a more fully integrated part of the group. Again, the end result of this is
a stronger, more effective organization.
WHEN SHOULD YOU PROVIDE SUPERVISION?
Supervision for new staff members and volunteers should begin as soon as they join
the organization, and should continue on a regular basis throughout their stay.
Regular supervision provides the opportunity for staff and volunteers to work out
problems, to get to know the organization well, and to establish a good and
productive relationship with their supervisor. By the same token, it allows the
supervisor to get a clear picture of supervisees strengths and needs, to let them
know how theyre doing, to help them work on areas where theyre not as strong,
and to praise them for what they do well.
In situations where supervision is largely supportive and professional counseling
and psychotherapy, health, etc. the ideal is that staff members, should meet with
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supervisors, either in a group or individually, once a week, or once every other week.
(The staffs of some medical facilities, particularly teaching hospitals, may conduct a
short group supervision session every day.) With volunteers in somewhat similar
positions school or adult literacy tutors, peer counselors, hotline staffers the
same might be true. For staff members and volunteers whose work may not be
directly with participants, but whose supervision is geared more toward making sure
they understand and can do their jobs, sessions may be less frequent monthly or
quarterly. Frequency may also depend on the number of staff or volunteers a
supervisor is responsible for, the flexibility of peoples schedules, and the resources
of the organization.
HOW DO YOU SUPERVISE STAFF AND VOLUNTEERS?
Although staff and volunteers both need support, the differences in their jobs, as
weve discussed, imply differences in the ways and the frequency with which theyre
supervised. In order to ensure good supervision, its important to identify the right
people to provide it and then train them, so that they have a clear understanding of
what supervision is, the aspects of it that they should attend to, and the interpersonal
skills theyll need to practice in order to do it well.
WHO SHOULD SUPERVISE STAFF MEMBERS AND VOLUNTEERS?

In general, staff members should be supervised by whoever is ultimately responsible

for the work they do. If your organization is large enough to have a number of
departments, for instance, then the people in each department may be supervised by
the head of that department, or the members of each team within the department
may be supervised by that teams leader. In smaller organizations, the director may
supervise everyone else, or may share supervision duties with (or delegate them to)
an assistant director and/or one or more program directors.
Having the person in charge be the supervisor isnt always the best plan, however.
Remember, we explained earlier that there are two kinds of supervision. The
teacher/counselor/mentor version, which is really about professional development,
requires a supervisor who has direct and successful experience in the field. Where
staff members have responsibilities that involve specific professional skills
counseling or psychotherapy, teaching, medicine, wellness promotion, occupational
therapy, etc. a supervisor with knowledge of the field can help them examine what
theyre doing, spot and deal with areas of potential concern, and suggest alternatives
based on experience. (You wouldnt, for instance, want a hospital administrator with
a degree in business supervising the clinical practice of doctors. )
If your organization promotes people from within, or specifically hires administrators
and managers with experience in the field, this may not be an issue for you. If not,
youll have to decide how to provide good professional supervision. One possibility,
if administrators dont have field experience, is peer supervision, usually in a group.
In this circumstance, theres no question of one person or another being in charge.
Group members might rotate facilitating meetings, or might appoint one person to
facilitate because shes particularly good at it.
For most people who exercise it, supervision is only one aspect of their jobs. Its an
important enough aspect, however, that they should receive both initial and ongoing
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training in it. In many fields where supervision duties are assumed particularly
counseling and clinical psychology there are graduate courses in supervision that
virtually all practitioners are expected to have taken.
WHAT SHOULD SUPERVISION TRAINING COVER?
Some topics that might be included in a supervision training:
How to involve all volunteers and staff members effectively
How to enhance the value of volunteers to a program and to the paid employees
How to include all volunteers and staff members in program planning and decision
making
How to evaluate performance
How to provide performance feedback to volunteers and staff
How to hold volunteers and staff members accountable for job performance
How to help workers avoid burnout
How to create a climate in which volunteers and staff will be most productive
How to build teams that include both volunteers and paid employees
How to minimize tension between paid staff and volunteers
The difference between formative (helping the supervisee to improve and develop
professionally through discussion, advice, and occasional counseling) and
summative (judging employee performance) supervision. This might include some
discussion and perhaps role play about whats appropriate when, and how to
combine the two if both are part of the supervisory role in the organization.
PRACTICAL SUPERVISION
The standard view of the supervisory relationship, as weve mentioned, is often
negative. Supervisors are seen as overseeing and criticizing perhaps in a hostile
manner the work of those they supervise. The reality is that effective supervision
is a partnership. The supervisor provides professional and emotional support,
information, advice, and a connection to the larger organization (passing on
concerns, helping to obtain supplies and equipment, etc.), and supervisor and
supervisee work on and solve problems together. For health and community service
organizations, this type of supervision makes sense not only practically, but
philosophically. The supportive, partnership supervisory relationship reflects the
democratic and humanistic ideals of most organizations of this type, and models and
promotes the sort of relationship that staff and volunteers should develop with one
another and with program participants.
At the same time, supervisors in most organizations have responsibilities that go
beyond support and advice. Theyre responsible for making sure their supervisees
have the knowledge, materials, space, etc. they need to do a good job, and theyre
responsible as well for making sure work gets done well and on time. Thats the
practical side of supervision, and it can determine whether or not the organization
reaches its goals. What does good practical supervision consist of?
Welcome new staff or volunteers and distribute basic information
As soon as someone makes the commitment to work for your organization, whether
as a staff member or volunteer, she should should receive a job description that
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clearly delineates her responsibilities, her place in the organizational chart, whom
she will be supervised by and whom she will supervise, etc. New staff members
might be sent or given a card or note signed by all staff welcoming them to the
organization; volunteers might get a similar card thanking them for joining the
organization.
Meet with new supervisees as soon as possible
Supervisors should meet with a new staff member on his first day on the job, if
possible both to get acquainted and to get staff members most pressing questions
answered. Part of the supervisors responsibility here might be to take him around
and introduce him to other staff members, to show him the sites facilities and
procedures, and to make sure he has what he needs to start work. One of the most
important functions of this meeting is to give the new staff member an anchor a
person he feels he knows and can go to for help or information in those first few
nervous days on a new job.
First days for new volunteers might be different, since theyre likely to be supervised
by whatever professional or staff member theyre working with, instead of, or in
addition to, a volunteer coordinator. A new volunteers initial meeting is more likely
to be with the supervising staff member, to get acquainted and to go over what the
volunteer will actually do.
Orient new supervisees
People new to the organization should receive an orientation, either individually or in
a group. Because of the ways theyre recruited, its probably more likely that a new
staff orientation will be individual (perhaps part of the initial meeting with the
supervisor) and a new volunteer orientation will be in a group. Orientation should
include:
The background of the organization
Projects the organization is currently involved in
A brief introduction to other staff and volunteers, and their general responsibilities
Location of supplies, equipment, and facilities
Organizational culture whether people tend to eat lunch together, for instance, how
staff and volunteers interact with one another and with participants, how serious
work time is expected to be, how people dress for work, etc.
What kinds of decisions staff and volunteers are expected to make for themselves
and what they should discuss first with supervisors
Train staff and volunteers
There should be both initial and ongoing training for staff and volunteers. Good
training makes both staff and volunteers more confident and more competent, and
helps keep the organization moving forward. Training should cover such areas as:
Methods or techniques that the organization uses in its work
General information about the field essential theory, new discoveries, current work,
etc. This might include visits to or from people from other organizations engaged in
similar efforts.
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Information about the population or issue the organization is concerned with

Interpersonal skills communication, conflict resolution, problem solving, cultural
sensitivity, etc.
Monitor supervisees
Once new staff and volunteers have received their initial orientation and training, a
large part of their supervisors job is to remain aware of what theyre engaged in,
whether theyre having difficulties with it, whether they need more training in
particular areas, and whether theyre actually doing what their job descriptions and
the norms of the organization demand. A staff member may be struggling with one
aspect of a particular project, or have a hard time relating to a particular participant.
A volunteer may do a great job when shes there, but may not always show up when
shes scheduled. These are practical supervisory concerns, and supervisors have to
keep on top of them and intervene when necessary to make sure that the staff
member or volunteer keeps doing his job.
You can monitor supervisees in a number of ways:
Keep a file for every staff member or volunteer which includes:
Progress on her assigned projects, tasks, or duties
A job description (the staff member or volunteer should also have a copy)
A record of volunteer hours
Any written performance evaluations
Records of conversations about the staff members or volunteers performance
Records of any grievances filed by the volunteer or staff member
Records or copies of any awards, commendations, letters of praise, etc., received by
the staff member or volunteer, or by the organization on behalf of work that staff
member or volunteer has done.
Records of individual professional development courses, continuing education
units, conferences, etc. by the staff member or volunteer.
Copies of any contracts between the supervisee and the organization.
Performance evaluations should be conducted once or twice a year. They are
important for a number of reasons. Good ones are formative, helping the staff
member or volunteer to do the best job he can. They provide a record of the
supervisees progress in his job his professional development, what hes learned,
and what he does particularly well. They let him know that the organization cares
about the job hes doing, and that its important. On the other hand, if a staff
members work is unsatisfactory, they provide a basis for firing him.
In the U.S., at least, its fairly difficult to fire someone unless you have good cause. If
that cause is well documented the nature of the problem, the number of warnings,
the number and nature of attempts to correct the problem, etc. then theres much
less threat of a lawsuit or other action by the employee.
Supervisors should at least occasionally observe supervisees work, if thats
appropriate.
It generally isnt appropriate for a supervisor to observe a counseling or therapy
session, for instance, unless the supervisee is new to the field and still training.
Even then, most supervision depends on audiotape, and informed participant
permission is necessary even for that. Some teaching and counseling may be

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observed unannounced through a one-way mirror or on videotape, but, again, a

blanket permission from particpants is necessary.
Other observations of doctors and nurses, for example take place as a matter of
course. In many health and human service situations, personal observation is
relatively uncomplicated, and takes place regularly. Some workplaces allow for
almost constant observation, since supervisors and supervisees may occupy the
same working space, or do the same work at the same time.
Revisit the supervisees job description with her on a regular basis, to make sure that
it accurately reflects her actual work. If not, depending on the circumstances, either
the work should be adjusted to more closely adhere to the job description, or the job
decsription should be rewritten to better describe the real character of the job.
Talk with the supervisees co-workers or in the case of volunteers, the staff
members they work with to catch problems before they become major, and to
gather praise to offer as well.
SUPPORTING THOSE YOU SUPERVISE
In addition to knowing what your staff and volunteers are doing, you should be
working with them as well. This includes giving them new responsibilities, and
keeping communication with them open. The following tips will all help make your
supervision more effective and your organization more productive.
Build new leadership
Constantly challenge workers to try new things and accept new responsibility.
Delegate responsibility whenever you can. By encouraging professional growth, you
will encourage staff members and volunteers to fully buy into your organization, and
that is what can help your agency take off.
Make sure that the lines of communication are wide open
This is absolutely necessary to ensure satisfied, dependable staff and volunteers
who get the job done and make your organization successful.
To ensure effective communication:
Make sure you are an active listener focus all your attention on the speaker,
making sure there are no distractions, and that you are concentrating on the
message the speaker is trying to get across.
Try to keep those you are talking to from taking the defensive. A great way to do this
is by using "I" instead of "you" to start sentences. For example, "I'm not sure I
understand the approach you're taking on the media campaign. Could you explain it
to me?" is likely to get a clearer, more open response than "You aren't getting
anywhere on the media project, are you?"
Make sure communication is complete; never assume that staff members or
volunteers know what is supposed to be done or how you feel about a certain issue.
Provide regular feedback both formally and informally to those you supervise
Formal feedback may take place on an annual, biannual, or quarterly written
evaluation forms. Informal feedback may not be much more than aa simple "Hey!
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That looks great! Have you thought about adding this?" when going by someone's
desk.
When providing formal feedback (either oral or written), you should strive to:
Describe a worker's behavior instead of judging it
Always appraise workers on how they are meeting or exceeding clear,
predetermined standards
Praise, praise, praise, the worker for strong or increased performance
Decide whether other forms of feedback, such as self-assessment or peer review,
would be appropriate at your organization to complement supervisory feedback
Informal feedback shouldnt be a sometime thing. theres the offhand comment
described above, but informal feedback can and should include regular meetings to
discuss the job, the staff members or volunteers feelings about it, whatever
questions he has, what hed like to add to his responsibilities (or get rid of), etc. In
many situations, its also important to help supervisees sort out the personal issues
they bring to their work (remember the example about Pilar), and how those issues
affect what they do.
This kind of supervision, as we discussed earlier, should take the form of a
partnership. Supervisor and supervisee work together to find the best ways for the
supervisee to learn and practice new skills, solve problems, resolve conflicts, and
continue to improve in her job. This partner relationship should be the basis for all
supervision, and even when the supervisee is being held accountable for poor
performance or unprofessional behavior, supervision shouldnt feel like a power play,
but rather like an interchange between equals with different responsibilities.
If there is a problem, intervene
Sometimes, even in the best of agencies, a staff member or volunteer isn't working
up to potential or is causing interpersonal or other problems. In either situation, its
the supervisors job to intervene, with sensitivity to everyones needs the person in
question, the other staff and volunteers affected, and the needs of the organization:
Cool off first. Words spoken in the heat of the moment often become personal
criticism instead of an objective comment on the problem.
Seek privacy. Don't confront the employee or volunteer in public or in a degrading
manner. (And dont make it obvious to everyone that youre about to confront her
no I want to see you in my office NOW!)
Be as supportive as possible: this is a chance to find out why she is not working as
well as you might like, or why shes disruptive. You may be able to find out whats
behind the problem, and in doing so, find a way to help her transform into a real
asset to the organization.
HOLDING SUPERVISEES ACCOUNTABLE
Occasions do arise that require a supervisor to step in and deal with a problem. You
should have set guidelines to cope with any problem that may surface.
If the problem is poor job performance, you should:

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Clearly state what it is that you find deficient. Give specific examples. "You're not
working hard enough," isn't as helpful as, "You often don't have the newsletter
articles written by the weekly deadline." It's also harder for the employee to refute.
Give the employee the opportunity to describe his perspective, and really listen to
what he has to say. It may well be there are reasons for the problem that you aren't
aware of.
Note the requirements to fix the problem; then solicit employee ideas on corrective
measures.
Notify the employee of the consequences of continuing problems.
Monitor the employee's progress and explain (and apply) the consequences of failing
to correct the problem.
If the problem is a policy violation, you should:
Listen. Give the employee the chance to explain her actions. You may want to deal
very differently with problems that occurred for different reasons. For example, the
employee who took a four-hour lunch because his three year old broke her arm and
he forgot to call might elicit more of your sympathy than the employee who took a
four-hour lunch for that great sale at the clothing store.
Act objectively. Concentrate on dealing with the problem, rather than the
personalities involved.
Assume responsibility. Do not hide behind the rules or apologize for what you are
doing. Your job is to enforce the rules.
Give a clear warning that defines what will happen if such behavior happens again.
Be sympathetic, but also be firm.
The second time something of a similar nature happens, the consequences defined
earlier should be carried out in an immediate, consistent, and impersonal manner.
ROLE OF THE SUPERVISEE
The supervisors are not the only ones in your group who have responsibilities to the
group. The following are some of the responsibilities of a good employee or
volunteer.

Be open and honest with other members of the organization regarding intent, goals,
needs, and skills
Understand the duties and time requirements of assignments before accepting them,
and fulfill the commitment to the best of your ability
Work to deserve being treated as a recognized and respected member of the team
Take the commitment seriously enough to participate in planning and evaluating the
program and in training and learning opportunities
Share ideas with others
View other staff members and volunteers as allies that you can learn from
Respect the confidentiality of the organization and its clients
Seek, accept, and use honest feedback on performance
Serve as goodwill ambassadors for your organization and its services to the
community
Be informed of change when it is needed
Providing Support for Staff and Volunteers
WHAT IS SUPPORT?
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The most important part of building a house is getting the foundation right, because a
house needs proper support to maintain its structure. Proper support maintains the
staff members and volunteers of groups and organizations as well, keeping them
focused and determined over time and through difficulties. Support for volunteers
and staff helps workers to do their jobs more quickly, effectively, and comfortably.
In the previous section, we discussed the importance of supervising staff and
volunteers. Supervision is one form of support, but support goes beyond just that. It
can take a variety of forms physical, professional, emotional, intellectual, and
financial. Supporting staff and volunteers mean providing them with the right training,
backing them up, rewarding them for their work, supervising them properly and
regularly, keeping their morale high, and making sure they have whatever they need
to do their jobs successfully.
WHY SHOULD YOU GIVE SUPPORT TO STAFF AND VOLUNTEERS?
There are as many reasons to support the people that work with you as there are
reasons to care about them. When your staff and volunteers feel they're being
supported, theyll work better and more efficiently, care more about their jobs, and
want to do their best because the organization treats them well..
Other reasons to provide support include:
To maintain a high level of morale within your group
To prevent burnout
To show appreciation
To keep lines of communication open
To make your organization appealing to potential members
To keep quality staff members, and by doing so, maintain and improve the quality of
the service you provide
WHEN SHOULD YOU PROVIDE SUPPORT?
There is never a time you shouldn't give support to your staff and volunteers. Skilled,
contented workers are what makes an organization effective and worthwhile, and a
great amount of care should be taken to see that talented people remain with your
agency or community group.
However, at certain times, workers will need or appreciate more support than usual.
These times include:
When they are new. Almost everyone feels uncertain when they begin a new job,
whether it is paid or volunteer. Show workers right from the start that they are an
integral part of your agency, and bend over backward to ensure that they get what
they need to do the best job they can.
When they are going through difficulties or change in their personal life (such as a
divorce or the death of a loved one). Make sure your employees or staff members
know you care about them as people, not just as a set of hands, and that you are
concerned about what happens to them.
On special occasions such as birthdays and graduations. Again, it's important that
you and the organization demonstrate its concern for staff members and volunteers
as people as well as workers, and that they see administrators and board members
as fellow human beings, not just the boss.
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When the organization is experiencing difficulties. When youre in a financial crunch,

when youve received rightly or wrongly bad publicity, when opponents of your
goals seem to be winning, staff and volunteers can get discouraged and question
their commitment to the work. Its important that they feel that theyre not alone, that
the organizationj is not about to give up on them or on its issue, and that theyre
supported in what they do.
HOW DO YOU PROVIDE SUPPORT FOR STAFF AND VOLUNTEERS?
As support can mean many things, it makes sense that there are various ways you
can provide it. In providing support for volunteers and staff, consider the issue from
these different angles:
A supportive work environment
Support for the work done by the staff member/volunteer
Support for the worker in his or her personal life
CREATE A SUPPORTIVE PHYSICAL ENVIRONMENT
We all know how the environment affects us, especially our work environment. The
stress of working in an uncomfortable, unhealthy, or unsafe space can not only make
workers less productive, but also leave them feeling that nobody cares about their
well being. Acknowledging the need for windows, healthy air and clean surroundings
is critical to any kind of work. First and foremost, make sure the physical
environment is safe.
A comfortable work environment has to be comfortable psychologically as well as
physically. That means that there should be plenty of light to work by. (Natural light
from windows is best; when thats not possible, make sure theres plenty of light to
work by and brighten up the space.) Any supplies that people need should be easily
accessible. Everyone should have enough room to move around, and enough
private space to feel that she can organize, store, and find whatever she needs for
her job. Furniture neednt be new and expensive, but it should be comfortable (and
movable, so that people can change it around as they need to for meetings,
conversation, and collaboration.) Having coffee, tea, water, and snacks available
whether the organization supplies them or staff and volunteers share the cost
relaxes the atmosphere, as can a casual dress code and informal, democratic office
culture.
Your space shouldnt suffer from sick building syndrome, often caused by fumes
given off by new carpeting, paneling, glues, and other materials containing volatile
organic compounds (VOCs.) If possible, choose space thats light, airy, and has
windows that open. If tap water isnt drinkable, try to have bottled water on hand, and
keep the space reasonably clean (particularly rest rooms.) Encourage staff
members and volunteers (and participants) to stay home and recover if theyre ill,
and do the same yourself, to avoid spreading sickness through the organization. A
healthy workplace is also one where relationships are healthy where people dont
resolve conflict by yelling, where theres a good deal of humor, and where people
actively enjoy spending time.
To create a safe workplace, you have to consider the possibility of accidents,
emergencies, and crime. You should regularly check the space for exposed wiring
(that might either shock or be tripped over), electrical problems, loose carpeting,
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protruding nails, broken furniture, etc., and problems corrected. Any safety issues
that might affect people with disabilities need to be dealt with to the extent that the
organization can afford.
The organization should develop and make sure that everyone is familiar with
emergency procedures for fire, electrical outage, storms, flooding, chemical spills
whatever might be a possibility in the area where you work. You should also make
sure that theres plenty of light in corridors and parking lots and on the street outside,
and that theres emergency lighting available if its needed (this could be anything
from candles or flashlights to automatic lighting that runs off an emergency
generator.
Depending on the kind of work you do, or the neighborhood where your space is
located, you may also want to establish clear guidelines about locked storage for
particular materials or equipment (drugs, for example), and about people not working
or leaving alone. Emergency numbers police fire, ambulance, hospital should be
posted or readily available, and policies made for how to deal with real or threatened
violence.
SUPPORT THE WORK ITSELF

No environment is supportive enough if we are not supported in the work we do.

Show your staff and volunteers that you support them in their tasks. For instance,
involve volunteers and staff members in all decisions that will affect them. This way,
you can help foster a sense of ownership that will enhance their connection to the
work and to the organization.
Another way to support the work of your staff is to put aside funds to send them to
out-of-office seminars, conferences, and other events. Attending these activities will
lead to a greater sense of purpose, and tell them that they are an important part of
the organization.

Even a small step, such as matching people with tasks and situations that relate to
their interests, will make a big impression on your staff and volunteers once they
recognize you care about them and about their interests. This way, you can also
keep a record of volunteer activities that the volunteer participated in. Your volunteer
will be able to use that for a resume, eventually.
Here are some other steps you can take to show support for staff and volunteer
work:
Train workers thoroughly, including a clear explanation of:
Their job duties
Expected standards of performance
What the agency does and why
The people theyll be working with
The nature of the community
Problems they might encounter in their work, and what to do about them
Any particular techniques or methods they need to use

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Policies and procedures use of phones, computers, Internet; where supplies are;
who has access to what; when and how they get paid; benefits, and how to claim
them; grievance procedure; dress code, if any
Organizational culture how people relate to one another and to participants, the
unspoken rules about how the organization functions day to day
Foster personal initiative. When someone suggests trying a different procedure, for
instance, encourage him to experiment with it. If it works well, recognize the owner of
the idea. Don't let staff or volunteers feel like their ideas are never accepted, or taken
without credit.
Apply organizational policies equally to everyone.
Involve volunteers and staff in major agency decisions and problem-solving
sessions. Schedule regular meetings when staff and volunteers can raise issues of
concern to them.
Be sure your organization allows for advancement of volunteers as well as paid staff
to help foster a sense of pride and self-worth, and to recognize the fact that
experience helps people improve their work.
Have a mechanism to give regular feedback to volunteers and staff regarding their
work.This may include oral or written feedback such as regular evaluations.
Make sure that everyone in the organization gets regular helpful supervision.
Give the staff and volunteers a chance to evaluate their supervisor and the agency,
either personally or anonymously.
Criticize privately and praise publicly.
Recognize work that is well done. This may be done in a variety of ways, including:
A "Volunteer of the Week" column in a local newspaper
A plaque with an agency "Worker of the Month"
Nominations for awards
Thank you notes
Assign tasks that will challenge staff and volunteers, and allow them to shine.
SUPPORT THE PERSON DOING THE WORK
Personal support is always welcome. Only computers work well without some
praising once in a while and without any human warmth. People enjoy feedback and
it won't take much of your time to praise your staff for something they did well, or to
offer help when theyre struggling. Make sure staff and volunteers know that you are
approachable and willing to listen to personal problems as well as work-related
problems.
Also:
Make an effort to know more about the worker than just her name and agency
duties: try to learn about her as a person: her family, interests, ideas, history, etc. On
the flip side, be sensitive to and respecting peoples desire for privacy.
Send birthday cards, remember holidays, etc.
Remember workers in times of crisis. If your agency is facing problems, make sure
that everyone has accurate and up-to-date information on the situation, and knows
how it might her and others.
Reimburse work-related expenses, such as travel or formal lunches
Recommend staff members and volunteers to potential employers
IN SUMMARY

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To provide support is fundamental if you want to have productive and satisfied staff
members and volunteers. Staff members and volunteers are key to successful
community efforts. The people that work in your organization should be treated as
assets, with respect and caring. There are many ways of showing and providing
support. You can support the people who do the work, you can support the work they
do, and you can create a supportive work environment. There are occasions in which
support is fundamental, but there's no right time to do it. Whatever you do, remember
that assisting your volunteers, and providing your staff with the support they need,
will make your job much easier in the long run.

Promoting Internal Communication

Worst-case scenario: It's 3:45 p.m., and your organization has scheduled a rally in
favor of the new Youth Center at 4:00. The press is there, the folks pushing the
Youth Center are there, the politicians are there...where are all the people from your
organization? In a panic, you call the office to ask where the rest of the staff is.
"Rally? What rally? Nobody told us about it," they say."We're not prepared for any
rally."
Even-worse-case scenario: You're the director of a community health clinic, and
you're about to open on Monday morning. Suddenly, all the clinic's nurses are lined
up in front of you. "Working conditions at this place are terrible. We've been abused
and exploited long enough! We're all handing in our resignations...right now!" You
stammer, "But you never told me you were unhappy. Let's discuss it!" Then you
realize that you're talking to the slamming door.
Each of these situations results from poor communication within an organization.
They're particularly awful examples, it's true, but poor internal communication has
plagued many grass-roots and community-based organizations, and has been the
downfall of quite a few. It's tremendously important that your organization foster an
atmosphere of openness and create systems that will lead to the freest flow possible
of, not only information, but ideas, feelings, and a sense of shared purpose.
A lot of the information and suggestions in this section assume a staff of at least five
or six members, which is the number at which sustaining internal communication can
become particularly difficult. This is not meant to imply that smaller organizations
don't have internal communication needs, or that the need for good internal
communication is any less in an organization with three staff members than in one
with 30. If your staff is larger than one, internal communication is an issue that you
can't afford to ignore. Most of the material that follows is relevant to small
organizations as well as large ones. This section will help you establish an
atmosphere and set up systems that will lead to good internal communication and to
the effectiveness of your organization.
WHAT IS INTERNAL COMMUNICATION?
In its simplest terms, internal communication is communication within an
organization. It encompasses both "official" communication -- memos, guidelines,
policies and procedures, etc. -- and the unofficial communication that goes on
among and between the staff members of all organizations -- the exchange of ideas
and opinions, the development of personal relationships, and the proverbial
conversation around the water cooler. It goes in all directions among line staff (those
who do the specific work of the organization and work directly with the target
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population), administrators, supervisors, clerical and support staff, volunteers, and,

perhaps, even the Board of Directors.
Internal communication is a lot more than people talking to one another, however. It's
the life blood of any organization, the way in which everyone gets the information
she needs. It means that anyone can easily get his question answered, as well as
that no one gets left out when there's a birthday celebration for a staff member.
Good internal communication can:

Provide people the information they need to do their jobs effectively

Make sure they know about anything that concerns them
Provide people with clear standards and expectations for their work
Give people feedback on their own performance
Provide them emotional support for difficult work
Suggest new ideas about both their work and their lives
Allow them to take the pulse of the organization and understand its overall situation
Help them maintain a shared vision and a sense of ownership in the organization
In many ways, internal communication is the glue that holds an organization
together. Without it, you're just a collection of disconnected individuals each working
individually at her own job. With it, you're a unit with power far beyond the sum of
your parts.
Communication, in general, is the process of transmitting ideas, thoughts,
information, emotions, etc. between and among people. Regardless of the context in
which this transmission occurs, there are certain basic ideas about communication
which always apply, and which should be understood when reading this section.
Communication is not one-sided. You can blanket the organization with information,
but if that information isn't understood, or isn't understood in the way you meant it,
you might as well not have bothered. Any good communicator has to empathize with
the audience and try to anticipate what they will think and how they will feel about a
message they receive.
Communication involves more than words. It can include body language, facial
expression, and tone of voice, as well as the attitude and general tone that are
projected in speech, writing, or actions. The condescending or hostile message sent
by someone's tone or stance may be stronger than the supportive message sent by
his words.
Communication can either be direct (i.e. go directly from the source to the recipient
of the message) or indirect (i.e. either go through a third -- or fourth or fifth -- party).
While indirect communication is often necessary, it always carries the possibility that
its message will be distorted as it goes through the network between the source and
the recipient, and it also eliminates the source's non-verbal communication. (E-mail
and memos do the same.)
Different individuals and groups communicate using different styles and
assumptions. People's personal experience, gender, racial and cultural background,
education, and perception of who has power all influence how they send, receive,
and interpret communication.
All communication has three aspects: its content; the tone in which it's delivered; and
the structure through which it's delivered. All of these together contribute to what the
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communication's actual message is, how well the communication is understood,

what effect it has on the person or group to whom it's directed, and what its ultimate
result will be.
To communicate effectively, organizations and individuals have to take all of these
ideas into account.
WHY SHOULD YOU PROMOTE INTERNAL COMMUNICATION?
So good internal communication is a good thing. But there's so much to do. Why
spend a lot of time on this stuff? Can't the organization do just fine by leaving people
alone to do their jobs and let internal communication take care of itself?

The short answer to that last question is "No." Unless you're a one-person
organization, communication is one of the most important aspects of managing what
you do. What can internal communication do for you? Here's a short list:
It can improve the effectiveness of the organization. The more information people
have, the more quickly they get it, and the better connections they have with others
in the organization, the better the work of the organization gets done, and the better
jobs individuals do. The better jobs they do, the better they feel about their jobs and
about the organization. The ultimate beneficiaries of all this are the target population,
the community, and the organization, which finds itself with committed and efficient
staff members, satisfied participants, and community respect.
It keeps everyone informed of what's going on in the organization. No one gets any
unpleasant surprises, and everyone has the chance to deal with changes, good
news, and bad news together.
It allows the organization to respond quickly and efficiently to change, emergencies,
etc.
It makes problem-solving easier by providing a channel for everyone's ideas and
opinions. Solutions can come from unexpected directions, but only if there's the
possibility that they'll be heard.
It creates a climate of openness within the organization. If everyone feels he has
access to whatever information he needs or wants, and can talk to anyone in the
organization about anything, it encourages good relations among people, promotes
trust, and forestalls jealousy and turf issues.
Turf issues arise when people feel insecure and believe they have to defend their
"turf," their own little piece of the organization. That can translate into their hoarding
information or materials, or becoming jealous of (or hostile to) anyone else who tries
to do any of what they do, even in attempts to help them. Defending turf can poison
the atmosphere of an organization, ruin the relationships among staff, and make it
harder for the organization to do its work. The more secure everyone feels -- and
knowing that communication is open is a big part of security -- the less likely turf
issues are to arise.
It promotes an atmosphere of collegiality, and makes the organization a pleasant
place to work. Good internal communication means that problems among people get
resolved and the workplace is generally a pleasant place to be. This, in turn, leads to
job satisfaction and organizational stability (people will be less likely to leave their
jobs if they're happy in their work and working conditions).
It gives people more of a sense of ownership of the organization, and more of a
feeling that everyone is working together toward the same goal. The combination of
openness and the easy flow of communication to everyone combine to make people

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feel like part of a coherent whole, and to feel that their ideas and opinions are
listened to and valued.
It promotes fairness and equity within the organization. If everyone has equal access
to information and to everyone else, it's harder for anyone to feel that she's
particularly privileged, or that she's being left out of the loop. It ultimately should lead
to everyone feeling she's part of a team of equals, all of whom are treated similarly.
It shows respect for everyone in the organization, by assuming that everyone's ideas
and information are valuable.
It gets problems and potential problems out in the open, rather than letting them
fester and turn into something far harder to deal with. You can't deal with a problem if
you don't know it's there; exposing it is the first -- and often the hardest -- step
toward resolving it.
The director of a small organization was constantly being told "in confidence" about
problems among other staff members or issues that staff members had with the way
he was doing things. The informants, who wanted to avoid conflict, would explain
that he couldn't act on any of their information, because that would expose them as
informants: they just "thought he ought to know." After a short time, he made clear
that he would no longer consider himself bound by confidentiality, since their
information was worse than useless if it meant he couldn't act on it. It simply made
him feel totally powerless, and made them powerless as well, because the issues
they raised continued and worsened.
He raised the issues he had been told about at a staff meeting, and groups were
formed to deal with each. The groups arrived at resolutions that everyone could live
with, and that both reduced tension among staff and greatly increased the
effectiveness of the organization. The director had proven his point: open
communication about problems does far more to relieve anxiety than avoiding
conflict does.
It forestalls the spread of rumors by making sure that accurate information is
constantly being communicated to everyone.
It improves the work of the organization by increasing the likelihood that ineffective
practices, problems, etc. Can be identified by those closest to them, and replaced or
resolved by things that work better.
HOW DO YOU PROMOTE INTERNAL COMMUNICATION?
There are three interrelated issues that an organization needs to address in
promoting internal communication. The first involves the organizational climate and
culture. The organization has to be a place where open communication is accepted
and encouraged. The second concerns establishing clear definitions of what needs
to be communicated, and by whom. If you assume that everyone always needs to
know about absolutely everything, the staff would spend all its time merely receiving
and passing on information. There need to be guidelines about what and how
information gets passed. The last issue is that of the systems that the organization
creates to get its work done and to enable internal communication. Are they
structured to encourage communication in all directions, or to discourage or channel
it in particular ways?
ORGANIZATIONAL CLIMATE AND CULTURE
To foster internal communication, the first and most important step is to establish a
climate of openness that encourages the free flow of communication and information
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in all directions. This means that the organizational culture has to embrace internal
communication, and that individuals -- particularly key individuals, who might be the
director and other administrators, or who might simply be the people that others
respect and listen to -- have to feel comfortable with, and model communicating
regularly and clearly with, anyone and everyone else in the organization.
The culture of an organization consists of accepted and traditional ways of doing
things, particular relationship structures, how people dress, how they act toward one
another, etc. People get used to that culture, and, just as in a society, changing it
can be difficult. If the culture of an organization has encouraged hoarding information
and lack of contact among staff, switching to a culture of openness and free
exchange may take time and a lot of tact. Whether you're a director, and want to
initiate change from above, or you're a staff member frustrated with the ways people
relate to one another in your organization, you need to be patient and celebrate
small victories. It won't happen all at once, unless everyone's ripe for change.
The suggestions below about creating an appropriate climate for communication
apply to everyone in an organization, but are particularly applicable to directors and
managers. No matter how democratic an organization is or claims to be, people still
tend to look for leadership to those with the most responsibility. Especially if the
establishment of internal communication involves a real change in organizational
culture, leaders have to set a very high standard of real openness and respect if they
expect others to follow.
Ultimately, the organizational climate becomes the organizational culture.
Creating a climate that fosters internal communication includes:
Practice what you preach, i.e. listen to others, and act quickly and appropriately on
their questions, complaints, suggestions, issues, etc. This is probably the most
important aspect of developing an atmosphere of openness. People have to be
consistently treated as if they and their ideas and opinions matter. If that doesn't
happen, you might as well forget the rest of this section.
Don't assume anything is trivial if someone is concerned enough to talk to you about
it. On the other hand, there are people in the world who like to see conflict, or who
feel it's their right to complain about everything, whether their complaints are justified
or not. If there's one on the staff of your organization, you and everyone else will
know it soon enough. You need to be respectful in any case, but you can also use
some judgment in how you respond without compromising the atmosphere of the
organization.
Treat everyone similarly, regardless of what job they have in the organization, or of
how you feel about them personally.
Be sensitive to your -- and others' -- style of communication. Ideally, the people on
both ends of a communication are partners. Being open and offensive or
condescending is probably worse than not being open at all. Many people are
apparently born expert communicators; others need to be trained to communicate
appropriately (see the description of "Staff training" below); and still others simply
need to be informed that -- often because of differences in age or gender -- their
style of communication is bothering others. Again, leaders need to set a clear
example here, but part of good internal communication is the willingness of people to

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speak out when they feel uncomfortable or offended. Often, that can be enough to
solve the problem.
Be culturally sensitive. This encompasses a large area, and runs both ways. The
people on both sides of a cultural divide -- whether it's a divide of race, ethnicity,
religion, or something else -- need to be sensitive to the assumptions and needs of
the other. Something as simple as how far apart they stand can create tension, and
the use of some terms that seem innocent on the part of one -- "you people" is a
prime example -- can cause anger and lasting bad feelings on the part of the other.
Make sure information flows in all directions. The organization should ensure that
people learn immediately about things that interest or affect them, and should set up
systems to make sure that happens, as well as mechanisms to make sure that less
timely information gets passed around (see "Systems" below). Information flow might
include -- in larger organizations -- an internal newsletter or bulletin that contains
interesting or important information (this could be circulated as either print or e-mail).
CLEAR DEFINITIONS OF WHAT NEEDS TO BE COMMUNICATED AND BY
WHOM
Much of the information an individual gets is directly related only to him or his job. He
obviously can't relay all of it to everyone else. What does need to be communicated
to others, and who is responsible for doing it? The answers to those questions will
vary from organization to organization, but here are some broad guidelines:
Any information that anyone needs to do his job or to better understand the context
of the work should be communicated to him immediately by whoever has the
information. Some possibilities here include information from another staff member
about a participant that both are working with; information from another staff member
about a situation that he is about to encounter as part of his job; or new rules,
regulations, guidelines, etc. that affect his work (from the director or his supervisor if
they are internal; from whoever learned about them if they are external, e.g. federal
laws).
People often forget that, in order to do their jobs, receptionists or others who may
take messages for them need to know such things as when they're available, where
they're going to be, and when they'll be back.
Anything that directly affects the work, employment status, working conditions, or
working relationships of an individual should be immediately communicated to her. A
potential layoff, a raise in pay, a change in job conditions, a promotion -- all of these
fall into this category. Under most circumstances, the communication should take
place before the situation is set in stone, so that she, and perhaps others as well,
can be part of a discussion about what's going to happen. She should never hear
about this type of situation from rumor or from anyone other than the director or her
supervisor (depending upon the management structure of the organization). And she
should hear about it first -- as soon as the director knows about it, and before anyone
who's not affected.
Any problem or issue with someone's job performance should be communicated to
him as soon as it becomes apparent. Rather than "You're messing up. You better get
your act together," it should take the form of a supervisory session. The staff
member should be informed by his supervisor of exactly what the problem is, and the
two should work together -- with others if appropriate -- to find ways to solve it, and
to improve on performance. If the problem is serious enough to be a potential reason
for dismissal, the staff member should be told that, and the procedure by which he
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might be fired explained to him. (This procedure should be part of the personnel
policy, if the organization has one.) The assumption should be that the situation will
improve, but if it gets worse, neither the seriousness of it nor the consequences
should come as a surprise.
Besides its benefits to both the organization and the individual, there is another,
more pragmatic, reason for clear communication here. It is actually very difficult to
fire an employee for not doing his job. In order to avoid a lawsuit or an adverse ruling
from the Labor Relations Board, an organization needs to have, and to follow, a clear
procedure for recording unacceptable performance over time, informing the
employee of the problem, and giving him a number of chances to improve. Thus, an
organization's ability to dismiss an incompetent employee may hinge on its
communication.
Any problems that arise between or among staff members should be addressed
immediately. As discussed above, the ideal is that all parties would be capable of
simply dealing with the issue face to face. If they can't or aren't willing to, there
should be an organizational procedure by which the situation can be mediated by
someone trusted by everyone involved. In either case, it's vital that the situation be
identified by at least one of the parties involved as quickly as possible, so that it can
be addressed and resolved before it affects the work of the organization.
Training has a role here. If staff members have tools with which to communicate
(conflict resolution skills, I-messages, etc.), they are more likely to be willing to
address problems or conflicts directly than if all they can envision is a screaming
match.
"I-messages" are just that: a way of explaining things by referring to one's own
feelings and perceptions about what has happened, rather than a more general -and blaming -- pronouncement. It is easier for someone to hear and respond to "I felt
hurt when you said that," than to "You never think about anyone but yourself."
Any problems between staff and the organization as a whole, or general staff
dissatisfaction with any aspect of their situation ( pay, working conditions, the
running of the organization, etc.) needs to be communicated reasonably and quickly
to the director or other person designated to handle those issues. (In a large
organization, there may actually be a human resource director or other administrator
who deals specifically with personnel issues. In smaller organizations, the director
may be the only administrator, and may do everything that line staff don't.)
Any information important to the working of the organization as a whole -- a funding
cut or increase, a visit by a celebrity, a staff resignation, a new program possibility,
etc. -- should be communicated to everyone, usually by the director. (In the case of a
resignation, the staff member may want to write a general note or tell others herself
at a meeting or individually.)
Positive information, praise, etc. should be communicated as often as possible by
anyone who has it to give, but especially by directors or supervisors. People in
grass-roots and community-based organizations too often deal with bad news. They
need to hear good news and get credit for what they do. In situations where an
individual is being praised for a job well done, he should be praised twice: once
privately by his supervisor or the director, and then again publicly (at a staff meeting
or awards presentation). And every opportunity should be taken to pass around that
kind of praise.
SYSTEMS

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Just about every organization sets up systems of different kinds to make it easier or
more effective to complete some parts of its task. Internal communication can be
stifled by your organization's systems, or it can be promoted and strengthened
through both existing systems and new ones you create for the purpose. It helps
both to understand what you can do, and what you'd be better off not doing. Some
ways that systems that can be used to promote and strengthen internal
communication:
Hiring

You may already have a plan for hiring staff members. It can easily include making
clear to all applicants -- for every job in the organization -- that communication is
absolutely necessary to what goes on in the organization, and that openness is part
of the organizational culture. Your hiring plan can also include searching for people
with the qualities that foster openness and communication -- comfort with oneself,
friendliness, a sense of humor, a relaxed attitude, among many others. You may be
able to devise questions and structure the interview situation to find those qualities.
An important piece of this process is to be sure that your communication with
applicants, including the interview itself, models what you're seeking in the working
of the organization.
A good way to make sure that you don't hire the wrong person is to put candidates
through an experience of anxiety and harassment. That will demonstrate to them that
the organizational culture is high tension, survival-of-the-fittest. The person who
looks best in that kind of situation is probably exactly the wrong person to help
establish an atmosphere that encourages internal communication.
Staff training
As with hiring, you may already have a staff training plan or program. You can adapt
it for promoting internal communication by adding or enhancing training in the
communication needs of the organization and individuals:
Some explanation of what ideal internal communication for the organization might
look like.
A caution here: the ideal of openness in communication should be balanced with the
necessities of getting the organization's work done. It doesn't make sense for a staff
member to communicate an issue straight to the director if the person who'll have to
handle it gets bypassed by that communication. It should be made clear in training,
and in general discussion, who has responsibility for what, and people should be
encouraged to direct their communication to the individuals with the appropriate
areas of responsibility.
Listening skills. More than just asking people to listen to others, training here might
include specific instruction and practice in active listening.
Active listening is a process by which you learn to temporarily turn off the voices in
your own head and simply pay close attention to what another person is saying.
Most of us "listen" by preparing our reply to what someone else has said, a reply that
usually concerns our own experience. By learning to concentrate on the whole of
what the other person is saying, we can learn a great deal not only about what he
really means (often lost as we listen to our own thoughts), but also about its
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importance to him. This makes it far more likely that we'll respond in a meaningful
way that opens up communication, rather than closing it off.
The simplest and most common active listening exercise is one where several
people hold a conversation with certain rules. It's often a more powerful learning
experience if the topic is one on which people disagree. No one can interrupt anyone
else, everyone gets a chance to speak, and each person must correctly summarize
what the last speaker has said (according to that speaker) before he can offer his
own thoughts. Knowing you must summarize the last person's message encourages
real concentration, and a much more controlled and profound conversation than if
everyone is simply fighting to state his own opinion.
An assessment of the trainee's own communication style. (Please see Tool # 1 for
one way of doing this.)
Cultural sensitivity. As discussed above, cultural differences can be a difficult
obstacle in communication. This is not only an issue of place of birth, but of race,
ethnicity, religion, class, sexual orientation, gender, disability...each of these brings
with it its own set of cultural norms and values, and it's important to be aware of
them. Training here can and should involve as diverse a group as possible from the
organization, should draw on trainees' and others' own experiences, and should
include asking questions when you don't understand why something is happening or
being said. Role playing is an essential part of training in this area, as is the
understanding that good will, and admitting when you don't know. A willingness to
learn will usually go a long way toward eliminating discomfort on all sides.
Some things need to be mentioned here. One is that true cultural sensitivity
demands a certain level of personal development. In a small Massachusetts town,
the high school mascot was a cartoon figure of a rampaging, warbonneted Indian
with a tomahawk. A Native American group was brought in by a student to explain
why the mascot was offensive to them, and why it might be appropriate to change it.
The town's reaction was that the mascot was fine, and Native Americans had no
right to be offended by it. Most citizens were simply incapable of understanding that
anyone could be offended by something they weren't offended by, and that there
could be differing opinions or feelings about something. Some staff members may
simply not understand the issue of cultural sensitivity, and may need time -- a long
time...in some cases, forever -- to get to a point where they can understand it.
Another important point is that cultural sensitivity needs to be considered from both
sides. When it's not a question of offense (If someone is seriously offended by
particular words or actions, that is generally -- although not always -- enough reason
for everyone else to avoid them.), there needs to be the potential for compromise on
both sides. If one person's culture involves speaking loudly and another's speaking
softly, the way to accommodation may be for both to speak in a moderate voice.
Finally, it's important for everyone to understand that offensive or inappropriate
communication is seldom intentional, and is therefore not likely to stop unless
someone calls attention to it. Just as the offender must take responsibility for
changing her behavior, the offended must take responsibility for speaking up in a
reasonable way. And both must at least start with the assumption that the other is
not a bad person.
Examples of appropriate and inappropriate communication, and of the kinds of things
that need to be communicated.
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Some instruction in conflict resolution. When there are problems among staff
members, it is always preferable that the participants settle them face to face. It is
easier and more constructive for someone to approach a person with whom she has
an issue if she also has a set of skills for dealing with face-to-face conflict. If
everyone on the staff is trained in conflict resolution, it both makes for better
communication and reduces the amount of mediation that administrators or others
have to do.
Lots of opportunities to practice different styles and kinds of communication through
role play, and lots of supportive, but honest, feedback.
Training, like every other aspect of the organization, should reflect the values you
want to communicate. If all training is lecture, or is passed down as "truth " by an
authority figure, it is unlikely that trainees will feel that the organizational culture is
one of openness, or that their opinions matter. If people are encouraged to share
their own experiences, to discuss any information given, to challenge the trainer if
they disagree, not only will the training be more valuable, but new staff members will
learn what the organization wants and expects from them. In short, the form and the
content of the training have to go together.
Supervision
The form that supervision takes in an organization can easily either foster or stifle
internal communication. If supervision is seen as intrusive and punitive (like looking
over people's shoulders and trying to catch them doing something wrong) internal
communication, particularly among supervisors and supervisees, probably won't
benefit. If supervision is seen -- and practiced -- as supportive and helpful, a way to
continually enhance the quality of one's work, then internal communication is more
likely to flourish. Another role that supervision plays here is that it can help staff and
volunteers to examine and improve their own communication, and thus improve
communication within the organization.
Regular meetings
A staff of any size, particularly one that operates out of a variety of places (different
communities, for instance), should meet regularly, ideally every week. Such
meetings are often slighted because they appear to take time away from the work of
the organization, or because most people dislike them. But they are, in fact, vital to
the work of the organization, allowing people the chance to share ideas (and thus
improve their own work by applying what they've heard ), hear what's going on in the
organization as a whole (and confirm their commitment to the work), and renew
relationships with one another (making it easier to work together).
When people dislike attending staff meetings, it's often because the meetings feel
like they're imposed by the administrator who runs them. They may not deal with
issues that are important to most of the staff, and, all too often, they consist of only
one person talking -- the administrator. A meeting that takes this form sends exactly
the wrong message in an organization that's trying to foster open communication.
If you want to make meetings more conducive to real communication, you can try
one or some combination of the following ways to make them more interesting and
enjoyable:

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Add food. Make them breakfast or lunch meetings; ask different people to bring
special, perhaps ethnic, food each time; provide, or encourage people to bring,
coffee and snacks. Food changes the whole tone of a meeting: breaking bread
together breaks down barriers as well, and turns a meeting into something more
congenial.
Rotate the responsibility for running the meeting among all staff members. This way,
it doesn't have to be seen as the director's or administrator's meeting, but as one that
reflects the concerns of everyone on staff.
Make sure the agenda is open to everyone. Anyone should be able to put items on
the agenda, and have them attended to with the same priority as any other items.
The person running the meeting could check with everyone beforehand, asking for
agenda items.
At a large mental health center, with over 100 employees, The Superintendent took it
upon himself to call a General Staff Meeting once a month. At those meetings, the
Superintendent would make some opening announcements and share some general
news, but the bulk of the meeting was set aside for any staff member to ask any
question or raise any issue at all. The meetings were open to anyone who worked
there, from Chief Psychiatrist to groundskeeper. Everyone was encouraged to attend
and speak, and many did. These meetings were almost always lively and sometimes
controversial; but more often than not, they were also productive. Unfortunately,
when the Superintendent left his position, the tradition of the General Staff Meeting
left along with him.
- Contributed by Bill Berkowitz
Build in a mechanism for everyone to get a chance to talk about what she's doing
and what's currently exciting about the job for her. This makes it possible for people
to feel that their experience is valued, and for others to pick up ideas that they can
use in their own work.
Keep meetings informal. Don't be afraid to use humor, or to make at least occasional
fun part of the organizational culture.
At a community college, the Dean of Students was famous for running long, boring
staff meetings. One staff member took it on himself -- with the unacknowledged
cooperation of the Dean -- to be the court jester at these meetings. He would make
jokes at the expense of the agenda, tease the Dean about his clothes, and concoct
terrible puns based on the meeting's information. The point of this was to keep
people interested...and it worked. Years later, both the Dean and others told the
"jester" that one of the things that kept people alert during meetings was wondering
what he would come up with next, and whether the Dean would get angry.
Hold meetings in places that have nothing to do with the organization. Meetings can
be held outdoors in good weather, in cafes, in people's homes, or in other
institutional spaces (a library or college, for instance). Sometimes getting out of the
office can help to change perspective and give birth to new ways of looking at things
as well.
In organizations where there's a distinction, line staff might have regular meetings
without administrators or supervisors present. They could freely discuss their
particular concerns and raise issues about, say, working conditions, which could
then be brought up with the appropriate administrators later.
Other avenues of communication

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An organizational newsletter -- either printed or e-mailed -- can be a way of getting

large amounts of information to people so they don't feel left out, and at the same
time give them the choice of how much of that information they want to digest. That
and any other communication (bulletins, memos, etc.) should embody in their style
and the method of their distribution the same principles of openness and general
respect as the rest of the organization's functioning.
Everyone should have easy and direct access to the means of communication, i.e.
mailboxes, phone and voice mail, fax, e-mail, phone and pager numbers, e-mail
addresses for everyone else in the organization, and both electronic and actual
bulletin boards and newsletters.
E-mail is a particularly effective method of internal communication. It's possible to
create an internal list-serv, so that everyone can receive e-mails sent by any other
person in the organization. There should be guidelines for using list-servs, so that
messages meant only for a particular person and non-work-related messages are
not sent over them.
In addition, people may ask to be put on specialized lists that cover their area of
work (counseling, grant information, new medical developments, etc.).

Procedures and clear lines of communication for dealing with out-of-the-ordinary

situations
When problems arise, communication is made easier - and more likely - if there are
systems that help people understand exactly what to do to deal with the situation.
Some of the more common instances:
Problems among staff. Unresolved conflicts in an organization make life harder and
more tense for everyone. The ideal here is always that a staff member at least tries
to resolve issues by approaching the person with whom he has difficulties. If that's
not possible, a well-drawn procedure for addressing the conflict (First, tell X, who will
try to mediate. If X is involved in the issue, go to Y. Etc.) makes it more likely that it
will be brought out in the open and that it will be resolved.
Problems, or potential problems, in the organization that need to be discussed and
addressed. As in the story about the director who was told about organizational
problems "in confidence," issues unacknowledged are issues unresolved. It's
possible to create procedures for flagging problems that take the responsibility off
the reporter, and outline clear, inclusive steps for dealing with the situation. One
possibility, for instance, would be to refer issues to a small group which could then
come up with one or more potential solutions to be discussed by the whole staff. In
order for problems to be dealt with effectively, or, even better, nipped in the bud,
people have to believe that:
Problems can be resolved, but only if they're identified and acknowledged
There are no organizational repercussions or blame for identifying a problem
There are organizational systems that work for addressing problems quickly and
resolving them fairly and effectively
These systems require the participation of everyone in the organization
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Conflict can lead to organizational and personal growth if it's faced squarely and
resolved in reasonable ways
Some ways to ensure that conflicts and problems in an organization don't get
communicated or resolved:
Make sure that all problems are resolved by orders issued by an administrator or
someone else in authority, without consulting anyone else
Call in the person(s) at the core of the problem, yell at them, and record the scolding
in their personnel files
Call an emergency staff meeting and blame everyone for what's going on
Encourage people to flag problems in the organization, but deny it or don't do
anything about it when they do
Blame the person making the report for starting trouble
Emergencies. These can take many forms, from an attack on the organization in the
press to an injury on the job to a security problem that results in a rape. There need
to be clear lines of communication for reporting the situation, and the person to
whom it's reported needs to know exactly how to respond, both to the reporter -- who
may be injured, terrified, or shaken up -- and to the situation.
Accessibility of everyone in the organization

This is a fairly simple concept that is sometimes difficult to effect. In essence, it

means that anyone should be able to speak to anyone else in the organization
without permission from anyone else (a common example is a staff member needing
permission to attend a Board meeting or to speak to a member of the Board).
All too often, the opposite of "good internal communication" is the "chain of
command." This metaphor, borrowed from the military, lines out who can speak to
whom in an organization, and defines the scope of each person's authority. In a
proper chain, you can contact anyone below you, but only the person immediately
above you. If you need to talk to the director, you have to go through your immediate
supervisor (who then has to go through her supervisor, etc.) to get permission. This
model and its variants are not exactly conducive to free and open communication.
At the same time, it's important to understand when it's appropriate to bring particular
issues to an administrator or Board member. If there's been no attempt to resolve the
issue at the level on which it exists, for instance, then it shouldn't be going anywhere
else until that attempt takes place. That's the reason for creating systems of
communication that everyone understands.
Occasional or institutionalized opportunities to socialize, either at work or elsewhere
One way to encourage communication is to set up ways for people to get to know
one another well. Many organizations grab any excuse they can find to have a party,
a celebration, or just time to relax and talk about things other than work. Some staffs
eat lunch together as a regular daily ritual, which can be fostered by the presence of
a refrigerator, coffeemaker, and hotplate. Celebrating birthdays, organizational
anniversaries, and particular successes is another way to bring people together. The
goal is not necessarily to make staff members best friends who spend all their time
together out of work, but rather to make people comfortable with one another.

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HOW DO YOU MONITOR AND IMPROVE INTERNAL COMMUNICATION?

As with so many aspects of organizational management, developing plans, systems,
pathways, and a conducive climate for internal communication is only the beginning.
The hard part is getting and keeping it going, essentially forever. In order to maintain
internal communication and continue to make it better, you have to look at it regularly
to see how you're doing. Monitoring it on a regular basis will help you identify where
it's working and where it's not, and to keep working toward your communication
goals.
Analyzing something as vague as "communication" can be difficult: it often falls into
that realm of "I know it when I see it." Sociologists use complicated research
strategies to map communication among individuals in a group, but it's unlikely that
most organizations have either the resources or the desire to go to those lengths.
There are a number of simpler ways to look at your internal communication that will
give you at least a general picture of how well it's working.
Some ways of monitoring internal communication:
Check staff satisfaction on the level, speed, and inclusiveness of the information and
other communication they receive. (Depending upon how formal you want or need to
be, this could involve conducting a formal staff survey, written or otherwise.) Do they
feel included in the working of the organization? Are they the last to know about
things that affect them? Do they always, or almost always, have the information they
need to do their jobs as well as possible?
If you're afraid they won't answer honestly, you can give people the option of
answering anonymously -- less useful information, but better than inaccurate
information. On the other hand, if people aren't willing to answer honestly under their
own names, or even if you think they aren't, that probably tells you a great deal about
the quality of your internal communication.
Ask for feedback at the end of staff meetings, either on the meeting itself, on the
decision-making process, or anything else of concern. You could also, on a regular
basis, devote all or part of a staff meeting to a review of internal communication
procedures and how well they're working.
Make internal communication a topic at whatever staff retreats or evaluation
sessions you hold to look at the organization as a whole.
See how long it takes to actually run a piece of information through the organization,
and whether it can be done accurately. In other words, play a game of organizational
Telephone by putting some information into the network (in this case, the network of
all staff members) and see how long it takes to get to everyone, and what it looks like
when it gets there. If it's fast and reasonably accurate, congratulations. If it's sluggish
and distorted, you still have some work to do.
Try to determine whether internal problems over the period of time you're assessing
(a year, perhaps) have decreased in frequency and/or severity compared to the
previous period. If there's a noticeable change for the better, it's likely that at least
some of that change is due to improved communication.
Try to identify and rectify sticking points. These might be individuals, systems, or
organizational inertia.
Individuals: If particular people seem to be bottlenecks in the flow of communication,
you can try to pull them into the network by enlisting them in seeking solutions to the
problem; trying to address the issues that keep them from communicating effectively;
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or, if all else fails, bypass them in some way so that they don't hang everyone else
up.
Systems: You can work as a staff to modify or change systems to be more
responsive to the communication needs of the organization. This may mean
changing the form of a staff meeting, as described above; instituting alternative ways
for people to get information or have contact with one another; rewriting policies and
procedures to include or encourage communication at particular steps; etc.
Organizational inertia: the organization as a whole may have made a commitment to
a policy of open communication, but if there are attitudes or preconceptions or
procedures left over from what the organization was like before, they may work
against the new order. Individual staff members and the organization as a whole
have to look at these outdated ways of functioning and find ways to change or
eliminate them. This kind of change is never easy, and is often slow. It is more apt to
happen if everyone works together to understand the ways in which the organization
and individuals are working against themselves, and to come up with solutions. In
addition to bringing everyone's ideas into the mix, this process has the advantage of
people then being able to keep one another honest when someone backslides.
Like all aspects of an organization, communication should be monitored on a regular
basis, at least annually.
IN SUMMARY
Promoting internal communication is one of the most important things you can do to
make sure that your organization runs smoothly and effectively. Good internal
communication will flourish if you can create an organizational climate of openness
that is conducive to the free flow of communication and information in all directions;
adjust your organization's systems or develop new ones to encourage, rather than
discourage, internal communication; and create clear definitions of what needs to be
communicated and by whom. Monitoring and adjusting your internal communication
will help to maintain it at the level you need over the life of your organization.
Conducting Effective Meetings
WHAT ARE EFFECTIVE MEETINGS?
Sometimes it seems as if we're always meeting. We have our regular monthly
organization meetings, special task force meetings to work on, urgent actions, and
committee meetings for projects our group has taken on. Meetings take up so much
of our time because they're the way we make our decisions, plan our actions, and
move the work we are doing along.
But how many of us hate meetings? We all of have memories of meetings (maybe
even last night's committee meeting) that seem to last forever and no decisions ever
get made. Someone kept interrupting and moving everyone off of the agenda, the
chair had too many of her own opinions, the meeting ran overtime, and by the time it
was over, everyone went home tired and unsatisfied.
Well, while there's no magic wand to make every meeting more effective, meetings
can really help in decision making and planning. They don't have to be painful. They
can even be fun. And you can learn how to make your meetings both useful and
enjoyable for everyone there. Effective meetings help your group reach its goals.
WHY DO YOU NEED EFFECTIVE MEETINGS?
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Did you know that how you manage and run your meetings is one of the biggest "risk
factors" for participation and member investment in your organization? All of the
parts of a meeting are important--planning (especially thinking through agendas and
goals); logistics; and chairing skills and principles. All of these parts impact on
member participation and involvement.
Each "phase" needs to be paid attention to and taken seriously because good
meeting management is critically linked to participation. It is through meetings that
the group is or is not able to get things done, solve problems, manage itself in a way
that promotes inclusion and safety, and creates a sense of community.
HOW DO YOU RUN AN EFFECTIVE MEETING?
Running or chairing a meeting means more than just moving the group through the
agenda. When you chair a meeting, you are responsible for the well-being of the
group and the members in it. That demands a certain amount of attention be paid to
"group dynamics" and other process issues. All of that "touchy feely" stuff is
important!
Remember: Running meetings is a skill, not something you are born knowing how to
do. Just as with any skill, you will get better with practice--and more confident, too!

When someone says, "Nice job. That was a good meeting," what do they really
mean? A truly good meeting happens when attention is paid to the four phases of
meeting management:
Planning for the meeting (Agenda and goals)
Setting up the meeting (Logistics)
Running the meeting (Chairing/Facilitating)
Following up (After the meeting ends...)
PHASE 1: PLANNING THE MEETING
If you pay attention to planning your meeting, you can avoid the "meeting killers" like:

Wasting meeting time

Wasting people's time
Boring meetings that go nowhere
Meetings for meeting's sake
DECIDE THE GOAL OF THE MEETING
Is it to revise the by-laws, plan volunteer recruitment, or something else? No clear
goal? A boring and unfocused meeting may result! Come up with a clear goal and
the agenda becomes your road map to getting there.
Do your homework!
If you need information or research for the meeting, better have it done before the
meeting starts. What happens when you show up at a meeting where important
information is missing? It's usually a big waste of time!
DECIDE WHO NEEDS TO BE THERE

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If you are working on a billboard campaign, does the whole membership need to
attend or just the Billboard Committee? Think before you send out those meeting
notices!! When people come to a meeting where they don't care about the agenda,
guess what? They usually don't come back!
PLAN WITH OTHERS
This is a great way to develop new leaders and get other people more invested in
the work of your group! Just get three or four interested folks together and hash out
the agenda--it won't take more than an hour!
And most important...
GOOD AGENDAS COUNT!
List the amount of time you plan for each item. If someone other than you is
presenting some part of the agenda, list that too, and send it out at least a week
ahead of time. Members of any group should know what they are coming to do!
If the agenda is your road map, than make sure it has all of the stops listed on it,
without too many unnecessary side trips. Let everyone know what's going to be
discussed; don't keep it a secret!
PHASE 2: SETTING UP THE MEETING
START AND END ON TIME
It's disrespectful to abuse members' time and about the biggest turn-off there is! If
you must start late because only three people are in the room when you're supposed
to start, at least apologize! Better yet, get into the habit of starting on time EVEN if
there are only three people in the room. Word will get around and eventually, people
will come on time or won't come at all. If people keep showing up late, or not
showing up at all, this may be a hint to change your meeting time, or your meeting
pattern, or both.
SIGN THEM IN
Sign-in sheets do more than tell you who came. They also help update your
membership list and give you names for phone trees. Be sure to include name,
organization, address, and phone number!
DO YOUR BEST TO MAKE EVERYONE COMFORTABLE
Meeting spaces should be comfortable and convenient. The room should be
centrally located, and the right size for the size of your group. Get there early to set
up and try to use a space where you can make a circle, not sit in rows like an
auditorium. If the meeting space is hard to get to for seniors or others, try to arrange
transportation or perhaps a volunteer "escort" service (a great teen/senior project!).
ALL WORK AND NO PLAY IS NO GOOD!

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Have informal time before and after the meeting for people to talk and socialize.
That's a big reason people joined your group in the first place, and it's where you can
recruit volunteers. Remember, sometimes "the meeting after the meeting" is where
people get attached to the group--and also get their best ideas to bring to the next
meeting!
A REGULAR CYCLE
If you have a regular meeting cycle, people will start to save the date (e.g. the first
Monday of the month); but don't have a meeting just to meet! Always have a clear
goal or don't have the meeting.
PHASE 3: RUNNING THE MEETING
Being a meeting chairperson is more than one task; it's many jobs in one. If you take
it from the top, your job as a chairperson means it is up to you to:
DO INTRODUCTIONS
That includes getting everyone to introduce themselves, as well as introducing
yourself and your role. When there's a special speaker, his or her introduction is your
job too.
Don't forget how good icebreakers can be to loosen everyone up! An icebreaker is
something short at the beginning of the meeting to help people get to know each
other or dig out some important piece of information in a fun or interesting way. For
example, your group could do a "Scavenger Hunt" where people "scavenge"
information about each other.
GET AGREEMENT ON AGENDA AND RULES
Remember, it's everyone's meeting, so everyone needs to "buy in" to the agenda.
You can ask for feedback on the agenda before you begin. Rules like no interrupting,
etc. can also be helpful if you have some potential "disrupters" in the house.
KEEP THE DISCUSSION ON TRACK
If someone's going off the agenda or is speaking too long, pull 'em back in! Be gentle
but firm: people respect a meeting that's run well and remember all too clearly the
meetings where someone was allowed to go on and on and on.
WATCH THE TIME!
Remember about starting and ending! Honor agenda time limits. If the group seems
to want to go beyond the agreed upon time on an issue, ask for agreement from all
members. A statement such as, "We've already used our allotted time for this issue.
Would everyone like to continue on the topic for another ten minutes, or shall we go
on to the next item on the agenda?" can be a good way to take the group's pulse on
the matter.
SUMMARIZE WHAT YOU HEAR
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Wrap-up each agenda item by summarizing any conclusions out loud. Then move on
when no one objects or everyone agrees.
ENCOURAGE PARTICIPATION
If a usually quiet person speaks, show your appreciation. Try to draw everyone in
and not just let the usual suspects speak!
USE THE POWER OF YOUR POSITION WISELY
Watch what you say and how and how much you say it! Don't take sides, and be fair
to everyone.
DEVELOP NEW LEADERS BY HANDING OVER THE GAVEL
Try rotating chairing responsibility. The only way others will learn is by watching you
and then doing.
Some tips for managing people in the meeting:

Have a sense of humor, and don't be defensive

Use open-ended questions that require people to say more than "yes" or "no"
Look around the room and watch for signs that you should slow things down or
speed them up
PHASE 4: FOLLOWING UP ON THE MEETING
Just because the meeting is over, it doesn't mean your work is done! In order for you
to successfully follow up after the meeting, you will need to:
GATHER FEEDBACK FROM THE GROUP
You will want to gather information about how the participants felt about the meeting,
what could be improved, etc. You may not want to do this at every meeting, but at
least once in a while; making sure that people have clear assignments, setting or
reaffirming the date for the next meeting, and maximizing opportunities for people to
stay around and talk after the meeting (which is very important).
MAKE FOLLOW-UP CALLS
The Chair or a designated person may want to make follow-up calls, send out follow
-up correspondence, and/or take some follow-up actions. These after-the-meeting
activities often serve as the glue that hold the group together.

SUMMARIZE THE MEETING

It's helpful to have a list of the decisions made, with follow-ups. Formal minutes are
valuable for many (not all) organizations--they contain announcements, informational
items, etc., that are important to report even though they are not "decisions. "

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Writing up minutes can be boring, and so can reading them. But that's part of the job
the secretary took on.
Some alternatives can include:
Have a volunteer do a meeting summary sheet, in addition to the minutes
Have the minutes read more like a story than a formal roman-numerals-type report.
Also, place the decisions made in boldface or ALL CAPS, so they stand out. Ditto for
follow-ups.
TIPS ON HANDLING DIFFICULT MEMBERS
INTERVENTIONS
Interventions are techniques to use when you are confronted with disruption or
problems during the meetings. They can be used separately, but are usually more
effective when used in combination. Interventions attempt to be low on the
confrontation scale but still are effective in getting disrupters under control.
Have the group decide:
If someone refuses to stick to the agenda, keeps bringing up the same point again
and again, challenges how you are handling the meeting, etc.
Use the agenda and ground rules:
If someone keeps going off the agenda, has side conversations through the whole
meeting, verbally attacks others, etc.
Be honest: Say what's going on:
If someone is trying to intimidate you, you feel upset and undermined, you need to
enlist the help of the group, etc.
Use humor:
If there is a lot of tension in the room, people are resistant to being at the meeting,
scared/shy about participating, you are seen as an outsider, etc.
Accept, deal, or defer:
If someone keeps expressing doubts about accomplishing anything, is bitter and
puts down every suggestion, keeps bringing up the same point over and over, has
power issues, etc. This means: ACCEPT that what they are saying is true, don't
ignore it; DEAL with it right there by spending some time on it, or DEFER it to the
group for a decision about what to do. Also see points G and H below.
Use body language (if possible):
To quiet side conversations, help quiet people participate, re-focus attention, etc.
You can speak volumes by making eye contact, by smiling (or not smiling), or by a
change in your seating position.
Take a break: Confront disrupters outside the meeting room:
When less confrontational tactics haven't worked, someone keeps verbally attacking
other participants, shuffling papers, having side conversations or cutting people off.
You can deal with this issue outside the room, at a naturally-occurring break in the
action.
Confront in the room:
If it's appropriate and will not create backlash, if the group will support you, if you've
tried less confrontational tactics already, etc.
PREVENTIONS

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Preventions are techniques that can help you avoid disruption from the start. If you
use these "preventions" from the start of your meetings, you should keep disruption
away.
Listen to understand
Don't just pretend to listen to what someone is saying. People can tell when you are
not paying attention. Listen closely to understand the points the speaker is making,
and restate these points aloud if you are unsure.
Stay in your role
You cannot be a participant and the chair of the meeting at the same time. When you
blur the lines, you risk alienating participants, causing resentment, and losing control
of the meeting. Offer strategies, resources, and ideas--but not direct opinions.
Remember: "Chairperson" doesn't mean "participant." If you are passionate about an
issue on the agenda and want to speak, make an arrangement BEFORE the
meeting for someone else to chair that section.
Don't be defensive
If attacked, criticized, etc., take a "step backwards." Think about what was said
before you respond. Once you become defensive, you risk losing the group's respect
and trust, and may well make the situation worse.
IN SUMMARY
Now you have the keys to planning and getting through effective meetings in your
organization. A good meeting that is well prepared, focused and conducted efficiently
can make yours a quality organization, while one that is poorly planned or run will
cause a lot of difficulties for your group.
Developing Facilitation Skills
WHAT ARE FACILITATION SKILLS?
Community organizations are geared towards action. There are urgent problems and
issues we need to tackle and solve in our communities. That's why we came
together in the first place, isn't it? But for groups to be really successful, we need to
spend some time focusing on the skills our members and leaders use to make all of
this action happen, both within and outside our organizations.
One of the most important sets of skills for leaders and members are facilitation
skills. These are the "process" skills we use to guide and direct key parts of our
organizing work with groups of people such as meetings, planning sessions, and
training of our members and leaders.
Whether it's a meeting (big or small) or a training session, someone has to shape
and guide the process of working together so that you meet your goals and
accomplish what you've set out to do. While a group of people might set the agenda
and figure out the goals, one person needs to concentrate on how you are going to
move through your agenda and meet those goals effectively. This is the person we
call the "facilitator."
SO, HOW IS FACILITATING DIFFERENT THAN CHAIRING A MEETING?
Well, it is and it isn't. Facilitation has three basic principles:

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A facilitator is a guide to help people move through a process together, not the seat
of wisdom and knowledge. That means a facilitator isn't there to give opinions, but to
draw out opinions and ideas of the group members.
Facilitation focuses on how people participate in the process of learning or planning,
not just on what gets achieved
A facilitator is neutral and never takes sides
The best meeting chairs see themselves as facilitators. While they have to get
through an agenda and make sure that important issues are discussed, decisions
made, and actions taken, good chairs don't feel that they have all of the answers or
should talk all the time. The most important thing is what the participants in the
meeting have to say. So, focus on how the meeting is structured and run to make
sure that everyone can participate. This includes things like:
Making sure everyone feels comfortable participating
Developing a structure that allows for everyone's ideas to be heard
Making members feel good about their contribution to the meeting
Making sure the group feels that the ideas and decisions are theirs, not just the
leader's. Supporting everyone's ideas and not criticizing anyone for what they've
said.
WHY DO YOU NEED FACILITATION SKILLS?
If you want to do good planning, keep members involved, and create real leadership
opportunities in your organization and skills in your members, you need facilitator
skills. The more you know about how to shape and run a good learning and planning
process, the more your members will feel empowered about their own ideas and
participation, stay invested in your organization, take on responsibility and
ownership, and the better your meetings will be.
HOW DO YOU FACILITATE?
Meetings are a big part of our organizing life. We seem to always be going from one
meeting to the next. The next session in the Tool Box covers planning and having
good meetings in depth. But here, we're going to work on the process skills that good
meeting leaders need to have. Remember, these facilitation skills are useful beyond
meetings: for planning; for "growing" new leaders; for resolving conflicts; and for
keeping good communication in your organization.
CAN ANYONE LEARN TO FACILITATE A MEETING?
Yes, to a degree. Being a good facilitator is both a skill and an art. It is a skill in that
people can learn certain techniques and can improve their ability with practice. It is
an art in that some people just have more of a knack for it than others. Sometimes
organization leaders are required to facilitate meetings: thus, board presidents must
be trained in how to facilitate. But other meetings and planning sessions don't require
that any one person act as facilitators, so your organization can draw on members
who have the skill and the talent.
To put it another way, facilitating actually means:
Understanding the goals of the meeting and the organization
Keeping the group on the agenda and moving forward

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Involving everyone in the meeting, including drawing out the quiet participants and
controlling the domineering ones
Making sure that decisions are made democratically
HOW DO YOU PLAN A GOOD FACILITATION PROCESS?
A good facilitator is concerned with both the outcome of the meeting or planning
session, with how the people in the meeting participate and interact, and also with
the process. While achieving the goals and outcomes that everyone wants is of
course important, a facilitator also wants to make sure that the process if sound, that
everyone is engaged, and that the experience is the best it can be for the
participants.
In planning a good meeting process, a facilitator focuses on:
Climate and Environment
Logistics and Room Arrangements
Ground Rules
A good facilitator will make plans in each of these areas in advance. Let's look at
some of the specifics.
CLIMATE AND ENVIRONMENT

There are many factors that impact how safe and comfortable people feel about
interacting with each other and participating. The environment and general "climate"
of a meeting or planning session sets an important tone for participation.
Key questions you would ask yourself as a facilitator include:
Is the location a familiar place, one where people feel comfortable? Face it, if you're
planning to have an interactive meeting sitting around a conference table in the
Mayor's office, some of your folks might feel intimidated and out of their environment.
A comfortable and familiar location is key.
Is the meeting site accessible to everyone? If not, have you provided for
transportation or escorts to help people get to the site? Psychologically, if people feel
that the site is too far from them or in a place they feel is "dangerous," it may put
them off from even coming. If they do come, they may arrive with a feeling that they
were not really wanted or that their needs were not really considered. This can put a
real damper on communication and participation. Another reminder: can
handicapped people use the site as well?
Is the space the right size? Too large? Too small? If you're wanting to make a
planning group feel that it's a team, a large meeting hall for only 10 or 15 people can
feel intimidating and make people feel self-conscious and quiet. On the other hand, if
you're taking a group of 30 folks through a meeting, a small conference room where
people are uncomfortably crunched together can make for disruption: folks shifting in
their seats, getting up to stretch and get some air. This can cause a real break in the
mood and feeling of your meeting or planning session. You want folks to stay
focused and relaxed. Moral: choose a room size that matches the size of your group.
LOGISTICS AND ROOM ARRANGEMENTS
Believe it or not: how people sit, whether they are hungry and whether they can hear
can make or break your planning process. As a facilitator, the logistics of the meeting
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should be of great concern to you, whether you're responsible for them or not. Some
things to consider are:
Chair arrangements: Having chairs in a circle or around a table encourages
discussion, equality, and familiarity. Speaker's podiums and lecture style seating
make people feel intimidated and formal. Avoid them at all costs.
Places to hang newsprint: You may be using a lot of newsprint or other board space
during your meeting. Can you use tape without damaging the walls? Is an easel
available? Is there enough space so that you can keep important material visible
instead of removing it?
Sign-In sheet: Is there a table for folks to use?
Refreshments: Grumbling stomachs will definitely take folks minds off the meeting. If
you're having refreshments, who is bringing them? Do you need outlets for coffee
pots? Can you set things up so folks can get food without disrupting the meeting?
And who's cleaning up afterwards?
Microphones and audio visual equipment: Do you need a microphone? Video
cameras? Can someone set up and test the equipment before you start?
To build a safe as well as comfortable environment, a good facilitator has a few more
points to consider. How do you protect folks who are worried their ideas will be
attacked or mocked? How do you hold back the big talkers who tend to dominate
while still making them feel good about their participation? Much of the answer lies in
the Ground Rules.
GROUND RULES
Most meetings have some kind of operating rules. Some groups use Robert's Rules
of Order (parliamentary procedure) to run their meetings while others have rules
they've adopted over time. When you want the participation to flow and for folks to
really feel invested in following the rules, the best way to go is to have the group
develop them as one of the first steps in the process. This builds a sense of power in
the participants ("Hey, she isn't telling us how to act. It's up to us to figure out what
we think is important!") and a much greater sense of investment in following the
rules. Common ground rules are:
One person speaks at a time
Raise your hand if you have something to say
Listen to what other people are saying
No mocking or attacking other people's ideas
Be on time coming back from breaks (if it's a long meeting)
Respect each other
A process to develop ground rules is:
Begin by telling folks that you want to set up some ground rules that everyone will
follow as we go through our meeting. Put a blank sheet of newsprint on the wall with
the heading "Ground Rules."
Ask for any suggestions from the group. If no one says anything, start by putting one
up yourself. That usually starts people off.
Write any suggestions up on the newsprint. It's usually most effective to "check -in"
with the whole group before you write up an idea ("Sue suggested raising our hands

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if we have something to say. Is that O.K. with everyone?") Once you have gotten 5
or 6 good rules up, check to see if anyone else has other suggestions.
When you are finished, ask the group if they agree with these Ground Rules and are
willing to follow them. Make sure you get folks to actually say "Yes" out loud. It
makes a difference!
FACILITATING A MEETING OR PLANNING SESSION
As we've already said, the facilitator is responsible for providing a "safe" climate and
working atmosphere for the meeting. But you're probably wondering, "What do I
actually do during the meeting to guide the process along?" Here are the basic steps
that can be your facilitator's guide:
START THE MEETING ON TIME
Few of us start our meetings on time. The result? Those who come on time feel
cheated that they rushed to get there! Start no more than five minutes late, ten at the
maximum and thank everyone who came on time. When latecomers straggle in,
don't stop your process to acknowledge them. Wait until after a break or another
appropriate time to have them introduce themselves.
WELCOME EVERYONE

Make a point to welcome everyone who comes. Don't complain about the size of a
group if the turnout is small! Nothing will turn the folks off who did come out faster.
Thank all of those who are there for coming and analyze the turnout attendance
later. Go with who you have.
MAKE INTRODUCTIONS
There are lots of ways for people to introduce themselves to each other that are
better than just going around the room. The kinds of introductions you do should
depend on what kind of meeting you are having, the number of people, the overall
goals of the meeting, and what kind of information it would be useful to know. Some
key questions you can ask members to include in their introductions are:
How did you first get involved with our organization? (if most people are already
involved, but the participants don't know each other well)
What do you want to know about our organization? (if the meeting is set to introduce
your organization to another organization)
What makes you most angry about this problem? (if the meeting is called to focus on
a particular problem)
Sometimes, we combine introductions with something called an "ice breaker." Ice
breakers can:

Break down feelings of unfamiliarity and shyness

Help people shift roles--from their "work" selves to their "more human" selves
Build a sense of being part of a team
Create networking opportunities
Help share participants' skills and experiences
Some ways to do introductions and icebreakers are:

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In pairs, have people turn to the person next to them and share their name,
organization and three other facts about themselves that others might not know.
Then, have each pair introduce each other to the group. This helps to get strangers
acquainted and for people to feel safe--they already know at least one other person,
and didn't have to share information directly in front of a big group at the beginning of
the meeting.
Form small groups and have each of them work on a puzzle. Have them introduce
themselves to their group before they get to work. This helps to build a sense of
team work.
In a large group, have everyone write down two true statements about themselves
and one false one. Then, every person reads their statements and the whole group
has to guess which one is false. This helps folks get acquainted and relaxed.
Give each participant a survey and have the participants interview each other to find
the answers. Make the questions about skills, experience, opinions on the issue
you'll be working on, etc. When everyone is finished, have folks share the answers
they got.
When doing introductions and icebreakers, it's important to remember:
Every participant needs to take part in the activity. The only exception may be
latecomers who arrive after the introductions are completed. At the first possible
moment, ask the latecomers to say their name and any other information you feel
they need to share in order for everyone to feel comfortable and equal.
Be sensitive to the culture, age, gender and literacy levels of participants and any
other factors when deciding how to do introductions. For example, an activity that
requires physical contact or reading a lengthy instruction sheet may be inappropriate
for your group. Also, keep in mind what you want to accomplish with the activity.
Don't make a decision to do something only because it seems like fun.
It is important to make everyone feel welcome and listened to at the beginning of the
meeting. Otherwise, participants may feel uncomfortable and unappreciated and
won't participate well later on. Also, if you don't get some basic information about
who is there, you may miss some golden opportunities. For example, the editor of
the regional newspaper may be in the room; but if you don't know, you'll miss the
opportunity for a potential interview or special coverage.
And don't forget to introduce yourself. You want to make sure that you establish
some credibility to be facilitating the meeting and that folks know a bit about you.
Credibility doesn't mean you have a college degree or 15 years of facilitation
experience. It just means that you share some of your background so folks know
why you are doing the facilitation and what has led you to be speaking up.
REVIEW THE AGENDA, OBJECTIVES AND GROUND RULES FOR THE
MEETING
Go over what's going to happen in the meeting. Check with the group to make sure
they agree with and like the agenda. You never know if someone will want to
comment and suggest something a little different. This builds a sense of ownership
of the meeting and lets people know early on that you're there to facilitate their
process and their meeting, not your own agenda.
The same is true for the outcomes of the meeting. You'll want to go over these with
folks as well to get their input and check that these are the desired outcomes they're
looking for. This is also where the ground rules that we covered earlier come in.
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ENCOURAGE PARTICIPATION
This is one of your main jobs as a facilitator. It's up to you to get those who need to
listen to listen and those who ought to speak. Encourage people to share their
experiences and ideas and urge those with relevant background information share it
at appropriate times.
STICK TO THE AGENDA

Groups have a tendency to wander far from the original agenda, sometimes without
knowing it. When you hear the discussion wandering off, bring it to the group's
attention. You can say "That's an interesting issue, but perhaps we should get back
to the original discussion."
AVOID DETAILED DECISION-MAKING
Sometimes, it's easier for groups to discuss the color of napkins than the real issues
they are facing. Help the group not to get immersed in details. Suggest instead,
"Perhaps the committee could resolve the matter." Do you really want to be involved
in that level of detail?
SEEK COMMITMENTS
Getting commitments for future involvement is often a meeting goal. You want
leaders to commit to certain tasks, people to volunteer to help on a campaign, or
organizations to support your group. Make sure adequate time is allocated for
seeking commitment. For small meetings, write people's names down on newsprint
next to the tasks they agreed to undertake.
One important rule of thumb is that no one should leave a meeting without
something to do. Don't ever close a meeting by saying "We'll get back to you to
confirm how you might like to get involved." Seize the moment! Sign them up!
BRING CLOSURE TO EACH ITEM
Many groups will discuss things ten times longer than they need to unless a
facilitator helps them to recognize they're basically in agreement. Summarize a
consensus position, or ask someone in the group to summarize the points of
agreement, and then move forward. If one or two people disagree, state the situation
as clearly as you can: "Tom and Levonia seem to have other feelings on this matter,
but everyone else seems to go in this direction. Perhaps we can decide to go in the
direction that most of the group wants, and maybe Tom and Levonia can get back to
us on other ways to accommodate their concerns." You may even suggest taking a
break so Tom and Levonia can caucus to come up with some options.
Some groups feel strongly about reaching consensus on issues before moving
ahead. If your group is one of them, be sure to read a good manual or book on
consensus decision making. Many groups, however, find that voting is a fine way to
make decisions. A good rule of thumb is that a vote must pass by a two-thirds
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majority for it to be a valid decision. For most groups to work well, they should seek
consensus where possible, but take votes when needed in order to move the
process forward.
RESPECT EVERYONE'S RIGHTS
The facilitator protects the shy and quiet folks in a meeting and encourages them to
speak out. There is also the important job of keeping domineering people from
monopolizing the meeting or ridiculing the ideas of others.

Sometimes, people dominate a discussion because they are really passionate about
an issue and have lots of things to say. One way to channel their interest is to
suggest that they consider serving on a committee or task force on that issue. Other
people, however, talk to hear themselves talk. If someone like that shows up at your
meeting, look further ahead in this chapter for some tips on dealing with "disrupters."
BE FLEXIBLE
Sometimes issues will arise in the meeting that are so important, they will take much
more time than you thought. Sometimes, nobody will have thought of them at all.
You may run over time or have to alter your agenda to discuss them. Be sure to
check with group about whether this is O.K. before going ahead with the revised
agenda. If necessary, ask for a five-minute break to confer with key leaders or
participants on how to handle the issue and how to restructure the agenda. Be
prepared to recommend an alternate agenda, dropping some items if necessary.
SUMMARIZE THE MEETING RESULTS AND NEEDED FOLLOW-UPS
Before ending the meeting, summarize the key decisions that were made and what
else happened. Be sure also to summarize the follow-up actions that were agreed to
and need to take place. Remind folks how much good work was done and how
effective the meeting hopefully was. Refer back to the objectives or outcomes to
show how much you accomplished.
THANK THE PARTICIPANTS
Take a minute to thank people who prepared things for the meeting, set up the room,
brought refreshments, or did any work towards making the meeting happen. Thank
all of the participants for their input and energy and for making the meeting a
success.
CLOSE THE MEETING

People appreciate nothing more than a meeting that ends on time! It's usually a good
idea to have some "closure" in a meeting, especially if it was long, if there were any
sticky situations that caused tension, or if folks worked especially hard to come to
decisions or make plans.
A nice way to close a meeting is to go around the room and have people say one
word that describes how they are feeling now that all of this work has been done.
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You'll usually get answers from "exhausted" to "energized!" If it's been a good
meeting, even the "exhausted" ones will stick around before leaving.
FACILITATOR SKILLS AND TIPS
Here are a few more points to remember that will help to maximize your role as a
facilitator:
DON'T MEMORIZE A SCRIPT
Even with a well-prepared agenda and key points you must make, you need to be
flexible and natural. If people sense that you are reading memorized lines, they will
feel like they are being talked down to, and won't respond freely.
WATCH THE GROUP'S BODY LANGUAGE
Are people shifting in their seats? Are they bored? Tired? Looking confused? If folks
seem restless or in a haze, you may need to take a break, or speed up or slow down
the pace of the meeting. And if you see confused looks on too many faces, you may
need to stop and check in with the group, to make sure that everyone knows where
you are in the agenda and that the group is with you.

ALWAYS CHECK BACK WITH THE GROUP

Be careful about deciding where the meeting should go. Check back after each
major part of the process to see if there are questions and that everyone
understands and agrees with decisions that were made.
SUMMARIZE AND PAUSE
When you finish a point or a part of the meeting process, sum up what was done and
decided, and pause for questions and comments before moving on. Learn to "feel
out" how long to pause -- too short, and people don't really have time to ask
questions; too long, and folks will start to get uncomfortable from the silence.
BE AWARE OF YOUR OWN BEHAVIOR
Take a break to calm down if you feel nervous or are losing control. Watch that
you're not repeating yourself, saying "ah" between each word, or speaking too fast.
Watch your voice and physical manner. (Are you standing too close to folks so they
feel intimidated, making eye contact so people feel engaged?) How you act makes
an impact on how participants feel.
OCCUPY YOUR HANDS
Hold onto a marker, chalk, or the back of a chair. Don't play with the change in your
pocket!
WATCH YOUR SPEECH

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Be careful you are not offending or alienating anyone in the group. Use swear words
at your own risk!
USE BODY LANGUAGE OF OUR OWN
Using body language to control the dynamics in the room can be a great tool. Moving
up close to a shy, quiet participant and asking them to speak may make them feel
more willing, because they can look at you instead of the big group and feel less
intimidated. Also, walking around engages people in the process. Don't just stand in
front of the room for the entire meeting.
DON'T TALK TO THE NEWSPRINT, BLACKBOARD OR WALLS--THEY CAN'T
TALK BACK!
Always wait until you have stopped writing and are facing the group to talk.
DEALING WITH DISRUPTERS: PREVENTIONS AND INTERVENTIONS
Along with these tips on facilitation, there are some things you can do both to
prevent disruption before it occurs to stop it when it's happening in the meeting. The
most common kinds of disrupters are people who try to dominate, keep going off the
agenda, have side conversations with the person sitting next to them, or folks who
think they are right and ridicule and attack other's ideas.
Preventions. Try using these "Preventions" when you set up your meeting to try to
rule out disruption:
Get agreement on the agenda, ground rules and outcomes. In other words, agree on
the process. These process agreements create a sense of shared accountability and
ownership of the meeting, joint responsibility for how the meeting is run, and group
investment in whether the outcomes and goals are achieved.
Listen carefully. Don't just pretend to listen to what someone in the meeting is
saying. People can tell. Listen closely to understand a point someone is making. And
check back if you are summarizing, always asking the person if you understood their
idea correctly.
Show respect for experience. We can't say it enough. Encourage folks to share
strategies, stories from the field, and lessons they've learned. Value the experience
and wisdom in the room.
Find out the group's expectations. Make sure that you uncover at the start what
participants think they are meeting for. When you find out, be clear about what will
and won't be covered in this meeting. Make plans for how to cover issues that won't
be dealt with: Write them down on newsprint and agree to deal with them at the end
of the meeting, or have the group agree on a follow-up meeting to cover unfinished
issues.
There are lots of ways to find out what the group's expectations of the meeting are:
Try asking everyone to finish this sentence: "I want to leave here today knowing...."
You don't want people sitting through the meeting feeling angry that they're in the
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wrong place and no one bothered to ask them what they wanted to achieve here.
These folks may act out their frustration during the meeting and become your biggest
disrupters.
Stay in your facilitator role. You cannot be an effective facilitator and a participant at
the same time. When you cross the line, you risk alienating participants, causing
resentment, and losing control of the meeting. Offer strategies, resources, and ideas
for the group to work with, but not opinions.
Don't be defensive. If you are attacked or criticized, take a "mental step" backwards
before responding. Once you become defensive, you risk losing the group's respect
and trust, and might cause folks to feel they can't be honest with you.
"Buy-in" power players. These folks can turn your meeting into a nightmare if they
don't feel that their influence and role are acknowledged and respected. If possible,
give them acknowledgment up front at the start of the meeting. Try giving them roles
to play during the meeting such as a "sounding board" for you at breaks, to check in
with about how the meeting is going.
INTERVENTIONS. TRY USING THESE "INTERVENTIONS" WHEN DISRUPTION
IS HAPPENING DURING THE MEETING:
Have the group decide. If someone is dominating the meeting, refuses to stick to the
agenda, keeps bringing up the same point again and again, or challenges how you
are handling the meeting:
First try to remind them about the agreed-on agenda. If that doesn't work, throw it
back to the group and ask them how they feel about that person's participation. Let
the group support you.
Use the agenda and ground rules. If someone keeps going off the agenda, has side
conversations through the whole meeting, verbally attacks others:
Go back to that agenda and those ground rules and remind folks of the agreements
made at the beginning of the meeting.
Be honest: Say what's going on. If someone is trying to intimidate you, if you feel
upset or undermined, if you need to pull the group behind you:
It's better to say what's going on than try to cover it up. Everyone will be aware of the
dynamic in the room. The group will get behind you if you are honest and up -front
about the situation.
Use humor. If there is a lot of tension in the room, if you have people at the meeting
who didn't want to be there, if folks are scared/shy about participating, if you are an
outsider:
Try a humorous comment or a joke. If it's self-deprecating, so much the better.
Humor almost always lightens the mood. It's one of the best tension-relievers we
have.
Accept or legitimize the point or deal. If there is someone who keeps expressing
doubts about the group's ability to accomplish anything, is bitter and puts down
others' suggestions, keeps bringing up the same point over and over, seems to have
power issues:
Try one or more of these approaches: Show that you understand their issue by
making it clear that you hear how important it is to them. Legitimize the issue by
saying, "It's a very important point and one I'm sure we all feel is critical." Make a
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bargain to deal with their issue for a short period of time ("O.K., let's deal with your
issue for 5 minutes and then we ought to move on.") If that doesn't work, agree to
defer the issue to the end of the meeting, or set up a committee to explore it further.
Use body language. If side conversations keep occurring, if quiet people need to
participate, if attention needs to be re-focused:
Use body language. Move closer to conversers, or to the quiet ones. Make eye
contact with them to get their attention and covey your intent.
Take a break. If less confrontational tactics haven't worked, someone keeps verbally
attacking others, shuffling papers, cutting others off:
In case you've tried all of the above suggestions and nothing has worked, it's time to
take a break, invite the disruptive person outside the room and politely but firmly
state your feelings about how disruptive their behavior is to the group. Make it clear
that the disruption needs to end. But also try to find out what's going on, and see if
there are other ways to address that person's concerns.
Confront in the room If all else has failed, if you're sure it won't create backlash, if the
group will support you, and if you've tried everything else:
Confront the disruptive person politely but very firmly in the room. Tell the person
very explicitly that the disruption needs to stop now. Use body language to
encourage other group members to support you. This is absolutely the last resort
when action must be taken and no alternatives remain!

Capturing What People Say: Tips for Recording a Meeting

Have you ever left a meeting saying to yourself, "Wow, that was a great meeting! I
heard some excellent ideas," only to find, a week later, that you have forgotten what
those ideas were? Unfortunately, so did everyone else. Opportunity is lost, and the
issues you met to take care of are left unfinished.
Solving problems is always a challenge, especially when a group is working together
to puzzle out the best solution. Trying to remember all of the important points that
have been mentioned during a lengthy meeting makes it even more difficult. So
particularly when you are trying to work out all of those details, you will want to
record, and later review, what is said at your meeting.
That's what this section will focus on--making records of meetings that will help your
group get better at solving problems. We will begin by discussing the benefits of
recording a meeting. Then, we'll talk about different ways to record, and which might
be best for your particular circumstances. We'll continue with how to choose the best
person to record. Then, we'll discuss the "how-tos" of recording a problem-solving
meeting, including the tools you will need; how to work with the group; what to
record; how to record effectively; and finally, what to do with what you have
recorded.
WHY SHOULD THE MEETING BE RECORDED?
No matter how you decide to record your meeting (and we'll discuss the different
possibilities below), there are a lot of advantages to recording in general. They
include:
Recording a meeting lets people know that they've been listened to and really heard.
It provides a historical record that can be used at future meetings for verification of
decisions, and as a reminder of past events and actions.
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It can provide important information to people who were not invited to or able to
attend the meeting.
It helps keep everyone on track. If everything is written down, the group is more
likely to stick to the agenda, or to pull itself back onto it. For example, it's quite easy
to note that things are off track if the recorder is no longer writing things down, or if
he is writing about things unrelated to the day's agenda.
And for visible recording, where the eye can see what's happening, there are these
added advantages:
It provides a visible running record--everyone can see what has happened, and what
is happening, as you go along.
When you are involved in brainstorming, having ideas in front of everyone often help
people come up with even more good ideas.
It can increase people's attention to, and interest in, the meeting.
People are less likely to repeat themselves if they can see their words right in front of
them--and everyone else--in black and white. They might also think more carefully
before they speak!
Warning: This last advantage can be a double-edged sword. Some people may be
less likely to speak candidly if they know that what they say is going to be recorded.
If members of the group you are working with don't know each other well, or are
uncomfortable with each other in any way, you might think about doing some
icebreakers before the meeting starts, to make everyone more comfortable.
People may also be less likely to speak if they know their remarks will be attributed
to them. It's one thing to make an offhand comment, quite another if that comment
shows up as a quote in the local newspaper.
In short, be sure everyone knows in advance--and agrees upon--the intended use of
the material that is recorded. Is it just for the future use of committee members? Or
will it be made public? In order for everyone to be at ease, this should be decided on
collectively at the outset.
OPTIONS FOR RECORDING A MEETING
Before going further, let's look at the different types of recording most readily
available. You can:
Decide not to record the meeting at all
Take written notes and minutes
Record key points visibly, such as on newsprint or a chalkboard
Tape--usually by audiotape, but occasionally by videotape as well
Although these approaches overlap, and more than one can be used at a time, this
section will focus primarily on visible recording--that is, writing so everyone can see,
such as on butcher paper or newsprint in front of the group.

We'd be remiss, however, if we didn't mention some additional, more technologically

-oriented variations of those options listed above.
They include:
Recording the meeting directly over a laptop, and distributing printed written minutes
at periodic intervals
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Phone conferences (conference calls) with telephone recording

Speak-and-type arrangements, where one's voice goes directly into print
WHEN SHOULD YOU RECORD A MEETING?
When might each of the options mentioned above be preferable? The basic
decisions around recording depend upon the context of the meeting. However, here
are some conditions that favor each of the first four options above:
CONDITIONS WHEN RECORDING IS LESS NECESSARY:
The meeting is short
The meeting is casual and informal
Trust among the members is high
The group meets very frequently, and will meet again shortly
The group's agenda is primarily or largely social
No significant decisions will be made
No significant actions will be taken
CONDITIONS FAVORING WRITTEN NOTES OR MINUTES:
When the meeting is a regular or routine meeting of a group, committee, or board,
with no major decisions or actions on the agenda
CONDITIONS FAVORING VISIBLE RECORDING:
When the group is engaging in problem-solving
When the group is engaging in decision-making
When there are multiple options for solution or decision
When it is desirable to generate those multiple options, and to put them all before the
group
When the problem or discussion topic is new or unfamiliar to the group
When the topic is complex
When the topic is controversial
When stakes are high; when the decision to be made is important
When the group members do not know each other well
When there is low trust among the members, and/or a history of conflict
CONDITIONS FAVORING TAPE-RECORDING:
When no skilled recorder is available
When the discussion moves faster than a recorder can keep up
When the terminology used in group discussion is technical or complex
When it is important to capture the exact language used
When it is important to listen to vocal tone, as well as verbal content
When other group members, who will be making decisions on the topic, cannot be
physically present at the meeting
FINDING THE BEST PERSON FOR THE JOB
So, whom should you choose to record the meeting? (Again, we're talking about
visible recording here.) There really is an art to it (think of all of the shorthand
secretaries learn!), so usually it's not a good idea to simply designate a recorder.
Some qualities to look for when choosing a recorder include:
Experience doing recording
Knowledge of your group's affairs
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Clear handwriting
The ability to work well with the facilitator
Should the facilitator be the recorder? The short answer is, it depends. Especially for
a meeting where you are trying to solve a particularly difficult problem, it's a good
idea not to combine the roles. That way, the facilitator can concentrate on what she
does best, and leave recording for a second person.
However, in the following conditions, the two roles may merge quite nicely:
The material is relatively simple
The discussion moves slowly enough that the facilitator has time to encourage it,
suggest things, and write it all down
There is no skilled recorder available to do the job
Regardless of whether the recorder is pulling "double duty" as the facilitator or not,
he or she will want to do the ensuing steps to get the job done
HOW TO RECORD MEETINGS EFFECTIVELY
To effectively record the meeting, the recorder should pay attention to four things:
Having the proper tools
Working effectively with the group
Deciding what to record
How to record most effectively
HAVING THE PROPER TOOLS
In the last section of this chapter, on running effective meetings, we talked about the
importance of logistics: making sure you have the room key; that there is water for
the coffee pot, and there are napkins for the brownies; that there are comfortable
chairs to sit in and tables to write on that don't wiggle.
As a recorder, it's even more important to have the proper tools. Generally, these will
include the following things:

Markers. Use several different colors, and be sure they are water-based --they won't
bleed through the paper.
Butcher paper (or newsprint) and tape. You can find butcher paper or newsprint at
almost any school or office supply store. If you get heavier weight paper, be sure to
check beforehand that the tape you are using will hold it securely. 3M (the "post-it"
people) has begun to make newsprint-size post-it easel pad sheets, which stick right
to the wall without tape.
A whiteboard and eraser can be used as an alternative to paper and pens. With
erasers, your material is easier to correct. A disadvantage, however, is that your
comments aren't permanent. So make sure someone writes the comments on a
piece of paper, too.
An easel. If the group does a lot of meetings, it's a good idea to own a portable
easel. It's also possible to have more than one of them going simultaneously. If you
don't have an easel, you can hang the pages on the walls in a pinch.
Tip: Try keeping all of these together in a special box or tote bag, clearly marked as
"Recorder's Tools," so you don't forget anything in your haste at the last minute.
Proper set-up of the room. This is not exactly a tool, but the importance of arranging
the room thoughtfully can't be overemphasized. What is being recorded should be
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clearly visible to the whole group. No one should have to crane their neck or break
their back trying to see what's going on. You might try testing out your writing, too, to
make sure you can see it (and read it!) from the most distant chair.
WORKING EFFECTIVELY WITH THE GROUP
If two different people are serving as the facilitator and recorder, the recorder will
have somewhat less verbal contact with the group than will the facilitator. That
doesn't mean, however, that the interaction between the recorder and the group isn't
important. The chemistry between participants and the recorder can have a real
impact on how the meeting proceeds, and how effective it is.
Some things to keep in mind:
The importance of listening. The recorder has to be almost painfully in the "here and
now." The role of the recorder may be quiet, but it is anything but passive. He needs
to listen hard at all times, to make sure quiet comments don't go unheard, and that
points briefly made don't go unnoticed.
Remain neutral. Generally, the recorder doesn't interject his opinions into the
conversation. Like the facilitator, he remains "sponge-like," soaking up the opinions
of those around him.
Asks the group to repeat or slow down, as necessary. Don't be shy here. If the group
is going too fast to write everything down, or you are unclear about what someone
has said, it's perfectly all right for the recorder to step in, and say, "Excuse me. I
didn't quite catch that." Or, you can say what you think you heard, and ask, "Is that
right?" If the recorder didn't understand something, or didn't have time to write
everything down, it's a good bet other members of the group are a few steps behind
as well.
Accept corrections graciously. The recorder may have heard something wrong, or
made a spelling mistake that someone feels compelled to point out. He shouldn't
lose his cool. The recorder can simply thank the person and go on; no one is perfect,
but being perfectly poised when corrected is certainly impressive, and will contribute
to a smooth meeting.
Work with the facilitator. From Abbott and Costello to Rodgers and Hammerstein, the
value of teamwork is clear. The facilitator and recorder working in tandem can result
in a much better meeting.
Example: The facilitator can repeat or check the speaker's statement before the
recorder writes it down. Not only does that clarify what has been said for the
recorder; the rest of the audience is now sure to have heard the statement as well.
DECIDING WHAT TO RECORD
Now, we've come to the real "meat" of recording. The recorder is up there in front of
the group, marker in hand, and everyone's talking. What is important to write down,
and what isn't?
In general, the recorder will write down what is often called the "group memory." The
"group memory" is nothing more than a fancy term for what's being said. If you think
about it, though, it's really quite apt. What the recorder writes will be most of what is
remembered from this meeting. So it's up to him, with the group's help, to decide
what's important.

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And just what is that? Well, it depends on the meeting, but can often include:
Questions
Answers
Concerns
Feedback
Ideas from brainstorming sessions
Decisions
How do you decide if a comment or question is important enough to write down? You
may find some of the following guidelines helpful, or you might make up some of
your own before the meeting begins.
Record a comment if:
It takes a position, with reasons, on an agenda item before the group
It is a specific suggestion made by a group member
It is stated several times, and/or with obvious emotion
The speaker directly requests that a point get written down, "for the record"
It introduces a new idea, or gives new information, not previously stated
It relates to how money has been, is going to be, or should be spent
It's a decision made by the group
If in doubt, it's perfectly fine to ask something like, "Should I be writing that down?"
or, "How should I be writing that down?" or, "How can I best capture that on paper?"
The idea is to work with the group to help you decide what to record.
HOW TO RECORD MOST EFFECTIVELY
The following tips can help make the job easier and the work more clear. If you are
the recorder:
Don't try to write every word; your hand will just cramp, and you'll never keep up.
Paraphrase what's been said. If you have changed the speaker's words
considerably, check to be sure you have captured the idea correctly.
Use high-energy words, such as active verbs and nouns. Adjectives can sometimes
be accurately and more swiftly indicated by underlining, color, etc.
Write large, legibly, and fast. This isn't the time to worry about saving paper;
comprehension should be most important.
Don't worry about spelling. You'll still get the point across.
Leave out words like "the" and "a"
Label and number your sheets. This will help make your job a lot easier if you have a
lot of pages to condense at the end of the meeting!
Use color, symbols, and underlining to highlight your points. Check all of the colors
you are going to use before the meeting, to decide which are most legible.
Separate thoughts and topics with symbols, such as stars. Don't number different
thoughts on the same topic, though, as numbers may establish a priority, or suggest
that one idea is better than another. Save the use of numbers for larger things, such
as agenda items, new topics, or, as mentioned above, for ordering pages.
FOLLOWING UP: WHAT TO DO WITH WHAT YOU HAVE RECORDED
After the meeting is over and the crumbs swept up, then, there will probably be quite
a few oversized pieces of paper. What to do with them?
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Generally speaking, you, or someone else, will want to type up what has been
written for your files, and possibly distribute them to all meeting participants. Don't
forget, here, to write down what has been decided, as well as future actions of all
participants. (e.g., Chris agreed to ask downtown business owners to invite area
youth to spend a day learning what it means to run a company, and will tell us the
results at the next meeting).
These minutes are an important part of the recording process, and shouldn't be
forgotten. Generally, they should follow and parallel the items on the meeting
agenda, providing there is one.
These minutes will usually include:
The name of the group that is meeting
The date
The time and place
The names of those present (unless it's a very large meeting)
The key points made for each agenda item
Specific decisions that were made. These might be underlined, or highlighted in
another way, for easier reference.
In more formal meetings, the minutes also note any motions made, with the name of
the mover, and the results of any votes taken on those motions.
The minutes then get distributed to those present at the meeting, together with an
agenda for the next meeting, as well as other relevant materials. Ideally, this should
be accomplished sufficiently in advance of the next meeting (commonly, within one
to two weeks) so that members can review the minutes and, more importantly, get
ready for that meeting. Remember that many more formal meetings start with review
and approval of the previous meeting's minutes; so for that reason alone, it's not
good practice to hand out the minutes right at the next meeting.
After the minutes are distributed and approved, they should be filed, but not filed and-forgotten. They are there to be referred to and used. They are part of your
organization's "group memory." More than that, at some point some outside group-funders, lawyers, auditors, interested outsiders--may wish to see them. So it's to your
advantage to keep them readily available, up-to-date, and in good shape.
In general, the preparation and timely distribution of accurate minutes can add
professionalism to your group, provide a historical record, serve as a source for factchecking, increase the fairness of its proceedings, and perhaps also lead to better
decisions, as well as more effective follow-up to those decisions.
So, the group should adopt its own policy regarding minutes, and stick to it. Not
every group needs detailed minutes, and not every meeting may need minutes at all.
But the points mentioned above here can be adapted to one's own situation.
And again, it's important that action be taken on the basis of the notes and decisions
made. Handing out such minutes serves as a not-so-subtle reminder for group
members to follow through on what they agreed to do. Much of the point of recording
in the first place is to help ensure that clearer and better decisions do get made and
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implemented. In the end, that's probably the best sign of all that your meeting was
effective.
IN SUMMARY
Recording is one of the most important tasks to be done at a meeting. In doing so,
you take a lot of individual comments, capture them, and build on them. This will help
your group clarify its thinking, and make better decisions. And by having a clear,
complete record of the meeting's events, you can be sure that these decisions won't
just be forgotten when you turn out the lights and lock the door.

Techniques for Leading Group Discussions

A local coalition forms a task force to address the rising HIV rate among teens in the
community. A group of parents meets to wrestle with their feeling that their school
district is shortchanging its students. A college class in human services approaches
the topic of dealing with reluctant participants. Members of an environmental group
attend a workshop on the effects of global warming. A politician convenes a town
hall meeting of constituents to brainstorm ideas for the economic development of
the region. A community health educator facilitates a smoking cessation support
group.
All of these might be examples of group discussions, although they have different
purposes, take place in different locations, and probably run in different ways. Group
discussions are common in a democratic society, and, as a community builder, its
more than likely that you have been and will continue to be involved in many of them.
You also may be in a position to lead one, and thats what this section is about. In
this last section of a chapter on group facilitation, well examine what it takes to lead
a discussion group well, and how you can go about doing it.
WHAT IS AN EFFECTIVE GROUP DISCUSSION?
The literal definition of a group discussion is obvious: a critical conversation about a
particular topic, or perhaps a range of topics, conducted in a group of a size that
allows participation by all members. A group of two or three generally doesnt need
a leader to have a good discussion, but once the number reaches five or six, a
leader or facilitator can often be helpful. When the group numbers eight or more, a
leader or facilitator, whether formal or informal, is almost always helpful in ensuring
an effective discussion.
A group discussion is a type of meeting, but it differs from the formal meetings in a
number of ways:
It may not have a specific goal many group discussions are just that: a group
kicking around ideas on a particular topic. That may lead to a goal ultimately...but it
may not.
Its less formal, and may have no time constraints, or structured order, or agenda.
Its leadership is usually less directive than that of a meeting.
It emphasizes process (the consideration of ideas) over product (specific tasks to be
accomplished within the confines of the meeting itself.
Leading a discussion group is not the same as running a meeting. Its much closer
to acting as a facilitator, but not exactly the same as that either.
An effective group discussion generally has a number of elements:
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All members of the group have a chance to speak, expressing their own ideas and
feelings freely, and to pursue and finish out their thoughts
All members of the group can hear others ideas and feelings stated openly
Group members can safely test out ideas that are not yet fully formed
Group members can receive and respond to respectful but honest and constructive
feedback. Feedback could be positive, negative, or merely clarifying or correcting
factual questions or errors, but is in all cases delivered respectfully.
A variety of points of view are put forward and discussed
The discussion is not dominated by any one person
Arguments, while they may be spirited, are based on the content of ideas and
opinions, not on personalities
Even in disagreement, theres an understanding that the group is working together to
resolve a dispute, solve a problem, create a plan, make a decision, find principles all
can agree on, or come to a conclusion from which it can move on to further
discussion
Many group discussions have no specific purpose except the exchange of ideas and
opinions. Ultimately, an effective group discussion is one in which many different
ideas and viewpoints are heard and considered. This allows the group to
accomplish its purpose if it has one, or to establish a basis either for ongoing
discussion or for further contact and collaboration among its members.
There are many possible purposes for a group discussion, such as:
Create a new situation form a coalition, start an initiative, etc.
Explore cooperative or collaborative arrangements among groups or organizations
Discuss and/or analyze an issue, with no specific goal in mind but understanding
Create a strategic plan for an initiative, an advocacy campaign, an intervention,
etc.
Discuss policy and policy change
Air concerns and differences among individuals or groups
Hold public hearings on proposed laws or regulations, development, etc.
Decide on an action
Provide mutual support
Solve a problem
Resolve a conflict
Plan your work or an event
Possible leadership styles of a group discussion also vary. A group leader or
facilitator might be directive or non-directive; that is, she might try to control what
goes on to a large extent; or she might assume that the group should be in control,
and that her job is to facilitate the process. In most group discussions, leaders who
are relatively non-directive make for a more broad-ranging outlay of ideas, and a
more satisfying experience for participants.
Directive leaders can be necessary in some situations. If a goal must be reached in a
short time period, a directive leader might help to keep the group focused. If the
situation is particularly difficult, a directive leader might be needed to keep control of
the discussion and make
WHY WOULD YOU LEAD A GROUP DISCUSSION?

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There are two ways to look at this question: Whats the point of group discussion?
and Why would you, as opposed to someone else, lead a group discussion? Lets
examine both.
WHATS THE POINT OF GROUP DISCUSSION?
As explained in the opening paragraphs of this section, group discussions are
common in a democratic society. There are a number of reasons for this, some
practical and some philosophical.

A group discussion:
Gives everyone involved a voice. Whether the discussion is meant to form a basis
for action, or just to play with ideas, it gives all members of the group a chance to
speak their opinions, to agree or disagree with others, and to have their thoughts
heard. In many community-building situations, the members of the group might be
chosen specifically because they represent a cross-section of the community, or a
diversity of points of view.
Allows for a variety of ideas to be expressed and discussed. A group is much more
likely to come to a good conclusion if a mix of ideas is on the table, and if all
members have the opportunity to think about and respond to them.
Is generally a democratic, egalitarian process. It reflects the ideals of most
grassroots and community groups, and encourages a diversity of views.
Leads to group ownership of whatever conclusions, plans, or action the group
decides upon. Because everyone has a chance to contribute to the discussion and
to be heard, the final result feels like it was arrived at by and belongs to everyone.
Encourages those who might normally be reluctant to speak their minds. Often,
quiet people have important things to contribute, but arent assertive enough to make
themselves heard. A good group discussion will bring them out and support them.
Can often open communication channels among people who might not communicate
in any other way. People from very different backgrounds, from opposite ends of the
political spectrum, from different cultures, who may, under most circumstances,
either never make contact or never trust one another enough to try to communicate,
might, in a group discussion, find more common ground than they expected.
Is sometimes simply the obvious, or even the only, way to proceed. Several of the
examples given at the beginning of the section the group of parents concerned
about their school system, for instance, or the college class fall into this category,
as do public hearings and similar gatherings.
WHY WOULD YOU SPECIFICALLY LEAD A GROUP DISCUSSION?
You might choose to lead a group discussion, or you might find yourself drafted for
the task. Some of the most common reasons that you might be in that situation:

Its part of your job. As a mental health counselor, a youth worker, a coalition
coordinator, a teacher, the president of a board of directors, etc. you might be
expected to lead group discussions regularly.
Youve been asked to. Because of your reputation for objectivity or integrity,
because of your position in the community, or because of your skill at leading group
discussions, you might be the obvious choice to lead a particular discussion.

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A discussion is necessary, and youre the logical choice to lead it. If youre the chair
of a task force to address substance abuse in the community, for instance, its likely
that youll be expected to conduct that task forces meetings, and to lead discussion
of the issue.
It was your idea in the first place. The group discussion, or its purpose, was your
idea, and the organization of the process falls to you.
You might find yourself in one of these situations if you fall into one of the categories
of people who are often tapped to lead group discussions. These categories include
(but arent limited to):

Directors of organizations
Public officials
Coalition coordinators
Professionals with group-leading skills counselors, social workers, therapists, etc.
Teachers
Health professionals and health educators
Respected community members. These folks may be respected for their leadership
president of the Rotary Club, spokesperson for an environmental movement for
their positions in the community bank president, clergyman or simply for their
personal qualities integrity, fairness, ability to communicate with all sectors of the
community.
Community activists. This category could include anyone from professional
community organizers to average citizens who care about an issue or have an idea
they want to pursue.
WHEN MIGHT YOU LEAD A GROUP DISCUSSION?
The need or desire for a group discussion might of course arise anytime, but there
are some times when its particularly necessary.
At the start of something new. Whether youre designing an intervention, starting an
initiative, creating a new program, building a coalition, or embarking on an advocacy
or other campaign, inclusive discussion is likely to be crucial in generating the best
possible plan, and creating community support for and ownership of it.
When an issue can no longer be ignored. When youth violence reaches a critical
point, when the communitys drinking water is declared unsafe, when the HIV
infection rate climbs these are times when groups need to convene to discuss the
issue and develop action plans to swing the pendulum in the other direction.
When groups need to be brought together. One way to deal with racial or ethnic
hostility, for instance, is to convene groups made up of representatives of all the
factions involved. The resulting discussions and the opportunity for people from
different backgrounds to make personal connections with one another can go far to
address everyones concerns, and to reduce tensions.
When an existing group is considering its next step or seeking to address an issue of
importance to it. The staff of a community service organization, for instance, may
want to plan its work for the next few months, or to work out how to deal with people
with particular quirks or problems.
HOW DO YOU LEAD A GROUP DISCUSSION?
In some cases, the opportunity to lead a group discussion can arise on the spur of
the moment; in others, its a more formal arrangement, planned and expected. In the
latter case, you may have the chance to choose a space and otherwise structure the

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situation. In less formal circumstances, youll have to make the best of existing
conditions.
Well begin by looking at what you might consider if you have time to prepare. Then
well examine what it takes to make an effective discussion leader or facilitator,
regardless of external circumstances.
SET THE STAGE
If you have time to prepare beforehand, there are a number of things you may be
able to do to make the participants more comfortable, and thus to make discussion
easier.
Choose the space
If you have the luxury of choosing your space, you might look for someplace thats
comfortable and informal. Usually, that means comfortable furniture that can be
moved around (so that, for instance, the group can form a circle, allowing everyone
to see and hear everyone else easily). It may also mean a space away from the
ordinary.

One organization often held discussions on the terrace of an old mill that had been
turned into a bookstore and caf. The sound of water from the mill stream rushing
by put everyone at ease, and encouraged creative thought.
Provide food and drink
The ultimate comfort, and one that breaks down barriers among people, is that of
eating and drinking.
Bring materials to help the discussion along
Most discussions are aided by the use of newsprint and markers to record ideas, for
example.
Become familiar with the purpose and content of the discussion
If you have the opportunity, learn as much as possible about the topic under
discussion. This is not meant to make you the expert, but rather to allow you to ask
good questions that will help the group generate ideas.
Make sure everyone gets any necessary information, readings, or other material
beforehand

If participants are asked to read something, consider questions, complete a task, or

otherwise prepare for the discussion, make sure that the assignment is attended to
and used. Dont ask people to do something, and then ignore it.
LEAD THE DISCUSSION
Think about leadership style

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The first thing you need to think about is leadership style, which we mentioned briefly
earlier in the section. Are you a directive or non-directive leader? The chances are
that, like most of us, you fall somewhere in between the extremes of the leader who
sets the agenda and dominates the group completely, and the leader who essentially
leads not at all. The point is made that many good group or meeting leaders are, in
fact, facilitators, whose main concern is supporting and maintaining the process of
the groups work. This is particularly true when it comes to group discussion, where
the process is, in fact, the purpose of the groups coming together.
A good facilitator helps the group set rules for itself, makes sure that everyone
participates and that no one dominates, encourages the development and
expression of all ideas, including odd ones, and safeguards an open process,
where there are no foregone conclusions and everyones ideas are respected.
Facilitators are non-directive, and try to keep themselves out of the discussion,
except to ask questions or make statements that advance it. For most group
discussions, the facilitator role is probably a good ideal to strive for.
Its important to think about what youre most comfortable with philosophically, and
how that fits what youre comfortable with personally. If youre committed to a nondirective style, but you tend to want to control everything in a situation, you may have
to learn some new behaviors in order to act on your beliefs.
Put people at ease
Especially if most people in the group dont know one another, its your job as leader
to establish a comfortable atmosphere and set the tone for the discussion.
Help the group establish ground rules
The ground rules of a group discussion are the guidelines that help to keep the
discussion on track, and prevent it from deteriorating into namecalling or simply
argument. Some you might suggest, if the group has trouble coming up with the first
one or two:
Everyone should treat everyone else with respect: no name-calling, no emotional
outbursts, no accusations.
No arguments directed at people only at ideas and opinions. Disagreement should
be respectful no ridicule.
Dont interrupt. Listen to the whole of others thoughts actually listen, rather than
just running over your own response in your head.
Respect the groups time. Try to keep your comments reasonably short and to the
point, so that others have a chance to respond.
Consider all comments seriously, and try to evaluate them fairly. Others ideas and
comments may change your mind, or vice versa: its important to be open to that.
Dont be defensive if someone disagrees with you. Evaluate both positions, and only
continue to argue for yours if you continue to believe its right.
Everyone is responsible for following and upholding the ground rules.
Ground rules may also be a place to discuss recording the session. Who will take
notes, record important points, questions for further discussion, areas of agreement

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or disagreement? If the recorder is a group member, the group and/or leader should
come up with a strategy that allows her to participate fully in the discussion.
Generate an agenda or goals for the session
You might present an agenda for approval, and change it as the group requires, or
you and the group can create one together. There may actually be no need for one,
in that the goal may simply be to discuss an issue or idea. If thats the case, it
should be agreed upon at the outset.
Lead the discussion
How active you are might depend on your leadership style, but you definitely have
some responsibilities here. They include setting, or helping the group to set the
discussion topic; fostering the open process; involving all participants; asking
questions or offering ideas to advance the discussion; summarizing or clarifying
important points, arguments, and ideas; and wrapping up the session. Lets look at
these, as well as some dos and donts for discussion group leaders.
Setting the topic. If the group is meeting to discuss a specific issue or to plan
something, the discussion topic is already set. If the topic is unclear, then someone
needs to help the group define it. The leader through asking the right questions,
defining the problem, and encouraging ideas from the group can play that role.
Fostering the open process. Nurturing the open process means paying attention to
the process, content, and interpersonal dynamics of the discussion all at the same
time not a simple matter. As leader, your task is not to tell the group what to do, or
to force particular conclusions, but rather to make sure that the group chooses an
appropriate topic that meets its needs, that there are no right answers to start with
(no foregone conclusions), that no one person or small group dominates the
discussion, that everyone follows the ground rules, that discussion is civil and
organized, and that all ideas are subjected to careful critical analysis. You might
comment on the process of the discussion or on interpersonal issues when it seems
helpful (We all seem to be picking on John here whats going on?), or make
reference to the open process itself (We seem to be assuming that were supposed
to believe X is that true?). Most of your actions as leader should be in the service
of modeling or furthering the open process.
Part of your job here is to protect minority rights, i.e., unpopular or unusual ideas.
That doesnt mean you have to agree with them, but that you have to make sure that
they can be expressed, and that discussion of them is respectful, even in
disagreement. (The exceptions are opinions or ideas that are discriminatory or
downright false.) Odd ideas often turn out to be correct, and shouldnt be stifled.
Involving all participants. This is part of fostering the open process, but is important
enough to deserve its own mention. To involve those who are less assertive or shy,
or who simply cant speak up quickly enough, you might ask directly for their opinion,
encourage them with body language (smile when they say anything, lean and look
toward them often), and be aware of when they want to speak and cant break in.
Its important both for process and for the exchange of ideas that everyone have
plenty of opportunity to communicate their thoughts.
Asking questions or offering ideas to advance the discussion. The leader should be
aware of the progress of the discussion, and should be able to ask questions or
provide information or arguments that stimulate thinking or take the discussion to the
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next step when necessary. If participants are having trouble grappling with the topic,
getting sidetracked by trivial issues, or simply running out of steam, its the leaders
job to carry the discussion forward.
This is especially true when the group is stuck, either because two opposing ideas or
factions are at an impasse, or because no one is able or willing to say anything. In
these circumstances, the leaders ability to identify points of agreement, or to ask the
question that will get discussion moving again is crucial to the groups effectiveness.
Summarizing or clarifying important points, arguments, or ideas. This task entails
making sure that everyone understands a point that was just made, or the two sides
of an argument. It can include restating a conclusion the group has reached, or
clarifying a particular idea or point made by an individual (What I think I heard you
say was). The point is to make sure that everyone understands what the
individual or group actually meant.
Wrapping up the session. As the session ends, the leader should help the group
review the discussion and make plans for next steps (more discussion sessions,
action, involving other people or groups, etc.). He should also go over any
assignments or tasks that were agreed to, make sure that every member knows
what her responsibilities are, and review the deadlines for those responsibilities.
Other wrap-up steps include getting feedback on the session including suggestions
for making it better pointing out the groups accomplishments, and thanking it for its
work.
Follow-up
Even after youve wrapped up the discussion, youre not necessarily through. If
youve been the recorder, you might want to put the notes from the session in order,
type them up, and send them to participants. The notes might also include a
summary of conclusions that were reached, as well as any assignments or follow-up
activities that were agreed on.
If the session was one-time, or was the last of a series, your job may now be done. If
it was the beginning, however, or part of an ongoing discussion, you may have a lot
to do before the next session, including contacting people to make sure theyve done
what they promised, and preparing the newsprint notes to be posted at the next
session so everyone can remember the discussion.
Leading an effective group discussion takes preparation (if you have the opportunity
for it), an understanding of and commitment to an open process, and a willingness to
let go of your ego and biases. If you can do these things, the chances are you can
become a discussion leader that can help groups achieve the results they want.
DOS AND DONTS FOR DISCUSSION LEADERS
DO:

Model the behavior and attitudes you want group members to employ. That includes
respecting all group members equally; advancing the open process; demonstrating
what it means to be a learner (admitting when youre wrong, or dont know a fact or
an answer, and suggesting ways to find out); asking questions based on others
statements; focusing on positions rather than on the speaker; listening carefully;
restating others points; supporting your arguments with fact or logic; acceding when

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someone else has a good point; accepting criticism; thinking critically; giving up the
floor when appropriate; being inclusive and culturally sensitive, etc.
Use encouraging body language and tone of voice, as well as words. Lean forward
when people are talking, for example, keep your body position open and
approachable, smile when appropriate, and attend carefully to everyone, not just to
those who are most articulate.
Give positive feedback for joining the discussion. Smile, repeat group members
points, and otherwise show that you value participation.
Be aware of peoples reactions and feelings, and try to respond appropriately. If a
group member is hurt by others comments, seems puzzled or confused, is
becoming angry or defensive, its up to you as discussion leader to use the ground
rules or your own sensitivity to deal with the situation. If someones hurt, for instance,
it may be important to point that out and discuss how to make arguments without
getting personal. If group members are confused, revisiting the comments or points
that caused the confusion, or restating them more clearly, may be helpful. Being
aware of the reactions of individuals and of the group as a whole can make it
possible to expose and use conflict, or to head off unnecessary emotional situations
and misunderstandings.
Ask open-ended questions. In advancing the discussion, use questions that cant be
answered with a simple yes or no. Instead, questions should require some thought
from group members, and should ask for answers that include reasons or analysis.
The difference between Do you think the Presidents decision was right? and Why
do you think the Presidents decision was or wasnt right? is huge. Where the first
question can be answered with a yes or no, the second requires an analysis
supporting the speakers opinion, as well as discussion of the context and reasons
for the decision.
Control your own biases. While you should point out factual errors or ideas that are
inaccurate and disrespectful of others, an open process demands that you not
impose your views on the group, and that you keep others from doing the same.
Group members should be asked to make rational decisions about the positions or
views they want to agree with, and ultimately the ideas that the group agrees on
should be those that make the most sense to them whether they coincide with
yours or not. Pointing out bias including your own and discussing it helps both
you and group members try to be objective.
A constant question that leaders and members of any group have is what to do
about racist, sexist, or homophobic remarks, especially in a homogeneous group
where most or all of the members except the leader may agree with them. There is
no clear-cut answer, although if they pass unchallenged, it may appear you condone
the attitude expressed.
How you challenge prejudice is the real question. The ideal here is that other
members of the group do the challenging, and it may be worth waiting long enough
before you jump in to see if thats going to happen. If it doesnt, you can essentially
say, Thats wrong, and I wont allow that kind of talk here, which may well put an
end to the remarks, but isnt likely to change anyones mind. You can express your
strong disagreement or discomfort with such remarks and leave it at that, or follow
up with Lets talk about it after the group, which could generate some real
discussion about prejudice and stereotypes, and actually change some thinking over
time.

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Your ground rules the issue of respecting everyone should address this issue,
and it probably wont come upbut there are no guarantees. It wont hurt to think
beforehand about how you want to handle it.
Encourage disagreement, and help the group use it creatively. Disagreement is not
to be smoothed over, but rather to be analyzed and used. When there are conflicting
opinions especially when both can be backed up by reasonable arguments the
real discussion starts. If everyone agrees on every point, theres really no discussion
at all. Disagreement makes people think. It may not be resolved in one session, or
at all, but its the key to discussion that means something.
All too often, conflict whether conflicting opinions, conflicting world views, or
conflicting personalities is so frightening to people that they do their best to ignore
it or gloss it over. That reaction not only leaves the conflict unresolved and
therefore growing, so that it will be much stronger when it surfaces later but fails to
examine the issues that it raises. If those are brought out in the open and discussed
reasonably, the two sides often find that they have as much agreement as
disagreement, and can resolve their differences by putting their ideas together.
Even where thats not the case, facing the conflict reasonably, and looking at the
roots of the ideas on each side, can help to focus on the issue at hand and provide
solutions far better than if one side or the other simply operated alone.
Keep your mouth shut as much as possible. By and large, discussion groups are for
the group members. You may be a member of the group and have been asked by
the others to act as leader, in which case you certainly have a right to be part of the
discussion (although not to dominate). If youre an outside facilitator, or leader by
position, its best to confine your contributions to observations on process,
statements of fact, questions to help propel the discussion, and clarification and
summarization. The simple fact that youre identified as leader or facilitator gives
your comments more force than those of other group members. If youre in a
position of authority or seen as an expert, that force becomes even greater. The
more active you are in the discussion, the more the group will take your positions
and ideas as right, and the less it will come to its own conclusions.
DONT:

Dont let one or a small group of individuals dominate the discussion. People who
are particularly articulate or assertive, who have strong feelings that they urgently
want to express, or who simply feel the need and have the ability to dominate
can take up far more than their fair share of a discussion. This often means that
quieter people have little or no chance to speak, and that those who disagree with
the dominant individual(s) are shouted down and cease trying to make points. Its up
to the leader to cut off individuals who take far more than their share of time, or who
try to limit discussion. This can be done in a relatively non-threatening way (This is
an interesting point, and its certainly worth the time weve spent on it, but there are
other points of view that need to be heard as well. I think Alice has been waiting to
speak), but its crucial to the open process and to the comfort and effectiveness of
the group.
Dont let one point of view override others, unless its based on facts and logic, and
is actually convincing group members to change their minds. If a point of view
dominates because of its merits, its appeal to participants intellectual and ethical
sensibilities, thats fine. Its in fact what you hope will happen in a good group
discussion. If a point of view dominates because of the aggressiveness of its
supporters, or because its presented as something its wrong to oppose (People
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who disagree with the President are unpatriotic and hate their country), thats
intellectual bullying or blackmail, and is the opposite of an open discussion. As
leader, you should point it out when thats happening, and make sure other points of
view are aired and examined.
Sometimes individuals or factions that are trying to dominate can disrupt the process
of the group. Both Sections 1 and 2 of this chapter contain some guidelines for
dealing with this type of situation.
Dont assume that anyone holds particular opinions or positions because of his
culture, background, race, personal style, etc. People are individuals, and cant be
judged by their exteriors. You can find out what someone thinks by asking, or by
listening when he speaks.
Dont assume that someone from a particular culture, race, or background speaks for
everyone else from that situation. She may or may not represent the general opinion
of people from situations similar to hersor there may not be a general opinion
among them. In a group discussion, no one should be asked or assumed to
represent anything more than herself.
The exception here is when someone has been chosen by her community or group
to represent its point of view in a multi-sector discussion. Even in that situation, the
individual may find herself swayed by others arguments, or may have ideas of her
own. She may have agreed to sponsor particular ideas that are important to her
group, but she may still have her own opinions as well, especially in other areas.
Dont be the font of all wisdom. Even if you know more about the discussion topic
than most others in the group (if youre the teacher of a class, for instance),
presenting yourself as the intellectual authority denies group members the chance to
discuss the topic freely and without pressure. Furthermore, some of them may have
ideas you havent considered, or experiences that give them insights into the topic
that youre never likely to have. Model learning behavior, not teaching behavior.
If youre asked your opinion directly, you should answer honestly. You have some
choices about how you do that, however. One is to state your opinion, but make
very clear that its an opinion, not a fact, and that other people believe differently.
Another is to ask to hold your opinion until the end of the discussion, so as not to
influence anyones thinking while its going on. Yet another is to give your opinion
after all other members of the group have stated theirs, and then discuss the
similarities and differences among all the opinions and peoples reasons for holding
them.
If youre asked a direct question, you might want to answer it if its a question of fact
and you know the answer, and if its relevant to the discussion. If the question is less
clear-cut, you might want to throw it back to the group, and use it as a spur to
discussion.
IN SUMMARY
Group discussions are common in our society, and have a variety of purposes, from
planning an intervention or initiative to mutual support to problem-solving to
addressing an issue of local concern. An effective discussion group depends on a
leader or facilitator who can guide it through an open process the group chooses
what its discussing, if not already determined, discusses it with no expectation of
particular conclusions, encourages civil disagreement and argument, and makes
sure that every member is included and no one dominates. It helps greatly if the
leader comes to the task with a democratic or, especially, a collaborative style, and
with an understanding of how a group functions.
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A good group discussion leader has to pay attention to the process and content of
the discussion as well as to the people who make up the group. She has to prepare
the space and the setting to the extent possible; help the group establish ground
rules that will keep it moving civilly and comfortably; provide whatever materials are
necessary; familiarize herself with the topic; and make sure that any pre-discussion
readings or assignments get to participants in plenty of time. Then she has to guide
the discussion, being careful to promote an open process; involve everyone and let
no one dominate; attend to the personal issues and needs of individual group
members when they affect the group; summarize or clarify when appropriate; ask
questions to keep the discussion moving, and put aside her own agenda, ego, and
biases.
Its not an easy task, but it can be extremely rewarding. An effective group
discussion can lay the groundwork for action and real community change.
An Introduction to the Problem-Solving Process
"We must try to trust one another. Stay and cooperate." - Jomo Kenyatta, (1891 1978), former president of the Republic of Kenya
Imagine for a moment that your coalition's mission is to encourage development in a
traditionally poor downtown neighborhood. Your first goal is to recruit members, but
you find a lack of interest among area residents. So you work for months to convince
people to join, and meet with some modest success. Then, at your first all-coalition
meeting, you find that members don't want to work together. The students you have
recruited don't trust the police officers who have shown up; the police officers, in
turn, pay no attention to the students; and an argument has broken out in one corner
of the room between a few fundamentalist Christians and gay rights activists. Your
head is in your hands. You are halfway through your grant, and it seems that you
haven't made any headway whatsoever towards your stated goal. What are you
going to do now?
Problems are a fact of life at home, at play, and at work. Unfortunately, problems
aren't always isolated cases. They tend to be like onions - you peel away one
problem only to find another, and then another, and you can't solve the problem you
were first interested in until you solve a variety of related problems. For example, you
can't increase safety at a crosswalk until you hire more crossing guards. And nobody
will apply for the job until you can increase the salary.
In short, we will always be confronted with problems, so the importance of problem
solving can't be overstated. That's why this chapter of the Tool Box is focused wholly
on the subject. Because most of us labor in groups or coalitions that are working
together on an issue, we will focus primarily on the group problem-solving process.
WHAT IS A PROBLEM?
So, what's a problem? How would you define one? We usually define a problem
fairly negatively: a problem is a hassle, it's a pain in the neck. This is often true, but
more generally, a problem can be considered the difference between what is, and
what might or should be. And believe it or not, problems have their advantages, too.
What are some of the good things about problems?
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Most problems are solvable (or partially solvable, or at least improvable). We can do
something about them. The task may seem overwhelming (it surely did when David
fought Goliath, or when suffragettes worked to give women the right to vote), but it's
not hopeless. Our optimistic assumption is that we can change the world.
Problems are opportunities to make some good things happen. If it weren't for
problems, what would be our motivation to create change?
Problems are also challenges. They call upon the best of our abilities, and ask us to
go beyond what we thought we could do. They make life interesting, and, at least
sometimes, fun. Without problems, life could be pretty boring.
You don't agree? Think of all of the games based on problem solving. Chess is
thousands of years old and is still as popular as ever, based on the number of books
you might find on it at your local bookstore. The Rubik's Cube was a national rage
some years back. True, the stakes may be very different between a chess game and
finding a way to connect with local young people. But both can present a challenge
that stretches us in the same ways.
With all this in mind, what is "problem solving?" A good definition can be found in
Lead on! The complete handbook for group leaders. The authors define problem
solving as "an individual or collaborative process composed of two different skills: (1)
to analyze a situation accurately, and (2) to make a good decision based on that
analysis."
WHY IS A GROUP PROCESS PARTICULARLY IMPORTANT?
Why are we focusing on a collaborative process in this chapter? Well, for several
reasons. You probably already do a lot of individual problem solving, and there's a
good deal of merit in that. But many of the problems and challenges we face as
members of our organizations affect everyone in the group. It makes sense then,
that everyone is part of the solution. And, as the saying goes, two heads are better
than one - so just imagine what can be accomplished with a room full of dedicated
people!

Now, let's change the emphasis for a moment. Why are we focusing on a
collaborative process in this chapter? Maybe your group is used to doing things
haphazardly on an as-absolutely-necessary basis. Why should you take more time
(already a precious commodity among most groups) to go through a lengthy
process?
Effective group processes enhance a group's ability to solve problems and make
decisions. When working with more than just a couple of people, solving a problem
with a set process becomes more manageable.
It increases the group's efficiency and productivity.
It increases the group's participation - more people tend to be involved, and, as a
result,
It increases group satisfaction. This means, among other things, that the group is
more likely to want to take on other problems. And when they do so, they'll be better
placed to solve them.
WHAT IS THE PROBLEM-SOLVING PROCESS?
Like any other process, there are many different tasks that need to be done to
properly solve problems. And again, like any other process, skipping some of the
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steps will make the job more difficult in the long run. Here is a brief explanation of
each of the steps, to be discussed in more detail in the following sections:
Running effective meetings - Since your work will be in a group, the first thing you
need to understand is how to hold a good meeting. You may have the problemsolving process down pat, but that won't make any difference if nobody shows up at
your meeting, or if no one pays attention to what goes on.
Developing facilitation skills - Strong facilitation skills go hand in hand with running
an effective meeting. A good facilitator helps diffuse explosive emotions, makes sure
everyone's voice is heard, and steers the group towards the best decisions.
Developing recorder skills - Again, these skills are part of running an effective
meeting. A good recorder works hand in hand with the facilitator, and together, they
make sure that not only are everyone's opinions heard, they are also seen,
remembered, and followed up on. Having a good recorder is one of the most
important parts of setting up an effective meeting.
Defining and analyzing the problem - This is the core of the problem solving process.
Sometimes, the real problem isn't originally apparent.
Generating and choosing solutions
Putting your solution into practice - If you have followed the process carefully, you'll
be surprised at how easy implementing it actually is!
IN SUMMARY:
As we said before, the world is full of problems, and some of them look pretty
challenging, to say the least. But the rewards are great. Solutions that are well
thought out and carefully implemented can work. How much can you do?
Defining and Analyzing the Problem
We've all had our share of problems - more than enough, if you come right down to
it. So it's easy to think that this section, on defining and analyzing the problem, is
unnecessary. "I know what the problem is," you think. "I just don't know what to do
about it."
Not so fast! A poorly defined problem - or a problem whose nuances you don't
completely understand - is much more difficult to solve than a problem you have
clearly defined and analyzed. The way a problem is worded and understood has a
huge impact on the number, quality, and type of proposed solutions.
In this section, we'll begin with the basics, focusing primarily on four things. First,
we'll consider the nature of problems in general, and then, more specifically, on
clarifying and defining the problem you are working on. Then, we'll talk about
whether or not you really want to solve the problem, or whether you are better off
leaving it alone. Finally, we'll talk about how to do an in-depth analysis of the
problem.
THE NATURE OF PROBLEMS
So, what is a problem? It can be a lot of things. We know in our gut when there is a
problem, whether or not we can easily put it into words. Maybe you feel
uncomfortable in a given place, but you're not sure why. A problem might be just the
feeling that something is wrong and should be corrected. You might feel some sense
of distress, or of injustice.
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Stated most simply, a problem is the difference between what is, and what might or
should be. "No child should go to bed hungry, but one-quarter of all children do in
this country," is a clear, potent problem statement. Another example might be,
"Communication in our office is not very clear." In this instance, the explanation of
"what might or should be" is simply alluded to.
As these problems illustrate, some problems are more serious that others; the
problem of child hunger is a much more severe problem than the fact that the new
youth center has no exercise equipment, although both are problems that can and
should be addressed. Generally, problems that affect groups of people - children,
teenage mothers, the mentally ill, the poor - can at least be addressed and in many
cases lessened using the process outlined in this Chapter.
Although your organization may have chosen to tackle a seemingly insurmountable
problem, the process you will use to solve it is not complex. It does, however, take
time, both to formulate and to fully analyze the problem. Most people underestimate
the work they need to do here and the time they'll need to spend. But this is the
legwork, the foundation on which you'll lay effective solutions. This isn't the time to
take shortcuts.
Three basic concepts make up the core of this chapter: clarifying, deciding, and
analyzing. Let's look at each in turn.
CLARIFYING THE PROBLEM
If you are having a problem-solving meeting, then you already understand that
something isn't quite right - or maybe it's bigger than that; you understand that
something is very, very wrong. This is your beginning, and of course, it makes most
sense to...
Start with what you know. When group members walk through the door at the
beginning of the meeting, what do they think about the situation? There are a variety
of different ways to garner this information. People can be asked in advance to write
down what they know about the problem. Or the facilitator can lead a brainstorming
session to try to bring out the greatest number of ideas. Remember that a good
facilitator will draw out everyone's opinions, not only those of the more vocal
participants.
Decide what information is missing. Information is the key to effective decision
making. If you are fighting child hunger, do you know which children are hungry?
When are they hungry - all the time, or especially at the end of the month, when the
money has run out? If that's the case, your problem statement might be, "Children in
our community are often hungry at the end of the month because their parents'
paychecks are used up too early."
Compare this problem statement on child hunger to the one given in "The nature of
problems" above. How might solutions for the two problems be different?
Gather information on the problem. You might collect any of several types of
information available. Most commonly, what you hear or read will fall into one of the
following categories:
Facts (15% of the children in our community don't get enough to eat.)
Inference (A significant percentage of children in our community are probably
malnourished/significantly underweight.)
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Speculation (Many of the hungry children probably live in the poorer neighborhoods
in town.)
Opinion (I think the reason children go hungry is because their parents spend all of
their money on cigarettes.)
When you are gathering information, you will probably hear all four types of
information, and all can be important. Speculation and opinion can be especially
important in gauging public opinion. If public opinion on your issue is based on faulty
assumptions, part of your solution strategy will probably include some sort of
informational campaign.

For example, perhaps your coalition is campaigning against the death penalty, and
you find that most people incorrectly believe that the death penalty deters violent
crime. As part of your campaign, therefore, you will probably want to make it clear to
the public that it simply isn't true.
Where and how do you find this information? It depends on what you want to know.
You can review surveys, interviews, the library and the internet.
Define the problem. With the information in front of you, you're ready to write down a
"problem statement" - a comprehensive definition of the problem. Before you do,
remember two general principles:
Define the problem in terms of needs, and not solutions. If you define the problem in
terms of possible solutions, you're closing the door to other, possibly more effective
solutions. "Violent crime in our neighborhood is unacceptably high," offers space for
many more possible solutions than, "We need more police patrols," or, "More
citizens should have guns to protect themselves."
Define the problem as one everyone shares; avoid assigning blame for the problem.
This is particularly important if different people (or groups) with a history of bad
relations need to be working together to solve the problem. Teachers may be
frustrated with high truancy rates, but blaming students uniquely for problems at
school is sure to alienate students from helping to solve the problem.
You can define the problem in several ways; The facilitator can write a problem
statement on the board, and everyone can give feedback on it, until the statement
has developed into something everyone is pleased with, or you can accept someone
else's definition of the problem, or use it as a starting point, modifying it to fit your
needs.
After you have defined the problem, ask if everyone understands the terminology
being used. Define the key terms of your problem statement, even if you think
everyone understands them.
The Hispanic Health Coalition, has come up with the problem statement "Teen
pregnancy is a problem in our community." That seems pretty clear, doesn't it? But
let's examine the word "community" for a moment. You may have one person who
defines community as "the city you live in," a second who defines it as, "this
neighborhood" and a third who considers "our community" to mean Hispanics.
DECIDING TO SOLVE THE PROBLEM
At this point, you have already spent a fair amount of time on the problem at hand,
and naturally, you want to see it taken care of. Before you go any further, however,
it's important to look critically at the problem and decide if you really want to focus
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your efforts on it. You might decide that right now isn't the best time to try to fix it.
Maybe your coalition has been weakened by bad press, and chance of success right
now is slim. Or perhaps solving the problem right now would force you to neglect
another important agency goal. Or perhaps this problem would be more
appropriately handled by another existing agency or organization.
You and your group need to make a conscious choice that you really do want to
attack the problem. Many different factors should be a part of your decision. These
include:

Importance. In judging the importance of the issue, keep in mind the feasibility. Even
if you have decided that the problem really is important, and worth solving, will you
be able to solve it, or at least significantly improve the situation? The bottom line:
Decide if the good you can do will be worth the effort it takes. Are you the best
people to solve the problem? Is someone else better suited to the task?
For example, perhaps your organization is interested in youth issues, and you have
recently come to understand that teens aren't participating in community events
mostly because they don't know about them. A monthly newsletter, given out at the
high schools, could take care of this fairly easily.

Unfortunately, you don't have much publishing equipment. You do have an old
computer and a desktop printer, and you could type something up, but it's really not
your forte.
A better solution might be to work to find writing, design and/or printing professionals
who would donate their time and/or equipment to create a newsletter that is more
exciting, and that students would be more likely to want to read.
Negative impacts. If you do succeed in bringing about the solution you are working
on, what are the possible consequences? If you succeed in having safety measures
implemented at a local factory, how much will it cost? Where will the factory get that
money? Will they cut salaries, or lay off some of their workers?
Even if there are some unwanted results, you may well decide that the benefits
outweigh the negatives. As when you're taking medication, you'll put up with the side
effects to cure the disease. But be sure you go into the process with your eyes open
to the real costs of solving the problem at hand.
CHOOSING AMONG PROBLEMS
You might have many obstacles you'd like to see removed. In fact, it's probably a
pretty rare community group that doesn't have a laundry list of problems they would
like to resolve, given enough time and resources. So how do you decide which to
start with?
A simple suggestion might be to list all of the problems you are facing, and whether
or not they meet the criteria listed above (importance, feasibility, et cetera). It's hard
to assign numerical values for something like this, because for each situation, one of
the criteria may strongly outweigh the others. However, just having all of the

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information in front of the group can help the actual decision making a much easier
task.
ANALYZING THE PROBLEM
Now that the group has defined the problem and agreed that they want to work
towards a solution, it's time to thoroughly analyze the problem. You started to do this
when you gathered information to define the problem, but now, it's time to pay more
attention to details and make sure everyone fully understands the problem.
ANSWER ALL OF THE QUESTION WORDS.
The facilitator can take group members through a process of understanding every
aspect of the problem by answering the "question words" - what, why, who, when,
and how much. This process might include the following types of questions:
What is the problem? You already have your problem statement, so this part is more
or less done. But it's important to review your work at this point.
Why does the problem exist? There should be agreement among meeting
participants as to why the problem exists to begin with. If there isn't, consider trying
one of the following techniques.
The "but why" technique. This simple exercise can be done easily with a large group,
or even on your own. Write the problem statement, and ask participants, "Why does
this problem exist?" Write down the answer given, and ask, "But why does (the
answer) occur?"
"Children often fall asleep in class,"
But why?
"Because they have no energy."

But why?
"Because they don't eat breakfast."
But why?
Continue down the line until participants can comfortably agree on the root cause of
the problem. Agreement is essential here; if people don't even agree about the
source of the problem, an effective solution may well be out of reach.
"Force field analysis." The "but why" technique asks you to dig deep to find the
cause of the problem. With force field analysis, you will be looking more broadly at
the issue and the forces surrounding it.
Start with the definition you penned above.
Draw a line down the center of the paper. Or, if you are working with a large group of
people who cannot easily see what you are writing, use two pieces.
On the top of one sheet/side, write "Restraining Forces."
On the other sheet/side, write, "Driving Forces."

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Under "Restraining Forces," list all of the reasons you can think of that keep the
situation the same; why the status quo is the way it is. As with all brainstorming
sessions, this should be a "free for all;" no idea is too "far out" to be suggested and
written down.
In the same manner, under "Driving Forces," list all of the forces that are pushing the
situation to change.
When all of the ideas have been written down, group members can edit them as they
see fit and compile a list of the important factors that are causing the situation.
Clearly, these two exercises are meant for different times. The "but why" technique is
most effective when the facilitator (or the group as a whole) decides that the problem
hasn't been looked at deeply enough and that the group's understanding is
somewhat superficial. The force field analysis, on the other hand, can be used when
people are worried that important elements of the problem haven't been noticed -that you're not looking at the whole picture.
Who is causing the problem, and who is affected by it? A simple brainstorming
session is an excellent way to determine this.
When did the problem first occur, or when did it become significant? Is this a new
problem or an old one? Knowing this can give you added understanding of why the
problem is occurring now. Also, the longer a problem has existed, the more
entrenched it has become, and the more difficult it will be to solve. People often get
used to things the way they are and resist change, even when it's a change for the
better.
How much, or to what extent, is this problem occurring? How many people are
affected by the problem? How significant is it? Here, you should revisit the questions
on importance you looked at when you were defining the problem. This serves as a
brief refresher and gives you a complete analysis from which you can work.
If time permits, you might want to summarize your analysis on a single sheet of
paper for participants before moving on to generating solutions, the next step in the
process. That way, members will have something to refer back to during later stages
in the work.
Also, after you have finished this analysis, the facilitator should ask for agreement
from the group. Have people's perceptions of the problem changed significantly? At
this point, check back and make sure that everyone still wants to work together to
solve the problem.
IN SUMMARY
The first step in any effective problem-solving process may be the most important.
Take your time to develop a critical definition, and let this definition, and the analysis
that follows, guide you through the process. You're now ready to go on to generating
and choosing solutions, which are the next steps in the problem-solving process, and
the focus of the following section.
Generating and Choosing Solutions
It would be nice, when faced with a problem, to be able to immediately have the
perfect solution pop into your head, recognize it as such, and be ready to go.
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Unfortunately, it's not always quite that easy. Even with a group of intelligent and
dedicated people, it's not always easy to think of any solution to the problems facing
the coalition, much less one that is effective and feasible. Just like anything else, it
takes work -- some hard thinking, evaluating, and decision-making on the part of all
members.
And that's what we'll focus on in this section. In the next few pages, we'll discuss
setting the stage for an idea-generating session, as well as different methods you
can use to come up with the most ideas possible. Then, when you have more ideas
than you know what to do with, we'll talk about how to evaluate your solutions.
Finally, we'll talk about the process of decision-making, and, in particular, how to
gather a consensus.
BEFORE YOU START
Previously, we talked about the importance of having a comfortable, well-lighted
room to meet in. When holding a session to generate solutions to a problem, it is
even more important that people are relaxed and at ease both mentally and
physically. Why? Two reasons are particularly important:
To promote creativity. Helping people think in different ways is always a challenging
task. You are asking people to be creative and to use a part of their brain that they
may not be accustomed to activating. Being creative can be difficult for many of us.
Soft lighting, comfortable chairs, and even relaxing music can help innovative ideas
flow.
To promote open discussion. Most people are comfortable talking about facts or
about other people's opinions. Sharing your own ideas, however, especially ideas
that you haven't had time to think through, or that you think might be unacceptable to
the group, can be much more daunting. No one wants to be laughed at or thought of
as stupid because of the ideas that they have suggested. So, it's important that
people have a fair amount of confidence, both in themselves and in the group, before
you begin the process.
There are two key ingredients in making people comfortable: putting people at ease
mentally and looking after their physical comfort.
To put people at ease mentally, they need to be comfortable talking with the group. If
you began the process by defining and analyzing the problem, as we discussed in
Section 5, group members should already have reached a certain level of comfort
with each other, and the facilitator might decide that more team-building is
unnecessary. This is especially true if group members have known each other and
worked together for a while.
On the other hand, if some or all group members don't know each other well and
seem to be a bit uncomfortable, you might want to take a few minutes to try a teambuilding exercise. It doesn't need to be complex, or even serious. In fact, something
a bit nonsensical, such as asking everyone in the group to describe the most
disgusting thing they ever ate, or to reveal what they would prefer to be reincarnated
as, might be just the thing to loosen tension and help people feel more at ease with
one another.

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Paying attention to physical comfort of members is just as important. If your chair is

too hard, or you're shivering in your sweater, or sunlight is glaring in your eyes, it's
hard to focus on anything else. And when they are uncomfortable, most people
become less open to new ideas.
Envision the place where you are most at ease and where you think most clearly.
Where is it? Your living room? The beach? The library? What is it about that place
that makes it so welcoming? What parts of that place can be transferred to your
meeting area?
You probably won't be able to have your meeting in the place you find most
comfortable. (Sometimes, though, you might! Why not hold a meeting at the beach?)
And, of course, the same places won't be equally comfortable for all people. A
meeting in the boss's office might be fine for her, but less comfortable for members
of her staff.
What you can do, however, is try to introduce aspects of the place you're most
comfortable into your meeting site. You could by providing music, or chocolate chip
cookies, or posters on the wall. You're limited only by the imagination and
preferences of members of the group.
And even if you can't do much, you'll probably find that there are some basic
comforts everyone will find important, and you will want to take care of them before
the meeting. Some possibilities include:
Soft lighting
Comfortable chairs
Access to restrooms
Making sure the temperature is comfortable for everyone
Taking breaks when the meeting gets too long
Refreshments (at an absolute minimum, you'll want to be sure there is water
available)
Making sure the building is handicapped accessible
GENERATING SOLUTIONS
When the group is comfortable, you will be ready to work together to think up some
possible solutions. Listed below are just a few of the many different ways to do so.
Your group can try the one that members prefer; all should yield some good
solutions.
Simply go around the room and ask everyone to suggest ideas. No tricks, no
gimmicks, but it works.
Send a piece of paper around the room. People can write down their ideas, which
can later be discussed without anyone knowing who suggested which idea.
Idea writing. Idea writing is especially helpful to people who like to write. It also helps
many people generate and comment on ideas in a short amount of time. Large
groups should be divided into small groups of five or six. Each person writes a
possible solution to the problem on his/her own pad of paper. Then each person puts
their pad on a table in the middle of the group. Next, everyone takes someone else's
pad and comments on the idea. People keep doing this until everyone in the group
has commented on everyone else's idea. During or after the meeting, all the ideas
are discussed or summarized in a report.
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Brainstorming. Brainstorming is a tried-and-true way to come up with ideas in a

group. The method is simple: The problem is stated, and the recorder stands in front
of a room with some newsprint or a blackboard. People in the group say whatever
ideas pop into their minds. The recorder writes down all of the comments made.
Helpful hints to keep in mind when brainstorming include:
Watch out for assumptions; every unnecessary assumption reduces the number of
potential solutions. If your group is looking for entertainment for an upcoming
celebration, for example, don't assume that there isn't talent within the group. You
might have an outstanding singer who is just too shy to bring his talents up unasked.
Simply giving instructions that people can or should be creative in the brainstorming
session may help raise the number and quality of solutions created.
No idea is too outlandish. The meeting recorder writes all the ideas down. Why? An
idea that seems ridiculous on first hearing might turn out to be possible and even
desirable. It may also be modified by other members of the group, and end up being
the perfect solution to the problem.
A member of the coalition might suggest asking NBA players to mentor area youth.
That might be impossible, but the idea sparks another member's imagination, and
she suggests asking local college athletes to serve as mentors. Still another member
suggests asking the coaches to sponsor youth who are having problems at home as
scholarship students for their summer sports camps. Other suggestions come up as
a result of these ideas, and after half an hour of brainstorming, the group has a long
list of possibilities to choose from.
Nobody should comment on how good or bad the ideas are; there should be no
discussion about them at this time. Keep producing all kinds of ideas until everyone
runs out of steam.
Ideas can be "piggy-backed" or combined as people see connections during the
process.
The facilitator should keep the energy high and constantly ask for more and different
ideas. This may even be done in the manner of an auctioneer, with constant chatter
and a fast-paced discussion.
If the group gets off the subject, the facilitator or recorder should gently remind them
of why they are there.
Discussion, analysis, and idea selection come later.
Variations on brainstorming:
A period of individual brainstorming can precede the group activity. Each person
generates his/her own ideas privately and later shares them with the group.
If idea generating is done on a day after you defined and analyzed the problem,
group members can be asked to generate solutions as "homework" between the two
sessions.
EVALUATING SOLUTIONS
Hopefully, your work up to this point has produced many potential solutions. Now, it's
time to decide which idea is best. There are many possible ways to do this. One
approach includes doing the following three things for each idea:
Judge each idea independently. List on separate pieces of paper:
What you like about the idea
What you don't like about the idea
What the side effects might be
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Ask the following questions:

Is it practical?
Is it effective?
Is it cost effective?
Will it be easy to put into practice? There's a lot involved in this question. Related
questions might include: Can it be done by group members, or will you need outside
help? How much time will it take? Will anyone need to learn new skills?
Will it be accepted by everyone involved? That is, by group members, those who will
be affected, and those doing (and paying for) the work? How about the community
as a whole?
Is it consistent with other things done by the group?
Looking at the above questions, it's easy to see that the answers will often be fairly
subjective. Spending $1000 on a project may not be much if you are working on a
$300,000 grant, but may be quite a bit more for less well-funded groups. But going
through the above questions should give you a pretty good idea of what will work for
you.
Modify the solution you are looking at if suggestions have come up that can improve
it.
After looking carefully at each idea, and weighing the pros and cons of each, you're
now ready to make your decision.
MAKING A DECISION
When it comes to how to make a decision, you can:
Have someone decide, and then announce the decision to the group
Gather input from individuals, and then have one person decide
Gather input from the group, and then have one person decide
Vote
Try to build consensus among everyone at the meeting
All of these are feasible alternatives that may be chosen at different times. For the
group problem-solving process, however, we strongly recommend the last option.
Choosing by consensus - discussing and debating the possibilities until everyone
comes to an agreement - is often the strongest of these ideas, because everyone is
part of the solution. Members are much more likely to fully support a decision that
they had a hand in creating.
That's not to say that it's always easy to build consensus. Sometimes, it might be;
when the group has looked carefully at all of the options available to them, one might
jump out as clearly being superior to the others. But, when the solution is not so
evident, it can be quite a challenge to form an agreement, especially if people in your
group have strong opinions one way or another.

The following tips are often helpful to keep in mind during the discussion:
Avoid arguing blindly for your own opinions. It's easy to get so caught up in what you
believe that you don't really hear what others are saying. Be sure to listen as
carefully as you speak.

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Don't change your mind just to reach an agreement. If you aren't happy with a
solution now, it's not likely it will please you much more when you are doing the work
several months down the line.
It's easy to think of this as an "all or none" situation: someone must win, and
someone has to lose. That's not necessarily the case. If the group is locked between
two different possibilities, see if a third will be more palatable for everyone involved.
If people are becoming frustrated, or you are making no progress, then take a break.
Have some coffee, work on something else for a few minutes, or adjourn for the day.
Sometimes, just a short breather can give people a new perspective.
What if you can't reach an agreement?
If a thorough discussion doesn't seem to result in a decision on which everyone
agrees, you have a couple of options. (Hint: The group can decide before you debate
solutions what you will do if you can't agree on any of the proposals.)
You can try one of the other decision-making possibilities mentioned above
(nominate one person to make the final decision, vote, etc.).
You can try what authors David Quinlivan-Hall and Peter Renner call the "nominal
group technique." To do this, ask each participant to assign a number to every
solution, with one being their favorite solution, two being their second favorite, and
so on. The numbers are all added up, and the solution with the lowest value is the
one chosen.
In some cases, you might choose not to decide, or to defer the decision until the next
meeting. Some ideas and opinions may change if people are allowed some time to
mull them over.
Whatever you as a group decide to do, the facilitator should ask for feedback after
the decision has been made. Questions might include, "Do you have any problems
you would like to air?"; "Do you have any suggestions that might make this better?";
and, "Are you completely satisfied with the solution we have chosen?"
IN SUMMARY
Generating and choosing solutions within a group are two pretty tough tasks. You
are asking people to think creatively, put aside their inhibitions, and come up with
new ideas; then, you go a step further and ask them to use all of their political skills
and negotiate a decision.
The good news is that when you've made it this far, you're almost home. In the next
section of this chapter, Putting Your Solution into Practice, we'll talk about
implementing all of your hard work. But, if you have been following the process, now
is definitely the time to celebrate what you've already accomplished. You've come a
long way!
Participatory Approaches to Planning Community Interventions
Everyone who's ever worked in health or human services knows at least one horror
story about an intervention that either went wrong or never worked for a minute.
Often, when the story is told, it becomes clear that the well-intentioned professionals
in charge had totally misunderstood or ignored some fundamental fact about the
community or the target population. Since they assumed they knew what was
needed, they planned the whole thing themselves...and failed miserably.
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For every horror story, however, there's a story about an intervention where
everything went right. In many of these cases, you'll find that the target population and often the larger community as well - was included in the planning of the
intervention from the beginning.
When an organization decides to take on a community intervention - whether a full fledged service program or a one-time campaign to accomplish one specific goal - it
can often increase its chance of success by using a participatory planning process.
In this section, we'll explore what a participatory planning process is, why it's
valuable, its potential advantages and disadvantages, and how to use it to plan an
effective intervention - one where everything goes right.
WHAT IS A PARTICIPATORY APPROACH TO PLANNING?
In its simplest terms, a participatory approach is one in which everyone who has a
stake in the intervention has a voice, either in person or by representation. Staff of
the organization that will run it, members of the target population, community
officials, interested citizens, and people from involved agencies, schools, and other
institutions all should be invited to the table. Everyone's participation should be
welcomed and respected, and the process shouldn't be dominated by any individual
or group, or by a single point of view.

That's the ideal. The reality may often be quite different. Some people might not want
to be involved - they may feel it takes too much time, or they don't have the skills
needed. Particular individuals or groups may feel left out and disrespected if they're
not invited to participate. The planning process may be a rubber stamp for ideas that
have already been developed. Some people's opinions may be listened to more
carefully than those of others. In some of these situations, a participatory process
can cause as many problems as never involving people at all.
The important thing to remember here is the word participatory. The use of that term
implies not just that you'll ask for someone's opinion before you do what you were
going to do anyway, but rather that each participant becomes an important
contributor to the planning process.
A true participatory approach is one in which everyone's perspective is considered.
That doesn't mean that people can't challenge others' assumptions, or argue about
what the best strategy might be. It does mean, however, that everyone's thoughts
are respected, and it isn't necessarily assumed that the professionals or the well educated automatically know what's best. Everyone actually gets to participate in the
planning process, and has some role in decision-making.
This is an extremely important point. Many low-income or minority individuals and
groups feel that they have no voice in the society, that they are not listened to even
when they are asked for their opinions. True participation means that everyone has a
voice which must be acknowledged.
Acknowledgment also implies having enough respect for another's opinion to argue
with it. All too often, low-income or minority members of a planning team or
governing board are treated with reverse condescension, as if anything they say
must be true and profound. A truly participatory process would include not only
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everyone being heard, but also everyone thrashing out ideas and goals, and
wrestling with new concepts.
In order for this to happen, those with less education and "status" often need extra
support, both to learn the process and to believe that their opinions and ideas are
important and worth stating. All of this takes time, but the rewards are great.
WHAT ARE THE ADVANTAGES OF A PARTICIPATORY PLANNING APPROACH?
Participation carries with it feelings of ownership, and builds a strong base for the
intervention in the community. If people are integral to the planning of a community
intervention, then that intervention will be theirs. They have a stake in it not only as
its beneficiaries or staff or sponsors, but as its originators. They'll do what they can to
see their work succeed.
It ensures that the intervention will have more credibility in all segments of the
community because it was planned by a group representing all segments of the
community. If people know that others with the same point of view and experience as
theirs were instrumental in making the intervention happen, they'll assume that their
interests were attended to.
Bringing a broader range of people to the planning process provides access to a
broader range of perspectives and ideas.
A participatory planning approach avoids pitfalls caused by ignorance of the realities
of the community or the target population. If, for instance, Muslims are part of the
planning process for an intervention in a community which includes many followers
of Islam, they'll know that lunch meetings during Ramadan, the Islamic month of
daytime fasting, are not likely to work. Long-time community members will know
what has failed in the past, and why, and can keep the group from repeating past
mistakes.
In an example from business: Magic Johnson, the Hall-of Fame basketball player,
owns a string of movie theaters in African-American neighborhoods. In talking to
theater managers, he found that drinks - the standard Coke/Sprite/root beer - weren't
selling at the concession stands. Johnson immediately ordered that sweeter drinks orange soda, fruit punch - be added, and concession sales shot up. He knew, from
his own experience, that sweeter drinks reminded patrons of the Kool-Aid they had
drunk as kids.
It involves important players from the outset. If the intervention needs the support of
a particular individual, or that of a particular agency or group, and they've been part
of the planning from the beginning, their cooperation is assured.
It can provide an opportunity for often-disenfranchised groups to be heard, and teach
the community that they have important things to say.
It teaches skills which last far beyond the planning process, and can help to improve
the community over the long term. People learn to run meetings, to analyze data, to
construct strategic plans - in short, to become community resources and leaders.
It can bring together and establish ties among community members who might
normally have no contact. Such relationships - between low-income people and
business leaders, for instance - are not only supportive of the intervention, but may
help to create long-term relationships and break down barriers in the community.
A participatory planning process builds trust, both between your organization and the
community and among the individuals involved. This trust can serve as a foundation
for future community development and community action.
A participatory planning process generally reflects the mission and goals of grass
roots and community-based organizations. With its underpinnings of collaboration,
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inclusiveness, and empowerment, a participatory approach embodies the ideals that

form the foundations of most grass roots and community-based organizations.
It implies respect for everyone in the community, and thus sets a standard for
community participation and empowerment that other organizations - and the
community at large - may feel compelled to follow.
Logically, a participatory planning approach should be effective. The fact that it
includes the views and perspectives of everyone affected by the intervention should
work to assure that all assets and needs are identified and addressed, and that
unintended consequences are minimized.
Finally, it does things the way they should be done. It respects everyone's
intelligence, values everyone's ideas and experience, and affords everyone a
measure of control. By empowering the community, and particularly the target
population, rather than just superimposing its own ideas on a social structure that
already exists, your organization can give substance to its ideals. In the final
analysis, some level of participatory approach is almost always the most ethical way
to plan a community intervention.
WHAT ARE THE DISADVANTAGES OF A PARTICIPATORY PLANNING
APPROACH?
Along with its advantages, a participatory planning approach brings some serious
disadvantages as well. It's crucial to understand and anticipate these, and to decide
when and how a participatory planning approach can work in your situation.
A participatory process takes longer. A diverse group always takes longer to make
decisions and come to conclusions than does an individual or small group. It could
take so long that an opportunity is missed, or that valuable time is lost that could be
spent addressing the problem.
Members of the target population or the community may not agree with the "experts "
about what is needed. This may point out serious flaws in a proposed plan, and
acknowledging and addressing those flaws may be difficult. Disagreement may also
mean that the target population or community members simply don't have access to
the knowledge or expertise to understand why the intervention is in fact a good idea.
Often, the most difficult part of participatory planning is to make sure that the
"experts" actually listen to community people and members of the target population
and take their ideas seriously. The goal isn't automatic acceptance of those ideas,
but serious discussion of them, just as for the ideas of the professionals and policy
makers. If the assumption is that only the professionals have something to offer, it
doesn't matter who's sitting at the table - the process isn't participatory. It can be
difficult, even for an outstanding facilitator, to turn this situation around.
Lots of education may be needed, both for community members and the
organization. Members of the target population and the community may not have
important technical knowledge or experience, and may need to understand some
theory or past practice in order to see what the organization is trying to do. Some
may need new skills in order to participate fully in the planning process. The
organization, on the other hand, may need to learn more about local culture, political
issues, and community history in order to tailor the intervention to the community and
avoid past errors. Education of either or both takes time...and time may not be
available.
One determined individual can wreck the whole process if he's not handled well.
Someone who has a particular axe to grind, or who's convinced that only he knows

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what's right for the community can make a participatory process very difficult.
Handling this situation can take both tact and toughness.
A group of parents interested in placing an elective sex education program in the
local high school was opposed by a man whose religious beliefs convinced him that
their idea was the work of Satan. The parents invited him to join them. They hoped
that, by including him, they could defuse some of his objections and end up with a
compromise program that everyone could live with.
The reality was that this man was so determined to undermine the process, and so
unwilling to play by the rules of civility or fairness, that he was able to make it
impossible for the group to function. Ultimately it fell apart, and the curriculum that
was eventually implemented - without a participatory planning process - was so
watered down as to be useless.
It may be difficult to assure that all the right people get to the table. Some key people
may simply not want to participate. Factions in the community, a history of failed
attempts at communication or at dealing with problems, ignorance of which groups or
individuals are important, or just basic mistrust may complicate the task of creating a
participatory planning process. Overcoming this barrier, however, can have profound
positive consequences in the community over the long term.
A participatory planning process takes patience and commitment on everyone's part.
People have to maintain their commitment over time, remain civil while discussing
issues about which they may have strong feelings, and be willing to compromise. A
few misplaced words, or one or a small number of key people losing interest can
upset the whole process.
While these disadvantages present potential or real challenges to the success of a
participatory planning process, overcoming them may tremendously increase the
possibility of designing and carrying out an effective community intervention.
WHAT ARE THE LEVELS OF PARTICIPATORY PLANNING?
There are a number of ways to consider participatory planning. As demonstrated in
the discussion above of advantages and disadvantages, this kind of process always
presents, even at best, a trade-off between efficiency and inclusiveness. Time
pressure, the needs of the community, the skills and experience of those
participating, and the nature of the intervention, among other factors, all help to
dictate the actual shape of the planning process.
So what are the possibilities? Just how participatory do you want to be? David
Wilcox, in his excellent "Guide to Effective Participation," sets out the following as a
model of the different possible levels of participation:
Information - The least you can do is tell people what is planned.
Consultation - You offer a number of options and listen to the feedback you get.
Deciding together - You encourage others to provide some additional ideas and
options, and join in deciding the best way forward.
Acting together - Not only do different interests decide together what is best, but they
form a partnership to carry it out.
Supporting independent community initiatives - You help others do what they want perhaps within a framework of grants, advice and support provided by the resource
holder.

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Each of these levels may be appropriate in different circumstances, or with different

groups, although only at "deciding together" and above do they really begin to be
fully participatory in the sense that the term is used in this section.
WHEN IS PARTICIPATORY PLANNING APPROPRIATE?
In addition to whatever feels right for your organization and circumstances, there are
some guidelines for when it might be appropriate to use each level of planning.
Information-only may be appropriate when:

The course of action has already been decided - by a funder, for instance
You're simply reporting on something that's already in progress
You're keeping people informed so that they'll have the information to be part of a
participatory effort later
Consultation-only may be appropriate when:
You want to evaluate or improve existing services
There are limited options, and you're trying to choose among them
There are technical reasons - again, perhaps because of a funder - why only certain
people or groups can be officially involved in the planning process
But remember, if you consult with people in the community, you have to pay
attention to what they tell you. If you're simply going to ignore their ideas and
recommendations, you shouldn't consult at all. Being asked for an opinion and then
ignored is much more insulting and infuriating than never being asked in the first
place. At the very least, people deserve an explanation of why their advice isn't being
followed.
Deciding together may be appropriate when:
It's important that everyone feel ownership of the plan
You want fresh ideas from as many sources as possible
You can pull in people whom the intervention will directly affect
There's a commitment to provide support through the process for those who need it
There's enough time
In reality, as mentioned earlier, a planning process often is time-limited by proposal
deadlines, the severity of the need (if teenagers are dying every day by gunfire, a
violence prevention program needs to get under way quickly), the requirements of
other partners or funders, etc. The trick is to balance participation and time
restraints, and to try to use the highest level of participation possible under the
circumstances.
Acting together may be appropriate when:
The intervention will be more effective than if it were run by a single entity
There is a funder's requirement for community oversight
There is commitment to the development of a real partnership
Everyone benefits from acting together
One goal of the intervention is the eventual assumption of leadership or the learning
of leadership skills by the target population and/or others in the community
The word "partnership" implies a relationship of equals, where everyone has an
equal voice, and where power and responsibility are equally shared. Forming such a
relationship, even in circumstances where everyone truly desires it, is not a quick or
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easy task. It takes time, commitment both to the process and the end product (the
partnership), and the willingness to air and work through disagreements and
philosophical differences. If you're not willing to give yourself to the development of a
real partnership, acting together may be only a future goal for your organization and
its community.
Supporting local initiatives may be appropriate when:
There is a commitment to community empowerment
The community has the desire and at least some of the tools to start and run a
successful intervention
There is a commitment to provide training and support where needed
Your organization can only provide support, or can only run an intervention for a
short time
As you try to determine what level of participation is right for your situation, consider
this: A participatory planning process has the potential to become a charade meant
only to convince the community that a participatory process is going on.
An adult educator related a conversation with his father-in-law, who worked in a
factory of one of the big Detroit automakers. The company had initiated Total Quality
Management, and had reorganized the factory workers into teams. Each team
included workers from each step in the car manufacturing process, and was meant
to be responsible for the building of a whole car from start to finish. Furthermore,
each team was supposed to be able to change its procedures to make them more
efficient or easier, and thus to improve production through the knowledge and skill of
team members.
Knowing that his father-in-law was a longtime union activist and socialist, the
younger man said, "That must be great. The workers actually have some control
over production." The father-in-law, however, quickly burst the bubble. "No, it's the
same as it was before, except now they make us sit in meetings and tell them what
we think before they ignore us. Nothing has changed. They're just going through the
motions, so they can tell the public they're doing something different."
WHEN IS PARTICIPATORY PLANNING NOT APPROPRIATE?
There are also some general guidelines for when a participatory planning process
may not be appropriate at all, including:
A grant may have to be written immediately, for instance, or a situation - youth
violence, perhaps - may have reached such crisis proportions that it must be
addressed immediately. In such a circumstance, it may be possible to do some
participatory planning after the fact, either to adjust the intervention before it begins,
or to plan its next phase.
When a community is so brutally divided, it's impossible to get all - or even any - of
the rival factions to the same table.
When there's no way to provide proper support - facilitation, structure, etc. - for the
process.
When the target population is simply not interested in participating, and just wants
the organization to take care of it. One goal may be to get them interested, but that
may have to be part of the intervention, rather than part of the planning process.
When the intervention rests on technical knowledge of a kind that the target
population and community members simply don't have.
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When involving all or most stakeholders simply isn't logistically possible, because of
distance, time, or other issues.
When funding constraints or funders' regulations don't allow it.
When there is no trust between your organization and the community. This may be
because the organization is new and unproven, or because of past history. In the
latter circumstance, it is important to reestablish trust, but it may not be possible to
do this before the intervention needs to be planned.
WHO SHOULD BE INVOLVED IN A PARTICIPATORY PLANNING PROCESS?
The ideal answer here is everyone who is affected by the proposed intervention, but
that's seldom possible, or even desirable. You may be talking about thousands of
people, too many for an effective planning process. In reality, there should be strong
and effective representation for everyone involved, including:
TARGETS OF CHANGE
Targets of change are the people at whom the intervention is aimed or whom it is
intended to benefit. That could be very specific (e.g. teen mothers, for a job training
program aimed at teen parents) or very general (the community as a whole, for a
smoking prevention and cessation initiative aimed at everyone in the community).
There are really two groups to be considered here:
Members of the target community, both those on whom the intervention is
specifically focused, and others who share their culture, age, language, or other
characteristics.
People whom the target community sees as significant opinion makers. They may be
members of the target population itself, or outsiders - clergy, advisors, former
community members who now move in circles of power, politicians, etc. - whom
people in the target community trust and rely on.
AGENTS OF CHANGE
Agents of change are the people who make or influence policy or public opinion.
These include actual policy makers, but also encompass people influential in the
community at large, who can help or block an intervention by their support or
opposition.
Policy makers
Local elected or appointed officials
State or federal elected or appointed officials who have influence in the community
or over the issue at which the intervention is aimed.
If elected officials agree to be involved in your planning, they'll often send aides to
represent them. This can be preferable to the officials themselves attending, since
the aides often have a great deal of influence over their bosses, and are also more
likely to have the time to participate fully.
Local public agency heads (welfare, e.g.) who actually administer policy in the
community. If they're involved from the beginning, they may be able to bend rules or
otherwise alter their procedures to smooth the way for the intervention.
Local university professors or researchers who are viewed as experts on the issue in
question.
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Influential people in the community

Members of the business community. There are a number of good reasons to try to
involve the business community: They tend to be practical, often a helpful trait. They
also tend to be conservative, so that if they support the effort, their credibility - and,
as a result, that of the intervention itself - may be high among other conservative
elements in the community. They are often directly affected by such issues as
illiteracy, employee health, insurance, the environment, etc., and so may be quick to
see the need for an intervention. Last but not least, they often have access to
money, which may be important to sustaining the intervention over time.
Clergy and the faith community. In many communities, clergy wield great influence,
and many see involvement in community issues as part of their spiritual mission.
Faith-based groups, because of their cohesiveness, their sense of purpose, and their
moral standing, can be powerful forces in a community.
Natural leaders, those whom others respect and listen to.
A community coalition had as a founding member a veteran who had been shot
down as a fighter pilot in Vietnam. When he got home, the whole town watched for
agonizing months as he learned, through obvious pain, to walk and function despite
crippling injuries that were supposed to confine him to a wheelchair for life. He was
an ordinary guy without wealth or position, but he had credibility in that town.
The media, or others who have a public platform.
Directors or staff of other organizations affected by the problem or issue. Many of
these people may be highly respected or well known in the community.
A community intervention may involve a number of organizations, public agencies
and services, and other groups. A community initiative to offer treatment to
substance abusers, for instance, could involve, among others:
Schools
Police
Local hospitals, clinics, and health maintenance organizations
Services for youth
Mental health centers
Private therapists
Employers
United Way
INTERESTED MEMBERS OF THE COMMUNITY
These might include parents, youth, or school personnel, for instance, for an
intervention dealing with youth. Many seniors have the time, the desire, and the
experience to be excellent community volunteers. People with a personal or
professional interest in the issue may also want to participate - parents whose
children have had drug problems, graduate students, retired teachers or doctors.

MEMBERS OF THE ORGANIZATION ITSELF

Administrators and line staff, volunteers, current participants, board members, and
supporters.
WHAT DO YOU NEED TO DO TO GET A PARTICIPATORY PLANNING PROCESS
UP AND RUNNING?
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RECRUIT STAKEHOLDERS
The obvious first step toward starting a participatory planning process is finding
people to participate. Some of that relies simply on networking and old-fashioned
legwork, but there's a logical process that accompanies it as well.
Identify the stakeholders
How do you define stakeholders? The list of possible participants earlier in this
section is one place to start. Your intervention may not need all, or even many of
these groups or individuals. To determine who should participate, the best question
to ask is "Who will be directly affected by this intervention?"
Answers here will vary greatly, depending upon the nature of the intervention. If the
taxpayers will be asked to pay for it directly - through property taxes, for instance, as
they would be for many school programs - then both community officials and
ordinary taxpayers should have some voice in it. If the police or other community
employees are to be asked to take on extra duties or to cooperate in specific ways to
make the intervention work, they should be included in the planning.
These should always include, at the very least, members of the organization's staff
and Board and the target population. In general, it also makes sense to include
members of the community, especially if:
The intervention needs community support or participation in order to succeed
The intervention will affect the community as a whole
The community is being asked to change in some way - its attitudes, behavior,
assumptions, bylaws, etc.
Even if the community is not a specific stakeholder, it may make sense to involve
community members in a planning process. Every intervention needs some level of
community support in order to succeed. Community participation in planning will help
to assure that support.

Get the word out

If your process is meant to be as inclusive as possible, then you should be using as
many avenues as possible to inform the community about it - press releases,
newspaper stories, fliers, posters, and public service announcements (PSA's) on
radio and television, as well as community presentations, personal contact (either
face-to-face or by phone), mailings, etc. If you're trying to inform only specific groups
in the community, start with people in those groups you already know. They'll help to
spread the word to their friends and acquaintances, who'll pass it on further still.
They can also help you decide where to place other information so the target groups
will be likely to encounter it.
Be sure that your message is simple and clear, and in the languages that the
community speaks. That means both using plain, understandable English, and using
other languages spoken by people in the community. Your message may need to be
in both English and Spanish, for instance, or in a number of languages, in order to
reach everyone.

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Be sure also that your message appears in places where it will be seen or heard by
those it's aimed at. Supermarkets, laundromats, cafes, minority-language radio and
TV stations, particular agencies, etc. may be good places to post your message.
CONVENE THE PLANNING PROCESS
Choose someone to convene the process
Regardless of what happens afterwards, someone needs to call people together and
run a first meeting. If that person is identified with a particular group, then that group
will probably be seen as in charge of the planning process. Depending upon the
community, it could be important to think carefully about who should be in that
position.
Sometimes it is best to find someone from outside the group - often an elected
official or other respected figure - to run a first meeting. This type of choice both
lends credibility to the intervention, and identifies it as a community effort, rather than
that of a particular organization.
In a situation where a diverse core group has initiated the process, it may make
sense for that group to convene a first meeting. The group's chair might then be the
convener. In other cases - particularly where the organization will need a large
amount of community support to make it work - it may make sense to present the
intervention as the project of your organization. In those situations, a Board chair or
director would be the logical choice to convene the planning process.
Hold an initial meeting
An initial meeting might be open to a very large number of people (the whole
community, or all of the target population, for instance) or to a smaller group (one
representative from each of several agencies and organizations, a few selected
members of the target group, etc.). The time, place, and tone of this meeting are all
important in making sure that people will be willing to participate in it and in the
process that follows. Some things you can do to help make it successful:
Before the meeting, try to personally invite as many people as possible. People are
much more likely to come if they know someone cares about their being there.
Plan meeting times around the convenience of those attending, rather than the
convenience of the organization. Evenings, weekends - even holding two or more
meetings at different times - may make it possible for more people to participate.
Hold the meeting in a place that's convenient and comfortable for everyone involved.
If the community is divided into factions, choose a neutral place that everyone
considers "safe." If there's no such problem, choose a place that's relatively easy to
find and reach for everyone (on a bus line, plenty of parking, equally convenient to
several neighborhoods, centrally located in a rural area, etc.)
Provide some food and drink. The presence of food reduces formality and makes
things more comfortable.
Consider carefully who'll run the meeting. This choice may dictate how many people
are willing to get involved in the process.

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If the community is multilingual, make sure to have translators present, or to present

everything in multiple languages, so that everyone feels included.
Plan activities so that everyone at the meeting has a chance to be heard, either in
the larger group or in a smaller one. You asked people there to participate in a
planning process: they should see from the very beginning that you were serious
about that, and that their ideas will be taken seriously.
By the end of the meeting, there should be a clear next step, and everyone should
know what it is. Nothing can sidetrack a participatory planning process more quickly
than generating enthusiasm and leaving it with no place to go.
A large meeting is not always the best way to convene a process. In some
communities, or with some groups, several smaller meetings, or meetings with one
or two or three individuals may be the way to start. A large meeting may be
intimidating to particular individuals or groups: they may not attend, or they may be
unwilling to speak if they do attend. As with any process, it's important to start where
the participants feel comfortable, and to work from there.
MAINTAIN THE PLANNING PROCESS
Once the planning process has started, it has to be maintained. Participants have to
continue to be interested, support has to be provided when it's needed, conflicts
have to be resolved, methods have to be devised to keep the process reasonably
efficient, goals and deadlines have to be set, etc.
Choose someone to guide the planning process
Someone - realistically, it's usually the director or another administrator of the
organization that will conduct the intervention, but it could be a Board chair, an
outside facilitator, or a community member - has to monitor what's happening and
make sure that nothing derails the planning. Finding the right person to fill this role is
extremely important. He has to be able to communicate well with everyone involved,
to see the big picture as well as the details, and to deal gracefully with both
interpersonal and logistical problems. (That's why an outside facilitator is sometimes
a good investment.)
Do you need an outside facilitator? In a situation where divisions are deep, or where
no one available has the needed skills to keep the planning process on track, there
may be a need for a neutral and experienced facilitator. A facilitator with no personal
stake in the process or the community may be able to see - and defuse - the
dynamics among the groups involved in the process. Her skills may be needed to
handle that difficult individual referred to earlier, or to help different racial groups
overcome their mutual suspicion. She may also be able to make what is by nature a
sloppy process more efficient and effective.

Whether your planning will need an outside facilitator or not depends largely on the
character of your community and the character of the relationships among its
different elements. A good facilitator generally doesn't come cheap, so if you need
one, you'll have to decide whether you can afford to hire her. But you'll also have to
decide whether you can afford not to hire her, if you want to plan an intervention that
works.

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Decide who will issue final approval on a plan

If, as is often the case, the actual planning is done by a relatively small group, there
is usually a mechanism to have the plan approved by some larger or governing
body.
This body might take one of several forms:
A meeting of all stakeholders
A diverse group chosen to oversee the intervention
A community meeting
The Board of the organization
A very small group - the director and Board chair, for instance, or even just one of
them
Determine how long the planning process will go on
The planning you want to do might be for a single initiative or campaign, or might
encompass years of collaboration on working with a large and diverse population. If
the planning group is meant to continue, either to furnish oversight of the final plan,
or to keep developing and changing the intervention as circumstances and the
community's needs change, an ongoing participatory approach may be even more
important to the intervention's success.
How well you maintain the process once it's begun is just as important to its success
as how well you start it. Remember that the planning process itself is only a
beginning.
IN SUMMARY
A participatory planning process - one in which all the stakeholders are involved - is
often the most effective and inclusive way to plan a community intervention. A
participatory process provides community ownership and support of the intervention;
information about community history, politics, and past mistakes; and respect and a
voice for everyone. It also takes time, care, mutual respect, and commitment.
In order to conduct such a process well, you have to carefully consider what level of
participation is most appropriate under the circumstances. You also must identify the
stakeholders, and make sure they all get to the table, using communication
techniques designed to reach them.
Care must be taken in getting the process under way. The person and methods
chosen to convene it can both send messages about your intentions, and have a
great effect on which and how many participants you attract.

Finally, the process must be maintained over time, so that momentum will not be
lost. If you can manage a planning process that meets all these requirements, the
chances are that you will come up with a successful community intervention, one
that truly works and meets the community's needs.
Learning How to Be a Community Leader
WHAT IS A COMMUNITY LEADER? ARE YOU ONE?
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Community leaders take responsibility for the well-being and improvement of their
communities. Are you a community leader? Are you interested in becoming one? Try
answering the questions in this leadership quiz. Are you someone who:
Wants to improve your community?
Has something to contribute?
Doesn't wait around for someone else to get the job done?
If you have answered "yes" to any of the above questions, you are most likely a
community leader already, or on your way to becoming one. You don't have to run
for office or be given a title to be a leader. All you need to do is decide to take
responsibility for some corner (or bigger chunk) of your community.
Community leaders are often self-appointed. Even people who run for office first
make a decision that they want to be a leader. You can probably take as much
responsibility for your community as you are willing to.
Many community leaders learn by trial and error. That's not a bad way to go; people
mostly learn from experience. Nonetheless, flying by the seat of your pants can be a
bumpy ride. So why not get some help along the way?
WHY SHOULD YOU BE A COMMUNITY LEADER?
Why should you be a community leader? Leadership can be good for you. In fact,
many people enjoy leading. You don't have to lead out of obligation. You can choose
to lead and participate in ways that energize you and help you grow, instead of
leading in ways that drain you. You can choose to work on issues that you care
about. You can take on challenges that are fun, rewarding, or interesting. It's up to
you.
Let's take a closer look at what you can gain from being a leader:
YOU CAN MAKE A DIFFERENCE

Do you ever daydream that you are the one to save the day? Perhaps you are the
passerby who dives into the water to rescue a drowning child. Maybe you are the
person who deftly persuades the terrorist to put down the gun, just in the nick of
time. It is human to want to make a significant difference in the world. And you can.
The day-to-day acts of community leadership are usually not as dramatic as
described above, and they usually don't inspire a chorus of recognition. Still, as a
community leader, you can make a profound contribution. Establishing a day care
center, increasing job opportunities in your community, getting rid of a toxic waste
dump, or empowering others to lead are all activities that are heroic in their own way.

When Isis Johnson of New Orleans was four years old she saw a news report about
starving children in Ethiopia which made her feel the need to act. At five, with her
grandmother at her side, she went knocking on doors asking for food donations for
poor people in her community. When she was six she collected 1,600 items to give
to people in need. The next year, she collected 4,000 items. When Hurricane
Andrew hit she collected 1,648 pieces of clothing to send to people affected by the
storm. Shortly after the hurricane, Isis's grandmother suggested she start a
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foundation. With the help of her grandmother and a lawyer she established the Isis
Johnson Foundation. Isis was then eight years old. (from Karnes and Bean, Girls
and Young Women Leading the Way, 1993.)
We may not all establish our own foundations by the time we are eight, but we can
make a significant difference if we put our minds to it. Doing so can be infinitely
satisfying.
YOU CAN GROW
Often, people lead because it helps them grow and expand their lives. There is
almost nothing as challenging as leading groups of people. As a leader, you may
need to communicate to large numbers of people, negotiate, and handle dicey
situations. You will become more confident in yourself and in your world if you take
action to lead others around you.
Many successful leaders started without confidence or skills. Some people that are
leaders today once had a hard time saying anything in a small group. If you are a
shy person, take heart. You're not alone. You can figure out how to make your voice
heard. It just takes some practice.
Leadership skills are built step-by-step. No matter what your skills are right now, you
can become a better leader if you work at it. You may find yourself doing things you
never imagined you would!
WE NEED MANY COMMUNITY LEADERS
There is room in this world for more community leaders. The model of one leader at
the top with everyone else at the bottom just doesn't work for communities. One or
two leaders can't possibly solve all the complex problems that our communities face.
With more community leaders, our communities will do better.
The more people become leaders, the more problems we will solve. We need
community leaders to think about and organize around many issues: youth
development, economic growth, substance abuse, crime, the environment, health
care -- the list goes on and on. Each issue will require a troop of skilled leaders to
handle them. We need leaders who are women, young people (we were all young
once), people of color, low -income people, immigrants, people with disabilities and
many others that have been told that they should follow others, not lead. We need
leadership from all walks of life in order for ours to be a truly democratic society.
How will all those leaders work together? That is a skill that community leaders need
to learn. We all have to learn to cooperate. We all need to put aside longings for turf,
status, and power in order to achieve goals that benefit everyone.
Here are some community leadership examples:
A citizen speaks up at the city council open meeting. Her words reveal the key issue
regarding a local problem; the resulting discussion leads to a workable solution
A few people in the neighborhood successfully organize to protest the cutting down
of trees by the city
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A family member generates a plan to help a loved one to stop smoking, enlisting the
support of other family members
A young person organizes a kick-the-can game after dinner on the block
Of course, having a title can be useful, at times. The following are some examples of
community leadership carried out by leaders who have formal positions or titles.
A group of ministers creates an anti-drug initiative in the community
A teacher periodically invites his students' parents to a potluck dinner to talk about
school issues
A member of the city council proposes a task force to provide services for homeless
people
The president of the high school drama club organizes students to do a play that
addresses racial conflict among teens
What is true about all of the examples above is simply this: One or more people took
responsibility for their communities.
WHEN SHOULD YOU LEAD?
You can always lead. As we've said earlier, you can "lead" whether you are the
designated leader or not. You can always think and act like a leader.
For example, while you are sitting in a committee meeting you can think about what
will help move the group forward. Does the designated leader need some
encouragement? Do people need a nudge to follow through? Do you need to take an
unpopular stand on an issue?
People are hungry for others to help. If you take initiative to improve a situation, you
will almost always delight, relieve, and surprise people.
You don't have to take over someone's leadership role in order to help things go
well. In fact, one way of helping a group function better is by supporting the official
leader. You can do this by organizing others to help with the work, by listening to the
leader, and by encouraging the leader when she or he feels discouraged.
HOW DO PEOPLE LEARN HOW TO LEAD?
DO YOU HAVE TO BE A "BORN LEADER" IN ORDER TO LEAD?
No. People learn how to lead. Even the people who seem to do it naturally had to
learn the skills of leadership. They might have learned by watching their parents,
teachers, or clergy. They might have been given a lot of responsibility when they
were young and might have been expected to take charge. They might even have
taken classes in "leadership development."
The point is this: If you don't feel that you are a "born" leader, don't let that stop you.
You can become a leader by:
Jumping in and practicing
Observing others lead
Finding a mentor
Taking a class or workshop
Reading books about leaders and leadership
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Remembering that people who are now successful leaders, once weren't leaders at
all
Below is a list of what community leaders do. You don't have to be able to do all of
these things right now. But most likely you are already doing some of them. You can
pick up other skills as you go.
DREAM BIG TO CREATE YOUR PERSONAL VISION
Maybe you didn't think that day dreaming was part of being a leader. Well, it is ! In
fact, day dreaming is one of the first things you need to do as a leader.
If you are going to be a leader, it is necessary to dream big for yourself and for what
you want to accomplish.
Lili Fini Zanuck, a film director and producer, said, "Nothing happens without a
dream. The daydreaming mind will wander to something greater than the conscious
mind could ever have imagined. The more you visualize your dream, the more you
understand it. That's how you begin. Soon you're on the road to realizing your
dream."
Young people often have big hopes and dreams for what they can do to improve
their worlds. If each one of us could remember our dreams as children, we might
recall that we had some ideas too.
Try these exercises:
Interview a young person. Ask him or her what they would do to change the world if
they could. Ask them what they wish were different.
Try to remember when you were a teenager. What did you want to change in the
world?
Put aside practical considerations and fears. Brainstorm a list of dreams you would
like to see come true.
SO HOW DO YOU TAKE YOUR DREAM AND MAKE IT A REALITY?
You can start by creating your own personal vision statement. You put your dream
into words that communicate to others a picture of what you want to do.
Organizations have vision statements; and you, as a leader, can have your own
vision statement, too.
Martin Luther King, Jr. said, "I have a dream that my four little children will one day
live in a nation where they will not be judged by the color of their skin but by the
content of their character." Now that's a vision statement!
Now it's your turn. Write out a few sentences of how you want some part of your
world to be. Your vision statement will remind you of where you want to be going. As
you wade through the day-to-day tasks of community organizing, sometimes without
recognition or encouragement, remember to, "keep your eyes on the prize."
LISTEN TO PEOPLE

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Listen to what people have to say. You need their thoughts and input. They will grow
in confidence and become more engaged if they know their opinions are valued.
Even the most difficult people have some important things to say. We just have to
learn to listen well enough to find the kernels of truth among all the chaff.
DECIDE THAT YOU ARE THE PERSON TO TAKE RESPONSIBILITY FOR YOUR
COMMUNITY
You have to make a decision to lead and view yourself as a community leader. No
one else can contribute what you can. You have a point of view that no one else has.
You have a set of skills that is unique. Your corner of the world will be different if you
decide to act on its behalf.
SET GOALS
Give your vision a sharper image. Turn up the focus. Set some long-term and short
term goals. That is how you carve a real path to your vision.
For example, if your vision is: "To create a community where every person can enjoy
city parks in safety," then you might set goals like these:
Long-term goals:
Create more city parks
Reduce crime in city parks
Short-term goals:
Find out where the city parks are, who uses them, and what the crime levels are
Establish good working relationships with community police officers and park officials
Identify what actions might reduce park-related crime
Decide whether it will be preferable to start a new organization or work through
existing organizations
THINK ABOUT THE INDIVIDUALS IN THE GROUP
As a leader, you need to think about how each individual is affecting the group. Are
there individuals whose talents are not being well used? Is someone acting in a way
that is divisive or is draining the group of its energy? Is there a person who needs
some help learning how to work in a team?
THINK ABOUT THE GROUP AS A WHOLE
Someone has to think about the group as a whole. Is the group cohesive? Do people
in the group have a shared vision? Is there trust and a sense of mutual support?
Does the group need some training to help it function better? Are there some policies
the group needs to strengthen it?
PROPOSE PROGRAMS AND POLICIES

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Groups need direction and policies to keep them moving towards their goals. You
don't have to be a dictator to make proposals. You can make proposals, then listen
to people's responses and then make appropriate changes. Someone needs to take
responsibility for moving the whole group forward.
GET THE WORK DONE
Someone has to wade through the mud and do whatever it takes. This includes
getting others to help, and making sure that all the bases are covered so that the job
gets done right; when need be, it also means printing out labels, cleaning up the
kitchen, making those extra phone calls, staying up late, or getting up very early.
RECRUIT AND TEACH OTHERS TO BECOME LEADERS
Last, but not least: One of the central and long-term jobs of a community leader is to
develop other leaders. Developing leaders is how we build a strong community of
individuals that can work together to achieve goals. It is the basis for how a
democracy works.
Developing leadership is a way you can have a legacy behind you people who will
continue to advance your cause and your goals after you have left the scene.
Community leaders should spend a good chunk of their time recruiting, encouraging,
training, mentoring, and supporting others to become leaders.
Here are some steps you can take:
Find people who have leadership potential. There are people all around you who
would love to be invited to lead something.
Help people view themselves as leaders. You can do this by helping them notice the
informal leadership they have already taken in their lives. Are they parents? that is
certainly a leadership position.
Help people identify the reasons they want to lead. Listen to people talk about what
is important to them and what they wish they could change.
Assist people to choose leadership goals that are attainable and that will help them
build their confidence. Nothing succeeds like success.
Support people while they work to reach their goals. Listen to them talk about their
successes and their feelings of discouragement; appreciate them and encourage
them to keep going.
Support people when they make mistakes. Everybody needs help when they make
mistakes. Help them get on the right track and encourage them to stick with it.
Challenge people to take the next step.
Leadership development is a long-term investment. Often community leaders have
to put the development of other leaders ahead of achieving short-term goals. For
example, it may be more important to take the risk of letting a relatively
inexperienced person chair a small meeting and acquire new skills. If the meeting
gets messy, perhaps that is not so bad. Leadership development is not a tidy
endeavor.

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So now we have a preliminary job description for a community leader. Does it seem
overwhelming? Remember: You don't have to know how to do all these things when
you start. You have the rest of your life to master them.
WHAT ARE SOME QUALITIES OF SUCCESSFUL COMMUNITY LEADERS?
You don't have to be a perfect human being to be a community leader, either. That's
good, since none of us are. But it might be helpful for you to know a few of the
characteristics that successful community leaders often have:
Integrity: To trust you, people have to know that you say what you believe and act
accordingly. If people trust you, they may follow you to the ends of the earth.
Courage: It's okay to shake in your boots, but someone has to go slay that dragon,
and it might as well be you. Leadership means that you show others the way through
the dark, scary, forest. Go ahead and speak the truth--even when it's not popular.
Commitment: You have to stick with a task through the good times and the bad. Your
commitment will serve as a model.
Ability to care about others: People will follow you if they know you care about them
and about others. The greater your ability to care about all types of people, the more
confidence they will have in you.
Creativity and flexibility: Every situation will call for a different response. Be ready to
change and come up with new solutions.
Those are a few qualities of successful leaders. What are other leadership
characteristics that you think are important?
GETTING AND GIVING SUPPORT AS A LEADER
All leaders need support from others to help them keep growing and get through the
fears and discouragement they face. Also, leaders sometimes feel isolated in their
jobs; they need others to listen to their thinking, and they need to listen to others'
ideas.
You can develop relationships with people for sharing your leadership successes,
discouragement, and for processing the pile of information you are exposed to in
your leadership role. You can set up a regular time where you and another person or
group of people can talk about being a leader.
This process can be informal and unstructured. However, sometimes a little structure
in a leadership group can be helpful.
Here are some suggestions for leadership groups:
Start the meeting with each person having a chance to talk about what is going well
this starts you out with a positive tone.
Give each person a chance to talk about their leadership without being interrupted
and without being given advice. Five to ten minutes works well. (This provides
people a period of time to follow their own train of thought from beginning to end.)
At times you might use the following questions to help each person focus: (again, let
each person answer them without being interrupted)
What have you accomplished in the last period of time? (week, month)
What is the state of your group or organization?
Where do you have difficulties as the leader?
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What are your goals during the next period of time?

A WORD ON EMOTIONS
All humans that live in the modern age get stressed out now and then. And the
demands of leadership can pile on even more stress.
Leaders have to figure out how to handle emotions due to the stress of their jobs.
You might feel crabby after a day of dealing with a myriad of problems. In fact, the
more challenges you take on as a leader, the more emotional fallout you may
experience, and it isn't surprising that it becomes harder to think straight.
Under stress, we may all become frozen or confused in our fears, worries, and
discouragement. When that happens it is easy to react without thinking. Sometimes
our feelings cause us to avoid taking actions when actions are called for. Sometimes
our fears drive us to act in ways that are unworkable.
It is not unusual for people in leadership positions to deal with built-up emotions by
hurting themselves. We all are familiar with people who take drugs or alcohol,
overeat, smoke, get sick, etc., when stresses get too overwhelming. Most of us have
struggled with these issues ourselves.

But you are too important to let bad feelings damage you. Your own well-being is at
least as important as the causes and people you are fighting for. Don't wait until you
are in trouble before you deal with your emotions.
So, what do you do when stresses build-up? One thing you can do is unload them.
Find someone you can talk to about what is going on. Tell someone what gets hard
for you. If you get some good attention, then you can cast off some of the weight that
hangs on you. You may feel renewed in your commitment and more able to think
afresh about those difficult problems.
Talking helps. So does crying and laughing. A good cry or hearty laugh with a
coworker or friend can clear a space in your brain to sort out some of those knotty
problems.
And chances are, if you can tell someone else what is going on for you, they will be
more than happy to come to you when they need some help. In fact, when you ask
for help you are modeling effective leadership.
Here is a more formal version of the listening exercise described above:
Find a friend or coworker you trust.
Ask your friend to listen to you without giving advice or interrupting. Ask them to not
judge you for your feelings.
Ask them to keep your conversation confidential.
Take a specific amount of time to talk.
Ask the listener if they would like a turn to talk when you are finished.
Setting up listening exchanges may feel awkward and embarrassing at first.
Listening well to what people have to say is different from everyday conversation.

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The exercise above will take some practice, but it will definitely help you to think
more clearly and feel more positive about the work you are doing.
IN SUMMARY
It's just possible that community leadership is a job that is made for you. Remember,
you are the one, and the only one, who can decide what kind of responsibility you
would like to take to make sure things go well in your corner of the world.
Go ahead and dare to take hold of your dreams and do the work that is meaningful
to you. You have the ability to make significant changes in the lives of the people
with whom you work, live, and play. Don't deny the universe your unique
contribution.
Developing and Communicating a Vision
Every leader has a vision. For Nelson Mandela, it was a South Africa without
Apartheid. For Lech Walesa, it was a Poland run by workers and common people.
For Susan B. Anthony, it was a United States in which women had the right to vote.
Even though these are examples of famous leaders, they are not much different from
community leaders who have visions for their communities.
If you are a community leader, you probably already have some kind of vision.
Perhaps you want elderly folks to be able to live decently and independently. Or
maybe you want your school district to give children from all backgrounds an equal
chance at academic achievement. Or perhaps you want a community that has the
skills and commitment to discuss hard issues and solve tough problems
cooperatively.
Whatever your vision of your community is, it is important. Why? Because nothing
happens until it happens in someone's mind first.
In this section, you will learn how to take a dream and turn it into a vision. You will
also learn how to use your vision to lead--to mobilize and inspire people so that
others want to join you in making your vision a reality.
But first let's take a closer look at the different steps in developing and
communicating a vision. There are three steps in the vision process:
Developing your own vision
Communicating your vision to others
Developing the group's vision, within the group
This section focuses on the first two steps: How, as a leader, you develop your own
vision and communicate it to others. It also focuses on how to use your vision to
move people toward a common goal.
The next section focuses on step three, developing the group's vision. Included in
that section is an outline of how to develop a vision statement for your group or
organization.
Now, we will look at you and your vision.
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WHAT IS A VISION?
A vision is your big picture of the way things ought to be. It is your billboard image of
what you are working towards.
For example, you may have a picture of all the different ways you want your
neighborhood to be better. You may want a neighborhood that has clean streets.
You may want people to watch out for each other so that crime is less likely to take
place. You may want a neighborhood in which people know each other well enough
to be able to solve problems together.

Everyday, as you go about your life, you may find yourself thinking about all the
ways things could be better. If you put together all the pieces of how things should
be, you have an overall vision.
Once you put together all those pieces, your overall vision might be: A neighborhood
that is friendly, safe, and clean; one in which neighbors know, like, support each
other, and work out differences together.
Your overall vision is like a billboard: It is a picture of your ideal neighborhood or
community that gets your ideas across powerfully, accurately, and quickly.

Once you have a vision, you tell people about it and use it to lead people.
WHY DO YOU NEED TO COMMUNICATE YOUR VISION TO OTHERS?
Why communicate your vision to others? Because no one can decide to follow you
until they know what direction you're headed in.
If your vision is one that touches a chord with many people and if you can
communicate it well, people will join you in reaching towards your goals.
In the words of the Syracuse Cultural Workers, "No matter what our attempts to
inform, it is our ability to inspire that will turn the tides."
Sharing a vision is a central role of a leader--a vision gives people a bigger picture of
what things can be like. It helps people raise their hopes and expectations; it inspires
them. When people are inspired, they are more likely to work on something.
WHEN DO YOU NEED TO COMMUNICATE YOUR VISION?
All the time. Whenever you talk to people about your group or organization, tell
people what you are working towards. The more you do it, the better you will get at it,
and the more people will be willing to support you.
Even before you have formed a group or organization, it is important to talk about
your vision. As you communicate it to others, you are creating a community of
people who know about your idea and who potentially will support you.
HOW DO YOU CREATE A VISION?
DREAM BIG

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Dreaming is the first step. Go ahead and dare to dream about what you can do and
what is possible to accomplish. Don't be afraid to dream big. You can always scale
down to meet the realities of the situation, but dreaming big allows you to think about
ideas that may not seem likely, yet are in fact possible. Thinking big also forces you
to think about the long term, always a useful thing to do.
You have nothing to lose; it doesn't cost a nickel.
Can you recall a time when you got a wild idea in your head and your heart started
beating fast and you wondered what it would be like if you could make that idea
happen?
Maybe you intermittently think, "Oh, that's impossible. How can I be so foolish as to
think that!" However, often the ideas that feel foolish may have the most potential.
They are often ideas that are new to the world. Learn to value and trust your
hunches. If you get an idea that makes your heart sing, chances are good that others
will come to sing along with you.
How to dream big:
We'll start with an imaginary example of how things are already in your community:
Imagine that you presently live in a neighborhood in which people are frightened of
those different from themselves. Children are considered a nuisance. People come
home from work and quickly run into their houses without saying hello to their
neighbors. Some people struggle with alcohol and no one knows about it or helps
them. In some homes there is domestic violence
Now here's a dream for how things can be different:
Imagine that you live in a neighborhood in which people from different cultures really
know and like each other. In this neighborhood, people visit each other often. They
eat dinner at each other's houses and know each other's children. People
communicate often enough to know when one family is in trouble or need. When
someone is in trouble, others come to their aid, sometimes without being asked.
If you have such a dream, don't let it go! Turn it into a vision and make it happen!
Lili Fini Zanuck, a film director and producer, said, "Nothing happens without a
dream. The daydreaming mind will wander to something greater than the conscious
mind could ever have imagined... The more you visualize your dream, the more you
understand it. That's how you begin. Soon you're on the road to realizing your
dream."
DEVELOP YOUR PERSONAL VISION
How do you start developing a vision? Let's start with ourselves for practice.
Everyone has a personal vision. Everyone has a picture in their minds of what they
want for themselves in the future. Perhaps you would like a better job, would like to

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have enough time in your life to think about what you want to do next, or become
more influential in your community.
Exercise:
What do you envision for yourself in the next five years?
How do you want to grow?
What do you envision for your work?
What do you envision for your family life or friendships?
What do you envision for where you live?
What do you envision for fun and recreation?
What do you envision for yourself as a leader?
A vision for your own life is simply a picture of where you want to be in the future.
And a vision for your community, group, or organization is simply your picture of
where you want that group to be in the future.
DEVELOP A VISION FOR YOUR COMMUNITY, GROUP, OR ORGANIZATION
So now that you've had some practice creating a vision for yourself, try creating and
articulating a vision for your community, group, or organization.
How do you articulate your vision of how things should be? Jump in and try.
And remember, the way you see things is what matters in this first stage of
developing a vision. Don't try to think like anyone else. Trust your vision of the way
things should be. Even though you may be creating a vision for your community, a
vision is your personal view.
The more a vision reflects what you really think and care about, the more powerful it
will be. People will be more likely to respond to your message if they see you care
about an issue, rather than seeing you as a political figure talking about an abstract
issue.
So go ahead and picture what you would like your neighborhood, community, or
group to be like in the future.
Exercise:
Imagine your community the way you would like it to be. Write out your ideas. Don't
worry about how they sound. This is sort of like a personal brainstorming session-get everything in your head out on paper without judging it. You can clarify and focus
later. Use some of the questions below to help you think or make up your own
questions:
What does your community look like physically? What kind of buildings are there?
What kind of public spaces? Is it safe to walk around it during the day and at night?
What kind of work do people do? Who has what kind of jobs? Do people like their
work? Why?

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How do people get along with each other? Do people from different groups
communicate and get along? Do younger and older people have contact and good
relationships with each other?
How do decisions get made? Are things fair for different groups? Does every group
have a fair say? Are many people involved in sharing their ideas and solving
problems?
What do families look like? Do people within families get along? Are there places
where women and men can get help if they need it? Is there child care available? Do
neighbors help each other? Do single people feel there is a place for them in the
community?
Where do people play? Do people in the community go to recreational events
together? What possibilities are there for young people, old people, and everybody in
between?
CLARIFY YOUR VISION
Once you have lots of ideas down on paper you have a good start. Now, sift through
everything you wrote down and pick out what is most important to you. (Don't throw
away the details, though--they are important for later when you are communicating
your vision.) Now, are there some general statements that express your most
important ideas? Are there some powerful or compelling phrases or words that get to
the heart of what you care about?
Let's go back to a previous example:
"Imagine a neighborhood in which people from different cultures really know and like
each other. In this neighborhood, people visit each other often. They eat dinner at
each other's houses and know each other's children. People communicate often
enough to know when one family is in trouble or need. When someone is in trouble,
others come to their aid, sometimes without being asked."
HOW CAN YOU BOIL THIS VISION DOWN TO A FEW POWERFUL PHRASES?
Here are some examples:
A caring neighborhood where people from many cultures know their way around
each other's kitchens.
In this neighborhood, "a friend in need is a friend indeed."
An extended family neighborhood--people talk, eat, and celebrate together. People
help each other out when times are hard.
A "guardian angel" neighborhood--people care and watch out for each other.
Of course, everyone's vision for their community will be different. What phrases or
words get to the core of what you care about?
Do you want a neighborhood in which each person is secure, welcome, and
involved?
Do you want a child-friendly community?
Do you want economic justice for all?
The more you put your own heart into your words, the more other people will be able
to relate to what you have to say. Then they will be more likely to follow your lead.
HOW DO YOU COMMUNICATE A VISION TO OTHERS?
GET FEEDBACK ON YOUR VISION

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Talk to people about your vision as much as you can. Tell them what you are
thinking. Give them your big picture of things. Then listen. See if other people are
concerned about the same things you are concerned about. See if people are
interested in your picture of how things could be.
The more you talk to people and listen to them, the clearer your vision will become.
First of all, you will get some practice speaking. Whenever a person talks, they have
a chance to hear their thoughts out loud; as they listen to themselves, they get
clearer on what they are trying to say.

Secondly, after listening to people respond to your ideas, your vision will probably
change somewhat. You may want to incorporate some of their thinking into your
own. Other people's ideas will help you make your vision stronger.
After talking to people about your vision for a period of time, you will get an idea of
how strong your vision is. You will have a sense of whether other people get excited
when you speak. Everyone doesn't necessarily have to agree with your vision for it to
be a good one--but if people get animated and interested in talking with you about
your vision, that is a sign that you are onto something.
DEVELOP AND COMMUNICATE THE DETAILS
After you test and reshape your big-picture vision, you should develop the details.
You need to give people some specifics as to what your big picture will mean on a
day-to-day level. You also have to tell people what steps you will take to get there,
i.e., develop a plan. People may think your big picture is a meaningless mirage if you
don't give them some ideas as to how you think things will actually change.
You don't have to have all the answers, but you need to have some ideas. If you
have a vision of your neighborhood as one in which people from different cultural
and racial backgrounds work together to prevent crime, what has to happen to get
there? Do you need different church groups to set up a task force first? Do you need
to set up some cultural sharing events? Do you, at some point, need to build a
neighborhood group that can challenge city hall to provide better police protection for
your neighborhood?
Write up some tentative ideas for how to get things done. The better your plan for
reaching your vision, the more likely people will take you seriously and be willing to
follow your lead.
Once you have some confidence that your vision is sound, begin to put it out as a
way to gather support for your leadership and what you and your organization want
to accomplish. Use your vision as a way to inspire people to act.
HELP PEOPLE TAKE OWNERSHIP OF A VISION
As a leader, you have to help people take your vision and make it their own. This is
an important step in bringing people together to work toward a common goal.
Members of a group need to have a shared vision and a sense of ownership in order

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to be committed to the group. That is key in helping people stay with a group for the
long haul.
People don't need to agree with all the details of your vision in order to follow your
lead. They will have different ideas about how to put a vision to use. That is fine and
healthy. But in order to work together, people need to share an overall vision and
some basic goals.
To help people take your vision and make it their own, you need to talk and listen.
You shouldn't talk too much. You should mostly listen to people's thinking. If you
really sit back and listen to people, they will tell you what is most important to them.
It may take people a long time to get to the point of telling you what is really
important to them. They may have to tell you first about their children or a crummy
experience they had with a politician. However, if you can listen long enough, people
will tell you their thinking about how things should change.
A BALANCING ACT: MEET PEOPLE WHERE THEY ARE AND CHALLENGE
THEM AT THE SAME TIME
At times people may not be ready to hear your vision of how things can be. Some
people may disagree. Some may have so much of their attention taken by surviving
day-to-day that it is difficult for them to listen to how things can be better. Also,
people sometimes feel mistrustful, hopeless, discouraged, and cynical. Some people
depend on a narrow picture of the world in order to feel secure.
Communicating a vision to people through that obstacle course can be tough. You
often have to meet people where they are in order to establish some trust. As we
talked about earlier, listening is an important tool in doing that.
But you also have to communicate the parts of your vision that people can relate to.
They may not be ready to think about an overall plan for transforming your
neighborhood. However, they may be able to think about doing something about the
potholes in the streets. If so, talk about potholes. Talk to people "where they're at."
Speak to their conditions and their personal needs. This will help you build some
trusting relationships. Later you can do more.
On the other hand, it is sometimes important to say things that people are not quite
ready to hear. People need to think about new ideas over a period of time before
they can make sense of them. New ideas are important to introduce, even if they
engender initial resistance. Often the strongest and most important ideas meet with
resistance.

A leader has to lead. And the most important aspect of leadership is winning over the
thinking of people to a vision of what things can be like.
This can take time. You may need to be gentle, but also persistent.
BE COURAGEOUS

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In order to create and communicate a vision, you must be courageous. People who
communicate a vision of what things should be like are often the people who are
courageous enough to state what is obviously wrong and unjust. It can be difficult to
say out loud that the prince has no clothes. However, once you say it, people will see
that it is true.
If, for example, you see some clear problems in your community, be courageous and
start talking about them to others. Ask people how they think things should be. You
may find that you have more in common with people than you had thought.

You should also be prepared for people to attack you for what you are trying to do.
Ideas that lead to fundamental changes are frightening to people. People may
actively campaign against you. Often, these campaigns can get quite personal.
People may try to make your personal problems or shortcomings the issue, rather
than the issue you are trying to put forward.
If this happens, gather your close friends and allies around you. Together, come up
with a plan to handle the attack and direct the discussion back to the real issues.
Don't try to handle an attack by yourself. When an attack is being directed at you,
you will need the perspective of friends. It will help if you can anticipate and plan for
such attacks before they happen, but sometimes that is not possible.
MODIFY YOUR VISION
As you lead, you will modify your vision. The more you lead, the more you will learn
about what needs to change. You will also learn from the people you lead.
Your vision should be flexible enough so that you can change it as circumstances
change. That doesn't mean you give up your principles or your hopes about what is
possible. But as you collect information and advance your thinking you should adjust
your vision to keep it up to date.

USE YOUR VISION TO ACT

Developing and communicating a vision is just the beginning. Once you have a
workable vision, you need to use it to get where you want to go. You need to
organize, draw up an action plan, and go!
Understanding People's Needs
In earlier sections of this chapter, we discussed the leader's vision: how he develops
it and how he will communicate it to followers. Certainly, sharing a vision is an
important part of leadership. People follow people they can believe in, who they trust
to help them achieve their goals.
But what are those goals? What do people want from a leader? What do they need,
or what do they think they need?
Understanding the answers to these questions is another thread in the tapestry of
effective leadership. This understanding is also inseparable from other qualities of
leadership we discuss elsewhere in this chapter. For example, it will inform the
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leader's vision, and then it will show him or her the best way to inspire followers.
Ultimately, a thoughtful understanding (and responsiveness to) followers' needs can
result in strong relationships with a committed group of people, and final success, in
more ways than the leader had originally imagined.
Because of the importance of this topic, this section will focus entirely on
understanding what people need and want from the leader and the organization. The
next few sections in this chapter will build on this knowledge, incorporating it as part
of the base of a strong relationship between the leader and his or her followers.

More specifically, in this section we will look at some of the general types of needs
that the leader should be aware of. We'll then discuss in a bit more depth why it's
important for a leader in particular to be aware of people's needs. Finally, we'll look
at some specific ways of how to best understand the needs of people the leader
wishes to serve.
WHAT KINDS OF NEEDS DO PEOPLE HAVE?
We all know what needs are--things that are necessary, that are required for some
reason. They are similar to wants, and in fact, for those of us doing community work,
there's quite a bit of overlap. If we want someone to do something for us, for
example, they may say that they need something in return. A secretary might need
extra cash if you want him to work overtime. A reporter might need your word that
she will be given the "inside scoop" on future goings-on if she gives you good press
this week. And so, while this sections is properly titled "Understanding people's
needs," it's important to realize that a good leader will understand what people just
really want, too.
There are also a lot of different types of needs, both for the community as a whole
and for individual members, that a conscientious leader should be aware of. These
can be broken down into five general categories.
LARGE-SCOPE COMMUNITY NEEDS
What does the community need, overall, to promote its own well-being? For
example, is there a need for affordable housing? Is ending youth violence what the
community needs to see happen? Do many people in the community need jobs --or
better jobs?
Sometimes, understanding what a community needs is obvious to everyone. If there
has been an earthquake, for example, there is an immediate need for food, water,
and housing for people whose homes were affected.
However, much of the time, the needs of a community aren't that clear. For example,
there might be many competing needs, so that a community group doesn't know
what it should try to do first. Or all too often, there is a lack of complete information
available, and organizations and their leaders are left trying to understand what's
necessary without having all the facts.
ROOT OR CAUSAL NEEDS

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These are the "real needs" --the underlying causes of what more obvious needs
might be. For example, if a child comes into the emergency room with whooping
cough, his immediate need (and that of his community) is for medical attention, so he
will get better and not spread the disease to others. But the root need might be his
need to be immunized. Going back a step farther, public health officials might say
there is a need for an immunization campaign in his community, if a larger number of
the children there haven't been properly immunized.
For another example, take the case of a community with a high rate of teen
pregnancy. A coalition might say that there is a need to decrease that rate. But what
needs to happen for that to occur? For example, is there a need for better access to
contraceptives? Is there a need for young people to have more supervised activities,
or to have better sexual education at school?
Obviously, these needs are harder to understand. They aren't always apparent, and
often, it seems like there are several root causes a group might need to consider.
INFORMATIONAL NEEDS
Here, we are just talking about the need for basic facts and knowledge. These are
some of the simpler needs for a leader to understand and respond to. For example,
do members know how to run a meeting? Write a newsletter? Do community
members have enough information about the candidates to vote intelligently in the
upcoming election?
Another reason that these needs are relatively easy to deal with is that they are easy
for people to talk about. Some the other needs might be more difficult to bring up.
For example, it's a very rare volunteer who will tell the organization's leader, "I don't
feel appreciated. I need you to tell me how much I mean to this organization," even
though many volunteers have felt that way at one time or another. It's much easier
for a volunteer to say, "Sure, I'd be interested in counseling women at the shelter,
but I've never done it before. Can you show me how?"
PHYSICAL NEEDS
These are the needs that you can see; things that you can physically touch. Fulfilling
these needs, because they are so concrete, can give a very tangible sense of
accomplishment.
Some examples of these needs include:
More money for the organization
More staff or volunteers
Better lighting for the community
More safe homes for foster children
PERSONAL NEEDS
Finally, there is the need for appreciation, understanding, personal caring, etc. Most
members of grassroots organizations are there (either as staff members or
volunteers) for reasons that have little or nothing to do with money, including
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fellowship, personal fulfillment, and many other things. While less tangible than some
of the other needs, it is equally important that these needs be fulfilled if the
organization and its goals are to flourish.
Before we move on, it's important to remember that leaders have needs, too. We're
just as human as any other member of our organization is. As leaders, however, we
may not always have the freedom to lean on other members of the organization. We
may have to find other places to fulfill some of our own needs. However we choose
to do so, though, it's important that leaders do take care of themselves as well as the
needs of others in the organization.
WHY SHOULD THE LEADER TRY TO UNDERSTAND PEOPLE'S NEEDS?
Many of the advantages to understanding what people need and want are probably
already clear to you. To be complete, however, let's look here at the major
advantages:
Clear needs identification and response to those identified needs keep the group
moving forward toward shared and desired goals. There is a sense of ownership
among members--we all want the same thing, and we're working together to get it.
Reaching these goals can create a sense of accomplishment among group
members.
This sense of accomplishment (and having a sense of being a real, necessary part of
that success) will strengthen individuals' connections with the group and will increase
the likelihood of the group being successful in future efforts.
All of this will also serve to keep the morale of the group high.
Finally, it will reinforce group members' belief in the leader. A leader who has shown
he understands and tries to meet the needs of the members of his group is more
than likely to have a group that will try to meet his needs as well.
HOW CAN A LEADER BEST UNDERSTAND PEOPLE'S NEEDS?
There are many methods that can be used for a leader to understand the needs of
individuals, the organization, and the larger community. The general idea behind all
of them, however, is for the leader to plan the best ways of collecting feedback, and
then to make this a normal part of the everyday life of the organization. This might
include occasional (for example, monthly) formal opportunities to obtain information,
which are then supplemented by more informal feedback collected on a day-to-day
basis.
Of course, the leader doesn't need to do all of this collection of information herself
(although doing at least some of it is probably a good idea). Some of this
"information collecting" can be formally or informally delegated to others.
A central idea here is that being able to learn what people think and need will
depend on trust. People need to trust that they won't be criticized, yelled at, or in
danger of losing their job if they speak up. We all know this happens. Even in fairly
open organizations, a preferred strategy is often to keep one's mouth shut. This may
be true for a variety of reasons, but one of them is certainly the risks involved in
disclosure.
Even more than this, people need to feel there is a real possibility that some good
will come out of their telling the leader what they need. If someone knows their
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needs are impossible to meet, or if they believe they will just be ignored anyway,
there's a real fear that apathy will stand in the way of what could be a very helpful
suggestion. Thoughts of "Why bother?" need to have the immediate answer,
"Because if I open my mouth, I really can change things."
So for the leader to get the feedback she wants and needs, thoughtful and persistent
effort is necessary. Trust once again is central to the process; the leader needs to
establish and institutionalize a trusting organizational climate. Unless the leader is
trusted, the informal methods won't work well, and the formal ones are less likely to
work. But in a climate of trust, people are a whole lot more likely to tell you what's on
their minds. They often do so spontaneously and at many noninstitutionalized times
and places --whether you've asked for their feedback or not!
This chapter is centered around the idea of leadership, and so ideas about
understanding the needs of other people are discussed here primarily from that
perspective. However, we should mention here that it's not just the leader of an
organization who can and should have an active role in identifying and
understanding the needs of others. People who have much less formal roles may
have a very good idea of what's going on, and may be the perfect people to speak
up about what's really happening and what should occur. It may even be better that
way, because then more people become "stakeholders" in the group's well-being.
So, not only should the effective leader have a good understanding of people's
needs, she should also be open and encouraging of having others identify individual
and group needs as well.
Let's look now at some specific ways leaders (and others!) can better understand
what people need.
ASK PEOPLE WHAT THEY NEED
When you want to know something, there is simply no replacement for asking people
--and then really, completely, listening to their answers, and not just to what you
want to hear. There are many different ways to ask people things. Depending on
what information you want, different ways are more or less appropriate. Some
include:
Needs assessment surveys are a particularly good way to find out the needs of large
groups of people, such as residents of a large neighborhood.
Focus groups are a good way to find out the needs of a specific group as they relate
to a particular issue. For example, an organization might hold a focus group on
educational needs with Hispanic teenagers, or a focus group with older women on
their health needs.
Formal interviews are another way to ask people about their needs.
One-on-one conversations are often excellent ways to ask people in a less formal
manner what they need. A casual conversation in the hallway or over coffee can give
you an excellent idea of what's going on with others in the organization.
A suggestion box or a wish list in an area that's easy for everyone to get to offers
people the opportunity to make suggestions and requests in an anonymous manner.
This may be particularly helpful in a very large organization, where people don't

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know each other as well, and so trust and comfort levels may not be as high as they
are in smaller organizations.
Note that these different techniques for needs identification won't work equally well
for each for the five needs listed at the beginning of this section. For example, you
probably wouldn't expect a needs assessment survey to reveal too much about
personal needs. By the same token, maintaining a good relationship with others in
the organization might not tell you too much about root or causal needs, as this often
requires a more thoughtful and formal type of analysis. And so for different
situations, you will want to choose carefully the method that makes the most sense
to get the information you want.
It can also be helpful to use more than one technique to obtain information. For
example, your group might conduct a needs assessment survey to find out what
members of your organization want, and use information you get from the survey in
casual follow-up conversations with members.
Another important consideration is the number of people whose needs and concerns
you are interested in learning about. If you have a very small group, you might be
able to talk to everyone about their point of view. However, if you want to know what
everyone in a community of 20,000 people thinks, that's not always going to be
possible.
If you run into a situation like this, where you are unable to ask everyone their needs,
try to decide the best people to ask. These might be "key informants" --people from
whom you have gotten reliable information in the past --or other community or
opinion leaders. Part of knowing who to go to simply comes with experience.
Usually, after working with an organization for a long time, you know who to go to in
order to find out what's happening --what the word is on the street or behind the
camera.
However, if you don't know who usually has the inside scoop on what's going on, you
can ask about people about that, too. It's especially important when you are an
official group leader (the director or project manager, for example) or an outsider to
the community to learn as quickly as you can who others see as unofficial leaders.
A word of caution: Be careful when you are choosing your "key informants" or other
opinion leaders that you are getting an honest representation of what the majority of
people you are interested in learning about need. Choosing certain people to listen
to either primarily or completely can introduce bias --you may hear only what a few
people think, instead of the majority of opinions.
MAINTAIN GOOD RELATIONSHIPS
If people feel comfortable with a leader, they will come up and tell him or her what's
needed (whether the leader wants to hear it or not!).
Some of the most important things a leader can do to build and maintain
relationships are:

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Build relationships one at a time. Fortunately or unfortunately, there are no short

cuts. Sending out a newsletter helps you keep in touch with lots of folks, but it's no
substitute for getting to know the people you work with.
Be friendly and make a connection. This may seem self-evident, but a friendly word
or smile can make someone's day. Try to find something in common --all of us want
to have close connections with our fellow humans.
Ask people questions. People love to talk about themselves and about what they
think. If you ask people about themselves and then take the time to listen attentively,
they can become your fast friends.
Tell people about yourself. People won't trust you unless you are willing to trust
them. Tell them what you genuinely care about and what you think.
Go to places and do things. When asked why he robbed banks, the robber replied,
"Because that's where the money is." If you want to make friends, you have to go
where the people are: picnics, conferences, events, fund raisers, parties,
playgrounds, bowling alleys, Little League games, bake sales, etc.
Accept people the way they are. You don't have to agree with them all the time in
order to form a relationship with them. No one likes to be judged.
Be persistent. People are often shy and suspicious. It takes a while to win trust. You
can usually form a relationship if you stick with it.
Invite people to get involved. People want to become part of something bigger than
themselves. Many people are looking for an opportunity to meet other people who
share common goals. At the worst, people will be flattered that you invited them to
join.
Enjoy people. If you genuinely enjoy people, others will be attracted to your attitude.
People will more likely want to be around you.
DO YOUR RESEARCH
This is especially true if you are trying to identify community or causal needs. You
will want to look up data, studies other people might have done in the community,
and other information. You might also want to do a comparison: how closely are
what people think are needs in the community supported by statistics? For example,
community members might tell you in a needs assessment survey that they think
there is a need for additional police officers to decrease the crime rate in the
community. When you look at the hard data, however, you might find that other
communities similar to yours actually have fewer police officers but a lower crime
rate. The problem --the need -- in your community is different from what people
perceive it to be.
While doing a lot of this research is very important for groups trying to find the needs
of an entire community, it can certainly be scaled back and done on a more casual
level to learn about the needs and wants of individual members of the group. For
example, a boss can pay attention to what employees like and don't like, and take
the time to learn about their interests and their families. While this isn't necessarily
scientific research, it can help a lot in understanding what group members want. For
example, if the leader of an organization knows that many of the volunteers have
small children, he might consider setting up child care for times when there are many
volunteers working together.
MAKE CONNECTIONS BETWEEN PEOPLE, OUR WORK, AND THE LARGER
COMMUNITY
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This is important not only for understanding needs, but for filling them as well. As
much as we might get caught up in it, our work and our relationships don't exist in a
vacuum. They are touched and shaped by many different forces. A savvy leader will
learn how to make connections between things she sees and hears in different parts
of her life: on the news, at her daughter's school, or at work. By looking at the
community first in community problems, needs and solutions will occur when they
are least expected.
For example, maybe your organization is interested in starting an after-school
program to offer safe activities for kids to do after school, but the program director is
having a hard time coming up with activities. Then, you see a story on the news
about Native American storytellers. It sparks your imagination to have storytellers
from different cultures come in once a week, giving the students something fun to do
that will teach them respect for other cultures.
BE ACCESSIBLE
It's essential for the leader to be available and accessible. The leader should be right
on the scene, at least some of the time, not always at business meetings, or at outof-state conferences, or hidden away in an office. The leader needs to walk the floor,
pick up the phone, talk to people in the halls. By being available and accessible (and
by showing some personal caring) members will develop trust in the leader. They are
then likely to open up much more freely.
INSTITUTIONALIZE THE PROCESS OF GETTING FEEDBACK FROM GROUP
MEMBERS
That is, find a way that works for your organization to get constant, honest feedback
from people you want to hear from, and then develop a way to make sure that
continues to happen.

How do you get this feedback? Some general ways to do this include:
Regular informal checking-in with members
Scheduling a formal feedback time at the end of meetings. How does everyone think
it went? What did people think?
There are two basic variations of this you might consider using. The first is to use
what is sometimes called a "plus-delta technique." At the end of a meeting, the
facilitator asks members to list the things they liked about the meeting, and also the
things that should be improved or changed. These are, respectively, the pluses and
the deltas. They are written down, and presumably used as corrective feedback for
the next meeting. A similar technique can be applied to events other than regular
meetings.
You might also have written feedback forms that can be filled out at the end of the
meeting. It doesn't have to be long, or complex; a few simple questions might do the
trick. One advantage of these is that they can be anonymous; people are more likely
to give their true opinions of what has happened, including negative or critical
opinions that they might not have been comfortable saying aloud.

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Schedule an occasional-but-regular full meeting around feedback. A school in the

Northeast, for example, held "general staff meetings." They were held monthly, and
everyone was invited. The Superintendent made a few opening announcements;
then the floor was open. Everyone who worked there, from top administrators down
to custodians, could comment about whatever issue was on their mind, and many
did just that. Not only did useful feedback get expressed, but these meetings were
also general morale-builders for the organization. And not surprisingly, the
Superintendent (the official leader here) gained respect for holding these meetings
and opening up the process.
In another variation that is best suited to larger organizations, it's possible for the
leader to hold regular office hours that are open to anyone. For example, in
Massachusetts, former Governor Weld used to have citizen's office hours. Anyone,
in theory, could call up and make an appointment, and spend a few minutes telling
the government what was on his or her mind.
Finally, the organization might consider the use of retreats, which give longer and
more extensive ways to get more detailed feedback.
IN SUMMARY
One of your most important responsibilities as a leader is to understand the needs of
those around you --both the people you work with and the community you serve.
Understanding the needs of your staff and volunteers will help you build morale and
reach shared goals, while understanding the community's needs is a crucial first step
in addressing them. To understand people's needs, you usually need to ask what
they are, and then be prepared to act on what they tell you. Your staff --and your
community --deserve no less!
Building and Sustaining Commitment
WHAT IS COMMITMENT?
Commitment is dedication to a particular organization, cause, or belief, and a
willingness to get involved.
People who are committed to an organization or effort truly believe that it is
important, and they show up, follow through, and stick with it.
The more people who are committed to your organization, the greater the
momentum you can generate to get the job done.
WHY DO YOU NEED TO MOBILIZE AND SUSTAIN COMMITMENT?
Commitment is the backbone of a group or organization. It is what gives a group its
strength.
Here are several reasons it is important:
The more committed people there are, the more effective they are in influencing
others. If a whole group acts with determination and commitment, great numbers of
people will really pay attention.
People who are committed are the ones who don't take discouragement seriously -they don't give up. They set an example for those who don't have the confidence or
experience to go through the hard times and hold out for the rewards of success.

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People cooperate at a higher level when they share commitment. Commitment

fosters camaraderie, trust, and caring -- the stuff a group needs to keep it going for
the long run.
If people are committed to an effort for a period of time, they will learn what they
need to know to be more effective. People need time to try things out, make
mistakes, and then figure out a strategy that works.
WHEN IS A GOOD TIME TO BUILD AND SUSTAIN COMMITMENT?
All the time, any time. Commitment doesn't usually occur at one moment. It grows
within people over time.

Commitment grows when people:

Work together
Feel successful at what they do
Make decisions together
Work through conflicts
Support one another's leadership
Have fun and play together
Overcome obstacles
Hold each other to high principles
Appreciate and respect one another
Challenge one another to take the next step
Build relationships
Experience a victory together
Learn from mistakes and setbacks
See their leaders model commitment
Commitment can decrease when people when the opposite is true when they dont
communicate well, dont build relationships and support one another, become
embroiled in unresolved conflicts, dont live their principles, and dont see leaders
demonstrating commitment.
Although commitment grows in a natural way, you, as a leader or group member,
can foster commitment in your organization. You can build commitment into your
organizational culture. Although it is invisible, commitment is a very real quality that
you can do something about if you are willing to focus your attention on it.
HOW CAN YOU MOBILIZE AND SUSTAIN COMMITMENT?
How do you build and sustain commitment? How do you get your hands on that
invisible quality and make it grow in your organization?
First, let's think about why people become involved in and committed to a group or
organization. Start with yourself: Why are you are committed to your project or
organization?
What is most important to you?
The goals of your group?
Your vision of what is possible?
The people with whom you work?
The length of time you've invested in this group?
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Your role in your group or organization?

What you've learned in this group?
The satisfaction you get from doing significant work?
Other reasons?
People commit to a group or organization because they gain something important
from their involvement. When you invite them to become involved, you are not only
asking for their help, you are offering them an opportunity to:
Work on an issue that is important to them
Benefit the community
Meet and spend time with like-minded people
Expand their skills
Be a part of a team
Learn how to lead
Rise to a challenge
Meet high standards
Accomplish something significant
You can be proud when you invite people to be committed to your organization.
Youre not imposing on them; youre offering them something of value.
Below are some specific ideas about how to build and sustain commitment, many of
which will also strengthen your organization as a whole.
WELCOME PEOPLE INTO YOUR ORGANIZATION
Sometimes, all people need in order to become involved is to feel genuinely
welcome. If they don't feel welcome, theyll soon leave. As a leader, you can set an
example by personally welcoming whoever walks through the door or asks about
joining your organization or initiative. Ask them questions and get to know them, and
make them feel valued. That not only gives people a good feeling about the effort
and encourages them to become involved, but it also provides the basis for
developing a relationship that helps you function as a leader and acts to cement
commitment in the future.
Example:
A new member of a community organization dropped by the director's office to say
hello. The director took 45 minutes to find out about the member and get to know
her. The new member felt welcome and quickly got involved in the program
committee. She became an active, committed member, and a few years later she
became President of the Board of Directors.
Teach everyone in your organization to welcome new people. Make it part of your
organizational culture. You can also set up a Welcoming Committee for open
meetings or special events, or you can set up a buddy system. People in your
organization will understand that welcoming is a job to be taken seriously.
BE OPEN AND CLEAR ABOUT THE MISSION, PRINCIPLES, AND GOALS OF
YOUR ORGANIZATION

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People have to know what they are committing to. They want to join an organization
if they share similar principles and goals. Make sure that everyone in your
organization is familiar with its mission, principles, and goals.
As a leader, talk openly about why you care about these principles and goals. For
example, if you are working to develop a mentor program for teens in your
community, talk about why that program is important to you. You might tell people
how your life would have been different if an adult had not committed some time and
attention to you when you were a teen.

MODEL COMMITMENT YOURSELF

Everyone looks to the leader of a group or project to see if she is committed. If you
care about the work, it will show in your attitudes and actions. People will watch to
see how you act, and they will follow your lead. If they can count on you, it is more
likely that you will be able to count on them. If you stay late to send out a mailing,
others will be willing to do so. Commitment is contagious.
On the other hand, if you are working so hard that you are burnt out and always
unhappy, people will take note of that too and they will shy away from following your
lead. Try to strike a balance: dont make commitment look like an impossible
burden.
GIVE PEOPLE WORK TO DO
If someone shows interest in becoming involved in your group, don't wait too long to
give them something to do. People need to feel that they are making a significant
contribution in order to feel committed. Find out what they are interested in doing and
see if you can match their interests to some work that needs to be done.
Also, give new people a job that brings them in contact with other people in the
organization. That will draw them into the group sooner and more easily.
PICK OUT THE RIGHT LEVEL OF CHALLENGE FOR PEOPLE
People need to feel successful and they also need to stretch their abilities. Both are
important. When you are first getting to know someone, try to match them with work
in which you think they can achieve some success. This will help people to feel good
about themselves and will encourage them to stay.
As you get to know them better, give them gradually increasing challenges. Being
challenged keeps people excited about the work they are doing. Sometimes people
will need encouragement to try things they have never before considered. Sit down
and talk to people to find out what jobs they would like to try. It is a worthwhile
investment of time, because they will know that you care about them and their
development, not just about what they can produce for you.
BUILD AN ORGANIZATIONAL CULTURE IN WHICH STAFF, VOLUNTEERS, AND
MEMBERS APPRECIATE AND RESPECT EACH OTHER

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People need to feel respected and appreciated in order to stay connected and
committed to a group or organization. This is simple and important, but sometimes
not easy to remember. Still, there are several steps you can take to build a group or
organizational culture in which people treat each other well:
Model appreciation and respect: Take the time to think about the people with whom
you are working and openly appreciate them and their work. Although some people
may be surprised when you do it, everyone likes to be appreciated. Treat everyone
the same way you would have others treat you with respect and good humor. You
may be the leader, but that doesnt mean youre more important as a human being
than the person who answers the phone or helps with a mailing.
Teach people in your organization to notice what is going well, rather than just
noticing what needs to be improved. For example, you can open meetings by having
each person talk about what they have done well since the last time you met. You
can also have people show appreciation to each other as a way to close meetings.
In heated discussions or conflicts, make sure people continue to show respect for
each other. Conflicts can be important growing periods. To ensure they are useful
rather than destructive, do not let people personally attack each other. Keep
discussions to the issues. If people have personal conflicts, mediate the conflict or
bring in an outside person to do so.
LISTEN, LISTEN, AND LISTEN
Listening is a powerful tool. Everyone could use someone to listen to them. When
you listen to others with respect, they sense that you have confidence in them and
are interested in what they think. In turn, your interest and confidence helps them to
think clearly and creatively.
If you want young people, old people, immigrants, low-income people, people of
color, or anybody else to be committed to your organization, listen to them. Try
asking a teenager or young person to share their thinking on a topic with you. How
do you think we should design this community center? What is the key issue in this
neighborhood? That teenager may be surprised, at first, because adults so rarely
care about what they think. However, if you can break through their "cool," teenagers
will be delighted to tell you what they think.
SUPPORT PEOPLES LEADERSHIP
To help sustain commitment in your group or organization, think about each person
as a potential leader and train them to lead. If people view themselves as a leader of
a group, they will view the group as theirs. They will have a feeling of ownership, and
will be more likely to take initiative to make sure things work well.
We traditionally think of leaders as the people who are the directors of the
organization and make all the important decisions, but you can expand your
definition of leadership. For example, you can view the event organizer as one of the
key leaders, but the person who informally resolves conflicts is a leader, too. Even
the person who gets everyone in the room laughing when the energy bogs down is
performing an important leadership function.

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Help people to recognize their leadership talents, and encourage them to try out
more. Invite them to speak in public or chair a meeting. You don't have to give
people leadership titles, but sometimes it helps them to take themselves seriously.
Even though people have different levels of leadership skills, everyone can
contribute something of importance. Everyone has a point of view that is valuable.
Everyone has talents to share.
CELEBRATE

Don't forget to celebrate. Any excuse will do: a victory, an organization's anniversary,
a time to give out prizes or certificates to volunteers or workers, or a cultural sharing
time are all good reasons for people to get to together, relax, and enjoy each others
company.
A FEW EXTRA TIPS
Commitment grows steadily but often slowly. Be patient. It will come.
Appreciate whatever level of commitment a person can make. People will vary
greatly in their level of commitment and that's okay. Some people will have more
time, more interest in the your goals and mission, and a greater understanding of the
value of commitment than others.
You can always invite and encourage people to do more. If they do, great. If they
don't, appreciate them for what they can do.
Don't guilt-trip people into commitment. It generally doesn't get the long-term results
you want. People need to feel that their contribution matters, even if it is small. If they
feel that they are a disappointment to the leader, they may not stick around.
People are often yearning for meaning in their lives. When you ask people to commit
to an effort, cause, or organization, you are offering them something of high value.
And remember: Commitment takes time!
IN SUMMARY
In the words of John Gardner, "Commitment requires hard work in the heat of the
day; it requires faithful exertion in behalf of chosen purposes and the enhancement
of chosen values."
Influencing People
As leaders, we do a lot. We inspire. We mediate. We decide. We direct. And we do
countless other things as part of a day's work. Along with all of this, however, we
have another job--one that is sometimes obvious, sometimes subtle--that is always
part of what we are doing. That job is influencing other people.
Influence is the ability to persuade someone to think or act in the way you want. This
ability is an essential part of leadership. After all, someone who can't convince
people of things isn't a leader--no one is following him or her. Therefore, it's
important for an effective leader to understand influence. That way, he or she can
use this understanding to become even more skilled at getting things done.
Influencing people is something leaders do on many levels with many different
people. All of us try to influence almost everyone we meet in different ways--we try to
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convince people to like us or to leave us alone, to sign our petition or to think about
the educational system. Here are some other things a leader might try to convince
people to do:
"Join our coalition"
"Give us money"
"Respect our group"
"Work harder"
"Stop smoking"
"Support youth in the arts"
WHAT OTHER IDEAS OR ACTIONS DO YOU, AS A LEADER, TRY TO
INFLUENCE PEOPLE TO BELIEVE OR DO?
The influence a leader has extends far and wide--from "average citizens" to other
community leaders and possibly, even to other national leaders. It is especially
strong within the organizations leaders head or are part of. Volunteers or staff
members, for example, may be perfectly willing (or sometimes, grudgingly willing ) to
do something simply because "the boss said to." While this may or may not be the
ideal of most community leaders, it happens all of the time.
These questions of influence--how a leader can effectively and ethically influence
others--is what this section is all about, and we'll look at these ideas at some length
in the pages that follow.
We'll start with an understanding of the different elements of influence. Then, we'll
discuss some general behavior that will leave you well poised to influence others.
These are "preparatory steps" to do even when you don't want anything right now.
Then, we'll look at different techniques to influence people that are sometimes
useful, and we'll follow that up with a step-by-step list of how to go about influencing
someone in a given situation. Finally, we'll end the section with some suggestions for
influencing people in more challenging situations.

WHAT ARE ELEMENTS OF INFLUENCE?

At the simplest level, influence is simply the effective combination of three elements:
A communicator -- the person who wants to influence someone
A message -- what the communicator wants the audience to do or believe
An audience -- the recipient (or recipients) of the message. Throughout this section,
we will refer to the person or people you want to influence as the audience, even if
your audience is just one person.
The communicator has a message he or she wants understood and accepted by the
audience. It's pretty simple, and we see it happen all the time.

For example:
A son (the communicator) wants his mother (the audience) to stop smoking (the
message).
A company (the communicator) wants teenagers (the audience) to buy a certain
brand of soda pop (the message).

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A coalition chair (the communicator) wants community members (the audience) to

become active members (the message).
So the different parts of influence are pretty simple. The harder question is, how do
we make it work? What helps the message get through? What makes influence
effective?
HOW MIGHT YOU INFLUENCE PEOPLE?
All three of those elements taken together will decide the overall effectiveness of an
attempt to influence someone. The audience (who may or may not consider
themselves followers) ultimately determines how well and easily they are going to be
influenced. Even if you were born with a golden tongue and have the facts behind
you, you probably still won't convince everyone of everything you would like.
Remember: it took centuries before everyone came to accept the fact that the world
was round.
However, that's not to say that the communicator and the message aren't very
important as well. A strong communicator with an important message can win over
most audiences. And since this section is written from the community leader's
perspective, it will focus most specifically on the communicator and the message-the two parts of the puzzle over which the leader has most control.

LAYING THE GROUNDWORK

First, there are some general tips to work on even when you are not trying to
influence a specific person to do (or believe) something right now. These
suggestions help you form the groundwork for later influence, making future efforts
easier and more likely to be successful.
Network
Always look for chances to form new relationships and to strengthen ones that
already exist. There are at least two good reasons to do this. First, it gives you
instant access to the people you want to influence, or whom you might want to
influence in the future. If you don't know personally the person you want to influence,
you still may be friends with a friend of theirs who would be willing to put in a good
word or set up a meeting.
If you want to influence someone you don't have any connection to, you may be out
of luck. You may not even be able to get a foot in the door to see him or her. And it's
no small task to convince someone to do something without talking to them.
A second reason to network is that people are always more willing to listen to and
help someone they consider a friend or an ally. Even if someone who doesn't know
you is willing to talk, he or she probably won't listen as well as they would if you had
a strong connection. There is less invested in the relationship.
Think about the following for a moment: you're walking down the street, and
someone stops you and asks you to take a pamphlet--the city council is talking about
razing a historic building to make room for a new parking garage. "Isn't that terrible,"
you might murmur, while trying to remember what it was you were supposed to pick
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up at the store. The activist, obviously very passionate on this issue, talks for a few
moments about what needs to be done, and you more or less listen, politely, still
trying to remember what you need. "Well, I'll see what I can do," you say in an
attempt to escape, and you move on, relieved.
Sound familiar, or at least realistic? Then ask yourself this:
How might it be different if the activist, instead of being a stranger, is the head of an
organization you work with, and who has helped you out on numerous occasions?
Our guess is the grocery store would have seemed a lot less important.
Understand that credibility counts
Unfortunately, you don't always have the luxury of knowing every person you want to
influence. This is especially true when you are trying to influence a lot of people at
the same time. The more people you need to convince of something, the less likely it
is that you can know all of them.
When people don't know you, it becomes even more important that what they know
about you is positive. Being credible, or believable, to your audience is very
important. What gives someone credibility?

The following characteristics help:

Appearing to know what you're talking about
Having high status in the community
Being trusted by the audience
Being liked by the audience
Being similar to the audience--for example, expressing opinions and/or values that
are shared by the audience
As you can see, these points are interrelated; each of them affects the others. For
example, it's much more likely the audience will like you if they feel they can trust
you; it's also more likely if you are expressing opinions or values they share. Or, for
another example: status and knowledge are sometimes seen as being
interchangeable; if someone holds an important position in the community, other
people are likely to believe they are knowledgeable, even if that's not the case.
Does this mean you can't appear credible without status or an advanced degree?
Certainly not, although those things can help. Take a very famous, very old example:
that of Joan of Arc. As a young French girl in the 1400s, she certainly had neither
education nor status. But her ability to persuade others was tremendous --as a girl of
17, she successfully amassed and led an army against the English. And talk about
influence! She became a saint!
Be trustworthy in your personal and professional affairs
This is related to our last point on credibility, but is important enough to be talked
about explicitly as well. If you have a history of honesty and of following through with
your part of the bargain, word will get around. People will be more easily influenced,
because they can take what you say at face value. They won't be looking for a
"hidden agenda."

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Remember: the ability to influence others is not a one time event, or even something
you work on occasionally. It's not separate from what you do in your "normal" life:
how well and easily you will influence others is directly related to how you act all of
the time.
Be open to suggestions and possibilities
Being flexible is always a good idea. It's certainly true for times when you are trying
to convince people of a certain thing. If you go into a meeting with a hard-line, "we'll
do it my way or no way at all" attitude, you may well find yourself leaving empty
handed.
But beyond that, try and make it a habit. Make it a point to listen to people's ideas
and thoughts and to consider what they have to say. In doing so, you'll become a
better communicator, because you'll be able to make connections and specific points
to persuade the person you're talking to from things that they have said. What's
more, you may get some very good new ideas out of the bargain.
Speak up!
This point is especially important for people who want to influence others in group
settings, such as at meetings and forums. To a large extent, how much you say in
these settings is related to how much influence you have. You might even call it the
"squeaky wheel syndrome." Being shy and retiring --or even quietly confident--simply
doesn't work.
Research has shown that in groups (and especially in business meetings), women
tend to talk much less than men, and so women should be particularly aware of this.
But the point is important for both sexes--while listening is very important, don't let it
be all that you do.
Again, be careful that you do strike that balance between listening and talking. If all
you can hear is the sound of your own voice, you've taken this point too far.
Remember that people hear what they want to hear
That is, they generally won't go out of their way to listen to an opposing opinion. For
example, if you give a talk at the public library on how to keep big businesses from
coming in and destroying local businesses, who do you think will be in the audience?
That's right --local business owners, or people who want to preserve the unique
flavor of the town. Other people, such as those who are excited about the possibility
of a big department store, or people who simply don't much care, aren't likely to
show up.
The lesson here? The people who you really want to reach, whose opinions and
ideas are very different from your own--probably won't be knocking on your door.
Rather, you will need to seek out them if you want your voice to be heard.
Don't expect overnight results
Things take time if they are going to be done well, whether we like it or not. Author
Stephen Covey writes, "I see people trying to do it all over a weekend--trying to
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rebuild their marriage on a weekend, trying to rebuild an alienated relationship with

their son on a weekend, trying to change a company culture on a weekend. But
some things just can't be done on a weekend."
Opinions may take a long time to change. That makes sense--people may have had
a lifetime to form them; they usually won't change after a single conversation.
Influencing people to change their actions can take even longer. Even if someone
knows they should do something, it's not always that easy. Ask any smoker who is
trying to quit--change takes time.

Leaders need to remember this, especially leaders in the fields of community health
and development work. It takes time. Some things it may take a lifetime--or longer-to change. Think of creating world peace, ending hunger, or having a clean
environment. None of these will happen overnight. The important thing for
community leaders to remember is to keep working at it, and to take pleasure in the
small successes we win along the way.
TACTICS FOR INFLUENCING OTHERS
In the last few paragraphs, we've looked at some everyday things you can do to be
ready to influence people when the need arises. Now, let's jump briefly to some
simple tactics that can be used when that moment does come up. Although it's
always helpful to have "primed the pump" as we discussed above, the following
tactics are very simple. Many of these can be used even if you've never seen the
person you want to influence before--they are simple "street corner" tactics that can
stand on their own.
Use comparison.
If everyone else were doing something, would you do it, too? Well, according to the
laws of persuasion, you very well might. People like to do what everybody else is
doing. If everyone else is signing your petition, passersby will be drawn to it as well.
If half the people in town are sporting bumper stickers for your organization, the
other half will probably want to know where they can pick up one as well. And so on.
Give something away.
As a small child, you learn that when someone gives you something, you should give
something back. If someone smiles at you, you smile back. If someone gives you a
Christmas present and you don't have anything for them, you feel bad.
This idea of reciprocity can be very powerful for people trying to persuade others to
do something, especially if you want them to donate to your work. By giving people
something small, they may feel required to respond, and then think, "Oh, it's
something good to support, anyway," and make a nice-sized contribution.
For example, a group trying to raise money for breast cancer research developed a
list of potential donors. Then, they sent each of those people 100 personalized return
address labels with a pink ribbon. In a cover letter, they thanked donors for past
support, asked them to use the labels to support awareness, and (by the way!) if
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they felt it was worth it, please send a small contribution--whatever they felt the
labels were worth. As you might imagine, this campaign was quite successful.
Get people in the habit of saying yes.
Then, make whatever you want to convince people of agree with what they have
been saying. Generally, when people take a stand, they want to be consistent. So, if
you can get someone to agree on several points related to what you want them to do
or believe, it's harder for them to turn you down when you come in for the punch.
Make sense? Steve Booth-Butterfield, an expert on persuasion, explains this idea
with the following example:
Earnest Salesperson: "Excuse me, but do you think that a good education is
important for your kids?"
You: "Yes, of course."
ES: "And do you think that kids who do their homework will get better grades?"
You: "Yes, I'm sure of that."
ES: "And reference books would help kids do better on their homework, don't you
think?"
You: "I'd have to say yes to that."
ES: "Well, I sell reference books. May I come in and help improve your child's health
education?"
You: "Ahhh, wait a minute"
INFLUENCING SOMEONE: THE GENERAL APPROACH
The tactics above give you some simple ways to influence people, especially for
small or short term ends. But when the stakes are higher, or you are looking for longterm changes, how do you bring that about? One possibility is an approach similar to
the one given on the next few pages. As you consider the following points, however,
remember that every person and every situation are different. Take these points as
suggestions, and modify them to fit your situation.

Decide what you want

This includes deciding what is essential--what you absolutely, positively want to see
happen. It also includes what you might be willing to give up. Consider possible
compromises that might be acceptable.
Your situation might not have any of this middle ground. For example, you might
want people to believe your organization is very important--period, end of discussion.
That's probably not something you are willing to compromise on. But in situations
where you want people to do something, and not just believe something, the art of
compromise can be very important. For example, you might be fund raising for your
organization with a goal of obtaining at least $100 from each donor. However, you
would be happy to get a smaller donation as well, or a gift in-kind instead of cash.
Decide whom you want to influence directly and indirectly
This may be obvious--for example, you may want to convince a member of your staff
to work harder, and can best do so by speaking with her personally. However,
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sometimes the people whose behavior or attitudes you want to see changed may not
be the ones you are best suited to talk to. Sometimes, it is best to influence people
indirectly.
For example, a new pregnancy prevention project in the town of Quinnsville wants
teenagers in town to abstain from having sex, and to protect themselves if they do
become sexually active. In this instance, however, the project leader may not be the
best person to walk into each classroom and talk to the students. It would take too
much of her time, and the students don't know her--she lacks credibility with them.

Instead, she might try to convince the teachers and school administrators to enhance
the sexuality curriculum. In that way, teachers, who already have a relationship with
the students, can teach them necessary information. More work with the students
can occur than the director could have ever done on her own--and it can continue
well after she and the project are gone.
Start in a friendly manner
By putting people at ease, they are much more likely to listen to your point of view.
There are a number of ways to do this, including:
Praise. Everyone likes to be appreciated. Also, by verbally assuming the best about
the other person, you give them something to live up to. You're appealing to their
nobler motives. Try starting a conversation by saying, "I've been looking forward to
this discussion. You have a reputation as being excellent to work with, (or very fair,
or an excellent negotiator, or so on) and I'm sure we can come to an agreement we
are both happy with." Chances are the other person will be flattered, and will work
hard to live up to the compliment.
Compare that way of starting the conversation with someone who says, "We have to
do things my way. I really don't know why I agreed to talk with you -- we've got
nothing in common, and I'm certainly not going to change my mind." Whom would
you rather work with?
Be interested in their interests. People love to talk about things they enjoy, and rarely
get to talk about them enough. By spending a few moments on what your audience
enjoys, you will have captured their interest as well as their good will, giving you an
excellent atmosphere in which to continue.
Call people by name. Everyone loves to hear their name--it's most people's favorite
word. By using their name, you show people you are aware of them as an individual- it shows respect for the person. Also, remembering the names of people you don't
know well can be very flattering.
Be careful of criticism. Generally, it's not going to do any good, and it can do a lot of
harm. For example, criticism caused the author Thomas Hardy to give up writing
novels. If you must criticize, do so gently, and in a constructive manner. You might
even try calling attention to your own mistakes first--that way, you're saying, "Hey!
We're all human--we're in this together."
Learn what your audience wants and believes
That is, try to understand where they are coming from before you start. Do your
research before you meet with them, and ask questions when you are together.
Otherwise, your suggestions and ideas might be ignored or understood for reasons
you aren't even aware of.
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For example, an American health educator working in Sub-Saharan Africa was trying
to convince young people to use condoms to protect themselves against the raging
AIDS epidemic in their country. Early efforts were politely listened to, but without
much success. By chatting with the teens, she slowly understood that ideas of family
and of having children before you die were very important to them, and that they
were a major block to condom usage. Additionally, a sense of hopelessness came
out. "God will take me when He wants me, and that's that," she heard.
After understanding that these ideas were much more a cause of the problem than
was simple ignorance, she was able to adjust what she said to address these issues.
When she started speaking to them on their terms, her efforts found much greater
success.
Emphasize points in common
Try to get the other person in a habit of saying "yes." There will always be
differences in opinion on subjects between any communicator and his or her
audience. But by focusing on points that are similar, the wall between "us" and
"them" becomes lower, and your audience is more likely to see that you are all
working together for the same thing.

If you're wrong, admit it

This goes back to what we said above about being trustworthy. If you are discussing
an issue with someone and they bring up new information, or a point of view you
hadn't considered, don't be afraid to say, "I didn't know that," or, "Well, that certainly
changes things." Admitting it when you're wrong gives you greater credibility. You're
not a fanatic--you are a reasonable person with whom smart agreements can be
made. Even if you lose the day's battle, you've probably created a strong ally for
future wars.
Inoculate your audience against counterarguments, if they are likely to hear them
When someone gets a flu shot, or vaccinated against a given disease, what really
happens is they are given a weakened version of that illness. That way, their body
will be ready to attack the real disease if they are exposed to it.
If you are trying to convince your audience of something that is particularly
controversial, it's likely that they will hear arguments to the contrary. Like a nurse
giving a shot, you can immunize your audience against that point of view. Simply
say, "Other people will tell you X, but this is why that's not true/not the best thing to
do/just plain wrong." You have acknowledged other points of view, pointed out their
weaknesses, and brought people back to what you believe.
Speak logically and with emotion
Some people will respond best to statistics; others to an emotional appeal. By using
both, you will appeal to the largest number of people possible.

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Also, using them together is a powerful combination--a one-two knockout that will
convince most people. For example, think of an advertisement trying to raise
awareness of child abuse. Showing a picture of an abused child, or telling his story
will bring about an emotional response in most people. Following that up with
statistics--for example, "there are X children in our community who suffer the same
abuse," --can be enough to motivate many people to action.
Tell people what they'll get out of it
Explain clearly the benefits of doing what you ask, or alternatively, the disadvantages
of not doing it. Most people when asked to do something want to know, "What's in it
for me?" That may seem somewhat self-centered, but it's a natural question. If you
think about it, all of us do things for a reason. There's always something in it for us,
or we don't do it.
This doesn't mean we (or our audience) need to get money or prestige out of doing
or believing something. What we get might be feeling good because we are helping
out. Or, we might be avoiding something we don't want to happen. But as simple as
it might be, there is always an answer to "what's in it for me?" And it's an answer that
you should give before this question is asked.

Use repetition and redundancy

This is what advertisers do; that's why you see the same advertisements over and
over again. The more often you say something, and the more ways in which you say
it, the more likely people will begin to believe it.
What's the difference between these two terms? Well, repetition is saying or showing
the exact same thing over and over. If you see the same advertisement for
McDonalds so many times that you have it memorized, that's repetition. Repetition is
helpful because it allows people to see or understand new and different things about
the message. The audience can pick up details they didn't catch the first time.
However, too much repetition just becomes annoying. We've all had the experience
of really liking an ad or a song, and then having it played so often on the radio or
television that we want to scream. There's definitely a point of diminishing returns
with repetition that you need to be careful not to cross.
Redundancy can take care of some of this problem. In redundancy, you want to get
the same message across, but you are doing so in different ways. For example, if
McDonalds is having a sale on hamburgers, they might develop ten different
advertisements for that sale. Seeing the same ad over and over is repetitive; seeing
different ads for the same things is redundant.
Both of these techniques can be used effectively by community leaders when trying
to influence people. For example, if you are giving a talk, you might make your main
point at least three times--at the beginning, in the middle, and at the end of your talk.
And you might make it in different ways throughout the speech. But in almost any
situation, remember--repetition and redundancy can be very powerful tools of
influence.
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Don't argue, if at all possible

Generally speaking, you can't win an argument. Even if you win, you may lose.
People don't like to be wrong. By arguing, you're telling other people just that--they
are wrong. This could seriously harm the relationship, especially if you don't know
the person very well.
Sometimes, of course, you will disagree. It's human nature--we won't always see
things eye to eye. When this happens, first decide if the disagreement is worth
pursuing. Is it really necessary to show the other person they are wrong? If you feel it
is, always try to do it calmly and simply, and without making personal attacks.
Make the idea seem simple
The more you ask people to do, or the more drastic the change in opinion you are
asking for, the less likely it is people are going to do it. Try to make what you want
people to do seem simple and logical. Explain how they can do what you ask with
very little change or effort beyond what usually occurs in their lives.
If the change of opinion or action you are working for is complicated, or very long
term, break it into pieces you ask people to do. For example, if you want more
neighborhood kids to go to college, you might concentrate first on getting them to go
to class. Then, they might think about graduating from high school. And as that looks
more likely, they might be willing to consider college more seriously. But telling a
seventh grader that she can finish college and earn a fantastic salary as an engineer
or a doctor may not seem very realistic. Take big ideas one step at a time.
Thank your audience
This is something you should never fail to do. Even if it didn't work; even if you felt
like it was a waste of time. It's very important that people feel acknowledged and
appreciated. Thanking them is a way to keep the lines of communication open for the
next time you want to influence your audience.
IN DIFFICULT SITUATIONS
Just trying to influence an open, friendly audience to do something they aren't
strongly opposed to takes time and work. Undertaking the logistics of finding the
person, deciding how to present your case, figuring out exactly what to ask, and
having enough time together to accomplish your goals is already a large task.
Everything becomes much more difficult, however, when you are trying to influence
people under more trying circumstances. For example, if you and your audience
don't know each other, or (worse yet!) you don't especially like each other; or if you
are asking people to do something that will be particularly difficult, or that you know
they don't want to do.
When the going gets rough and the stakes are high, it's easy to get frustrated, angry,
and in the end, do more damage than you thought possible to a relationship. Is it
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time to give up? Absolutely not! Rather, it's time to step back, take a deep breath,
and remember all of the great tricks you learned about influence. In particular, try to
do the following:
Try to keep things in perspective
It's easy to lose sight of the big picture, especially when the situation becomes tense
or even explosive.
A young American was traveling in North Africa, and found herself in a bazaar in
Casablanca. Having found a pair of sandals to replace the pair she was wearing, she
started bartering with the salesman. Considering herself a master bargainer, she
took it as a point of pride to get the lowest price possible. But after a few moments, it
became clear the shop assistant wasn't going to go any lower, despite her repeated
pleas, and she began to get very angry. Just then, she took a moment and thought
about the price. She realized that, when she converted the amount from Moroccan
Dirhams to U.S. dollars, they had been arguing for ten minutes about the difference
between $3.00 and $3.50.
Keep your emotions in check
Getting angry, frustrated, or upset won't do either of you any good. The other person
will probably just get angry or frustrated as well, or annoyed with the entire situation.
Also, and just as importantly, you don't think as clearly when you're upset, and may
say things or make decisions that you will later regret. In short--getting upset won't
do anyone any good.
If you feel yourself in danger of losing your cool, try one of the following techniques
to help yourself calm down:
Ask if you can take a quick break to collect your thoughts. Or go to the bathroom, or
pour yourself a fresh cup of coffee. But if you're afraid of what will come out of your
mouth the next time you speak, make sure that you don't talk for a few minutes.
Switch topics. If you are really getting nowhere in your conversation, talk about
something else for a few moments. You might go back to something you do agree
with, or talk about something completely unrelated for a few moments--the weather,
lunch plans, or anything else.
If you are in a meeting with a group of people, let someone else from your group talk
for a few moments while you cool off.
Don't personalize the situation
It's very difficult for people to hear personal attacks without taking them personally.
And when people are offended are upset, or feel their back is up against the wall,
they will be less likely to hear the points you have to make, even if they are
completely valid. If you must be critical, be critical of a program or an action, not your
audience.
For example, consider these two statements, both given in response to the same
problem:

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"I disagree with the statement that the corporation isn't really hurting our local
environment. Studies show that fish no longer live downstream from where waste
from the company is being dumped."
"You are just a bunch of greedy old men who don't care at all about what your
stinking company does to our river!"
The second statement riles up your audience, and gives members of the audience
the perfect chance to say, "we can't discuss anything with you." Then, they can leave
superior--because the communicator, in this instance, was reduced to name calling.
The first statement, on the other hand, gives clear facts that are not so easily
ignored, and requires a response from members of the organization.
Understand why people are behaving as they are
A person may be acting in a way that is perfectly ridiculous to you. Remember,
though: it's probably not to them. The more you can understand their motives, the
better you can change your tactics to meet them--and eventually, get what you want.
Change your tactics

If what you are trying isn't working, try something different. Think about magnets--if
they are facing each other the wrong way, they repel each other, and you can't put
them together for anything. However, if you turn them around, you can't keep them
apart.
The lesson here? Know when to change tactics and try something from a completely
different angle. If you have been using carefully gathered statistics on child abuse to
convince people to donate to your Children's Safe House, try some pictures and
stories of children who have come through your doors. If local restaurants are
against a ban on smoking sections, despite all of your pleas for better health, show
them statistics on restaurants whose business increased when they went smokefree. Whatever you are doing, try to have many different perspectives in mind when
you get together with your audience.
Take a break
Take a few moments to regain composure, or even break for the day. This can help
a lot when tension gets too high or discussion has gone on for too long. Both the
communicator and the audience can use the opportunity to reassess the situation.
Come back to a point of disagreement

Sometimes, if someone says no to something you find critical, the best thing to do is
to go back to some points you have in common, discuss them for a while, and come
back to it later. Sometimes, people will change their minds during the course of a
conversation; new thoughts will come up, ideas sink in. If it's important enough to
you to have agreement on this issue, this tactic can also work to simply wear them
down. In the general tips above, we talked about the importance of repetition. This is
another way that might occur.
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Try to find other people who might be able to influence the person
If you find yourself unable to make any headway, who do you know who might have
more luck? Sometimes, as we discussed above, you won't be the best person to get
the message across. Unfortunately, you might not know that until you are in the thick
of conversation with your audience. However, other people will have more weight
with the person or people you are trying to influence. Find out who the person
respects or will listen to, and ask them to try to convince the person.

Consider the use of a trained mediator

If your message simply isn't being accepted and it's very important that you come to
an agreement, you might consider the use of a trained mediator. This is a person
who's not from your group or your opponent's group, but whom you both trust to be
fair. He or she can help both sides agree upon a standard by which you'll judge your
resolution. Standards are a way to measure your agreement. They include expert
opinions, law, precedent (the way things have been done in the past), and accepted
principles.
For example, let's say you're building a new playground for your town's elementary
school. You disagree with the superintendent about what kinds of materials you'll use
to build the playground. The superintendent wants to use chemical treated wood, but
you feel it's unsafe. A mediator might read the current guidelines of the lumber
industry and tell you which kinds of wood are considered safe for children. Maybe
you and the superintendent will agree to follow the lumber industry's advice--in other
words, to use that as the standard.
Of course, there are often many kinds of standards. There may also be a national
parent group that suggests certain safety guidelines for playgrounds. A mediator
might help you and the superintendent negotiate about whose standard you'll use.
Your mediator could also, for example, run your brainstorming session. Here are
some other possible jobs for a mediator:
Setting ground rules for you and your opponent to agree upon (for example, you
might both agree not to publicly discuss the dispute)
Creating an appropriate setting for meetings
Suggesting possible ways to compromise
Being an "ear" for both side's anger and fear
Listening to both sides and explaining their positions to one another
Finding the interests behind each side's positions
Looking out for win-win alternatives
Keeping both parties focused, reasonable, and respectful
Preventing any party from feeling that it's "losing face"
Writing the draft of your agreement with the opposition
Many trained mediators are also lawyers. A list of people with training in mediation
can be found in your local yellow pages.
Know when it's time to give up or temporarily retreat

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Whatever you are trying to convince your audience to do or believe, there are times
when even the most effective leader won't be able to convince them to accept the
message. Or, you may be able to convince them, eventually, to do what you want,
but at a price tag (in time, energy, or lost goodwill) that is just too high. When trying
to influence someone, then, know when to bow out gracefully, and to save your
armor for another day.
IN SUMMARY
The ability to influence someone successfully is one of the most important and
challenging jobs any leader will face. This section gives an overview of some general
ideas behind this science of persuasion. By fully understanding this information, a
leader can become very effective in his or her work. We encourage you to think
carefully about your use of influence, and to use it wisely and ethically as you pursue
your goals.
Building and Sustaining Relationships
WHAT IS RELATIONSHIP BUILDING ALL ABOUT?
Relationships are the building blocks for all community organizing activities. Whether
you want to organize a volleyball game or get rid of unfair housing practices in your
town, you will need lots of good relationships. Why? Because the relationships we
have with our coworkers, the communities we serve, and even our adversaries are
the means for achieving our goals. People don't work in isolation: we need to be
working together! It is our relationships all added together that are the foundation of
an organized effort for change. We need lots of people to contribute their ideas, take
a stand, and get the work done.
It is also the people who motivate us to reach our goals. As community builders, we
care deeply about people and caring is part of our work. It is our caring for others
that motivates us to work as hard as we do. It is often the health and happiness of
our children, neighbors, and coworkers that we hold fixed in our minds as we push
ourselves to overcome obstacles and take on challenges that can feel overwhelming.
If you are the official leader, or an active citizen without an official title, you will be
most effective if you establish many strong relationships around yourself in the
community.
In this section, we will talk about building and sustaining relationships and give you
some practical tips and general guidelines.
And remember: ordinary people learn the skills of establishing and maintaining
relationships all the time. You don't need to be particularly charming, witty, or
talented. However, if you are charming, witty, or talented, these guidelines may help
you, too!
WHY DO WE NEED TO BUILD AND SUSTAIN RELATIONSHIPS?
Let's look at this example:
Organizing a block party

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Suppose you want to organize a block party. What kind of relationships do you need
to make it happen?
Who will help you plan the block party?
You don't want to do all the planning and legwork by yourself, do you? It would be
much more fun, not to mention easier, to work with a few neighbors to make this
block party happen.
How do you get local approval and cooperation?
In many towns, you need the city council or government groups to approve block
party permits. Having a friend or two in local government might help you figure out
how to work your way through the bureaucratic hoops to get your permit. If you don't
know anyone, you can build some relationships along the way.
Who else might lend a hand?
If you already have a relationship with your corner grocery store owner, she might
donate some watermelon or drinks for the block party. If you know your
neighborhood firefighters, they may be willing to bring over a fire engine for the
children to climb on. Do you have a friend who is a clown?
Who will come to the block party?
Last, but not least, in order to have a successful block party, you want as many
people from your block to come as you can get. If your neighbors know you or
anyone else on the planning committee, they will be much more willing to overcome
their shyness and show up.
Overall, the more people you know, the easier it will be to organize a block party and
the more fun it will be for everyone.
FUNDAMENTAL REASONS TO BUILD RELATIONSHIPS:
Community building occurs one-to-one. You need to build relationships with people
one-to-one if you want them to become involved in your group or organization. Some
people become involved in organizations because they believe in the cause.
However, many people become involved in a community group or organization, just
because they have a relationship with another person who is already involved.
We need relationships in order to win allies to our cause. In order to get support from
people outside our organizations, we need to build relationships in which people
know and trust us.
Our relationships give meaning and richness to our work and to our lives. We all
need a community of people to share the joys and the struggles of organizing and
making community change. A little bit of camaraderie goes a long way.
WHAT KINDS OF RELATIONSHIPS ARE WE TALKING ABOUT?
Every relationship is different, but they all matter. If you smile and say hello to the
school crossing guard on your way to work every day, you have formed a
relationship. That crossing guard may be the one who will be watching out for your
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kids or grandchildren when they are old enough to walk to school by themselves.
The guard will remember you and your warm smile when escorting your child across
the street. And maybe the crossing guard will be the one you eventually recruit to
head up the citizens' traffic safety committee.
Your relationship with the crossing guard may be quite different from the
relationships you have with people involved in your neighborhood park-cleaning
committee. The relationships you have with the mayor's aide, with your staff, with
members of your board of directors, and with your spouse will all be different but
they all play an important role in community organizing.
The more relationships you have, the better. You never know when they will come in
handy. A local gang member might be just the person you need to help you organize
a group to build a new playground in your neighborhood. Whether they are
government officials, school teachers, business people, elders, gardeners, children,
people with disabilities, homeless people or whoever else--building friendships will
pay off in ways you may never have anticipated.
YOU ARE AT THE CENTER
Imagine a wheel in which you are at the hub or center and each spoke represents a
relationship with another person. Does that sound egotistical? It doesn't need to be.
It takes a lot of spokes to hold the wheel together and the wheel is what helps move
the initiative along. There is enough room in the group for everyone to create their
own wheel of strong relationships.
The point is that you have to take the time to set up and sustain relationships. If you
wait for others to establish relationships with you first, you may spend a lot of time
waiting.
One reminder: It doesn't make sense to form relationships just to get people to do
work for you. That won't work because people will feel used. Community builders
approach relationships with integrity. We form relationships because we genuinely
like someone, because we have something to offer that person, or because we
share some common goal.
WHEN DO YOU BUILD AND SUSTAIN RELATIONSHIPS?
You do it all the time. If you take an extra five minutes to ask the person who is
stuffing envelopes how they think the baseball team is doing this year, you will have
built a stronger relationship.
Some relationships require more time than others. You may want to meet for lunch
once a month with all the other directors of youth organizations in your town. You
may need to meet twice this week with a staff member who has some built up
resentment about the job. You may want to call your school committee
representative every now and then to check in about issues of common concern.
As community organizers with few resources, we are often under enormous
pressures that distract us from paying attention to relationships. We feel the urgency
of achieving important goals. We mistakenly feel that spending time on relationships
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is the fluffy stuff that makes a person feel good, but doesn't get the job done. Often,
however, relationships are the key to solving a problem or getting the job done.
Building and sustaining many solid, strong relationships is central to our work as
community leaders.
RELATIONSHIPS ARE THE GROUNDWORK
Often building relationships is the groundwork that must be laid before anything else
gets done on a project. The bigger the project, the more relationships you will usually
need as a foundation.
For example, if you are organizing a coalition of community groups that will work to
create a multicultural arts center, it would be a good idea to get to know people in
each organization before trying to get them together to work on the project.
Ask yourself: "Would you be more persuaded by someone you know, or by a
complete stranger?" Then be guided by your own answer.
When you plan a project, you need to include the time it takes to build relationships
into your plan. People need time to build trust. Whenever people work together, they
need to have trusting relationships. When trust is missing, people usually have a
difficult time functioning cooperatively. They worry about risking too much.
Disagreements seem to erupt over no important reason. Investing time, resources,
and one's organizational reputation can be risky. At the least people want some
return for their investment. They have to feel like you know them as a person,
understand their interests, and will not let them down.
Back to the multicultural arts center example--if creating one will involve several
community groups, and if you don't know them well (and they don't know each
other), start working together on a smaller project first. For example, you can jointly
sponsor an evening of cultural sharing. If the evening is successful, you will have
gained some shared trust and confidence on which to build. You can plan several
similar events that will build trust over a period of time.
If things are not going well, back up and try an easier challenge. If you begin to hold
discussions on the multicultural arts center and people show signs of apprehension
rather than excitement, slow down the process. Take on an easier challenge until
strong relationships are better established.
ESTABLISH RELATIONSHIPS BEFORE YOU NEED THEM
It's always better to build relationships before you need them or before a conflict
arises. If you already have a good relationship with the grocery store owner in your
neighborhood, you will be in a better position to help solve a dicey conflict between
him and some neighborhood teens. If you have already established a relationship
with your school committee representative, she might be more willing to respond to
your opinions about special education funding.
ESTABLISHING RELATIONSHIPS IN A CRISIS

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It is not impossible to establish relationships during a crisis, and often a crisis can
bring people together. While it may seem unusual, make the most of your
organization's crises. Call for help and people will rise to the call. You can build
relationships when you are in need, because people often want to help.
HOW DO YOU BUILD RELATIONSHIPS? AN 11-STEP PROGRAM
Here are some tips for getting your relationships off the ground. Some of these ideas
we learned in the first grade but, as adults, we sometimes forget.
Build relationships one at a time. Fortunately or unfortunately, there are no short
cuts. Sending out a newsletter helps you keep in touch with lots of folks, but it's no
substitute for getting to know a real person.
Be friendly and make a connection. This may seem self-evident, but a friendly word
or smile can make someone's day. Try to find something in common: all of us want
to have close connections with our fellow humans.
Ask people questions. People love to talk about themselves and about what they
think. If you ask people about themselves and then take the time to listen attentively,
they can become your fast friend.
Tell people about yourself. People won't trust you unless you are willing to trust
them. Tell them what you genuinely care about and what you think.
Go places and do things. When asked why he robbed banks, the robber replied,
"Because that's where the money is." If you want to make friends, you have to go
where the people are: picnics, conferences, events, fundraisers, parties,
playgrounds, bowling alleys, little league games, bake sales, etc..
Accept people the way they are. You don't have to agree with them all the time in
order to form a relationship with them. No one likes to be judged.
Assume other people want to form relationships, too. Underneath the crabbiest
looking person is often a lonely soul hoping someone will make a crack in their shell.
Overcome your fear of rejection. Most of us suffer from a fear of rejection, and
there's only one thing to do about that: get over it. If you want to form relationships,
plan on being rejected some of the time. You will be richly rewarded the rest of the
time with the new relationships you have made.
Be persistent. People are often shy and suspicious. It takes a while to win trust. You
can almost always form a relationship if you stick with it.
Invite people to get involved. People want to become part of something bigger than
themselves. Many people are looking for an opportunity to meet other people who
share common goals. At the worst, people will be flattered that you invited them to
join.
Enjoy people. If you genuinely enjoy people, others will be attracted to your attitude.
People will more likely want to be around you.
HOW DO YOU BUILD RELATIONSHIPS WITH PEOPLE OF DIFFERENT
CULTURAL BACKGROUNDS THAN YOUR OWN?

Here are some common-sense guidelines:

Learn about the person's culture. Any effort will go a long way in showing that you
care enough to find out about the reality of another person's life.
Put yourself at the center of another person's culture. Especially if you are getting to
know someone who is not a part of majority culture, try going to their cultural events
where you are the minority. If you are willing to take risks and put yourself in a
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situation in which you might feel uncomfortable, people will be more inclined to want
to get to know you.
Take a stand against the person's oppression. Actions speak louder than words.
People who experience oppression need allies to speak out against injustice. Strong
relationships are forged when people act courageously on behalf of each other.
It's okay to make mistakes. You may have to make mistakes as you build
relationships with people who have different cultural backgrounds than your own, but
people are generally forgiving, especially if your intentions are good. Remember,
hang in there even if you feel rejected.
HOW DO YOU BUILD RELATIONSHIPS WITH PEOPLE WHO HOLD POSITIONS
OF POLITICAL POWER?
Here are some guidelines for forming relationships with elected officials, business
leaders, and heads of large organizations.
Don't be intimidated. People who hold titles or positions of political power are
humans, too. They like to form relationships just like everyone else does.
Listen and withhold judgment. People with titles rarely get a chance to be listened to.
They rarely get a chance to think through an issue without someone pressuring them
to vote one way or another. One way to befriend such a person is to take the time to
listen to them. See what you can offer them, not just in a political context but as a
sympathetic human being.
HOW DO YOU SUSTAIN RELATIONSHIPS?
Okay, now you've built some relationships. Relationships, like any other living thing,
need care to keep them alive and healthy. So what do you do with them to keep
them going?
Pay attention to people. Check in with people when you need to. This may take only
a few minutes a week, but those few minutes can make the difference in helping
your friend or co-worker remember the importance of the work you are doing
together.
Communicate openly. People need to communicate. It's a good idea to set aside
some time just to talk about the way things are going. When people don't have a
chance to talk about important issues, misunderstandings can occur and tensions
often build up. Communication is a discipline that has to be practiced regularly; it's
like taking vitamins or doing push-ups.
Appreciate each other. Everyone needs to be appreciated in order to keep
relationships going. If you notice that someone did a stellar job of collecting the
necessary data for the committee, say so. If you enjoy working with someone, let
them know. We are all human beings and appreciation helps us thrive.
Extend yourself. Go a little out of your way, at least once in a while. If your co-worker
needs to spend some extra time with his daughter, you might tell him go home early
and you'll finish up the grant proposal.
Volunteer to do some work for their organization (if they are not already in yours). If
you lend them a hand, they are likely to think well of you and give something back in
return.
Challenge each other to do better. We all need a buddy to help us stretch ourselves
beyond what we think we can do. We can also build stronger relationships by
challenging our work partners to take on bigger challenges.

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Back each other when things get tough. Loyalty is essential to keeping relationships
healthy. We may not agree with a co-worker or friend, but we can stand by him or
her when they are in a jam.
WHEN RELATIONSHIPS GET MESSY
Many relationships get messy sooner or later and that's not necessarily a bad thing.
In fact, sometimes people need a good fight or a clearing of the air in order to get a
relationship back on track. A conflict doesn't mean the relationship has to come to an
end. Remember: we often fight with the people we care about the most and with
whom we share our greatest hopes.
Here are some ideas that might come in handy when things get hard:
Take time to listen to each other. This is not always easy. Each person should take
time some time to listen without interrupting, while the other person talks.
Put yourself in the other person's shoes. Everyone in a conflict has distinctly different
views of a situation. In the thick of a fight, people are usually convinced they are
absolutely right. Try to see why the other person sees things the way they do. Just
your attempt to do so will help the other person see that you are trying.
Look at what is true about what the other person is saying. See if you can correct the
situation. If you need to apologize, go ahead. It may feel horrible, but an apology can
often help a relationship get back on the right track.
Separate emotions from reality. Everyone has emotions that surface intermittently.
People often say things they don't mean when they are in the middle of an emotional
upset. Allow time and space for people to feel their emotions before you try to work
things out.
Continue to appreciate and respect each other. Even though it may be difficult, focus
on the positive aspects of the relationship. If you model appreciation, the other
person will often follow.
Speak from your heart. As you try to unravel the difficulty, keep focused on what you
and the other person care about most: the goals of the project, each other, the
community, etc.
Don't give up your principles. Don't sacrifice what you believe in just to make a
relationship work. If you give up on your principles, you won't be effective and the
relationship won't work anyway.
Hang in there when things get hard. You can take some breathing room, but try not
to give up on the relationship altogether. When things are the toughest, there are
important lessons to be learned. It's best to keep a relationship that you've invested
your time and caring into?
You can act independently to improve any relationship. Even if the other person or
group of people is acting rotten, you can act in a way that is positive, respectful,
constructive, and thoughtful. This may surprise people, and they may follow your
lead.
Is all this easier said than done? Yes. Managing relationships may be hard, but it is
not impossible. Think of yourself as an explorer, charting your course through the
mysterious and murky waters of relationships. Treasure lies ahead!
RELATIONSHIPS WITH ADVERSARIES

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Yes, you can even have relationships with the people who disagree with you and
who may even be working against you and the goals of your organization. You can
use the same guidelines listed in the "When relationships get messy" section above,
with these additions:
You can disagree and still build relationships with individuals who are working
against your goals. If you do so, members of the other camp will begin to see you as
human rather than viewing you as the enemy. In turn you will get a picture of their
humanity as well. You might try inviting someone from the "other" camp to lunch and
find out what you have in common.
You can set up a dialogue group to hear why adversaries view the issues the way
they do. You can hire a neutral facilitator to come in and lead a discussion about the
areas of disagreement. With a skilled facilitator, people may start to understand the
values and caring that others bring to their opinions, and find areas of common
interest.
IN SUMMARY
Building and sustaining relationships are at the heart of organizing communities. The
strength of community lies in the strength of the connections that we have with each
other. With strong connections, people have the power to make real change.
Building these connections takes time; but it is worth it.

Relationships are the often the source of our greatest joys and greatest challenges.
Understanding relationships is no simple task. People are so unique and complex
that there is no easy formula.
Central to almost every religion is the idea that we should treat our neighbors the
way we would like to be treated. If you keep that in mind, you will most likely succeed
in building relationships that you can depend on.
Whether you are a "leader" or a follower, you have the ability to build a community of
friends, colleagues, associates, allies, partners, and buddies around you. Together,
there is no telling what you can do.
Learning From and Contributing to Constituents
Leadership is a transaction between leaders and followers. Neither could exist
without the other. Leaders pay attention as well as catch it. Even though they are
commanding figures, the interaction between leader and led is far more complicated
than the simple command: they each bring out the best in the other. The new style of
leadership is not arbitrary or unilateral, but rather an impressive and subtle sweeping
back and forth of energy, whether between maestro and musicians or CEO and staff.
The transaction creates unity. Conductor and orchestra are one....That unified focus
flows from the communication of a vision.
-Warren Bennis and Joan Goldsmith, Learning to Lead
A lot has been written about leaders: growing them, grooming them, maintaining
them, ousting them. But leadership doesn't occur in a vacuum. Presidents preside
over people; speeches are given to spectators, else they remain unknown. And in
many ways, it is the strength and actions of the people they lead that pave a leader's
path to greatness.
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In short, leadership is a two-way street. In the best of worlds, leaders and their
constituents work together to get things done. By constituents, we mean those who
follow the leader; the term includes both those who may work for or under the leader
(for example, the staff of an organization) and also the target population the leader is
trying to help. Together, the leader and her constituents create a synergistic whole;
the one providing inspiration and guidance, the other the energy and power to
accomplish things. And those qualities go both ways sometimes the followers
provide the inspiration. Different types of power might be provided by leaders and
constituents in the same situation.

Also, the roles of leader and follower aren't set in stone. Instead, they follow a more
fluid continuum. They change from situation to situation and from day to day. For
example, the executive director of an organization may be a follower to the
communications director when discussing the new newsletter, the leader at an
organization-wide meeting discussing the group's action plan, and a follower in the
cooking course she is taking at night.
In this section we will look closely at this relationship, and discuss ways to smooth
out the wrinkles that will naturally occur. The relationship between a leader and his
or her constituents has its peaks and valleys, its opportunities and challenges, as
does any personal relationship. To better understand these, we'll look specifically at
the leader's role in working with constituents, and we'll touch on the part those
constituents play as well. Then, we'll round the section out with a discussion of how
they can work together most effectively.
THE ROLE OF THE LEADER
As we've seen throughout this chapter, leadership is a complex phenomenon. It
occurs on many levels, and involves many things. Many of the attributes of
leadership are talked about in other sections of this chapter. For example,
communicating a vision, identifying needs, and making decisions are all things that
an effective leader does continuously.

Of course, a leader doesn't do all of this alone. By definition, a leader is someone

who is followed by others. The leader needs someone to communicate the vision to;
to identify the needs of people or of groups of people; and to make decisions that will
affect his or her constituents.
As such, the leader is inexorably linked with the people who follow her. But how does
that (or, perhaps more important, how should that) play out in day-to-day contact
between individuals? What is the role of the leader when looked at in the context of
working with her constituents? There are four things that we believe are central to
the leader's work with her constituents:

Listening to constituents
Responding to their hopes and concerns
Inspiring constituents to thought and action with his or her own vision or ideals
Delegating work
How does a leader do these things? Let's look in some depth at each of them.
LISTENING TO CONSTITUENTS
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To lead, you need to first understand the people who will be led. And so learning to
listen--and listen well is a critically important attribute for a leader to have. As
President Woodrow Wilson once said, "The ear of the leader must ring with the
voices of the people."
Two techniques a leader can use to become a better listener are active listening and
nonverbal communication.
Active listening
Most people can hear fairly well. Fewer, however, really know how to listen.
Listening is simply a more active phase of hearing. It makes good communication
and understanding possible. By active listening, we mean paying full attention to
what a person is saying, thinking about their comments, and asking questions or
making comments that reflect the thought you are putting into what they are saying.
It's both an art and a skill, and it takes practice to do it effectively.
Tips for active listening:
Maintain eye contact. This is simple but very important; it's one of the most basic
ways of showing attention.
Pay attention to your facial expressions and body language. They might be sending
a message very different from the one you intend.
Try to start sentences with "I" instead of "You." This is less threatening to the
listener.
Importance of using "I"
It is usually a good idea to start sentences with "I" instead of "You" when you want to
get a point across. It offers a soft way for confrontation and correction. That's
because "I" is perceived as being gentler than "you." For example, compare the
following two statements:
You really aren't making any sense at all.
I'm having a very hard time understanding what you are talking about.
The second statement is easier for the listener to respond to, because it doesn't
attack him directly. Of course, there are exceptions for example, "I think you are
stupid" probably will put the listener directly on the defensive. So be sure to watch
your language in general, too.
Using disclosure. Sometimes, it can be helpful to show the listener that you
understand where they are coming from. For example, if they are describing a
problem in their office, it can be helpful to explain how you have worked through the
same difficulties.
Use statements that validate and support what the person is talking about.
Comments such as "I can tell you have put a lot of thought into this proposal," or "It
sounds like you are doing a good job in a very difficult situation," can help people feel
more comfortable in talking about what's on their minds.
Be quiet. It seems obvious, but remember you can't talk and listen at the same
time.
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Remove distractions don't doodle, tap your pen, or shuffle papers.

Try to put yourself in the other person's place. How would you feel in the same
situation? Try to understand their point of view.
Be patient. Some people talk very quickly; others will open up more slowly. Allow
people the time to say what they need to say, and try not to interrupt.
Hold your temper. By arguing or criticizing people, you will most likely just put the
talker on the defensive.
Ask questions. This encourages the talker to continue, helps you get a better grasp
of what he or she thinks, and, of course, it will demonstrate that you are really
listening and trying to understand what you have heard.
Summarize what you have heard. Again, this very simple technique can result in a
huge payoff. Sometimes, just repeating back the gist of what someone has said can
help them to clarify what they are thinking.
Use "minimal encouragers." These are small comments that let the listener know you
are "with them" without interrupting the flow of what you are saying. Examples are
"Aha," "I see," "Go on," and, "Mm-hhmm."
Nonverbal communication
Another important part of listening is hearing what people don't say that is, what
their body language tells you. Nonverbal communication is always present we're
always telling people things with our expressions, how we move our arms, et cetera,
even if we don't realize what we are doing. And even if it's not done consciously,
people pay attention. Some research suggests that 70, 80, even up to 90 percent of
what we communicate to others is said without words. And so, by paying attention to
the basics of nonverbal communication, leaders can listen to their followers much
more thoroughly than if they just hear the words.
What are some of the characteristics of nonverbal communication? First of all, it's
important to remember that much of it is culturally derived what people do varies in
meaning from culture to culture. For example, in American culture, we find people
"suspicious" or think that they are hiding something if they don't look us in the eye.
However, in some Asian cultures, direct eye contact when you are speaking with
someone is considered to be very rude.
It's also almost impossible not to use nonverbal communication. (Have you ever tried
to quit blushing?) Whether we like it or not, it's an everyday part of the way we "talk"
as well as "listen."
One of the challenges with nonverbal communication is that there isn't a dictionary.
You can't look something up to see what it means, and it may be difficult to ask for
clarification. It can also be embarrassing, because you can't always control it. For
example, we may start to sweat when we're nervous certainly not something we're
trying to do!
RESPONDING TO CONSTITUENTS' HOPES AND CONCERNS
Once the leader has listened and tried to understand what followers think and want,
the next step is to respond to these hopes and concerns. A couple of points are
particularly important here.

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First, leaders need to be very careful to wield their influence wisely and honorably.
The power a leader has gives the capability to do a lot of harm as well as good. She
will make decisions that affect many people, for better or worse. Therefore, she will
need to be thoughtful and careful in her actions, making sure she helps people for
the right reasons, and that she understands as well as possible the side effects her
actions will have.
Second, a leader will often be in the position of needing to chose between competing
wants and desires. For example, in a group with a limited amount of money (and
very few community groups don't fall under that umbrella), the group's leader may
need to decide between different equipment needed by different staff members. How
can she best make this decision?
Part of this, of course, is using influence carefully, as we discussed above. Another
partial answer might be to try to make the decision in a group, with all of the people
involved discussing what would be best for the organization. The leader might also
ask what sacrifices the would-be winner might be willing to make in exchange for
obtaining this resource.
These are, of course, only part of the story. Responding to hopes and concerns is
one of the challenges of leadership. It is sometimes pretty easy (and enjoyable, if
you can give people what they want!), and sometimes more difficult. Unfortunately,
however, there aren't any set guidelines or easy answers as to how to do it. By
working justly with constituents and through good old-fashioned practice, though, it
should start to come together for you.
INSPIRING CONSTITUENTS TO THOUGHT AND ACTION WITH HIS OR HER
OWN VISION OR IDEALS
Another part of the leader's role with his or her constituents is inspiring them to
thought and action. How can a leader inspire others get the fire going under them
and convince them to do the hard work necessary to achieve success?
One way is through personal modeling of the behavior that you would like to see
constituents undertake. It's the old idea of leading by example. For example, if you
really want people to come in on Saturdays, you probably should do it yourself. If you
really want to organize the neighborhood, you might want to be out on the streets
mixing it up with people.
A good example is the story of Herb Kelleher, the CEO of Southwest Airlines. It's
said that he will work the baggage claim for the airline on Thanksgiving and
Christmas. More local examples are a volunteer crisis clinic where the director works
hard -to-fill shifts on holidays, or the head of an organization who is the first to sign
up to give blood in a local drive.
The leader should also be an ethical model for the people he/she is working with.
The leader might make independent moral choices, even very courageous ones, and
stick with them. For example, he might choose to support a very unpopular
candidate for city government because he believes that candidate will do the best
job, even if that support could harm his own reputation. Or she might go out of her
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way for someone, doing things that are above and beyond the call of duty. For
example, if a trusted volunteer has applied for a job where the leader knows people,
she might independently call friends at that organization to recommend hiring that
volunteer.
DELEGATING WORK
Delegation the sharing of work among people at the organization is at the very
heart of working with constituents. But by delegate, we don't just mean the leader
says, "do this," or, "do that." Rather, the idea that we want to get across is that when
you apportion the work, you want to do so in a way that strengthens and empowers
the person who will be doing the task to the full extent that is possible. A good leader
uses opportunities to share work to strengthen his or her team, and to help members
grow in their work without unduly pressuring them with tasks they can't handle.
It's not easy. There's a fine line between "too much" and "not enough" work and
responsibility. The leader needs to walk a careful tightrope here. However, by
following the step-by-step method outlined below, it's more likely that the process will
be successful.
Find out what needs to be done
For example, perhaps the organization wants to become financially sustainable. The
leader knows that this will include developing a strategic plan that will help the group
generate a constant flow of revenue.
Divide work into manageable tasks
The leader doesn't need to do this alone; instead, it makes sense that she might
discuss with others what makes most sense. The first step is very broad; but how
does the organization actually want to become financially sustainable? Through
grants? By offering some services on a fee-for -service basis? Through investments?
In this case, the organization's leader might work together with members of his board
or financial sustainability committee to decide on the best strategies for the
organization, and what specifically needs to be done to carry them out.
Decide who would be the best person to tackle each task
This, too, is often done together with others, as part of a work group; the leader
doesn't have to go it alone here. You might identify several people who would be a
good fit for each job before you ask them to help. That way, you're ready with a
back-up plan if your first choice doesn't work out. It also allows some breathing room
if the person can't or doesn't want to do the job, there is less pressure on them to
do it anyway.
When deciding whom to ask, consider people with some experience, but who would
be "stretched" by the opportunity as well. That allows growth, and keeps people from
getting bored with their work and the organization.

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Communicate that decision to the chosen person(s), using all of your infinite tact and
charm
Depending on the organization this may be an order or, more often, it will take the
form of request. In either case, reciprocity may be an important part of it.
Explain completely what you are asking the person to do
Here, the leader should be specific and give a lot of details. This will include what
you want them to do, by when they should do it, what support is available, and why
you want them to do it.
Help the person(s) best do the job possible
If you are asking someone to do something that will be challenging to them, there is
certainly a chance that they will fail. And that failure can lead to discouragement,
which could lead to future failures as well. By giving appropriate support, you
minimize the chances of that happening. Not only will that help your group in the
short term, you are also effectively increasing the capacity of your organization to do
more and better things in the future. You are enabling that person, and by extension
your organization, to move towards even greater success.
How can you best support the person in his or her work? The following four
suggestions can help:
Make sure that the original instructions you give are clear, easily followed, and
complete.
Stay in touch with that person, in a friendly and supportive way. An effective leader
doesn't simply delegate work and disappear she sticks around and helps the
person throughout the entire process.
Ensure or create the right conditions for optimal task performance. For example,
make sure people have a pleasant work space, plenty of supplies, enough time,
flexibility, accessibility to you or others who can be helpful, and that they are allowed
some individual decision-making.
Monitor performance, and adjust your instructions as necessary. But be careful not
to overdo this, so that you become heavy-handed; nor to under-do it, so that things
get sloppy. It's finding and maintaining the right balance that is the mark of a leader
who is skilled at working with constituents, an accomplishment that requires finelyhoned sensitivity, as well as grace.
How else can you, as a leader, support your followers in their work?
Thank them!

Everyone likes to be appreciated. When someone has done a good job or really put
a lot of effort into their work, be sure to let them know how much their work means to
the organization. You can thank people in many ways--by saying thanks, by giving
them a small gift, or taking them out to lunch, to give three examples.
Spread out the work

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Don't ask the same people over and over again. Instead, try to offer different
opportunities to a variety of individuals. Again, this keeps work interesting for people,
and enhances the capacity of the organization as a whole.
The role of constituents
The terms constituents and followers sometimes have negative connotations in our
society. We often think of those who follow blindly; who timidly accept without
question what others tell them. Nazi Germany is perhaps the most brutal example of
this phenomenon; others exist as well. Think of cult members stuffing their pockets
with quarters before committing suicide; of other Americans simply watching quietly
as Japanese-Americans were placed in interment camps during World War II.
Followership, as it may be termed, doesn't seem to have a very good name.
But it doesn't have to be that way. What author Ira Chaleff calls "the courageous
follower" is a role of distinction. All of us are followers in some parts of our lives. And
so, we should try to fulfill that role, as we do our role as leaders, with enthusiasm and
grace. Some things that can be done to be a courageous follower are:
Show initiative. The French political theorist Bertrand de Jouvenel said, "A society of
sheep must in time beget a government of wolves." As followers, we must be active,
not passive, in working to hold leaders accountable and to help them in obtaining
mutually-agreed upon goals.
Assume responsibility. This includes personal responsibility doing what you say
you will do as well as responsibility for the group as whole. As members we are
also accountable for what the group does.
Hold leadership accountable. Challenge the leader's policies or behaviors if they are
harmful to the common purpose. A good example of a group of citizens who do this
is the membership of Common Cause. Common Cause works for open, accountable
government and the right of all citizens to be involved in shaping our nation's public
policies.
Recognize that leaders are human. They will make mistakes. It's true that we should
hold our leaders accountable. At the same time, we need to recognize the humanity
that binds us together. We cannot expect perfection from our leaders any more than
we can expect it from ourselves.
Take on a leadership role, when appropriate. The trick, of course, is knowing when
to slip from the role of an active follower to leader. There's not a definite point at
which this should be done, but it makes sense that when something needs to be
done and you are capable (not only in terms of skills, but also in terms of having the
time and energy to do so), you should step up.
Leave, when necessary. There are times when, as a follower, you find the
organization or your leaders going in a very different direction from that which you
believe in. As a conscientious follower, you can and should speak up, and offer your
view of "the way things should be." But sometimes, that's not going to change things.
It's important to realize that there may be a moment when, because of your beliefs or
views, you will be unable in good conscience to continue following a leader. At this
point, it may well be time to make a break, and do what you feel needs to be done.
WORKING TOGETHER
When an organization is effective, there exists a type of symbiosis between the
leader and his or her followers. But even more that that, when the leader listens,
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responds, inspires, and delegates well, there's a kind of synergy that occurs. Leader
and follower can each bring out the best in the other; they can elevate each other
both in terms of spirit and in terms of the work they do. Leadership of this kind can
elevate us behaviorally, in terms of our moral and spiritual development, too. It
becomes leadership of the highest order.
When looking at our common work, several things are apparently very important in
understanding the duality of this relationship:
An understanding that each role shapes the other. That is, what the leader does will
affect followers thoughts and actions, and vice versa. The two roles aren't
independent; as in a marriage, each individual will feed and grow off what the other
does.
The importance of seeing the other as a human being, not simply in respect to her
role. It's important that we understand there is a person behind the "boss" or the
"disgruntled employee." By looking at the whole person, we have a better view of
what's really going on when he says or does something.
The importance of working together in a climate of mutual respect. Although one
person may have some control or authority over the other, it's important that respect
goes both ways. If the leader doesn't hold followers in high regard, two things are
lost. First, chances are good that the followers will hold the leader in less high
esteem, too. Also, the leader is robbing herself of followers gifts and skills that she
will never know about.
An appropriate level of decision making. How much structure should there be in the
relationship? How much autonomy should followers have? There are no easy
answers to these questions; individual situations will call for different responses from
both leaders and constituents.
Leaders might do well to remember, however, that Americans, in particular, tend to
be distrustful of authority; in many cases, a lighter hand and/or more group decision
making are often effective choices.
An understanding of the common purpose that draws them together. As the saying
goes, "keep your eyes on the prize." By remembering our goals what we are
working together to achieve we can find it easier to get beyond the everyday
frustrations that naturally occur as we work with other people.
IN SUMMARY
Working with constituents is one of the most challenging tasks of leadership. It is
also, however, one of the most rewarding. A leader who understands how to
effectively work with constituents is able to create something magical--something
greater than what individuals working alone could have thought possible.
Making Decisions
Consider the following situations:
Your group has been offered a large sum of money to continue doing the work that
you do. The only catch is, the money is being offered by a group much more radical
than your own. If you accept the money, you will seriously damage some of the
relationships you have spent years carefully building -- relationships that are allowing
you to get a lot done. Do you accept the donation, and link yourself to the more
radical group?
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Or how about:
You recently advertised a position as assistant director of your organization. Julie,
who has been a volunteer with the organization for longer that you can remember
(and is a trusted friend besides), has applied for the spot, and has talked to you
about how excited she is about the possibility. Great -- except you have received
another resume from a woman who is, objectively, a much better candidate, and who
could bring some much needed skills to the group. You know Julie would do a good
job, but suspect that the other candidate would be better. What do you do?
Ah, decision making. It's one of the most basic tasks of leadership, and yet it's one of
the things that many of us, as leaders, want to avoid. To decide is to limit
possibilities; to say "no" to some choices; to reject. And what's more, whenever we
make a decision, there are consequences; and if those consequences aren't what
we hoped for, then we may be blamed -- either by ourselves, or by someone else.
At the same time, a well-crafted decision helps your organization move in the right
direction; a well-thought out decision can be very valuable to your group. In an
important decision, the stakes can be very high -- which is one reason, perhaps, the
process has held many of us hostage on a sleepless night.
IMPORTANCE OF DECISION MAKING
What are the implications of the decisions we make? The direct consequences of our
decisions may be obvious, but additionally, it's important to remember:
Our decisions affect people. Nearly every decision we make will affect different
people in one way or another. It's important to be aware of the influence our
decisions will have, and understand what the "human cost" will be.
The decisions we make demonstrate our values. Our actions testify more powerfully
than our words what we believe in. For example, if a senator speaks in favor of
"family values" but has a history of well-documented extramarital affairs, we'll be
pretty skeptical of his stated values.
Our decisions will set an example for those who follow us. As leaders, we must
understand that what we say and do will be looked up to by our followers; that our
actions will be copied and modified by those who respect us. For example, whether
or not you serve alcohol at a fundraiser sends a powerful message to those who
attend, and it may be copied by others as they hold fundraisers. In a very real sense,
"follow the leader" is a game many people continue to play all their lives.
It demonstrates a desire to lead. By making decisions, we prove to our followers that
we are willing to take the reins, direct the action, and get things done. We have
shown that we are willing to put our necks on the line and accept the consequences
of our actions.
Not deciding is a decision in itself.
Because decision making is an important part of leadership, as well as being
something we can't avoid, it's a good idea to know the best way to go about it. The
first step in doing so is to understand what the possibilities are.
STYLES OF DECISION MAKING: WHO GETS TO DECIDE?

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When there's a decision to be made, who gets to make it? Should decisions be
made by a single person, by a committee, or by the entire group? Each of these
methods is valid, and each may be appropriate for your group under different
circumstances. In general, when determining who will make decisions for your
organization, consider the following:
The perceived importance of the decision to the group
The time available to make the decision
The number of other decisions that have to be made
The degree to which the decision requires specialized expertise
The interest and time others have in making the decision
When the decision is important, when there's plenty of time, when other matters are
not pressing, when less specialized expertise is involved, and when others express
their interest in making the decision -- these are all situations in which decentralized
decision-making or a group decision may be appropriate. But when opposite
conditions hold -- in an emergency, for example, or when expert information must be
processed, or when no one cares very much -- the decision might be better made by
a smaller group, or even just one person.
There are three basic decision-making paradigms your group may follow, each of
which has its own variations, and each of which may be appropriate for your
organization under different circumstances:
A SINGLE PERSON DECIDES
When a single person has responsibility for making a decision, the decision can be
made either with or without input from other members of the group. Decisions made
without input are most often made by a leader or an expert, or simply by the person
most involved in the issue. For example, an administrative assistant who is writing
the organization's newsletter may not ask for opinions on what font to use; she'll
simply pick one.

Although this choice may sound a little dictatorial, and remind you of that boss you
really hated, sometimes, it's the one that makes most sense. Every organization
functions because of the thousands of tiny decisions made by members every day.
Some are so small, even the person making them barely notices them--how the
phone is answered, how a letter is signed, what colors of construction paper to buy
for the supply closet. Given all of the decisions that occur, it's simply not realistic to
think that we will discuss every decision with every person in the group.
A person deciding with input may ask the entire group for their thoughts; ask a small
group (such as the advisory board) for their recommendation; or tap a few individuals
with expertise on the issue.
Finally, it's important for leaders to know when it's most appropriate to leave
decisions up to others. If a leader doesn't know when to delegate, her time (and
potentially, that of many other people) will be taken up by many details that could
better be handled by others. For example, the Executive Director may decide what
the letters to members of the advisory board should say, but leave such decisions as
to who buys the stationery, at what store, etc., to the office manager.
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Additionally, if other members of the organization feel they have some power or
"say" in the group, they will be more likely to invest their time and energy into what
they are doing. A leader who makes all of the decisions is robbing herself of the
expertise of her staff, and she is robbing staff of their ability to grow and make
meaningful contributions to the organization.
How does a leader avoid the phenomenon of "micromanaging" that can be so
harmful? Several things can be helpful:

Open communication with others in the organization. There is simply no substitute

for talking with people and learning their strengths, weaknesses, and the level of
responsibility with which they feel comfortable. Communicating with followers is very
important: there is absolutely no substitute for clear, open communication between a
leader and his or her followers.
Recognize expertise. If a member of your coalition works full time as a graphic artist,
you might ask him to design a logo for the group. The intelligent leader knows that
sometimes, the best decision he can make is to hand the decision over to someone
better equipped than he is. Remember: we're all followers in some things.
Make opportunities equal to experience. Start by giving followers a small amount of
freedom and power in making decisions, and as they grow and become ready for
increased responsibility, give it to them. You didn't begin reading with Shakespeare;
you started with alphabet books and Dr. Seuss. Decision making skills take time to
develop, too; over time, the intelligent leader gives more and more decision making
power to a follower who shows he or she is ready for it. Not only does this allow the
follower to build his skills slowly and carefully, it allows him to do so in a manner that
doesn't put an overwhelming amount of pressure on him (or too much worry on the
leader!)
A GROUP DECIDES BY CONSENSUS
In a consensus, the entire group will agree upon a certain course of action. There
are different variations on this as well. For instance, there is "hard consensus," in
which everyone has to overtly agree; that is, every member will say or write, "Yes, I
am in agreement that we should do that." We also see "soft" consensus, where
everyone may not agree, but at least they don't vocally object. "Soft" consensus is
quite common, especially when groups have a lot to do. It says, "Okay, we can all
live with this, so that we can move on to the next item."
But even "soft" consensus may be difficult to achieve as groups get larger.
Sometimes, it's hard enough to get two people to agree on something, let alone two
hundred. And for this reason, many groups move on to the third possibility:
A GROUP DECIDES BY VOTING
When people vote, there are several ways to determine the minimum vote
necessary. The minimum vote might be:
A plurality -- that is, the greatest number of votes carries the decision, even if that
number is less than half of the total votes. Pluralities are used in cases where there
are three or more possibilities to choose among.
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A simple majority -- more than half the votes are cast for the same thing.
Two-thirds or more of the vote in favor of a certain choice.
A fourth possibility, worth mentioning briefly, is that a decision can be achieved using
more than one of these styles. For example, a group might first want to aim for
consensus. If that cannot be achieved, then it might vote -- or it might choose to
study the issue some more before even taking a vote.
HOW DO YOU MAKE DECISIONS?
So, how does the leader go about making decisions? Although each leader will have
a distinct style, the following steps are helpful in most circumstances, especially for
larger or more important decisions.
DECIDE WHO WILL DECIDE
This choice is one that is usually made by the leader. She might consider the list of
characteristics listed in "Who should decide?" above to help her with this initial
decision.
SEE TO PEOPLE'S COMFORT
If the decision will be made by a group of people, it is the job of the group leader to
make sure that the level of comfort is high among members of the group. It's difficult
for many people to speak openly in a group, especially if they do not know other
members well. Remember: the silence of group members is an automatic loss to
your organization.
Once you have set the stage, so to speak, you're ready to start looking at the
situation in front of you. The decision maker(s) should:
LOOK AT THE DECISION AS PART OF THE BIG PICTURE
It's easy to get caught up in the moment. However, it's important to look at the place
the decision has in the "grand scheme" of what you are doing. Quite simply, the
decision makers should have a basic understanding of how this decision will affect
the issue you are working on, as well as your organization as a whole.
Example: Looking at the big picture
Let's say your group is considering whether or not members of the coalition should
give skills training presentations at local schools on ways to reduce violence. You
have the resources to give the presentation, and you know it could only mean good
press for the group.

So, an easy decision, right? There is, however, a catch -- your group sees itself as a
catalyst for change--members have worked very hard for years to get other members
of the community motivated, and not do all the work themselves. They have tried to
keep the organization from falling into what they see as the "trap" of becoming a
service organization. Giving these presentations would definitely put you in the
category of a service provider, at least for the present. In the long run, is giving these
presentations really best for the organization?
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GATHER INFORMATION
Information can come from a wide variety of sources--from the press, from people
who are affected by the problem, from people who have a lot of influence in the
community, from statistics, and from many other sources. The important thing to
remember is that whatever you do, don't skip too quickly over this step. An
uninformed (or underinformed) decision is most likely one you will come to regret.
Try to find out everything you can about the decision and its consequences,
including:

The likely outcome

Possible outcomes
Side effects
Possible solutions
The opinions of others on the decision and its possible solutions
The ideas of others who have gone through similar experiences
Although we do suggest gathering as much information as possible, understand that
you probably won't have all of the information you would like when you make a
decision. Frankly, there may never be a time when all of the information is in, and
waiting too long turns into stalling, and isn't helpful for anyone. So when you have all
of the information you deem essential, or that is readily available, you are probably
ready to move on to the next step.
CONSIDER ALL OF THE POSSIBLE SOLUTIONS
Using all of the information you have gathered, make a list of all of the decisions
imaginable.
If the decision requires a yes/no or either/or response, this step is less necessary,
but even then, it shouldn't be completely overlooked. A decision that appears to be a
simple this-or-that choice may actually have other possibilities lurking underneath the
surface.
Considering all possible solutions
For example, if the decision is whether Jim or Chris should be elected to the Board, it
sounds like there are only two possibilities, right? But actually, those deciding might
do any one of at least six different things:
Elect Jim
Elect Chris
Elect Jim and Chris, even if that means changing the traditional number of Board
members
Elect neither Jim nor Chris
Put off the decision
Decide that Jim and Chris should share a seat
And so on.
The lesson here? When weighing your options, don't be shortsighted.

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If there are many possibilities, this point is even more important. And if you, the
leader, have decided to make this decision on your own, we suggest that you consult
with others at this point, to see what other suggestions they may have. You might
even consider a brainstorming session where several of you come together and try
to think up as many possibilities as you can.
EVALUATE THE POSSIBILITIES
When you have prepared your list of possible choices, you should sit down and
evaluate which ones make most sense for your organization at this time. Questions
the decision maker should ask include:
How much time and effort will each of these options take?
What can we afford to do, financially?
What can we afford to do, politically?
What options do we absolutely NOT want to pursue?
What information are we still missing that could change our decision?
What are the likely reactions of other members of our group?
What are the likely reactions of people outside of our group?
What looks like the best option for our group at this time?
It's a good idea to write down your answers to these questions; sometimes, a
decision is easier when you have all of your thoughts organized in front of you in
black and white.
DECIDE
After the information is in and you've evaluated the possibilities, it's finally time to
decide. If you have followed the steps outlined in this chapter closely, the decision
should be fairly clear -- even if it's not always easy, and even if regrets remain. Let's
face it, choices rarely are easy in any aspect of our lives; unfortunately, our work for
our communities is no different.

FOLLOW THROUGH ON THE DECISION

Finally, it is the responsibility of those deciding to make sure the decision is carried
out, and all your hard work is not lost.
CHANGING THE SCALE OF THE PROCESS
The decision making process, as outlined above, is focused mainly on larger, more
difficult decisions, with consequences that lay more heavily on leaders and have a
large effect on the organization as a whole. But the process can be used on a
smaller scale as well, using the parts that are most necessary in a more casual dayto-day manner.
Using the decision-making process for a smaller project
Tom, the head of a student leadership project, wants to make T-shirts for the
participants, but is unsure of what the design should be. Let's look at how the steps
of this process might be useful to him:

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Decide who will decide -- Tom has decided that, as head of the project, he is the
best person to decide. However, he's not a fantastic artist, so he knows he will need
to get input from others, such as a graphic designer and possibly some of the
students.
See to people's comfort -- Since Tom will decide alone, this step is less necessary.
Look at the decision as part of the big picture -- The T-shirts will give some publicity
to the group, so it's important that any message they carry is in keeping with the
group. They are also a "thank you" to the students, so it's important that the shirt is
one they will like.
Gather information -- Tom can talk to the students about what they like and dislike in
T-shirts ("I'm sick to death of white T-shirts"); find out if other members of his
organization have suggestions as to what to do and how to do it; find out how much
money the organization has for shirts; and identify someone who might be willing to
design the shirts at a reduced cost.
Consider all of the possible solutions -- Tom can work with a friend with artistic talent
to design several possibilities.
Evaluate the possibilities -- Taking into account financial considerations and what
people like (he might ask several of the students), he can determine which design
makes most sense for the student leaders' T-shirts.
Decide -- At this point, Tom's decision should be clear.
Follow through on the decision -- The choice has been made, but Tom still has to
work with the T-shirt shop to design the shirts, pay them, get the shirts, and distribute
them to the students.
A LAST WORD: DECIDING NOT TO DECIDE
Through this section, we have discussed the importance of a good decision.
However, there are times when you may want to put off a decision, or avoid it
entirely. Why is that?
Well, when faced with a difficult choice, you don't want to be so "decisive" that you
decide too soon, and close off input and discussion too early. This can be seen as
being more "impulsive" than decisive, and can have negative consequences for your
group. You could decide before you have all of the important information, for
example; or you might decide before everyone has had a chance to fully explain their
views or come to terms with a decision they disagree with.
So sometimes, a conscious decision "not to decide" can be the way to go. After
careful deliberation, the decision maker(s) involved might decide it's better to wait
until there is more information; or until members have had a chance to "cool off" if an
intense debate has been waged on the topic.
IN SUMMARY
Making decisions, and supervising those who make decisions beneath you, are two
basic tasks of leadership. By systematizing the way you make decisions, you can
ensure that each decision will be the best one possible. Members of your
organization will appreciate a systematic, fair way of making decisions, and your
organization will benefit more thoroughly from their expertise.
Overcoming Setbacks and Adversity
Health and community work is often tremendously satisfying. You set out to
accomplish a task or to deliver services, and you succeed. You write a grant
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proposal, and its funded, assuring the continuation of your work. You establish a
coalition or found an organization to address a community need, and its still doing its
job and benefiting the community five or ten years later. In those circumstances, you
can feel youve done your job as a leader.
The other side of the coin is that health and community work is also often
tremendously frustrating. Your organization fails to get a grant you hoped for, or
loses what you thought was a stable source of funding. A new program you started
doesnt have the results youd hoped for. The community criticizes or doesnt see the
value of your work.
That situation is potentially both a curse and a blessing. The curse part is obvious
the organization is experiencing uncertainty and difficulty. The blessing is that
setbacks and adversity provide the opportunity for leaders and organizations to learn
and develop.They can correct mistakes, try new approaches, and emerge, like a
butterfly, in a new and better form.
Its easy to be a good leader, or at least to feel like one, when everything goes
according to plan. One true test of a leader, however, is how well she does in
adversity, when things arent going so well. The good times take care of themselves:
this section is about how to handle the bad times, when disappointment and
discouragement can easily dominate your mind, as well as the minds of staff
members, volunteers, participants, and others involved in your work. It will help you
understand how a leader can instill optimism and keep things moving forward and
improving when it all looks bleak.
WHAT DO WE MEAN BY SETBACKS AND ADVERSITY?
For the purposes of this section, well consider setbacks and adversity as distinct
from each other. Each demands something slightly different from a leader, as well
explore in the rest of the section.
SETBACKS
A setback is a single event or specific series of events that impedes your forward
progress as an organization. Perhaps the city knocked down a historic building you
were trying to protect. The Legislature slashed the budget of your major funder,
despite your advocacy efforts. After two years, evaluation of your teen pregnancy
prevention program shows an increase in teen pregnancy among members of the
population youre working with. The local TV station inaccurately accuses your
organization of misusing public money.
These are all setbacks. Theyre one-time, one-of-a-kind occurrences that may leave
you wondering why youre doing health or community work at all. They havent
exactly defeated you, but theyve caused you to pull back and regroup. Even in the
last of the examples above, where the news story is inaccurate, youll have to deal
with peoples memories of the story and their assumptions that it was true, at least
for a while.
ADVERSITY

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Adversity, rather than a distinct occurrence, is more likely to be an ongoing

unfavorable condition. It may or may not set you back, but it often makes it harder to
move forward. You might, for instance, have ongoing difficulty reaching the
population youre concerned with, or your organization might never have quite
enough money. The community, or a particular group, might oppose your work.
(Think of trying to establish homeless shelters or halfway houses for recentlyreleased prisoners in residential neighborhoods.) Unlike setbacks, which are often
single events, adversity can last a long time, and encompass many events and
changes in circumstances.

One human service program struggled for the first several years of its existence with
inadequate funding. Staff members were paid so little that many were eligible for
some form of public assistance. There were no insurance benefits, and the
Executive Director worked full time for several years for 80% of his official salary.
Paying the rent was always a struggle, and the Director sometimes had to negotiate
payment plans with the phone company and others in order to make sure that payroll
checks would clear. It took nearly ten years before finances were reasonably stable.
As you might expect, setbacks and adversity require different responses from
leaders. A setback often needs a quick and specific response. Its as if youre driving
kids to school, and come to a tree fallen across the road. Youll have to stop quickly,
so as not to hit it, and then either turn around and find another route, or move the
tree so you can go on. Either way, the kids will be restless and excited, and theyll
probably be late for school. If the obstruction is large, it may take some concerted
effort over a period of time, and perhaps a lot of interpersonal skill, to keep the
organization on an even keel while you absorb and move beyond whatever has
fallen in your path. The effects of many setbacks, however, are limited in time: once
youve dealt with them, you can move on.
Adversity is more like a long family trip on a bad road in bad weather: youll need a
steady hand on the wheel and a steady focus on the road, the traffic, and the
conditions until the trip is over. Your concentration has to be on getting your family
safely to the end of the journey. Thats more like a leaders role in adversity: she has
to keep moving steadily forward through difficulty, bringing the rest of the
organization with her.
Setbacks and adversity can also be internal to an organization or movement. When
a respected and competent leader leaves or worse dies, there is often confusion
and uncertainty for a period of time: thats a setback. When staff members dont
communicate, insist on protecting their turf, and continually try to undermine the
leader and one another, thats an adverse situation that can poison an organization
for a long time.
WHY IS IT IMPORTANT TO FOCUS ON OVERCOMING SETBACKS AND
ADVERSITY?
Just about any health or community service organization experiences setbacks and
adversity from time to time. It comes with the territory. Why worry about it
specifically? The answer is that these can be critical situations in the life of an
organization, and how a leader handles them can make or break it. There are
several reasons why coping well with and overcoming setbacks and adversity are
important.

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TO KEEP THE ORGANIZATION MOVING FORWARD

Organizations, like individuals, have to keep learning and changing for the better if
theyre to remain healthy. Setbacks and adversity, if theyre not handled properly,
can stop an organization from moving forward, and even throw it into reverse.
Regardless of how difficult life may be at a given time, the organization has to keep
moving toward its goals, and trying to improve its work and functioning every day, in
small ways and large. In hard times, a leader can set a tone that ensures progress,
even while everyones picking himself up off the floor.

TO AVOID DISCOURAGEMENT AND DESPAIR

When things go wrong, it can be easy to start feeling as if theres no point to your
work. Furthermore, when one person particularly a leader gets discouraged, her
attitude can quickly spread to others. When an organization, like a person, gets
depressed, it becomes much harder to work, to see small successes, and to put up
with everyday problems and frustrations. When the going is rough, leaders can
bolster peoples spirits, and help them believe that troubles will end and things will
get better.
TO KEEP STAFF AND VOLUNTEER MORALE HIGH
It isnt enough just to keep an organization from despair. If you are to continue to do
high-quality work, staff members and volunteers have to retain their passion and
dedication. A leader can set the tone by demonstrating her own passion for the work,
and by encouraging everyone to do his best, despite any difficulties that might be
plaguing the organization.
TO MAINTAIN STANDING IN THE COMMUNITY
Overcoming setbacks or adversity can help your reputation in two ways. First, by
maintaining a high standard of service, performance, or advocacy, you establish
yourself as an effective organization. Second, if the community is aware of your
difficulties, your ability to overcome them can demonstrate your organizational
competence, your dedication to your work, and your determination to continue to
serve the community through bad times as well as good.
TO ADD TO YOUR AND THE ORGANIZATIONS STORE OF KNOWLEDGE
Setbacks and adversity often present the best opportunities for learning. Just as
children learn by experimenting and making mistakes, organizations do, too. When
youve run into trouble, whether through your own doing or because of outside
forces, youve learned something valuable, and can usually figure out how to avoid
that trouble in the future. Finding a way out of your present trouble also leads to
learning that will strengthen your organization over the long term. Many management
consultants and business experts see setbacks and adversity as potential
advantages rather than drawbacks, because of what you can learn from them and
the opportunities for growth they represent.
TO ENHANCE YOUR DEVELOPMENT AS A PERSON AND AS A LEADER
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Facing setbacks and adversity is a character- and leadership-building experience

that all leaders in fact, all humans go through. Each time you have to deal with
difficulties, you gain new knowledge and new skills, personal as well as professional.
Being tested in this way is how great leaders become great leaders, and its how you
can begin to realize your leadership potential.
TO MAINTAIN THE ORGANIZATIONS FAITH IN ITS LEADERSHIP
Heres where true leadership shows itself. If you can handle a difficult situation or
condition and keep things on an even keel, your organization will be more likely to
follow you anywhere. If you fall apart when things dont go smoothly, youll have less
credibility as a leader in the future.
TO KEEP THE FOCUS ON YOUR MISSION, AND CONTINUE TO SERVE OR
WORK FOR THOSE AT WHOM THE EFFORT IS AIMED
The purpose of your organization is to serve the community, whether as a health or
other service provider, an advocate, a watchdog, or in some other capacity. When
faced with setbacks or adversity, its vital that you not forget or ignore your mission,
and continue to pursue your vision for the organization and for social change.
WHEN SHOULD YOU WORK TO OVERCOME SETBACKS AND ADVERSITY?
The question here is one of time, rather than timing. Setbacks and adversity each
require a different kind of time sense from a leader.
SETBACKS
In the case of a setback, action should usually be immediate, and geared specifically
to removing the obstacle or reversing the situation, whatever it is. What can you do
to turn things around and find yourself in the positive column again?

If something youve worked for simply isnt going to happen that historic building
has already been demolished you have to find a new goal thats related to the one
that just got away, and use what youve learned in the current situation to make sure
you reach it. Work to preserve other historic buildings in the same neighborhood, for
instance, and find a lawyer who has experience in this area to help you pro bono
(i.e., for no fee, as a community service).
When the situation is reversible, you should quickly make an effort to turn it around.
If an evaluation reveals that your approach to an issue isnt working, determine
whats at fault the approach itself, the way youre implementing it, cultural
differences between staff and participants, etc. and fix it as quickly as possible.
That may mean anything from a minor change in method to a complete overhaul of a
program. Whatever it entails, it usually needs to be done as soon as possible, before
the organizations ineffectiveness causes it permanent damage.
If you act quickly and decisively enough, you can turn a setback into a victory. At the
very least, you can keep it from paralyzing your organization and seriously harming
those your organization seeks to benefit.
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ADVERSITY
With adversity, your action may be longer term and ongoing. Youre working to
overcome not a single event, but a condition: it may take a while, and call for various
kinds and levels of action. The important factor here is perseverance you have to
keep at it until things get better. Sometimes an adverse situation can call for quick
action to keep it from getting worse, but generally it requires steadiness and a
commitment to moving forward regardless of the difficulty.

Sometimes, there are obvious ways to forge ahead. If your organization is in debt or
financially strapped, you shouldnt be operating out of a high-rent office full of new
furniture, unless both the space and the furnishings are donated. Youll have to be
thrifty for as long as it takes to pay off any debts and put the organization back on
firm financial footing.
Slow and steady generally wins the race here. Your actions as a leader dont have to
be quick or flashy unless the situation calls for it, as it might in the case of an
emergency, or a grant possibility or other opportunity but they do have to keep the
organization moving toward with both its long-term goals and the goal of overcoming
its adverse circumstances.
Sometimes, on the other hand, even in the case of a setback, the best course is to
take the time you need to understand the situation before you take specific action to
counter it. Its important, as well see, to take action, but it doesnt necessarily have
to be directly related to resolving the immediate problem in order to have a positive
effect on the organization.
Delaying too long isnt a good idea, but taking enough time to ensure that youre
going in the right direction might be, if the circumstances call for it. If you dont quite
know yet what the best course of action is, it may be wise to step back and analyze
your options before you commit yourself.
HOW DO YOU, AS A LEADER, OVERCOME SETBACKS AND ADVERSITY?
As a leader, you have special responsibilities in difficult times. No matter what style
of leader you are even, or perhaps especially, if youre highly collaborative
people will look to you to see how they should react to the situation, and to find out
what to do. Theyll expect you to have some ideas, and to guide them through what
may be a frightening period. (After all, staff members may be faced with the
possibility of losing their jobs.) If you fall apart, or make it clear you have no idea
what to do, the organization can easily fall into despair or worse, and your reputation
as a leader will erode, perhaps never to return.
On the other hand, if you approach setbacks and adversity as opportunities for
growth, you can not only keep your organization steady, but move it forward. Even if
you make mistakes perhaps especially if you do the experience can lead to a
greater understanding of your situation and your work, and help to advance the
organization. Remember that the Chinese symbol for crisis is made up of the
symbols for danger and opportunity. You may not be in crisis, but any setback or
adverse situation presents both danger and opportunity. If you keep opportunity in

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the foreground, the chances are good that youll easily overcome or skirt the danger
by moving the organization to another level.
Although setbacks and adversity may call for slightly different approaches, there are
some general guidelines that should prove useful in dealing with both. Well discuss
these, and look at how you might respond differently in different situations.
Remember that were talking about you as a leader here although these are not
bad rules for organizations in general, theyre particularly relevant for those in
leadership positions.

The first eight of the guidelines below refer to how a leader should present himself
and behave in difficult circumstances. The rest suggest ways in which he might
change the situation.
STAY CALM
Its essential that you maintain a calm and confident manner, no matter how difficult
or bleak the situation may seem. Everyone else will key on you: if you stay calm and
seem to be in control, the rest of the organization will as well. If you panic, or seem
harried, the rest of the organization will imitate that, too. Then youll have two
adverse situations to deal with: the original one, and the mood of panic in the
organization.
The other obvious reason for staying calm is that it will allow you to assess the
situation and decide what to do about it. If you're panicking or thrown off by the
seriousness of whatever you have to cope with, youre not likely to be able to think
clearly and make good decisions.
This rule works for both setbacks and adversity. In the case of a setback, panic,
while it might be appropriate, is exactly the wrong reaction. It will disrupt the
organizations work, cause staff members and/or volunteers to lose heart, and make
it that much more difficult to reverse, manage, or prevent whatever damage the
original event might cause.
In a long-term adverse situation opposition from another group, a chronic lack of
funding calmness on the part of a leader makes everyone feel that someones in
control and knows how to get through the difficulty.
COMMUNICATE
Let everyone know exactly whats going on, and keep them informed as the situation
develops. If you dont, rumors will take the place of real information, and panic may
set in. The stories that people make up are usually much worse than the reality.
Even if theyre not, not knowing whats going on is generally far more frightening
than knowing the truth, even when the truth is unpleasant.
TAKE ACTION
Do something its crucial that people see that someone is taking charge and
addressing the situation. The action may not be an immediate solution to the
problem at hand, but it should at least convey the impression that youre working on
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it. It might involve setting up a planning committee (see below) or a communication

system so that everyone keeps informed. Whatever steps you take, take them as
soon as possible.
When your organization has just experienced a setback, its important to establish
the fact that both you, as a leader, and the organization will be active you wont
wait for something positive to happen, youll make something positive happen to
offset the blow youve just received. In adversity, the goal is the same to both
appear and be active but the kind of action needed may be somewhat different.
Adversity may call for determining and doggedly pursuing a goal over time, taking
action along the way as necessary. In both cases, its important that both you and
the organization choose your course and follow it, rather than letting events or
external forces choose it for you.
When Franklin D. Roosevelt was sworn in as President of the U.S. in 1933, the
country was in the depths of the Great Depression. 25% of the workforce was
unemployed, every city was filled with homeless and hungry people, and the nation
was on the verge of social chaos. Roosevelt was unfailingly upbeat in the face of the
worst financial conditions the U.S. has ever faced, giving people hope in such
speeches as his Inaugural, when he promised that the only thing we have to fear is
fear itself. But he did more than give speeches.
On his second day as President, FDR acted to save the nations banks, which were
besieged by depositors demanding their money in the fear that if they didnt withdraw
it immediately, it would all be lost. By declaring a bank holiday, closing the banks
for eight days until the money situation could be brought under control, he
established himself as a decisive and able leader and a man of action.
In his first 100 days as President, Roosevelt started much of the New Deal, a
complex of agencies and projects that pumped federal money into addressing
unemployment and poverty. By the end of that three-month period, the U.S. had
already decided that it had the leader it needed to pull it back from the brink of
disaster. Roosevelt continued to take action in the face of adversity throughout his
presidency. At least partially as a result, he became the only President elected to
four terms, and is considered by most historians to be, along with Washington and
Lincoln, one of the three greatest and most inspirational of American presidents.
DETERMINE WHAT WENT WRONG, AND USE YOUR ANALYSIS TO FIX THE
PROBLEM IF ITS WITHIN YOUR CONTROL, OR TO COPE WITH IT, IF ITS NOT
Were you or the organization responsible for the situation? If you, as leader, take
care of finances, and you overspent your budget, thats your responsibility. If your
program proved ineffective, thats the organizations responsibility. Whatever the
case, you have to be fearlessly honest in assessing the situation, so that you can
understand how to fix things.
If the situation is beyond your control the state fiscal crisis resulted in a cut in
funds; the transit authority rerouted the bus so that it now stops six blocks away
instead of at your front door; theres a new drug on the street thats resulted in a
huge increase in both violence and overdoses what seems to have caused it? Are

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there ways around it? Are there things you could do that would affect it? Try to
analyze the situation so you can understand how to deal with it.
The other result of understanding how you got into this situation should be a strategy
for not getting into it again. That may be a matter of installing better controls on your
finances, communicating better with the community, creating a new program
structure or method whatever addresses a way of preventing this problem in the
future. In some cases, that may require a whole new way of thinking about your
work, your funding, or your organization. Remember that the purpose of the
organization is to fulfill its mission. You should do whatever is necessary to make
sure that the organization can continue to accomplish that purpose, as long as its
ethical and doesnt violate the principles on which the organization was founded.
The one exception to this last rule occurs when the organization is founded on
principles that are flawed to begin with. Many organizations originally served only
white people, for example, often as a result of conditions written into a will or deed.
In a case like that, violating the original principles of the organization may be an
ethical and moral duty.
DEVELOP A STRATEGIC PLAN FOR COPING WITH THE SITUATION
This plan should cover the whole organization, even if the setback or adverse
circumstances only affect part of it, and should include a way to keep the current
situation from recurring. If its caused by something beyond your control, look for a
way to take over control of that area of your work. If its a funding issue, for instance,
perhaps you can diversify your funding (i.e., find a variety of funding sources instead
of depending on only one or a small number) so that a cut from any one source wont
affect you seriously.
INVOLVE EVERYONE IN THE ORGANIZATION IN PLANNING YOUR STRATEGY
If youre a small group, you might all plan the course of the organization together. If
youre large, with many employees and volunteers, or a number of departments, you
could either draft an overall plan with representatives of the various areas of the
organization, or the staff and/or volunteers in each department or site might draft
plans for their own area, with representatives coming together regularly to blend
these plans into a larger plan for the organization as a whole.
Involving all staff and/or volunteers brings many minds to the planning process, often
resulting in better ideas and more information. If staff members and volunteers
collaborate in planning the organizations future, theyll take ownership of the plan
and the organization, and work hard to make both succeed. More important, people
feel a great deal less helpless when they can be part of the solution to a problem. Its
far more likely that the work of the organization will maintain, and even increase, its
quality if staff and volunteers are part of the solution to whatever problems are
plaguing them. In many cases, it may make sense to enlist program participants in
planning as well, both because they can bring a valuable perspective to the task, and
because they, too, can benefit from feeling that they have some control over their
situation.

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Involving staff members and volunteers in difficult situations also gives you the
opportunity to encourage them to take responsibility and develop leadership skills.
Developing new leadership within the organization (or the community) is part of the
job of a good leader, and adverse situations offer a great chance to do it.
ASK FOR HELP FROM OUTSIDE THE ORGANIZATION IF YOU NEED IT . . . AND
SOMETIMES EVEN IF YOU DONT
If there isnt the expertise or knowledge within the organization to address the
situation, there are others out there who can help. Other leaders of non-profits
whove been through something similar, funders, academics, business people all
may have ideas and strategies to offer, depending on the situation youre grappling
with. The advantage of bringing in outside help is that, in addition to providing what
the organization lacks, it can gain you greater community understanding of your work
and your needs, and thus greater community support.
EMPHASIZE MOVING THE ORGANIZATION FORWARD
Set a goal to replace one that wasnt fulfilled, or to advance the organization. It
should be reachable, so the organization can have some success, but not so easy
that achieving it doesnt feel like an accomplishment.

Any organization, whether its struggling or highly successful, has to keep developing
and striving to improve if its to become or remain effective. You may have been
pushed back, or you may be stalled by adverse circumstances, but your thrust
should always be forward, rather than just to retain or regain ground. Everyone in the
organization should be concentrating on the future and on moving ahead, as well as
on coping with current troubles. That will both keep everyone focused on the
organizations real goal fulfilling its mission and put it in a better position to
overcome present problems and prevent future ones.
ACCENTUATE THE POSITIVE

Keep things upbeat and focused on whats going right, not whats going wrong. You
cant ignore the problem or the difficult situation, but you can emphasize that thats
not all thats happening. If youre having fiscal problems, but participants are
receiving good services, for instance, praise staff members for the good job theyre
doing, and encourage them to keep up the quality of their work. Its much easier to
face and address setbacks and adversity if all in the organization are convinced of
the value of what theyre doing and are receiving positive reinforcement for it.
Emphasizing the positive will strengthen staff and/or volunteer morale, and keep the
organization heading in the right direction.
A related step you can take here is to build on individuals and the organizations
strengths, rather than expending all your energy trying to correct their weaknesses.
This will help morale, as well as build on what you already do well. It may be that
youre trying to do the wrong things. If you can discover that in the course of dealing
with a difficult situation, youve been given a huge gift, and you have a chance to
change the approach of the organization for the better.
AS LEADER, SHARE THE HARDSHIPS OF THE SITUATION WITH THE REST OF
THE ORGANIZATION
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In that example of adversity mentioned earlier, the Executive Director who didnt
make much more than the rest of the staff took a pay cut to keep the organization
solvent. Military commanders in the field often take pains to live under the same
conditions as their troops, in order to emphasize that theyre all in it together, and
that they wouldnt ask anyone to endure hardship without enduring the same
hardship themselves. This kind of action and attitude strengthens your credibility as
a leader, and increases the dedication with which staff members and volunteers will
work to improve the situation.

USE THE SITUATION TO BUILD SOLIDARITY WITHIN THE ORGANIZATION

None of you will be able to overcome setbacks and adversity unless you all work
together and support one another. You may actually be able to increase staff and
volunteer morale and dedication to one another and the organization by emphasizing
that fact. The more you back up your words by involving everyone in finding
solutions to problems and in helping one another, the more likely it is that the
organization will come out the other side of the current difficulty stronger and more
able than before.
Despite the seriousness of what youre going through, make sure to make time to
socialize and have fun together occasionally. You might schedule a weekly staff
brown bag lunch, go out for pizza, have a volunteer appreciation party, or just gather
late in the day to talk over coffee. Do whatever you can to build a sense of shared
commitment; it will pay huge dividends in the long run, and will make work more
pleasant for everyone, including you.
MAKE SURE EVERYONE IN THE ORGANIZATION INCLUDING YOU GETS
THE EMOTIONAL AND OTHER SUPPORT THAT IS NEEDED
Either as part of the process of building solidarity described just above, or through
other mechanisms, give staff, volunteers, participants, and board members a chance
to talk about the current situation, and to work through feelings of frustration or
powerlessness. They need to know that you support them and appreciate what they
do, and they need to support one another, so that no one feels that shes trying to
cope with a trying situation all alone.
That includes you, as a leader. You dont have to and shouldnt bear the whole
weight of the organization on your shoulders. Find a source of support for yourself
a counselor, a fellow director, a spiritual advisor, a close friend who can listen to
and empathize with your frustrations and exhaustion, and remind you of what youre
doing right. It can make a world of difference both for you and for the organization.
DONT BE TOO SERIOUS
Humor is often the best response to tough times. It helps people understand that this
isnt the end of the world, but only a temporary condition that you can overcome and
move on from. It also keeps everyone from dwelling on the negative, and gives staff
and volunteers leave to vent their frustrations in humor as well. Its a good outlet, and
a good morale booster.

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POINT OUT THE LEARNING THAT CAME OUT OF THE SITUATION

What youve learned about the organization as a result of this process can be a
valuable tool for the future. This isnt the last time youll face a setback or an
adversity. Youve used what you learned in the past to approach the current
situation, and you can use what youve learned from this one to address situations
that arise in the future.Try to ensure that everyone in the organization understands
the lessons of the current situation, and record it in some way if you can, so it will be
accessible to the organization after you and many of the others involved have left.

ALWAYS KEEP THE BIG PICTURE IN MIND

Remember that this situation is probably only temporary. Dont allow it to cloud your
vision or derail your mission. As a leader, its your responsibility to keep the
organization focused on its main goals.You can do that by always steering the
organization toward problem-solving strategies and actions that are consistent with
its larger vision and mission, and constantly checking that any steps you take are
aimed at those ends. If you weather a setback by violating the basic principles of the
organization, you havent succeeded in overcoming an obstacle. Rather, youve let
adversity mold your organization into something it wasnt meant to be.

DONT LET UP
Even after the situation has changed for the better, continue working to ensure that
you dont fall into the same circumstances again. Many of the guidelines above are
just as valuable when things are going well as they are when youre facing setbacks
or adversity: staying calm, communicating within the organization, moving forward,
accentuating the positive, being honest about mistakes, planning all of these are
highly desirable traits in a leader, and highly desirable characteristics in an
organization. They can not only help you overcome setbacks and adversity, but can
help you reach and maintain excellence when times are good.

IN SUMMARY
The real measure of a leader comes when things arent going well. How she handles
setbacks and adversity determines both how good a leader she is, and how people
will view her leadership.
Setbacks generally a one-time occurrences that may be serious, but not ongoing
and adversity a longer-term difficult condition are different and make different
demands on leaders. The first often responds to quick and decisive action, the
second to a steady style of leadership that keeps long-term goals in view.
In either case, leaders must provide real leadership by projecting calmness and
competence, keeping the organization and its staff and volunteers focused on the
future, communicating well, providing emotional support, and involving people in
resolving the problems that have led to the current situation. As with most leadership
tasks, overcoming setbacks and adversity also requires continuing effort, even after
the immediate difficulty is left behind, to make sure a similar situation doesnt place
the organization in jeopardy again.

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