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Social Work Intervention with Communities and Institutions

3
Community Organisation as a
Method of Social Work
* C.M.J. Bosco

Introduction
Community Organisation is one of the primary methods
of social work. It deals with intervention in the
communities to solve the community problems. As
a method of social work community organisation
can solve the problems of many people in the
community through their collective involvement.
Community organisation and community development
are inter-related as two sides of same coin. The
community organisation includes other methods of
social work, that is, group work, and casework. The
power structure plays a role in community
organisation. The social workers need to know the
community power structure to practice community
organisation method, which is used for empowering
people for their development. The details are provided
for social work students to understand and practice
community organisation effectively.

Community Organisation as Macro


Method
Community organisation is considered as a Macro
method of practice in social work. (Arthur E. Fink)
It is used for solving community problems. The term
Macro is used because of its ability to involve a
large number of people in solving the social problems.
Community organisation is a macro method because
this method can be successfully implemented at
Dr. C.M.J. Bosco, Sacred Heart College, Tirupattur

Community Organisation as a Method of Social Work

41

local level of community, or at state level and at


regional levels of the community or even at the
international level. For example, community
organisation can help in pollution control at local,
state, regional, national and international levels.
It is a macro method because unlike casework which
deals with only one person at a time or group work
which deals with limited number of participants,
community organisation deals with large number of
people at any given time. For example, Poverty cannot
be solved by using individual approach like casework
as there are many people affected by poverty. Individual
approach is not practical where the magnitude of
the problem is alarming. In such cases we have to
use a method, which can help a large number of
people. While comparing other methods of social
work community organisation as macro method is
useful for solving widespread economic and social
problems like poverty.

Community Organisation as a
Problem Solving Method
In community organisation method the community
is the client. Community organisation solves the
community problems and fulfills the needs of the
community. Many of the community problems like
social injustice, poverty, inadequate housing, poor
nutrition, lack of health, lack of medical services,
unemployment, pollution, exploitation, bonded labour
system, illicit arrack, dowry, female infanticide, women
and children trafficking, drug trafficking etc. can
be solved by using community organisation method.
In problem solving generally there are three basic
aspects. These are study, diagnosis, and treatment.
First the problem has to be studied. For this, we
have to collect information regarding the problem.
From the information collected we have to identify
the main causes. This is called diagnosis. Based

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Social Work Intervention with Communities and Institutions

on the findings, or diagnosis, a solution is evolved


that is called treatment. We consider this model
as medical model because doctors study the patient
to find out the causes for illness and based on
findings, treatment or medicines are prescribed.
Such a model can be used in community organisation
method. Problems can be solved only with involvement
of people due to which resources are mobilized to
solve the problems. This method is specially applicable
in Indian situations, because in India a large number
of people are affected by poverty or other poverty
related problems which need speedy solutions. For
this community organisation as a problem solving
method is most effective to solve community problems.
For example people in certain area suffer due to
lack of water for their cultivation. With the help
of the community organiser and peoples participation,
watersheds can be made and ground water level
is increased. Water stored during rainy season can
help the people to continue cultivation. Here the
whole village problem is related with water for irrigation
and drinking purpose, which can be solved by using
community organisation method.
Community Organisation method is used for the
following:
a) To meet the needs and bring about and maintain
adjustment between needs and resources in a
community.
b) Helping people effectively to work with their
problems and plan to realize their objectives by
helping them to develop, strengthen, and maintain
qualities of participation, self-direction and
cooperation.
c) Bringing about changes in community and group
relationships and in the distribution of decisionmaking power.

Community Organisation as a Method of Social Work

43

d) The resources of the community are identified


and tapped for solving the community problems.

Relevance of Community Organisation


for Community Development
Community organisation and community development
are interrelated. To achieve the goals of community
development the community organisation method is
used. According to United Nations, community
development deals with total development of a
developing country, that is their economic, physical,
and social aspects. For achieving total development
community organisation is used. In community
development the following aspects are considered
as important. The same aspects are also considered
important by community organisation. They are,
a) Democratic procedures
b) Voluntary cooperation
c) Self-help
d) Development of leadership
e ) Educational aspects.
All the above aspects are related with community
organisation. (a) Democratic procedures deal with
allowing all the community members to participate
in decision-making. It is possible to achieve this by
community organisation. The selected or elected
members or representatives are helped to take
decisions. Democratic procedures help people to take
part in achieving community development goals.
Community organisation method permits democratic
procedures for peoples participation. (b) Voluntary
cooperation means that the people volunteer for their
participation. For this they are convinced. They should
feel that they should involve themselves in the process
of development without hesitation. This attitude is

44

Social Work Intervention with Communities and Institutions

supported by community organisation method. Peoples


emotional involvement is necessary to make success
of the community organisation method. If
discontentment about their conditions is created,
then people will volunteer for participation. Community
organisation emphasizes the discontentment aspect
only to make them initiate peoples participation.
(c) Self-help is the basis for community development.
Self-help deals with the capacity of mobilizing internal
resources. Self-help is the basis for self-sufficiency
and sustainable development. In community
organisation self-help is emphasized. Community
organisation is relevant to community development
because both emphasizes the self-help concepts. (f)
Development of leadership is an important aspect
in community development. Leadership deals with
influencing and enabling people to achieve the goals.
Community organisation also emphasizes leadership.
With the help of leaders the people are motivated
to participate in action. Community organisation is
a relevant method to develop and use leadership.
This is applicable for community development also.
(g) Educational aspects in community development
means helping people to know, learn, and accept
concepts of democracy, cooperation, unity, skill
development, effective functioning etc. In community
organisation also the above mentioned aspects are
considered very important. The process of community
organisation emphasizes education of the community.
Thus both are emphasizing the educational aspects
for the progress of the community. Thus community
organisation and community development are
interrelated and mutually supportive. There are no
opposing aspects in between community organisation
and community development as both emphasize
democractic method and self-help principles. Thus
they are relevant. So in all community development
programmes community organisation method is used
as implementing method.

Community Organisation as a Method of Social Work

45

Distinction between Community


Organisation and Community
Development
There are many similarities between community
organisation and community development. But for
theoretical purpose it is possible to differentiate
community organisation and community development.
a) Community organisation is a method of social
work but community development is a programme
for a planned change.
b) Community organisation emphasizes the processes,
but community development emphasizes the end
or goals.
c) Community organisers are mostly social workers
and social change agents, But community
development personnel can be from other
professions including agricultural experts,
veterinary experts, and other technical experts.
d) Community organisation is not time bound. It is
achieved step by step according to the pace of
the people. But community development is time
bound and time is specified for achieving the
development objectives.
e ) In community organisation peoples participation
is important. But in community development
peoples development is important.
f)

In community organisation governments and


external agencies assistances are not important
or needed. But in community development external
assistance from the government or other agencies
is considered important.

g) Community organisation is a method of social


work and this method is used in many fields.

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Social Work Intervention with Communities and Institutions

But unlike community organisation community


development is considered as process, method,
programme, and movement for planned change.
h) Community organisation is used in all the fields
but community development is used mostly in
economic development and for the development
of living standards of the people.
i)

In community organisation planning is initiated


by the people through their participation. But in
community development planning is carried out
by an external agency mostly by the government.

j)

In community organisation people are organised


to solve their problem. But in community
development goals have to be achieved and for
that people are organised.

k) Community organisation is universal to all


communities. But community development
programmes differ from people to people depending
upon whether the area is rural, urban or tribal,
and other characteristics of the area.

Even though there are differences, both are


interrelated. The relationship is so close, so that
community organisation process and principles are
accepted fully. Both are like two sides of the same
coin. The ideal community development takes places
where community organisation method and its various
steps and principles are effectively put into practice.

Working with Individuals, Families,


and Groups within The Community
Individuals join together and form groups and families.
Families and groups join together and form
communities. While working with communities we

Community Organisation as a Method of Social Work

47

have to work with individuals, families, and groups.


In the practice of social work, distinction between
different at social work methods do not have clear
boundaries. All are carried out based on the situation.
In community organisation the organiser has to work
with individuals. Individual contact strategy is used
to create awareness. Individually people are motivated
to accept community goals through education and
awareness generation. Working with individuals takes
much time but it is very effective and successful.
Working with families and groups is important in
community organisation. Working with many groups
takes place in community organisation, since in the
community there are many groups. For achieving
the common goals we have to work with different
groups. There are many groups in the community
involved in different activities. They are dependent
on each other for their functioning. The community
organiser works with the different groups in order
to achieve the goals of the community. Thus the
community organiser takes deliberate efforts to
increase the unity among individuals, families, and
groups. When they unite together, they collaborate
to achieve the common goals. Groups are considered
superior in problem solving and action. The groups
are better than the average individual but they need
not be better than the best individual. While working
with groups there is a possibility of getting variety
of opinions and information for community organisation.
The group members can eliminate the unwanted
opinions by group decisions. The individuals can
work fast in a group but to involve others in work
takes some time. Consensus is considered an ideal
way to select from among alternatives while working
with groups when most of the group members commit
themselves for the cause it is bound to succeed.
When there are controversial issues among the group
members, it is possible to reach a decision by modifying
the original decision. Then it may become acceptable

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Social Work Intervention with Communities and Institutions

to all the group members. Thus, a community organiser


has to work with individuals and groups to achieve
the community goals. The organiser should have
casework and group work skills apart from community
organisation skills to work with individuals and groups
in the community.

Concept and Dimensions of Power


Power means the ability to influence others through
community organisation. That is influencing
community members to act as suggested by the leaders
to achieve the community goals. The community
power aspects can be studied. This is called power
structure of the community. The power structure
of the community varies from community to community.
According to social workers, power is the ability to
influence the beliefs and behaviour of others. In
other words, power is the ability to make things
happen. Floyd hunter explained the nature of power
and power structure. Power appears in numerous
forms and in a variety of combinations. Power flows
from many sources. The money, votes, laws,
information, expertise, prestige, group support,
contacts, charisma, communication channels, media,
social role, access to rewards, position, titles, ideas,
verbal skill, ability to gratify important needs, monopoly
of essential resources, alliances, energy, conviction,
courage, interpersonal skills, moral convictions, etc.
are some of the sources of power. The accumulation
of power in a specific area is called as a power
centre. Power is also distributed. It is not confined
within the power centre. It is present at every level
of the society. The powerless people also have power
only, they have to discover their power. Power may
be ascribed by formal delegation or by title. Power
may be achieved by many ways. For example, through
competence, ability, or by personality etc. power
can be achieved. Generally some groups of people

Community Organisation as a Method of Social Work

49

are at the top of the community. They are called


power centers at the top of the power pyramid. They
influence the community through formal and informal
connections. They influence through subordinate
leaders who do not participate in community decisionmaking process. The rich people are mostly powerful.
In some communities multiplicity of power structure
is noticed. Power structure is also flexible in nature.
The community organiser has to study the following
How do some people influence the action of others?
Who wields the power? How? What are the issues?
What are the results? These aspects are to be analyzed
by the organiser for effective practice of community
organisation. This is called community power structure
analysis. It is called power because some people
are capable of action in spite of the resistance of
others. Some people are powerful because they
knew each other personally and they interact frequently
making it possible for them to join in the joint efforts
in community affairs. People with power, make major
community decision whereas others are active mainly
in implementing such decisions. An organiser who
is able to study the power structure well can practice
community organisation effectively. For example, the
village traditional leader is a powerful person. The
leader can influence other people to act. Many times
this leader is motivated in achieving the goals of
the community. The leader is capable of influencing
people effectively. When there is opposition from a
few men, it can be tackled by the leader because
the leader has power.
In the community power is distributed. Each power
centre tries to expand its influence over the distribution
of resources and rewards. The various power centers
enter into an alliance. They share power, enter
into a contract and discharge obligations. Power
does not come to the passive, timid, defeated persons.
Energetic, courageous persons wield it. The people
with power tend to join together based on issues.

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Social Work Intervention with Communities and Institutions

The basis for alliance are ideological, personality


similarities, needs, or to achieve the goals. Power
possessed is always used. It can be used for achieving
the goals. The power can be intellectual, political,
social, or psychological. To retain power there is
need for self-awareness and self control. The decisionmaking is the source and out come of the power.
Some times there is a possibility of many power
centres. Each power centre may be autonomous.
The organiser needs knowledge, and ability to mobilize
the power in the community for achieving the goals
of the community.
There are techniques for mobilization of power.
a) Appealing to the persons with power, who are
related, with, requested help for achieving the
goal.
b) Relating the power centres directly to the goal.
c) Developing interdependence among power centres
for fulfilling the goals.
d) Formation of new groups by including members
of power centres to achieve the goals.
e ) Encouraging members of power centres to join
with other members of power centres to achieve
the goal.
f)

By using group work methods, new larger power


centres can be strengthened to achieve the goals.

Saul Alinsky and Richard Cloward used the changing


of power centres. (1960). The power centre change
is achieved by institutional changes. Saul Alinsky
gave importance for grass-root approach. In grassroot approach lower level people should get deciding
power. Power and authority are connected. Authority
is the legitimatization of power. These details are
used in community organisation to achieve peoples
participation and successful achievement of the goal.

Community Organisation as a Method of Social Work

51

The Relevance of Power in Community


Organisation
Development is influenced by power structures of
the community. People who are influential can mobilize
a major segment of the community. For example;
in fund raising drive some people can move behind
other people and institutions. There are two models
of community power structure. The stratification
model and the pluralist mode are the two models
of power structures. Stratification model suggests
that social class principally determines the distribution
of community power. According to this model the
power structure in community is composed of stable
upper class elite whose interest and outlook on
community affairs are relatively homogeneous.
According to pluralist model, it rejects the idea that
a small homogeneous group dominates community
decision-making. But there are numerous small special
interest groups that cut across class lines, which
are represented in the community decision-making.
These are interest groups with overlapping
memberships, widely differing power bases, have
influences on decisions. Community decisions are
the result of the interactions of these different interest
groups. This theoretical orientation can help the
community organiser in his action. The organiser
has to identify the members of the power structure
for community organisation. Floyd Hunter an executive
director of a community welfare council wrote classic
volumes on community power structure. His method
of locating community elites is known as the reputation
approach. The basic procedure is to ask a group
of informants who are knowledgeable about the
community to list the people they believe to be most
influential in the community affairs. There may
be variations in this procedure with regard to how
informants are selected, and how questions are put
in. By tallying those people most frequently named

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Social Work Intervention with Communities and Institutions

as influential leaders we can identify the core of


the community power structure. Position approach
is another method of locating the members of the
power structure based on the assumption of
stratification model. This approach assumes that
people holding the highest office in the community
are at the top of the power structure. By scanning
the executive lists of the important social political
and economic organisations in the community, one
can quickly compile a list of members of the power
structure. This approach requires fewer efforts than
the reputation approach. Community power is directly
related with Community Organisation. Participation
of people is related with power. In Community
Organisation community power holders are involved
to induce peoples participation in order to achieve
the organisations objectives. Some times if the existing
power centers are not for Community Organisational
objectives, then a new center of power is created
to get peoples commitment and mass participation.
The organiser needs to study power structure and
Community Organisation process is carried out
successfully through leaders. For example, people
are organised to implement family planning. For
this the leader is motivated for peoples participation.
In some villages the leader opposes family planning.
In this situation the community organiser has to
identify a new powerful leader to implement family
planning. Otherwise it is not possible to implement
family planning in the village.

Barriers to Empowerment
Generally poor people have the feeling of powerlessness.
These people can be helped to feel powerful to decide
their own affairs using community organisation. When
they learn to solve their problems they feel powerful.
They can develop confidence and capacity building
takes place so that they feel that they can solve

Community Organisation as a Method of Social Work

53

their problems by themselves. In community


organisation, the people carry out decision-making.
This provides them with a sense of empowerment.
Empowerment deals with providing disadvantaged
groups with a powerful instrument for articulating
their demands and preferences by developing
awareness and decision-making capacity so as to
achieve their goal with freedom.
Community
Organisation results in empowerment of the people.
But there are some hindrances like fatalism, illiteracy,
superstitions, and caste divisions etc. Sometimes
vested interest groups may be a hindrance or barriers
for empowerment. The Community dependence, long
time effect of poverty, and wrong beliefs etc., act
as barriers to empowerment. When people are
organised, they get the power. There are leaders
in the community and if they are united, they can
work together, and they can coordinate with each
other. This makes them feel powerful. Thus community
organisation results in empowerment of people. The
empowerment helps the community to stand against
exploitation, gain ability to solve problems, and to
achieve the desired goals. Many of the economic
problems can be easily solved by community
organisation and empowerment of community.

Conclusion
In this chapter we have discussed about community
organisation as a macro method of social work and
the relevance of community organisation for
community development. The differences between
community organisation and community development
are listed. The importance of working with individuals
families and groups has been discussed. Toward
the end of the chapter, the power structure, and
its relevance to community organisation are discussed.
All these information will be useful for successful
community organisation.

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Social Work Intervention with Communities and Institutions

References
Chekki A. Dan (1979), Community Development, Vikas
Publishing House Pvt. Ltd., New Delhi.
Cox. M. Fred and Erlich L. John (1987), Strategies
of Community Organisation, F.E. Peacock Publishers,
Inc. Illinois.
Fink E. Arthur (1978), The Fields of Social Work, Holt
Rinehart and Winston, New York.
Murray G. Ross (1955), Community Organisation, Harper
and Row Publishers, New York.
Ralph Jersey M. Kramer (1975), Readings in Community
Organisation, Practice Prentice Hall Inc. New Jersey.
Rex A. Skidmore (1976), Introduction to Social Work,
Prentice Hall Inc. New Jersey.

Project Implementation

12

COMMUNITY ORGANIZING AND PARTICIPATION

Guiding Principles for Community Organization and Participation


n Reconstruction

begins at the community level. A good reconstruction strategy engages


communities and helps people work together to rebuild their housing, their lives, and their
livelihoods.
n Community-based approaches require a somewhat different programming flow that begins
with mobilizing social groups and communities and having the community conduct its own
assessment.
n A very strong commitment and leadership from the top are needed to implement a bottom-up
approach, because pressure is strong in an emergency to provide rapid, top-town, autocratic
solutions.
n The community is not a monolith, but a complex organism with many alliances and subgroups.
The community needs to be engaged in order to identify concerns, goals, and abilities, but there
may not be consensus on these items.
n The scale at which community engagement is most effective may be quite small, for example, as
few as 10 families.
n Engagement of the community may bring out different preferences and expectations, so
agencies involved in reconstruction must be open to altering their preconceived vision of the
reconstruction process.
n Numerous methods exist for community participation, but they need to be adapted to the
context, and nearly all require facilitation and other forms of support.
n Transparency and effective communication are essential to maintaining engagement and
credibility with the community and within the community during the reconstruction process.
n The reconstruction approach may affect the type and level of direct participation in reconstruction.

Introduction

Community participation is seen by some as a way for stakeholders to influence development


by contributing to project design, influencing public choices, and holding public institutions
accountable for the goods and services they provide.1 Some view participation as the direct
engagement of affected populations in the project cycleassessment, design, implementation,
monitoring, and evaluationin a variety of forms. Still others consider participation an operating
philosophy that puts affected populations at the heart of humanitarian and development activities
as social actors with insights, competencies, energy, and ideas of their own.2

Community engagement has numerous benefits and is critical in every stage of post-disaster recovery
and reconstruction. This chapter encourages agencies involved in reconstruction to offer affected
communities a range of options for involvement in reconstruction.3 It addresses the organization
of affected communities and participation by individuals, communities, and community-based
organizations (CBOs). (See Chapter 14, International, National, and Local Partnerships in
Reconstruction, for a typology of civil society institutions that participate in reconstruction.)

Key Decisions

1. The lead disaster agency should work with affected communities, local government, and
agencies involved in reconstruction to define the role of communities in planning and managing
reconstruction. The agreements that emerge from this dialogue should be an integral part of the
reconstruction policy.
2. Affected communities should decide how they will organize themselves to participate in the
reconstruction effort.
3. Agencies involved in reconstruction should decide how they will support and empower
communities to play the roles they have agreed to take on, and how two-way communication
with communities will be established and maintained throughout reconstruction.

This Chapter Is
Especially Useful For:
n
n
n
n
n

Policy makers
Lead disaster agency
Local officials
Project managers
Affected communities

This Chapter is from "Safer Homes,


Stronger Communities: A Handbook
for Reconstructing after Natural
Disasters," published by the World Bank
in January 2010. Additional chapters,
other resources, and ordering
information for the handbook can
be found at the handbook Web site:
www.housingreconstruction.org.

1. W
 orld Bank, 1996, The
World Bank Participation
Sourcebook (Washington, DC:
The International Bank for
Reconstruction and Development/
World Bank), http://www.
worldbank.org/wbi/sourcebook/
sbhome.htm.
2. Active Learning Network for
Accountability and Performance
in Humanitarian (ALNAP), 2003,
Participation by Crisis-Affected
Populations in Humanitarian
Action: A Handbook for
Practitioners (London: Overseas
Development Institute), http://
www.alnap.org/resources/
guides/participation.aspx.
3. Opportunities for participation are
also discussed in other chapters of
this handbook.

183

4. Local government should define its role(s) in supporting reconstruction at the community level,
in consultation with affected communities, the lead disaster agency, and agencies involved in
reconstruction.
5. Agencies involved in reconstruction should decide with communities how to monitor and
evaluate the involvement of the community in reconstruction to ensure that agreements
regarding role(s) and responsibilities are fulfilled on all sides. This monitoring should take place
at both the community level and at the national level for the overall reconstruction program.

Public Policies Related to Community Participation

Incorporating participation by the community in reconstruction projects funded by local and


international nongovernmental organizations (NGOs) is largely voluntary, yet the commitment to
participation is generally quite high. However, the level of this commitment may vary in projects
sponsored by the public sector. In their decentralization framework, planning law, or local government
ordinances, some countries require community participation and information disclosure for publicly
supported projects. This participation may include anything from public hearings on project budgets
to comment periods on procurement documents to sweat equity contributions in community
infrastructure projects. Compliance with these laws may at times be pro forma; this is even more likely
to be the case if government is operating on an emergency footing and fears that projects will be delayed.
Under these circumstances, the pressureeven from the communities themselvesmay be to act
quickly and to impose top-down, technocratic solutions.
Experience is increasingly demonstrating that an emergency is the time to expand, rather than
reduce, participation, even if there is no formal policy framework for participation in place. By
including properly structured community participation mechanisms, physical outcomes and
the quality of oversight can actually be improved,
especially when large sums of money are involved.
Local and international NGOs and other agencies
involved in reconstruction can help operationalize
these mechanisms. Or local government may be able
to establish the guidelines and coordinate community
participation in reconstruction. The role of local
government is especially critical when local land
use decisions and infrastructure reconstruction are
involved.

DANIEL PITTET

184

If government is reticent to take a decentralized,


participatory approach, agencies with experience in
participatory approaches to reconstruction may want
to present concrete examples of where these efforts
have been successful in an effort to advocate for this
approach on behalf of communities. A number of
examples of good practice are included in the case
studies below.

S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

Technical Issues
Types of Participation

As shown in the table below, forms of community involvement differ in terms of the extent of citizen
involvement in decision making and with respect to the desired outcomes.

Type of participation Role of affected population


Local initiatives

Level of control

Conceives, initiates, and runs project independently; agency


participates in the communitys projects.

Interactive

Participates in the analysis of needs and in program conception,


and has decision-making powers.

Through the supply of


materials, cash, or labor

Supplies materials and/or labor needed to operationalize an


intervention or co-finances it. Helps decide how these inputs are used.

Through material
incentives

Supplies materials and/or labor needed to operationalize an


intervention. Receives cash or in-kind payment from agency.

By consultation

Asked for its perspective on a given subject but has no


decision-making powers.

Through the supply of


information

Provides information to agency in response to questions but


has no influence over the process.

Passive

Informed of what is going to happen or what has occurred.

High

Low

Source: Active Learning Network for Accountability and Performance in Humanitarian (ALNAP), 2003, Participation by Crisis-Affected
Populations in Humanitarian Action: A Handbook for Practitioners (London: Overseas Development Institute), http://www.alnap.org/resources/
guides/participation.aspx.

The Purposes of Participation

As the World Bank sees it, participation allows stakeholders to collaboratively carry out a number of
activities in the program cycle, including the following4:
n Analyzing: Identifying the strengths and weaknesses of existing policies and service and
support systems
n Setting objectives: Deciding and articulating what is needed
n Creating strategy: Deciding, in pragmatic terms, directions, priorities, and institutional responsibilities
n Formulating tactics: Developing or overseeing the development of project policies, specifications,
blueprints, budgets, and technologies needed to move from the present to the future
n Monitoring: Conducting social assessments or other forms of monitoring of project
expenditures and outputs

Other agencies have more expansive views of participation. Participation is known to have
outcomes that are social in nature: empowering individuals, increasing local capacity, strengthening
democratic processes, and giving voice to marginalized groups. Another set of benefits has to do
with program effectiveness and leverage: creating a sense of ownership, improving program quality,
mobilizing resources, and stimulating community involvement in execution.

A very strong
commitment and
leadership from the
top will be needed
to implement
a bottom-up
approach, because
pressure
strong
This Chapter isis
from
"Safer Homes,
Communities: A Handbook
inStronger
an emergency
to
for Reconstructing after Natural
provide
rapid,bytopDisasters," published
the World Bank
in Januaryautocratic
2010. Additional chapters,
town,
other resources, and ordering
solutions.
information for the handbook can
be found at the handbook Web site:
www.housingreconstruction.org.

Community Participation in Reconstruction

Since communities know the most about their own local environment, culture, vulnerabilities, requirements,
and building techniques, reconstruction should be planned by them or, at a minimum, under their direction.
However, a true community-based approach requires a different programming flow, one that begins not with
assessment, but with mobilization of social groups and communities, which is then followed by a communitybased assessment. This mobilization may be done by the community on its own initiative or as a response to
signals from government about how reconstruction will be undertaken. Alternatively, agencies involved in
reconstruction, including national and local NGOs, or local governments may initiate the mobilization process.

This mobilization may be more or less difficult, depending on the impact of the disaster and the nature of
the pre-existing organization of the community. Communication with the community is a critical element
of a successful participatory process. See Chapter 3, Communication in Post-Disaster Reconstruction,
for extensive guidance on post-disaster communication.

The case study on the 2006 Java earthquake reconstruction, below, demonstrates how the
reconstruction of thousands of housing units was managed by communities.
C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

185

Conventionally trained planners may need to adjust their thinking in order to successfully participate
in this type of reconstruction project. Also, because the success of this type of approach depends
on community decision making, assistance may be needed to restart institutional mechanisms for
consensual decision making and to establish or reestablish other governance structures

How Communities Participate in Reconstruction


Reconstruction activity

Opportunities for community participation in reconstruction

Assessment

Conduct:
n housing assessment and census
n community-led needs assessments
n local environmental assessments
n mapping of affected area and changes
n stakeholder analysis

Planning and design

Prioritize and plan projects


Carry out participatory site planning and site evaluations
Identify targeting criteria and qualify households
Participate in training (DRR and construction methods)
Assist with grievance procedures

Project development and implementation Carry out and/or oversee:


n housing reconstruction, including housing of vulnerable households
n infrastructure reconstruction
n reconstruction of public facilities (schools, community buildings, and clinics)
Manage:
n financial disbursements
n community warehouses
Monitoring and evaluation

Supervise construction
Participate in monitoring and social audit committees
Conduct participatory evaluations
See the annex to Chapter 18, Monitoring and Evaluation, for guidance on conducting a social audit of a
reconstruction project

An exemplary case of community participation in post-disaster planning is described below in the


case study on the 2003 Bam earthquake reconstruction.

The reconstruction approach. The housing reconstruction approach will affect the level and type
of community participation. Chapter 6, Reconstruction Approaches, discusses five approaches
to reconstruction. Of those five, the Cash Approach (CA), Owner-Driven Reconstruction (ODR), and
Community-Driven Reconstruction (CDR) offer the greatest opportunity for direct involvement
in housing reconstruction. Owners have some limited opportunities for involvement in a AgencyDriven Reconstruction In-Situ (ADRIS) project; however, Agency-Driven Reconstruction in
Relocated Site (ADRRS) largely excludes an owner from any role in the rebuilding effort. Housing
reconstruction and infrastructure reconstruction offer different opportunities for community
involvement that should be coordinated, but identified, planned, and managed separately5

4. W
 orld Bank, 1996. The World
Bank Participation Sourcebook
(Washington, DC: The International
Bank for Reconstruction and
Development/World Bank),
http://www.worldbank.org/wbi/
sourcebook/sbhome.htm.

186

Training and facilitation. Training and facilitation are key ingredients of a participatory approach
to reconstruction. Communities need training that supports their particular role(s). Training in
housing reconstruction methods is important if community members are acting as builders or
overseeing housing reconstruction (see Chapter 16, Training Requirements in Reconstruction).
If supervision of infrastructure projects is a community responsibility, some members will
need training to understand plans and specifications. Facilitation is different from training, but
is also critically important. Facilitation involves activities that help the community reestablish
their decision-making processes, develop and implement plans, get access to resources, resolve
conflicts, etc. Finding, training, and keeping good community facilitators are absolutely critical
roles for government and agencies involved in participatory community-based reconstruction.
Expect turnover in the ranks of facilitators, since it is a demanding job and requires establishing a
rapport with the specific community. The experience with the use of facilitators in the Yogyakarta

S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

earthquake reconstruction is summarized in Annex 1 of


this chapter entitled How to Do It: Establishing a Community
Facilitation System for Post-Disaster Housing and Community
Reconstruction.

The Institutional Context

The context can enable or constrain participation, depending on


factors such as the enabling environment for participation; the
constraints created by the culture, including the culture of the
agency involved in reconstruction; and the communitys prior
organization.

The enabling environment. The term enabling environment as


used here means the rules and regulations, both national and local,
DANIEL PITTET
that provide the freedom and incentives for people to participate.
Examining the legal framework within which affected beneficiaries and communities operate will
identify any legal constraints that must be addressed to permit genuine participation. There are at
least three important considerations: whether the community has access to information, whether
the community has the right to organize and enter into contractual agreements, and the project
approach taken by agencies involved in reconstruction.6

Reconstruction agency constraints. The participatory process can be affected by constraints


emanating from agencies involved in reconstruction, including enormous time pressure and political
pressure to resolve the housing problem and create on-the-ground results; a lack of commitment,
skills, or capacity to conduct participatory reconstruction activities; operating with a short-term
emergency mind-set rather than a development perspective; and an inability to make a long-term
commitment to a community because of the nature of the agencys programs. Agencies involved
in reconstruction may also have a limited understanding of the context, especially if it is complex
or changing rapidly, and may therefore be reticent to make plans with the community when the
outcomes are unpredictable.7 A committee of agency and affected community representatives
could be created specifically to monitor the quality of participation in reconstruction and to
address community grievances related to this issue. Community participation can take time, but
time is also lost if opposition to projects arises because the community was excluded. In the 1993
Latur earthquake reconstruction, governmentrecognizing the limits of its capacity to manage
participationappointed two respected nongovernmental organizations to assist them, as described
in the case study, below.

Organization of the community. A communitys organization can be invisible to outsiders, but


tools such as community assessments and institutional mapping can help reveal it and any effects
it may have on a proposed project.8 A range of organizations with various degrees of formal
structure is already operating in any given community, performing a variety of functions, including
channeling community demands.9 Planning intervention without understanding this reality not only
is disrespectful of the community, but also can create conflicts and lead to unexpected delays or even
rejection of the project. The sponsors of any new initiativeeven if it is just a single project that
seeks the communitys participationneed to decide how the project will relate to the community
as it is already organized. As early as possible, an analysis should be carried out of the communitys
characteristics, including its organizational structure and its capabilities. The methodology
described in Annex 2 to this chapter, How to Do It: Developing a Community Participation Profile,
will provide input needed to make decisions about the demand and starting point for community
participation.
The existing organizational structure may be based on wealth, political party, caste, culture, or
power relationships, among other things. Self-appointed spokespeople for the community and
organizations that claim to be representative of local community needs and aspirations, including
national NGOs, may not be seen as such by members of the community. The role of women will
need to be carefully considered in planning reconstruction, and womens organizations may have
an important role to play. The case study on the 1992 Pakistan floods describes how a local NGO,
PATTAN, worked to broaden womens role in reconstruction.

C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

This Chapter is from "Safer Homes,


Stronger Communities: A Handbook
for Reconstructing after Natural
Disasters," published by the World Bank
in January 2010. Additional chapters,
other resources, and ordering
information for the handbook can
be found at the handbook Web site:
www.housingreconstruction.org.

5. U
 nited Nations Human Settlements
Programme (UN-HABITAT),
Regional Office for Asia and
the Pacific, n.d., Community
Contracts, http://www.fukuoka.
unhabitat.org/event/docs/
EVN_081216172311.pdf.

187

Formalizing community involvement. For community-based reconstruction, community contracts


are a tool developed by the United Nations Human Settlements Programme (UN-HABITAT) to
establish the terms of community involvement.10 The formalization of the involvement of NGOs is
addressed in Chapter 14, International, National, and Local Partnerships in Reconstruction.

Participation Strategy and Tools

While the participation strategy may be best refined during the participatory process itself, agencies
involved in reconstruction may want to define for themselves the basic parameters before the
process is set in motion. A participation strategy defines why participation is called for, proposes
who will be involved, and defines the objectives. It also defines the purpose of the participatory
activities, which participation approach is most suitable, the tools and methods to be used, whether
community members will be engaged directly or through existing organizational structures, and
which, if any, partnering agencies will be involved.

It is not necessary to create participatory processes; over the years, organizations have systematized
myriad instruments and methodologies that can be adapted to the context in which the participation
will take place. The table below contains examples.11

Tools for Facilitating Community Participation


Contextual analysis

Understanding
stakeholders

Identifying assets and


vulnerabilities

Defining needs, demands,


and projects

n Interviews

n Socio-anthropological

n Capacity

n Surveys

with key informants

analysis

n Storytelling
n Focus

n Participatory

groups

n Timelines
n Mapping
n Activity

analysis

damage, risks, land uses

or climatic calendars

n Community

mapping

stakeholder

n Interaction
n Venn

diagrams

diagrams

n Proximity-distance
n Wealth

analysis

and vulnerability

analysis

n Proportional
n Institutional
n Cultural

piling
analysis

asset inventories

n Hearings

n Participatory
n Design

charts

n Participant

n Preference

observation

n Information

ranking

planning

ranking
centers and fairs

Who Are the Stakeholders?


Stakeholder involvement is context specific; thus, who needs to or is willing to be involved varies from
one project to another. The figure on the next page graphically depicts the connections among a common
set of project stakeholders. The table below uses a hypothetical project (helping a community avoid
relocation by implementing structural measures to reduce risk) to show common stakeholder categories.
6. World Bank, 1996, The World
Bank Participation Sourcebook
(Washington, DC: The International
Bank for Reconstruction and
Development/World Bank),
http://www.worldbank.org/wbi/
sourcebook/sbhome.htm.
7. ALNAP, 2003, Participation by
Crisis-Affected Populations in
Humanitarian Action: A Handbook
for Practitioners (London: Overseas
Development Institute), http://
www.alnap.org/resources/guides/
participation.aspx.
8. Jeremy Holland, 2007, Tools
for Institutional, Political, and
Social Analysis of Policy Reform.
A Sourcebook for Development
Practitioners (Washington, DC:
World Bank), http://siteresources.
worldbank.org/EXTTOPPSISOU/
Resources/
1424002-1185304794278/TIPs_
Sourcebook_English.pdf.
9. World Bank, 1996, The World
Bank Participation Sourcebook
(Washington, DC: The International
Bank for Reconstruction and
Development/World Bank),
http://www.worldbank.org/wbi/
sourcebook/sbhome.htm.

188

Type of stakeholder

Example

Those who might be affected (positively or negatively)


by the project

Homeowners who prefer to relocate the community versus


homeowners who prefer the existing site

The voiceless for whom special efforts may have to


be made

Squatters who risk being relocated if structural disaster


risk reduction investments are built

The representatives of those likely to be affected

Existing community group that has managed the response

Those who have formal responsibility related to the


project

Government risk management agency or local planning


department

Those who can mobilize for or against the project

Unaffected communities that were already awaiting


assistance now delayed by the disaster-related project

Those who can make the project more effective by


participating or less effective by not participating

Another NGO working on a related issue in the same


community

Those who can contribute financial and technical resources

Microfinance institution or governmental agency

Those whose behavior has to change for the effort to


succeed

Government agency already planning the communitys


relocation

Those who must collaborate for the project to succeed

Landowner who will need to sell land where structural


measures will be built

S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

International Aid Organizations


International Non-Governmental Organizations

National Aid
Organizations

Local
committees

Affected Populations
Individuals
and families

Local NGOs
CBOs

Government Institutions

Source: ALNAP, 2003,


Participation by Crisis-Affected
Populations in Humanitarian
Action: A Handbook for
Practitioners (London: Overseas
Development Institute), http://
www.alnap.org/resources/
guides/participation.aspx.

The level of power, interests, and resources of each stakeholder will affect that stakeholders ability
to collaborate. Therefore, an environment needs to be created in which stakeholders can participate
and interact as equals. Consensus-building is not always easy; specific measures may need to be
taken to promote negotiation and resolve disputes.
Stakeholders of a project may not all have equal status, because they have different stakes in
project outcomes. For instance, the head of a household that may be relocated has more invested
in the outcome of a relocation project than the representative of the local planning department,
although both are considered stakeholders.

The Unintended Consequences of Participation

Participation empowers communities; however, the outcomes of that participation can be


unpredictable. The participatory process may give rise to new actors or interests or may create
conflicts between organizations that had previously worked together harmoniously. Guiding the
participation process includes making sure that peoples expectations are realistic, especially if
they believe that large amounts of funding are available. At the same time, an agency may observe a
multiplier effect from its support of a participatory project, as the community realizes its capabilities
and new ideas for activities and projects emerge.

This Chapter is from "Safer Homes,


Stronger Communities: A Handbook
for Reconstructing after Natural
Disasters," published by the World Bank
in January 2010. Additional chapters,
other resources, and ordering
information for the handbook can
be found at the handbook Web site:
www.housingreconstruction.org.

The organization and facilitation of community participation should not be done on a purely ad
hoc basis. Trained facilitators and other experts in community participation should be part of
the management team for any project that entails participation. See the text box entitled The
Role of Facilitators in Empowering Community Reconstruction, in Chapter 6, Reconstruction
Approaches, for guidance on this topic.

Risks and Challenges

n Government forgoing genuine participation, due to political and social pressures to show that the

reconstruction process is advancing.


of support by the community for the reconstruction project because of limited involvement
of stakeholders, particularly the affected community, in planning and design.
n Failing to understand the complexity of community involvement and believing that the
community is a unified, organized body.
n Ignoring how the community is already organized when introducing participatory activities.
n Underestimating the time and cost of genuine participatory processes.
n Conducting poorly organized opinion surveys and believing that the responses to those surveys
are representative of the community.
n Lack

C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

10. U
 nited Nations Human
Settlements Programme
(UN-HABITAT), Regional
Office for Asia and the Pacific,
n.d., Community Contracts,
http://www.fukuoka.
unhabitat.org/event/docs/
EVN_081216172311.pdf.
11. ALNAP, 2003, Participation
by Crisis-Affected Populations
in Humanitarian Action: A
Handbook for Practitioners
(London: Overseas Development
Institute), http://www.
alnap.org/resources/guides/
participation.aspx.

189

A true communitybased approach


requires a different
programming flow,
one that begins not
with assessment,
but with mobilization
of social groups and
communities, which
is then followed
by a communitybased assessment.
This mobilization
may be done by
the community on
its own initiative
or as a response
to signals from
government about
how reconstruction
will be undertaken.

n Failing

to find or develop facilitators and trainers who understand and believe in the
community-based approach.
n Rejecting established models of community organizationor alternatively blindly adopting
models from other countries or contextswithout evaluating how they should or could be
adapted to the specific conditions of the locality in question.
n Thinking that all community organizations are democratic and representative, or forgetting that
they have their own agendas.
n Confusing the role of national NGOs with that of genuine CBOs.
n Agencies believing that they are being participatory by establishing a relationship with one
specific local organization or spokesperson.

Recommendations

1. Analyze the communitys capacity and preferences for participation by working with the
community to carry out a Community Participation Profile early in the reconstruction process.
2. Work with the community to reach agreement not only on how it will organize itself, but also on
activities and outcomes, i.e., the reconstruction priorities, projects, and goals.
3. Find the right scale for community involvement, which may be smaller than expected.
4. Provide the facilitation and support to make the community an effective actor in reconstruction,
and involve the community in monitoring the quality of this support. There will be turnover in the
ranks of facilitators, so providing the community with proper support is a continuous process.
5. Consider creating a monitoring mechanism with representation from both the agencies
involved in reconstruction and the community, specifically to monitor the quality of community
involvement.
6. Do not hesitate to demand good governance and accountability from the community, especially
if funding is involved.
7. Do not disempower existing community initiatives by introducing new and unfamiliar
organizational structures that compete; find ways to combine forces.
8. Consider using existing tools that foster participation, but make sure that they are adapted to
the project and context.
9. Understand that stakeholder identification is one of the most important steps in a participatory
process; use participatory methods to identify and engage stakeholders.
10. Understand that community participation can have unintended consequences. Maintain a
constructive relationship with participants, and look for opportunities to support additional
activities that spin off from the original participatory process.

Case Studies

2006 Java Earthquake, Indonesia

190

Organizing Community-Based Resettlement and Reconstruction


Somewhat hidden from the world by the ongoing flurry of Aceh tsunami recovery, the 2006 Java
earthquake with a magnitude of 6.3 on the Richter scale was nevertheless an enormously destructive
event. Over 350,000 residential units were lost and 5,760 persons were killed, most from the collapse
of non-engineered masonry structures. Using lessons learned from the tsunami experience and
resources from the ongoing Urban Poverty Project (UPP), the Indonesian government was able to
respond quickly and efficiently. Facilitators were recruited and villages elected boards of trustees,
which later were instrumental in organizing community meetings and supervising implementation.
Key activities included (1) identifying beneficiaries and prioritizing the most vulnerable; (2)
establishing housing groups of 10-15 families, who chose their leaders and a treasurer; (3) developing
detailed plans to use the construction grants for each group; (4) opening group bank accounts; and
(5) obtaining approval of plans, disbursement in tranches, and group procurement, construction, and
bookkeeping. Training was provided to community members and local workers to ensure earthquakeresistant construction. Later, the community developed plans to rebuild village infrastructure and
facilities, with a particular focus on disaster resilience. Communities conducted self-surveys, prepared
thematic maps, analyzed needs and disaster risks, agreed on priority programs, and established
procedures for operations and maintenance. Grants for infrastructure were also disbursed in tranches
through the selected bank as work progressed. An adequate understanding of rules and a sense of
ownership by the community were essential to ensuring good targeting and plans, accountability, and
social control of implementation. The involvement of women increased accountability and enhanced
the appropriateness of technical solutions. The role of facilitators was crucial, as they both ensured

S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

effective communication and adaptability of the program to local situations as well as compliance
with program principles. In all 6,480 core houses were funded by a World Bank loan under UPP,
and another 15,153 units were funded by the multi-donor Java Reconstruction Fund. This approach
to reconstruction became the model for the much larger government-financed rehabilitation and
reconstruction program, under which about 200,000 houses were rebuilt in Java.

Sources: Sri Probo Sudarmo, World Bank, 2009, personal communication; and World Bank, 2007, Community-Based Settlement Rehabilitation
and Reconstruction Project for Central and West Java and Yogyakarta Special Region, project documents, http://web.worldbank.org/external/
projects/main?pagePK=64283627&piPK=73230&theSitePK=226309&menuPK=287103&Projectid=P103457.

2003 Bam Earthquake, Iran

Community Participation in Developing the Structure Plan


(2015) for the City of Bam
After the 2003 earthquake in Bam, Iran, a national strategy for
housing reconstruction was published. For urban areas, the
strategy featured (1) provision of interim or transitional shelters
on existing vacant lots, including the distribution of prefabricated
units to address housing needs for a 2-year period; and (2)
provision of permanent shelter after preparation of a detailed
city master plan and the approval of technologies and legal and
procedural mechanisms for reconstruction.

The provision of interim shelter in the city of Bam gave


government time to revise the existing city plan before beginning
reconstruction. The most recent Bam City Master Plan had been
developed by a consulting firm and approved by the High Council
of Architecture and Urban Development of the Ministry of Housing
VICTORIA KIANPOUR
and Urban Development in the year prior to the earthquake. However, the disaster raised significant
new issues, so the same consulting firm was brought back to update the plan. A comprehensive
survey sought inputs from local authorities, implementing agencies, community leaders, NGOs,
women, youth, and children.

In April 2004, the Housing Foundation of the Islamic Revolution-United Nations Development
Programme (UNDP) joint housing project organized a technical consultation in which UNDP; the United
Nations Childrens Fund (UNICEF); the United Nations Educational, Scientific and Cultural Organization
(UNESCO); the World Health Organization (WHO); the United Nations Industrial Development
Organization (UNIDO); and other UN agencies provided technical assistance and capacity building for the
participatory city micro-planning process, to explain such concepts as child-friendly and healthy cities
and to discuss the socioeconomic aspects of city planning. The final Structure Plan specifically addressed
the need to respect the traditional architecture and urban design of the city and villages, to protect buffer
zones, to minimize relocation, and to minimize expropriation through reuse of land. This plan formed
the basis for subsequent detailed planning of 11 priority reconstruction areas in the city of Bam. To
reduce the chance of excessive uniformity, each area had a different planning team. The modified plan
and detailed plans were ratified by the High Council in October 2004, 10 months after the earthquake.
Subsequently, the Ministry of Housing and Urban Development, with support from UNDP, published the
results of the consultative process and the Bam Housing Typology.

This Chapter is from "Safer Homes,


Stronger Communities: A Handbook
for Reconstructing after Natural
Disasters," published by the World Bank
in January 2010. Additional chapters,
other resources, and ordering
information for the handbook can
be found at the handbook Web site:
www.housingreconstruction.org.

Sources: Victoria Kianpour, UNDP Iran, 2009, personal communication and World Bank, 2009, Planning for Urban and Township Settlements
after the Earthquake, http://siteresources.worldbank.org/CHINAEXTN/Resources/318949-1217387111415/Urban_planing_en.pdf.

1993 Latur Earthquake, Maharashtra, India

Community Participation in the Maharashtra Emergency Earthquake Rehabilitation Program


With the help of the World Bank, the government of Maharashtra, India, developed the Maharashtra
Emergency Earthquake Rehabilitation Program (MEERP), which institutionalized community
participation and ensured that beneficiaries were formally consulted at all stages of the post-earthquake
program. Every village created a local committee headed by the sarpanch (the head of the village council),
and its subcommittees included women and disadvantaged groups. Consultative committees were
also proposed at the level of the taluka (an administrative unit that includes several villages) and the
district. To ensure the village-level committees interacted with the project management unit at all levels,
government took an innovative step and appointed two respected community organizations to carry out
the process, the Tata Institute of Social Sciences and the Society for Promotion of Resource Area Centre.
Source: Rohit Jigyasu, 2002, Reducing Disaster Vulnerability through Local Knowledge and Capacity (PhD thesis, Trondheim: Norwegian
University of Science and Technology), http://ntnu.diva-portal.org/smash/record.jsf?searchId=1&pid=diva2:123824.

C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

191

1992 Floods, Pakistan


Grassroots NGO Introduces Measures to Engage Women in Housing Reconstruction
Northern Pakistans catastrophic floods in 1992 were attributed to large-scale deforestation in
mountainous watersheds, and led eventually to government imposing a ban on commercial harvesting
of forests. After the floods, PATTAN, a local NGO, introduced a number of measures that specifically
addressed womens issues in the disaster recovery process. Female relief workers were engaged to
assess the needs of women after the floods and to involve them in the planning, implementation, and
rehabilitation activities. Local women were registered as heads of their households to help ensure
efficient distribution of relief food. Village womens organizations were established (in parallel with
mens groups) to articulate womens needs and to take responsibility for community development.
These groups also provided a forum for discussing womens views regarding the design and layout of
new houses. As a result, women became actively involved in reconstruction activities. Later, women
were made responsible for collecting money to repay loan installments on the houses. Some women
also participated in construction, traditionally a male activity. Perhaps most important, PATTAN
introduced the concept that married couples should own houses jointly.
Source: World Bank, Food and Agriculture Organization, and International Fund for Agricultural Development, 2008, Gender in Agriculture
Sourcebook (Washington, DC: World Bank), http://publications.worldbank.org/ecommerce/catalog/product?item_id=8612687.

Resources

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publications/12Handbk.pdf.
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Davidson, C. H. et al. 2006. Truths and Myths about Community Participation in Post-Disaster
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UN-HABITAT. Government of Indonesia, Provincial Government of Aceh, and the United Nations
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UN-HABITAT. 2007. Peoples Process in Aceh and Nias (Indonesia), Manuals and Training Guidelines.
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Volume 1

Orientation and Information:

http://www.unhabitat-indonesia.org/files/book-153.pdf

Volume 4

Housing and Infrastructure Implementation

http://www.unhabitat-indonesia.org/files/book-1420.zip

Volume 2
Volume 3
Volume 5
Volume 6
Volume 7
Volume 8
Volume 9

Community Action Planning and Village Mapping http://www.unhabitat-indonesia.org/files/book-1407.pdf


Detailed Technical Planning for Housing
and Infrastructure
Completion of Reconstruction Works
Monitoring, Evaluation and Controls

Socialization and Public Awareness Campaign


Training and Capacity Building
Complaints Handling

http://www.unhabitat-indonesia.org/files/book-1417.pdf
http://www.unhabitat-indonesia.org/files/book-1421.pdf
http://www.unhabitat-indonesia.org/files/book-225.pdf
http://www.unhabitat-indonesia.org/files/book-226.pdf
http://www.unhabitat-indonesia.org/files/book-229.pdf
http://www.unhabitat-indonesia.org/files/book-231.pdf

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World Bank. 1996. Participation Sourcebook. Washington, DC: The International Bank for Reconstruction
and Development/World Bank). http://www.worldbank.org/wbi/sourcebook/sbhome.htm.
World Health Organization. 2002. Community Participation in Local Health and Sustainable
Development: Approaches and Techniques. http://www.euro.who.int/document/e78652.pdf.

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Annex 1
How to Do It: Establishing a Community Facilitation System
for Post-Disaster Housing and Community Reconstruction
The reconstruction process following the 2006 Yogyakarta
and Central Java, Indonesia, earthquake demonstrated the
effectiveness of a community-based approach to reconstruction.
More than 150,000 houses were reconstructed in the first year
following the earthquake and, by the second anniversary of the
earthquake, a total of 275,000 houses had been built using a
community-based model.
However, this reconstruction model entails establishing a
community facilitation system. The facilitation system depends
on the recruitment, training, and deployment of community
facilitators. Finding enough quality facilitators and getting them
into affected communities quickly allows reconstruction to be
scaled up and gives people certainty about how reconstruction
will proceed and what their role in reconstruction will be.

This certainty is considered to be an important factor in the


satisfaction of the population with the program.

This section describes the approach to the use of community


facilitators in the Community-Based Settlement Rehabilitation
and Reconstruction Project funded by the Java Reconstruction
Fund in Yogyakarta/Central Java reconstruction from 2005
2007, as well as previously in the 2004 Indian Ocean tsunami
reconstruction in Aceh. While the participatory methodologies
were similar for all reconstruction, in this program, each
community also received a pool of funds to help finance
infrastructure improvements that contributed to risk reduction
in the community. More than 15,000 housing units were
financed by this program in Yogyakarta and Central Java.

Key Features of the Facilitation System


Feature

Explanation

Recruitment

Facilitators were chosen from people who had qualifications in one of the following areas: engineering or construction,
finance, and community development or organizing. All facilitators needed to have practical skills, as well as the ability to
work with communities to empower them to carry out their role in reconstruction and to manage community expectations.
The selection process for facilitators was managed by an outside consultant, and included:
n written

application

n interview

n psychological

testing

The psychological testing component was carried out by the psychology departments of localThis
universities,
under the
Chapter is from "Safer Homes,
supervision of the recruitment consultant.
Stronger Communities: A Handbook

for Reconstructing
after Natural
Because community-based projects were a major source of post-disaster construction financing,
the compensation
Disasters,"sopublished
the World
offered to facilitators reflected no more than the market rate for their level of training and experience
that thebyhiring
of Bank
in January 2010. Additional chapters,
community facilitators would not contribute to a post-disaster escalation of salaries in the market.

Training

other resources, and ordering


information for the handbook can
Candidates who passed the recruitment process received approximately three weeks of training
in two components.
be found at the handbook Web site:
www.housingreconstruction.org.
Basic. All candidates received the same basic training, during which time they were still being evaluated and following

which they had to pass an examination. The trainers explained the facilitation process and the people skills that were
required. Facilitators were taught that the building of houses is the entry point that gives them the opportunity to organize
the community, but that the process they were facilitating is about community mobilization and empowerment, not just
housing construction.
Technical. Each facilitator that passed the basic training was then assigned to one of three rolescommunity
development, technical (construction), or financefor additional training. In this component of training, they received
instruction on training community members in the procedures of the project. For instance, finance facilitators were taught
how to train community members to manage project finances.
Assignment of
Facilitators

Facilitators were organized into teams of nine people, consisting of two community development facilitators, two
engineering facilitators, one finance facilitator, and four construction inspectors (called building controllers). This team
provided support to a community of approximately 275 households over a period of six months.

C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

193

Feature

Explanation

Oversight

Oversight was provided through weekly visits of financial, community development, and technical experts to each project,
where they identified problems specific to a particular community, as well as general problems within the program. When
general problems were identified, facilitators were called together for additional training or problem solving. Facilitators
log books were reviewed by the experts during their visits. Facilitators were evaluated on the quality of the results in the
community, and their salary could be held back if project standards and milestones were not met.
Monitoring was an essential element, and provided detailed information on the progress of every house and follow-up on
any complaints, all of which was managed on a Web site, accessible to the public, which was designed specifically for
this purpose.

Community Leadership

The success of this model depends on the involvement of the community. Every aspect of the project is run by the
community. The facilitators simply make the community more effective in carrying out its roles. The roles of the
community members include (1) prioritizing, building, and overseeing infrastructure projects; (2) managing their own
housing reconstruction; (3) managing project finances; (4) handling complaints; (5) selecting beneficiaries through a
participatory process; and (6) leading collective action when it is required.

Costs and Benefits of the Facilitation Model


This model is considered very cost-effective, since, for the
housing component, only about 5 percent of program costs
were spent on the facilitation process. (The percentage varied
on the infrastructure component because it was smaller and
projects were more diverse.)

However, the community-based reconstruction model used in


Yogyakarta is not without its challenges. Some of the principal
challenges that must be overcome to make this model work
well are following:
1. Finding the right people to be facilitators
2. Thinking big. That is, scaling up the process quickly enough,
so that communities have certainty within a short time
about what is going to happen
3. Preventing facilitators from being hired away by other
agencies once they are trained
4. Bureaucratic bottlenecks that slow down disbursements
to communities and payment of facilitator salaries and
operating costs

The Bank is working to document and systematize its


experience with this model. Even without completion of this
documentation, a community-based model for reconstruction
has become the official reconstruction model of the Indonesian
government, and is expected to be appliedwith some
minor improvements, based on the Aceh and Yogyakarta
experiencesin the reconstruction following the 2009 Padang
earthquake. One measure that has been suggested to make the
model even more effective is the training of a nationwide cadre
of facilitators who could be quickly mobilized, thus reducing
the need to conduct the recruitment and training on short
notice following a disaster.

Source: World Bank Indonesia team, 2009, personal communication.

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S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

Annex 2
How to Do It: Developing a Community Participation Profile
The Community Participation Profile (CPP) serves as a
reference for program development for government and
agencies involved in reconstruction alike. It assists agencies in
making judgments about the feasibility of and the starting point
for community participation. It can also help the community to
define its own requirements. The key questions that the CPP
answers are:
1. Is there is a viable community structure in place that can
establish priorities and respond to the most needy and
vulnerable?
2. Will the community need help to manage its finances and
provide oversight over community resources?
3. Are systems in place to ensure transparency and
accountability at the community level?

Steps in Designing a Community Participation Profile

4. What resources and skills are available in the community


to contribute to reconstruction or other aspects of
recovery (skilled and unskilled labor, building materials,
land, and wealth)?
5. What are the attitudes toward and demand for
participation in the reconstruction process?
6. What training will be required for the community to be
successful in carrying out its responsibilities?

Not surprisingly, consultation with and involvement of


a community are the best approaches for gathering the
information needed to develop a CPP. The entire community
does not need to participate; however, those who do should be
relatively representative of the affected community that may
participate in reconstruction.

Define approach and objectives


Use town hall meetings and working groups. Engage with the community from the start of a reconstruction program to establish a transparent working
relationship. Prepare and review an agenda for working sessions that includes identifying expected outcomes from the meetings. Working groups should
include a broad range of community members. If good representation of all groups is difficult to accomplish, hold additional sessions to gather other
views. Elements to discuss with the community are presented below.
1. Expected outputs

Explain and validate what is expected from the process, including:


n a

description of the communitys population;

n an
n a
n a

organigram of the communitys political structure;

list of the communitys skills and resources;

statement of the communitys commitment to participate and any conditions that


may limit or enhance
This Chapter is from "Safer Homes,
participation;
Stronger Communities: A Handbook

for Reconstructing after Natural


Disasters," published by the World Bank
n priorities and needs in the reconstruction program, such as retrofitting, relocation,
and livelihood
in January
2010. Additional chapters,
activation.
other resources, and ordering
information for the handbook can
Identify facilitators with local language capacity from the community or outside to manage
consultations.
be foundthe
at the
handbook Web site:
www.housingreconstruction.org.
n a

2. Facilitation
3. Review

history of past experience in disaster reconstruction; and

Organize community review sessions to verify and validate results of the consultations.

Data collection
Divide the community participants into working groups. Collect data and conduct analysis using existing data and new data collected by working groups.
1. Population

Population and demographics of the community, and impact of the disaster on these characteristics

2. Education

Literacy by gender, age, economic group

3. Cultural aspects

Languages, religions, and customs that enhance or limit participation, such as womens ability to participate in
meetings, segregated sessions, and preferences for community gatherings

4. Resources/skills (human,
technical, financial)

Community structure, how representative, inclusive, and participatory it is


Experience in managing funds, designing and implementing activities, monitoring and evaluation
Nature of any system for community financial contribution
Nature of household economic activities

C H A P T E R 1 2 : C O M M U N I T Y O R G A N I Z I N G A N D PA R T I C I PAT I O N

195

5. Current community responsibilities Community responsibilities, such as school maintenance, service provision, etc.
6. Community political structure

How local governance structures are put in place (election, appointment, etc.)
Whether there is a traditional structure in addition to the political-administrative system

7. Reconstruction program

Tap into the housing condition assessment, among other sources, to identify what will need to be accomplished
in reconstruction

8. Attitudes, demands, and


expectations

Map the range of attitudes, expectations, and level of interest of various subgroups of the community toward
participation in the reconstruction program.

Validate data
Organize community review sessions to verify and validate results of the data collection and consultations.

Present findings and agree on action plan


The findings of the community self-assessment will help determine the assistance that will be necessary to support a participatory approach to
reconstruction. This activity should be done jointly with agencies offering to assist with reconstruction in the community, since it will help them
understand what will be necessary to successfully carry out participatory reconstruction. After the findings are reviewed, the following issues must be
agreed upon.

1. Organizational proposal

How to structure participation, such as size of groups, internal organization, etc. Roles and responsibilities of
individuals, families, local government, etc.

2. Governance structure

How to organize decision making, measures for transparency and accountability, monitoring, sanctions, etc.

3. Need for institutional


strengthening

Requirements to improve governance, transparency, financial administration of groups

4. Need for facilitation

Proposal for scope and nature of facilitation function

5. Need for training

Training activities for individuals, their focus, desired results, institutions that can provide the training, sources
of funding

6. Need for outreach

Outreach activities that will be necessary to include the larger community in the reconstruction program

7. Budget

Budget for community participation activities

For access to additional resources and information on this topic, please visit the handbook Web site at www.housingreconstruction.org.

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S A F E R H O M E S , S T R O N G E R C O M M U N I T I E S : A H A N D B O O K F O R R E C O N S T R U C T I N G A F T E R N AT U R A L D I S A S T E R S

This Chapter is from


Safer Homes, Stronger Communities: A Handbook for
Reconstructing after Natural Disasters,
published by the World Bank in January 2010.
Additional chapters, other resources, and ordering information for the
handbook can be found at the handbook Web site:
www.housingreconstruction.org.

2010 The International Bank for Reconstruction and Development/


The World Bank
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Please cite this paper as:


OECD/Noya A. Clarence E., Community capacity building:
fostering economic and social resilience. Project outline and
proposed methodology, 26-27 November 2009, working
document, CFE/LEED, OECD,
www.oecd.org/dataoecd/54/10/44681969.pdf?contentId=44681
970
.

Community capacity
building: fostering economic
and social resilience
PROJECT OUTLINE AND PROPOSED METHODOLOGY

Antonella Noya and Emma Clarence

OECD LEED Programme

CFE/LEED(2009)21

TABLE OF CONTENTS

Introduction ..................................................................................................................................................3
Context .........................................................................................................................................................3
Some key lessons for policy makers ............................................................................................................4
Some areas to be explored ...........................................................................................................................7
Methodology: Project outline and review framework .................................................................................8
Objectives .................................................................................................................................................8
Detailed stages of the project ...................................................................................................................8
Timing ........................................................................................................................................................10
Budget ........................................................................................................................................................10
Bibliography ..............................................................................................................................................11

Figures
Figure 1. Community Capacity Building - Local Multiplier Effect
(combining social and economic factors) ....................................................................................................5

Boxes
Box 1. Gellideg Foundation Group Gellideg, Wales (UK) .......................................................................6
Box 2. Palmas Bank Brazil .......................................................................................................................7
Box 3. Brief overview of review activities ................................................................................................10

This note presents the proposed methodology for a project on Community Capacity Building: Fostering
Economic and Social Resilience [CFE/LEED(2009)21], prepared as a follow-up to the discussion held at
the 54th session of the LEED Directing Committee in May 2009 on the draft report on Community Capacity
Building [CFE/LEED(2009)10].

CFE/LEED(2009)21

Introduction
1.
Community capacity building (CCB) focuses on enabling all members of the community,
including the poorest and the most disadvantaged, to develop skills and competencies so as to take greater
control of their own lives and also contributes to inclusive local development. Not only can communities
be more cohesive but they can also be more resilient and better placed to confront economic and social
challenges. Meaningful and effective community capacity building can be stimulated and fostered by
national and local governments, and by the capacity which communities have already developed, so that
power becomes increasingly embedded within them.
2.
CCB has developed as a concept because of the need for strategies to address major social and
economic decline in towns, cities and regions experiencing significant economic change and the
consequences of deep-seated and long term worklessness and benefits dependency.
3.
Following the OECD study on Community Capacity Building (presented and approved at the
52nd LEED Directing Committee and published in 2009 as Community Capacity Building: Creating a
Better Future Together), further ideas are presented here as to how to extend and embed its analysis into a
broader programme of work.
4.
This document presents, in detail, a project of work on Community Capacity Building: Fostering
Economic and Social Resilience, its methodology, objectives and outputs. The specific focus of the
project is to enhance local and national governments capacity to design and implement strategies to build,
rebuild and sustain community capacity especially in deprived communities and in towns, cities and
regions suffering from economic decline, worklessness and benefits dependency. To this end the project
will identify the current approaches to CCB, the obstacles to designing effective CCB strategies, together
with the drivers to more effective empowerment at local level. Emphasis will also be put on the skills and
institutions needed in a community to actively build or rebuild local social and economic life.
Recommendations will be developed and international examples of good practice (learning models) will
be provided.
Context
5.
Today the developed world is faced with a new wave of industrial change remaining industrial
centres in Western Europe and North America are threatened with the same decline experienced by similar
towns and cities twenty to thirty years ago. The financial crisis and global recession will see, and are
already witnessing, restructured companies closing large industrial facilities and other major employment
sites; car plants are likely to close in cities in the US, France, Belgium, Italy, Spain, Portugal, Germany and
the UK; major steel production centres are under threat in the UK, Belgium, Germany and Scandinavia.
These developments are often combined with steady economic decline. Many towns, cities and regions are
still looking for new types of economic purpose in the future; new specialisms, greater diversification, new
forms of entrepreneurship. There is a danger that the most fragile locations in the developed and
developing world are bearing a disproportionate brunt of the global slowdown. Unemployment and
business closures are rising fastest in those areas of the advanced world where worklessness and low
business activity were already problematic. Furthermore, localities emerging from political conflict and
division often remain fragile for generations. Poverty, exclusion and worklessness are inherent in affected
communities and exacerbated at times of economic downturn.
6.
Such realities are a central part of the rationale for continuing and expanding the work on
community capacity building. There are many areas (from the neighbourhood to the country level) that
require economic and social strategies that enable them to build, or to continue rebuilding local

CFE/LEED(2009)21
communities and economies. Indeed, for some years to come it will be necessary to preserve community
capacity and assets in order to maintain social and economic conditions. At the same time, there are also
places where capacity building strategies can help to build economic and social assets during longer term
growth phases. By building capacity, communities will be in a better position to meet the challenges of the
current crisis and to be more resilient to the next economic downturn. Better jobs, increased levels of
entrepreneurship, positive social capital indicators, business performance and sustainability are all potential
indicators of the resilience which increased community capacity can bring to local areas.
7.
There are major tensions between national, regional and local governments to develop strategies
that build, rebuild and preserve economic and social infrastructure in communities. Balancing national and
local priorities is always difficult but in the present economic and political circumstances it is an even
greater challenge. However, there is a widespread appetite amongst governments to act decisively at both
local and national levels in the current crisis and there is a need to find an appropriate balance between
these sometimes competing objectives. The priorities at all spatial levels are to build community capacity,
to rebuild capacity in deprived cities and regions, and to sustain such activity in difficult economic times.
Jobs, entrepreneurship and business performance are key tangible areas to which community capacity
building can contribute, and this is accompanied by more intangible factors including increased social
capital and social cohesion.
Some key lessons for policy makers
8.
From the work already undertaken by OECD LEED (Noya et al. 2009; Noya, 2009; Noya and
Clarence, 2007) a number of key lessons for policy makers can be identified.
9.
Firstly, policy makers should specifically construct services and strategies that are aimed at
stimulating enterprise, social capital and community capacity in deprived areas. It is important that in
doing so, policy makers should pursue as broad an approach as possible with concurrent strategies aimed at
stimulating capacity and activity at the personal and household level, in the public and private sectors and
through the third sector.
10.
Secondly, policy makers should resist the conflation of the social economy and capacity building
with just one or two sectors in a community. Capacity building and the stimulation of higher levels of
social capital and networks will be best achieved through an understanding of the broader base of activities
and organisations that create and contribute to the most positive forms of social capital and community
capacity.
11.
Thirdly, policy makers should maximise the inter-relationships between the social economy (and
community capacity) and other sectors, as well as following policies that boost either private sector
entrepreneurship or the third sector in isolation. Vertical approaches in policymaking and service delivery
must be complemented with horizontal interventions and strategies.
12.
Fourthly, policy makers should ensure that support for example, information, mentoring and
finance is focused on a broad range of people, services and agencies. Support for organisations that lock
in economic and social benefits to a particular community is vital. Such organisations might include local
co-operatives, credit unions, time banks and other third sector or social economy organisations as well as
private sector entrepreneurs and small businesses.
13.
Fifthly, policy makers should create civic infrastructure capacity for well-being and spaces for
social interaction and networks. Community and business spaces and social networks without obvious
economic benefits should be part of a comprehensive approach to capacity building. Spaces for people and

CFE/LEED(2009)21
groups to meet, for communities to come together are important aspects of all places and are conscious
elements within the creation of new business locations, such as in Barcelona and Stockholm.
14.
Sixthly, policy makers should understand that most decisions and support should be exercised
within communities as much as is practically possible. Social capital or community capacity is less likely
to be created or sustained from the outside. Ultimately, it is the community and its residents that have the
strongest understanding, ability and motivation to shape it for the better.
15.
Practically, these measures will help to build stronger, more resilient communities with greater
community capacity and improved relationships between all sectors and individuals within a community.
These principles help to create the conditions through which new forms of social and economic activity
might be generated within any given location. It also enables private sector employers to locate in an area
and to build better, more economically and socially sustainable businesses in conjunction with local
knowledge and networks.
Figure 1. Community Capacity Building - Local Multiplier Effect (combining social and economic factors)

Source: Reproduced with permission from Westall, Ramsden and Foley (2000).

16.
Perhaps the most important lesson for policymakers is that all policies which support any type of
sector or activity are also based on building the assets, capital and networks of individual people and
households. As individuals or members of a household we all have a stake in our local communities,
whether through working for or running a business, volunteering for a local charity, engaging in education,
playing in a local sports team or responsible in some way for a public service in the area. We demonstrate
this confluence of interests and activities in every day or week of our lives. The proportions of time
5

CFE/LEED(2009)21
allocated to each type of activity vary from person to person and place to place, but overall we are all
examples of how blurred definitions and interconnections between different economic activities are
utterly commonplace in households or in individual peoples lives.
17.
The economic multiplier effect demonstrates that it takes all sorts of actors and assets to develop
or to build enterprise and capacity in an area. The capacity of an area to develop is dependent on the
private, public and voluntary sectors as well as on households and individuals who are resident there.
Measures to promote private sector and social entrepreneurship are a prerequisite for successful and
sustainable regeneration. There are many strategies that will help to turn a deprived area around, but the
most effective will be the ones that bring the best of the private, public and third sectors together and that
recognise that most people will play some role in all three.
18.
It is clear that social innovation1 is playing, and will play a critical role in the short, medium and
long-term as communities, cities, regions and states, seek to rebuild during and after the current economic
crisis. The importance of social innovation in addressing multiple and complex issues should not be
underestimated and effective community capacity building is a positive example of social innovation in
practice.
19.
Two short cases one from Wales (Box 1) and the other from Brazil (Box 2) highlight the way
in which community capacity building can not only promote job creation and employment opportunities,
but also address wider social issues.
Box 1. Gellideg Foundation Group Gellideg, Wales (UK)
In 1998 the Gellideg Foundation Group was established on the Gellideg estate in Wales by six women. In an
area of high, long-term unemployment, the Foundation has become a central actor in addressing the complex
problems which confronts the community. With its mix of activities the Foundation has not only sought to address the
employment and training needs of the community, but is also focusing on raising low social aspirations.
The Foundation recognises that, beyond the availability of jobs, the social infrastructure of the community is
critical in raising living conditions. The local Time Bank (where volunteers build credits by donating time which in turn
can be used, for example, in local events and activities as well as in the community hairdressers and community caf)
is a central part of the community; in a community of 600 families there are 220 regular volunteers, 150 of whom are
children. Alongside the time bank, which provides valuable employment experience and has helped people into paid
employment, are other community activities that also help to build and sustain community cohesion, such as a
community caf which a catering club now sells its produce to, tea dances and a walking club. The latter is in turn
linked to an agenda for improving the health of the local communities, which has led to the establishment of a local cooperative selling fruit and vegetables.
The Gellideg Foundation Group views the community holistically and looks not only to the creation of
employment opportunities but to the wider needs of the community, recognising that ensuring more and better jobs
requires an approach which works by addressing complex social and economic problems. The Foundation is a positive
example of community capacity building in action.

1.

More information on social innovation, as well as on activities undertaken by the OECD LEED
Programme in this area, can be found at:
http://www.oecd.org/document/53/0,3343,en_2649_34459_39263221_1_1_1_1,00.html

CFE/LEED(2009)21

Box 2. Palmas Bank Brazil


In Brazil, Palmas Bank, a community bank, was opened in Conjunto Palmeiras, a community in the north-eastern
region of Brazil with approximately 30 000 residents. Confronting significant local difficulties, including a lack of basic
services such as water, electricity, transport and health services, the Association of Residents of Conjunto Palmeiras,
proposed a community bank as way of helping themselves.
Palmas Bank has three main characteristics: management responsibilities are borne by the community; there is
an integrated system of local development which promotes credit, production, commercialisation and training; and the
bank issues a local currency (Palmas currency), which complements the official currency (Real) and is accepted and
recognised by local producers, merchants and consumers, thereby creating an alternative and solidarity market within
the community. The Bank has also developed an economic system which has an alternative micro-credit line (for
producers and consumers), incentive tools for local consumption (credit card and social currency) and new ways of
commercialisation (fairs, solidarity shops/stores) promoting local job creation and income generation.
Aside from the currency the Palmas Bank seeks to address community needs by engaging in programmes to
provide training to vulnerable young people and women; to raise awareness of the community benefits of consuming
local goods and services and the wider benefits of the solidarity economy; to help build a network of local producers
and traders; and, to promote the development of local co-operatives. Much like the Gellideg Foundation Group, the
Palmas Bank takes an holistic view of the community and seeks to address the multi-faceted combination of factors
which are needed to create sustainable jobs and local development.

20.
From Wales to Brazil, such examples demonstrate the important and positive role community
capacity building can have in creating and sustaining an environment in which employment opportunities
can be created, whilst simultaneously recognising that community needs must be addressed for
communities to be strong and resilient. Indeed, what is evident from these two examples is the importance
of recognising the strong interconnections between job creation and wider community capacity building
activities. However, community capacity building is not a quick-fix to the problems of local
communities. Rather, it is an essential part of a sustained approach to local development.
Some areas to be explored
21.
Stemming from the key lessons already identified it is possible to identify a range of issues which
could be further explored:
How, specifically, can community capacity building strategies help to address the effects of the
economic crisis by supporting entrepreneurship and the creation of more and better jobs?
How can community capacity building contribute to embedding and sustaining more and better
jobs in local communities?
How do we bring together policies that promote community capacity, build private and third
sector enterprise and improve economic performance?
How can the design and delivery of key public services such as welfare to work, adult education
and training help to build and/or reinforce community capacity?
What local assets are important in a community and how can community capacity building
strengthen their input to social and economic development?
22.
Clearly linked to such issues are the wider ones of creating social capital and fostering social
cohesion. As the two examples above suggest community capacity building has an important role to play in
7

CFE/LEED(2009)21
job and enterprise creation, however its role also extends beyond this to building social assets which in turn
feed into positive economic outcomes. How community capacity building can contribute to these outcomes
is therefore a relevant issue to address.
Methodology: Project outline and review framework
23.
The purpose of the project is to provide guidance to governments and other stakeholders on the
design and implementation of effective strategies for community capacity building.
Objectives
Paint a comprehensive picture of the strategies for community capacity building in a given
territory and their effectiveness by considering its contribution to economic and social resilience
in an area and overall performance and sustainability.
Assess the effectiveness of community capacity building policies in building resilience by
monitoring overall performance in employment (more and better jobs), enterprise (new business
start ups), productivity (GDP per capita) and reduced benefit dependencies.
Assess the effectiveness of community capacity building by monitoring wider social performance
in areas including social capital, crime levels, public health and community participation.
Identify appropriate, relevant good practice (learning models) examples.
Propose specific recommendations taking into account the unmet needs of the area surveyed and
assist policy-makers in developing a sound understanding of the way in which community
capacity building can contribute to a specific area, including employment, participation, etc.
Detailed stages of the project
24.
One of the key methodological approaches used by the OECD is the cross-country study. This
involves bringing together a team of international experts and/or academics to exchange views and
experiences with the main stakeholders in the fields of analysis. The aim is to help identify the strengths
and weaknesses of current approaches, to make recommendations for policy development and to provide
learning model policy and programme examples to help inspire the development of locally-tailored
approaches. It is anticipated that a core team of experts will be identified, who will participate in all of the
reviews. Accompanying this core team will be ad hoc experts, chosen as specialists in the area under
review. This section sets out a broad proposed framework for a review of the capacity to build community
capacity in line with the specific needs of individual countries.
Conducting the review
25.
Before the review is undertaken, discussions will be held between representatives from the
OECD Secretariat and its partner organisations to ensure that the review is appropriately adapted to the
areas and issues which the partner(s) wish to address. The specific areas to be addressed will be ascertained
during initial discussions with partner(s), according to the situation of the selected countries and territories.
Background and diagnostic report
26.
Working with an expert from a participating country, current community capacity building
activities will be assessed. This may be in general terms or with specific groups in mind, depending on the

CFE/LEED(2009)21
objectives of the partners. Existing institutional frameworks, national and sub-national government
programmes and policies for community capacity building, both generally and with regard to specific areas
(such as for the creation of jobs, wider local economic development, etc.) will be examined. It may also be
possible to utilise an on-line survey to feed into the background report in order to speedily identify the
range of community capacity building activities being undertaken.
Review panel
27.
The OECD has a strong and extensive international network of practitioners and experts on
policies relating to community capacity building. It will use these experts to secure an exchange of
information on practices in other countries. In particular, practitioners and experts will participate in
workshops and study visits to discuss issues and policy responses with local counterparts and will prepare
the final report setting out their perspective on policies and programme approaches from other countries
that could help inspire further policy development in the country being reviewed. The panels knowledge,
expertise and access to information will permit the comparison of local community capacity building
policies and programmes with international benchmarks on successful approaches and pitfalls to avoid.
Case studies and study visits
28.
Following discussion with partners, a small number of case studies might be identified as
appropriate to the review. Study missions will be conducted by the review panel during which meetings
will be held with partners, national and local government actors, and other relevant stakeholders, to
establish the strengths and weaknesses of current institutions and policies in light of international good
practices.
Workshop(s)
29.
Workshops may be held in order to facilitate the dissemination of the discussion paper and its
findings to policy makers and other involved actors. Such workshops will assist in refining the discussion
paper and its recommendations, before the final report is prepared.
Final report
30.
Following the workshops and discussions, a final report will be prepared which will contain
policy recommendations and international learning models.
Other activities capacity building seminars
31.
Other activities could be added to the review process, subject to discussion with partner(s).
These may include further case studies; capacity building seminars following the discussion paper and/or
the final report; national seminars to present the results; and international seminars to challenge the results
at international level.
32.
It is also possible hold free-standing capacity building seminars (single to multiple day events) on
community capacity building. These would be tailored to the specific focus as agreed, and could include
themes such as community capacity building for: employment, social cohesion, local economic
development, etc.

CFE/LEED(2009)21

Box 3. Brief overview of review activities


A start-up working meeting or conference call to discuss the project review process with the main partners;
Preparation of a background report on the country conditions by a local expert;
A field visit by the international expert panel involving interviews with national administration and visits to
regional and/or local actors, including governmental and organisations other relevant stakeholders ;
A final synthesis report, including policy recommendations for national and local policymakers and;
A seminar/roundtable discussion to present the final report (optional).

Timing
33.
The implementation of the review process is expected to take between 9 and 12 months. The
project is expected to start in 2010 and could continue during 2011-2012.
Budget
34.
The review (and other activities) will be financed by the participating countries and organisations
involved. A detailed budget will be prepared upon request, based on a clear identification of the scope of
the review and the activities to be conducted during the review process.

10

CFE/LEED(2009)21

BIBLIOGRAPHY

Noya, A. (ed.) (2009), The Changing Boundaries of Social Enterprises, OECD, Paris.
Noya, A., E. Clarence and G. Craig (eds.) (2009), Community Capacity Building: Creating a Better Future
Together, OECD, Paris.
Noya, A. and E. Clarence (eds.) (2007), The Social Economy: Building Inclusive Economies, OECD, Paris.
Westall, A., P. Ramsden, and J. Foley (2000), Micro-entrepreneurs: Creating Enterprising Communities,
IPPR and NEF, London.

11

Engaging Queenslanders:
A guide to community engagement
methods and techniques

Table of Contents

The purpose of this guide ................................. 3


Acknowledgements ........................................... 4
1 Planning community engagement ............... 5
1.1 Introduction.............................................. 5
1.2 Planning community engagement ........... 5
1.3 Deciding on the level of engagement ...... 6
2 Choosing engagement techniques .............. 8
2.1 Agency issues ......................................... 8
2.2 Community issues ................................... 8
2.3 Process issues .......................................11
3 Information-sharing techniques................. 14
3.1 Advertising............................................. 14
3.2 Online information processes ................ 15
3.3 Briefings ................................................ 15
3.4 Education and awareness programs ..... 16
3.5 Fact sheets ............................................ 16
3.6 Newsletters ............................................ 17
3.7 Media stories ......................................... 18
3.8 News conferences ................................. 19
3.9 Telephone hotline .................................. 19
3.10 Displays ................................................. 20
3.11 Newspaper inserts................................. 20
3.12 Community fairs or events..................... 21
3.13 Community meetings............................. 22
3.14 Shop fronts ............................................ 22
3.15 Informal club forums .............................. 23
4 Consultation techniques............................. 24
4.1 Discussion groups and workshops ........ 24
4.2 One-on-one interviews .......................... 24
4.3 Open days ............................................. 25
4.4 Polls ....................................................... 26
4.5 Road shows........................................... 27
4.6 Survey research .................................... 27
4.7 Web-based consultation ........................ 28

5 Active participation techniques ................. 30


5.1 Action research ..................................... 30
5.2 Advisory committees ............................. 31
5.3 Charrettes .............................................. 32
5.4 Citizens juries ....................................... 32
5.5 Community reference groups ................ 33
5.6 Deliberative retreats .............................. 34
5.7 Drama workshops ................................. 34
5.8 Learning circles ..................................... 35
5.9 Design workshops ................................. 36
5.10 Focus groups......................................... 37
5.11 Participatory editing ............................... 38
5.12 Precinct committees .............................. 38
5.13 Partnerships for active participation ...... 39
5.14 Future search conferences.................... 40
5.15 Imagine.................................................. 42
5.16 Negotiation Tables ................................. 42
5.17 Nominal group workshops ..................... 43
5.18 Photovoice............................................. 44
5.19 Policy Action Teams............................... 45
5.20 Fishbowls .............................................. 45
5.21 Planning for Real ................................... 46
5.22 Open Space Technology ....................... 47
5.23 Citizens panels ..................................... 48
5.24 Deliberative polling ................................ 49
5.25 Summits ................................................ 50
5.26 Collective learning technique
(also known as World caf) ................... 51
5.27 Community visioning ............................. 52
5.28 Community cultural development .......... 52
6 Feedback and follow-up.............................. 54
6.1 Providing participants with feedback ..... 54
6.2 Following up on engagement ................ 54
6.3 When should feedback and
follow-up occur? .................................... 54
6.4 How should feedback be given ............. 55

Engaging Queenslanders A guide to community engagement methods and techniques

7 Celebration, transition and handover ........ 56


7.1 Community celebrations ........................ 56
7.2 Transition and handover ........................ 56
7.3 Lifecycles phases of
community engagement ........................ 57
8 Evaluating engagement activities .............. 58
8.1 Guidance on evaluating
community engagement ........................ 58
8.2 What does evaluation involve?.............. 59
8.3 Developing an evaluation
framework ............................................. 59
9 Managing contractors and consultants .... 60
9.1 Choosing and managing
contractors/consultants ......................... 60
10 References and further resources ............. 62
10.1 Summary of relevant online
resources ............................................... 62
10.2 References for planning and
implementation of effective community
processes .............................................. 63
10.3 References for specific
community groups ................................. 63

Engaging Queenslanders A guide to community engagement methods and techniques

The purpose of this guide

Engaging Queenslanders: A guide to community


engagement methods and techniques brings
together introductory information on a range of
traditional and innovative techniques. It is intended
to assist public officials at all levels and other
practitioners to choose the most appropriate
community engagement process. Strengths and
weaknesses are summarised for each technique to
support decision making.
A broad spectrum of community engagement
techniques can be used by clients and
other agencies to engage with citizens and
stakeholders. Some are designed specifically to
share information or to elicit views and opinions,
while others aim to effectively involve people in
government planning, decision-making, service
delivery and evaluation.
This guide is not intended to provide detailed how
to information on each of the methods described.
References and website details are provided
for each of the techniques so more detailed
information can be accessed to support the
effective use of these techniques.
This guide acknowledges that the most appropriate
community engagement technique for any given
circumstance will be determined by the issue,
the engagement objectives and goals, the
stakeholders and the available resources. In some
instances a range of engagement techniques
beyond those outlined in this guide may be
required or a technique may have to be adapted
to suit particular circumstances. Information about
other resources which may inform decision-making
about engagement processes is provided at the
end of this guide.
No single engagement technique will suit every
issue. Using more than one technique in an
engagement activity may provide the opportunity
for government to reach beyond its usual

stakeholders and to increase representation and


participation.
This guide is part of a suite of resources being
produced by the Department of Communities, in
collaboration with other agencies, to support and
promote effective community engagement practice
across the public sector.
The first seven resources in the suite, available on
the governments community engagement website
www.getinvolved.qld.gov.au are:
Engaging Queenslanders: Improving
community engagement across the
Queensland Public Sector
Engaging Queenslanders: An introduction to
community engagement
Engaging Queenslanders: Community
engagement in the business of government
Engaging Queenslanders: A guide to
community engagement showcasing events
Engaging Queenslanders: Evaluating
community engagement
Engaging Queenslanders: Introduction to
working with Aboriginal and Torres Strait
Islander communities
Engaging Queenslanders: A guide to
engaging people with a disability.
An electronic version of these guides are also
available on the website.
Further resources being developed include:
Engaging Queenslanders: Introduction to
working with culturally and linquistically
diverse (CALD) communities
Engaging Queenslanders: An information kit
for culturally and linquistically diverse (CALD)
communities connecting with the Queensland
Government
Engaging Queenslanders: Government and
communities working together.

Engaging Queenslanders A guide to community engagement methods and techniques

Acknowledgements
We wish to acknowledge the following for
contributing photos included in this guide.
Community Renewal (Department of Housing)
Wendy Sarkissian
Second Cohort of the Graduate Certificate in
Interprofessional Leadership (UQ)

Engaging Queenslanders A guide to community engagement methods and techniques

Planning community engagement

1.1 Introduction

1.2 Planning community engagement

The Queensland Government, like many others


nationally and internationally, has recognised
the value of engaging community members
in decision-making processes. Broadly,
engagement allows governments to tap into
wider perspectives, sources of information,
and potential solutions to improve decisions
and services. It also provides the basis for
productive relationships, improved dialogue
and deliberation, and ultimately, better
democracy.

A key task for public agencies and officials in


planning community engagement is to assess
which engagement techniques are most
appropriate in the particular circumstances.
To plan effectively, other useful resources
and websites are listed in section 10. These
resources provide detailed information for planning
community engagement with specific community
groups.

Being able to have a say and to get involved


is expected in a democratic society. Whilst
feedback is often positive, it also sometimes
indicates that approaches to communication
and consultation have not been as good as
might be expected. There is a significant
challenge in being able to provide avenues for
involvement that are inclusive, productive and
cost-effective, within the parameters of our
system of government, and the diversity of our
community.
The Queensland Government has responded
to citizen expectations and international trends
with a significant commitment to improving
community engagement. The correct
application of the methods described in this
guide will support improved government
and better outcomes for clients, citizens and
communities.

The first steps of planning any engagement


process are to clarify the engagement objectives
and the desired levels of engagement. Engaging
Queenslanders: Community engagement in the
business of government (www.getinvolved.qld.
gov.au) includes a useful checklist to support this
planning process. Once these decisions have been
made, appropriate engagement techniques can be
selected.
It is important that decisions about how best to
engage the community be made early in the
planning stage of policy, program or service
development. Involving stakeholders in the
planning stage will help create a sense of
ownership of the issue and enable clients, citizens,
communities and government to work together
to determine the most appropriate approach to
engagement.

Engaging Queenslanders A guide to community engagement methods and techniques

1.3 Deciding on the level of engagement


Careful consideration needs to be given to
determining and delivering an appropriate level of
engagement, deciding which stakeholders should
be involved, the issue to be considered and the
objectives of engagement.
The Queensland Government has adopted the
Organisation for Economic Cooperation and
Developments (www.oecd.org) engagement
model:
information

consultation

active
participation

Increasing level of stakeholder influence


Adapted from Engaging Queenslanders: An introduction to community engagement

Information, consultation and active participation


can be considered along a community engagement
continuum, with increasing levels of engagement
and influence towards the active participation end
of the spectrum.
Each of the levels of engagement are appropriate
in particular circumstances to achieve particular
outcomes. Whilst there has been a shift towards
agencies using engagement strategies which are
more consultative or involve greater community
participation, at times it will be necessary to
engage at two or more levels to achieve the
desired outcomes.
Information
Information provision is a one-way relationship
in which government disseminates information to
citizens and clients. It covers both passive access
to information by people via a range of avenues
such as the telephone, publications and websites,
and more active measures by government to
disseminate information through education and
awareness activities.

Effective information strategies require


information that:
is accurate, easy to access and easy to
understand
is relevant and interesting to the intended
audience
is delivered through appropriate channels
is tailored where necessary in language, style
and content and
directs citizens to where they can access
further information if required.
The effectiveness of government information
sharing and information sharing processes
should be evaluated with opportunities for
citizens and clients to provide feedback. Chapter
eight discusses the evaluation of community
engagement processes.
Consultation
Consultation is a two-way relationship in which
government seeks and receives the views of
citizens, clients or communities on policies,
programs or services that affect them directly
or in which they may have a significant interest.
Consultation can occur at various points in the
process of planning or developing policies,
programs or services and can be used to help
frame an issue, identify or assess options and to
evaluate existing policies, programs or services.
Consultation can involve issues that are specific or
quite general.
Critical elements of effective consultation include a
shared understanding of how community input will
inform policy or decision-making processes and
timely feedback to participants on how the input
contributed to the final outcome.

Engaging Queenslanders A guide to community engagement methods and techniques

Active participation
Active participation recognises and acknowledges
a role for citizens and clients in proposing and/or
shaping policy dialogue, program and service
options. Participation is achieved through a
range of deliberative techniques such as citizens
juries, citizens panels, search conferences,
negotiation tables, steering committees, and
reference groups. Such processes engage people
in active partnership and/or co-production with
government. Deliberative processes often take
time and resources as participants need to build
their awareness and knowledge about the issues in
order to contribute effectively.
Active participation processes enable people to
raise their own issues with government and can
also encourage or enable participants to take
responsibility for their contribution to solutions.
Responsibility for the final decision usually rests
with government but may, in some instances, be
shared with citizens, communities or stakeholders.
It is critical that the final decision maker is
predetermined and agreed in the planning process.
Involvement of citizens/stakeholders and
communities in government planning or decisionmaking requires specific techniques to facilitate
learning, debate and the development of options
and proposals. Public sector employees seeking
to facilitate such processes also require significant
skills, often different from those required for
information or consultation, in order to achieve
effective outcomes.

Engaging Queenslanders A guide to community engagement methods and techniques

2
Choosing engagement techniques

When deciding which engagement method


or technique to use in a particular situation
or with a particular group, it is important to
consider a number of issues including:
agency issues
community issues and
process issues.

2.1 Agency issues


A number of corporate or agency issues will
influence decision-making about the use of
methods and tools. Some of these issues are
summarised in the following table.

Agency issue

Considerations include

Goals and objectives

Community to be targeted

is the agency targeting:


a geographic community?
an ethnic or faith community?
an Indigenous community?
a professional community?
a community of interest?
some combination of the above?
are other agencies also engaging this community? Is collaboration
possible?

Political environment

what level of political support or awareness exists about the proposed


engagement?
is your process part of a broader government agenda?
is this a contested issue?

Capacity to influence

is this a government or a community initiated activity?


what decisions have already been made?
what decisions can the community have input into?

Legislative environment

is engagement required by legislation?


are any parts of this project or engagement process supported or
constrained by legislation?

Policy and planning cycles

where does your engagement fit within the policy or planning cycle?

Resources

what resources are available to support the engagement, for example:


skilled facilitators and managers?**
information and communication technologies?
engagement structures such as Advisory Committees?
budget allocation?
staff time?

why is the agency engaging the community?


what does the agency hope to achieve from the engagement?
what time commitments must be met?
do the benefits of engaging outweigh the costs of not engaging?

**The availability of staff and/or consultants with the skills to implement engagement techniques is a key consideration. Competencies for
community engagement have been included within the Public Sector Training Package www.pseta.gov.au. Tools for recruiting, selecting,
inducting and performance managing staff with engagement skills can be found at www.getinvolved.gov.au
8

Engaging Queenslanders A guide to community engagement methods and techniques

Agency issue

Considerations include

Corporate culture

is there a community engagement framework, policy or similar to support


this process?
is there a high level of understanding of, and commitment to engagement
within the organisation?
is there an openness to use more innovative engagement processes?

2.2
Community issues
Communities are increasingly more diverse and are
not generally a homogenous group. They can be
categorised into either communities of interest, and/
or geographical communities. The primary aim of
any community engagement process is to connect
with the community. In order to do this effectively,
it is important to develop a sound understanding
of that community. This understanding can be
achieved via a number of processes.

Community profiling involves reviewing a


range of data sources to build a picture of the
demographic makeup of a community and in the
case of geographic communities; the land use
mix, population trends, business and employment
patterns and available infrastructure. Community
profiles can be established to inform decisionmaking for a specific engagement process.
Organisations including local governments and
community based organisations may have existing
community profiles which could be useful.

Media research can be undertaken by scanning stored


print and electronic media articles. Such a scan may
provide useful information about the frequency with
which particular issues are raised in the community
and what responses have been made, the location
of hot spots, community spokespeople and whether
public opinion is positive or negative.
Talking with others within or beyond your own
organisation may provide useful information about
the community and any previous engagement
processes and outcomes.
Undertaking one or more of these research processes
will reveal important community features that will
impact upon decision-making about appropriate
community engagement methods and techniques.

Stakeholder segmentation is a way of clustering the


community into groups. By identifying the nature and
size of segments within a community it is possible
to design a community engagement strategy which
ensures balanced engagement with each of the
identified groups.

Engaging Queenslanders A guide to community engagement methods and techniques

Community feature

Considerations include

Demographic features

what is the age and gender mix?


what levels of literacy exist?
what is the socio-economic mix?
what languages are spoken in the community?
what cultural protocols are adhered to?
what percentage of the community is employed and when do they work?
do community members have access to transport?

Preferences for
engagement

have community members expressed particular preferences regarding engagement


eg. to be involved in information sharing, consultation or active participation?

Previous experience(s)
with government
engagement

has previous engagement with government been largely positive or largely


negative?
what percentage of the population has not previously engaged with government?
is there trust and connectedness within the community? Between government and
the community?

Capacity for
engagement

do community members have the knowledge needed to participate?


(eg. to critique planning models)
do community members have the resources needed to participate?
(eg. time, internet access)
do community members have the skills needed to participate?
(eg. public speaking)
do community members have access to necessary infrastructure needed to
participate? (eg. child care networks, transport and disability access)

Existing engagement
structures and
processes

are there existing networks, committees, structures to support engagement within


the community?
are there sporting, religious, professional and other groups who already engage
with the community? Will they support this engagement?
are there existing newsletters, radio stations, websites etc. that the community
accesses?

Nature of impact

who is directly impacted by the issue?


who is indirectly impacted by the issue?
who is interested but not necessarily impacted?
is public opinion positive, negative, divided or indifferent?

10

Engaging Queenslanders A guide to community engagement methods and techniques

2.3 Process issues


The Queensland Government has adopted six
guiding principles which provide the basis for
improved community engagement in Queensland
public sector processes.

The following table summarises some of the


questions which need to be considered when
selecting engagement techniques to ensure that
these guiding principles can be addressed.

Guiding principle

Considerations include

Inclusiveness

what consideration needs to be given to venues, language, print type, timing etc. to
ensure that engagement is accessible to all?
is capacity building required to enable all people to be effectively engaged?
what techniques are required to enable all voices to be heard?
what promotion is required to encourage wide participation?

Reaching out

are there groups of disengaged or unengaged people within the community who could
be engaged?
what will it take to engage these groups?
can engagement processes be implemented in times and places that are comfortable
to the community?
can engagement processes link with community radio stations, newsletters,
websites etc.?

Mutual respect

what will community members gain from being engaged?


how will community members contributions be recognised and valued?
how will community feedback on the engagement process be received and used?
will engagement processes be flexible to accommodate changing community issues?
is the agency listening or just talking?

Integrity

how can the honesty, openness and accountability of the engagement process be
demonstrated?
is there a commitment to carefully planning, implementing and evaluating the
engagement technique?
are there sufficient resources to implement the technique effectively including:
advertising and publishing, printing and circulating information?
hire of venue, facilitators, translators, child care staff?
catering, transport arrangements for a range of participants who would not
otherwise be able to attend, disability access for people in wheel chairs or using
prams, meeting costs?
time?
purchase or hire of equipment, stalls, marquees, workshop materials?
professional, technical, casual and support staff (some of which may have existing
networks with some of the participants?)
Engaging Queenslanders A guide to community engagement methods and techniques

11

Guiding principle

Considerations include

Affirming diversity

does information need to be provided in languages other than English and/or large
font format?
can the information be articulated to those who are illiterate or those with disabilities?
will diverse groups interact well in group situations or are parallel processes required?
are there cultural protocols which need to be honoured?
will targeted processes and/or culturally, age and gender appropriate facilitators
enhance the effectiveness of engagement?
have there been measures to cater for child care and/or people with a disability?

Adding value

will the technique build government and/or community capacity for future
engagement?
will the technique build trust between the agency and the community?
will the technique support sustainable community and/or government outcomes?

Having developed an understanding of the range of


organisational, community and process issues, it is
possible to make informed decisions about which
engagement technique(s) will be most effective.
Chapters three and four of this guide provide
summary advice regarding some of the more
commonly used information and consultation
techniques. Chapter five explores traditional and
innovative engagement techniques which support
the active participation of citizens and communities.
The classification of techniques into information,
consultation and active participation reflects how
the various techniques are generally used. It is
important to remember that some techniques
may be used for a variety of information sharing,
consultation and/or participation outcomes, for
example, shop fronts may be used to provide

12

information, to seek community opinion or to


facilitate local participation. The following table
provides an alphabetical listing of the techniques
discussed in this guide and the various levels of
engagement that they can support.

Engaging Queenslanders A guide to community engagement methods and techniques

Page

Participation

Consultation

Information

METHOD AND/OR TECHNIQUE


Page

Participation

Consultation

METHOD AND/OR TECHNIQUE

Information

Ready reference to tools and techniques


(alphabetical order)

Action research

30

Informal club forums

23

Advertising

14

Learning circles

35

Advisory committees

31

Media stories

18

Briefings

15

Negotiation tables

42

Charrettes

32

Newsletters

17

Citizens juries

32

News conferences

19

Citizens panels

48

Newspaper inserts

20

Collective learning techniques


(World caf)

51

Nominal group workshops

43

One-on-one interviews

24

Community cultural development

52

Community fairs/events

21

Open space technology

47

Community meetings

22

Online information processes

15

Community reference groups

33

Open days

25

Community visioning

52

Participatory editing

38

Deliberative polling

49

39

Deliberative retreats

34

Partnerships for active


participation

Design workshops

36

Photovoice

44

Discussion groups and


workshops

24

Planning for real

46

Policy action teams

45

Displays

20

Polls

26

Drama workshops

34

Precinct committees

38

Education and awareness


programs

16

Road shows

27

Shop fronts

22

Fact sheets

16

Summits

50

Fishbowls

45

Survey research

27

Focus groups

37

Telephone hotlines

19

Future search conferences

40
42

Web-based consultation
processes

28

Imagine

Engaging Queenslanders A guide to community engagement methods and techniques

13

3
Information-sharing techniques

Information strategies underpin any


community engagement activity. Effective
information provision allows citizens and
clients to understand the issue and to
decide whether they want to participate
in a consultation or active participation
activity. Internal information provision
strategies should also be developed to ensure
government decision-makers are well informed
about the engagement process, its progress
and any issues that may arise throughout the
process.
Government may seek to simply provide
information to community members
(ie. information provision) or to provide
information to the community whilst also
being open to receiving information from
the community (ie. information sharing). For
example, information sessions were provided
to the Gold Coast community members prior
to Gold Coast Schoolies 2003. During these
sessions, information was provided by state
government representatives with regard to
the management of the Gold Coast Schoolies
week preparations. Information sharing was
also encouraged to progress some issues.
While one-way information provision
can enable a large number of people in a
community to learn about an issue, the
reasons for focussing the level of engagement
activity to information provision only must be
made explicit at the outset.
Before initiating either an information
provision or an information sharing process it
is important to reflect on the insights gained
from community research (refer section 2.2)
and consider:
what is the key message to be delivered?
why is this information important to the
target group?

14

why is it important to government that


this information be provided?
The benefits of information provision
strategies are that they are able to quickly
inform the community of a specific topic
alerting them of appropriate behavioural
change. Further, information sessions can be
part of a much bigger engagement process,
and not just a stand alone process.
The following information provision strategies
can be used as part of a community
engagement activity. The scale and budget
required for each technique is likely to vary in
accordance with the engagement goals.

3.1 Advertising
Advertising involves agencies developing specific
information in particular formats and languages
for distribution through print, radio, television and
online media. It can be an effective way to bring
issues and activities to the attention of people
in a certain geographic area or demographic
group very quickly. Advertising can be targeted
to relatively small and specific groups, or can
address much wider and more diverse populations.
Advertising can be obligatory in certain legislative
processes. When advertising, it is important to use
the range of media that the target group
may access.
Strengths:
the content of the information disseminated
can be tightly controlled
can be relatively cost effective if using
community newsletters, and/or
community radio
is an effective way to reach a large and
diverse population(s)
can be targeted to print and electronic media
that the community of interest accesses and
advertisements can be produced in a number
of languages and can include diagrams, maps
etc, to convey visual information.

Engaging Queenslanders A guide to community engagement methods and techniques

Weaknesses:
can be seen as propaganda
can be expensive if using large circulation
and television media
does not build two-way relationships with the
community and
can be constrained by agency processes and
protocols.
References and websites:
Community Engagement in the NSW Planning System Prepared for
Planning NSW by Elton Consulting (2003)
www.iplan.nsw.gov.au
Project Safe NeighborhoodsCommunity Engagement and Media
Outreach Technical Assistance Program: New York (2004)
www.ojp.usdoj.gov

Case Study: Non-smoking campaign


Queensland Health has a number of campaigns
including a non-smoking campaign which
provide direct messages targeting various
members of the population.
www.feelinggood.com.au

processes are also increasing in popularity


including e-mail groups, e-newsletters and
SMS messaging.
Strengths:
electronic processes can reach a large
number of people
quickly and generally cost effectively and
changes to the information being conveyed
can be made quickly and relatively cost
effectively.
Weaknesses:
not all Queenslanders have reliable access
to the information and telecommunication
technologies needed to share information in
this way
some groups within the community may
distrust electronic processes and
information needs to be kept up to date.
References and websites:
The Queensland Governments youth engagement site
www.generate.qld.gov.au
The Queensland Governments community engagement site
www.getinvolved.qld.gov.au

3.2 Online information processes


Websites are a growing and significant channel
for providing government information to the public
and key stakeholders. Information provided via
websites can be directed at all Queenslanders,
translated to languages other than English to
facilitate information provision to key groups,
or presented on targeted sites to reach specific
audiences such as www.generate.qld.gov.au
developed specifically to support engagement with
young people.
Websites can be important for providing
information to support the range of community
engagement activity as well as lending greater
transparency to government decision-making
processes. Other electronic information sharing

Coleman S & Gtze J (2001) Bowling Together. Online Public


Engagement in Policy Deliberation. www.bowling together.net

3.3 Briefings
Briefings are a technique to provide key
information to agency decision-makers, Members
of Parliament, other agencies and key stakeholders
at regular intervals to assist them to stay informed
about the progress of an engagement activity.
Whilst often one-way in nature, by raising
awareness amongst key stakeholders, briefings
can lead to more effective two-way communication
and the identification of issues or options not
previously considered. It is particularly important
to provide briefings if an engagement activity could
have political implications, or if the stakeholders
being briefed are likely to be impacted by decisions
made as a result of the engagement activity.

Engaging Queenslanders A guide to community engagement methods and techniques

15

Strengths:
can be a useful way to build relationships with
important stakeholders and
often an effective way of ensuring stakeholder
issues are regularly identified and dealt with.
Weaknesses:
care needs to be taken to ensure that
Ministers and others are aware of briefings
being undertaken with local Members of
Parliament and elected representatives from
other tiers of government and
can raise expectations about the level of
influence those being briefed may have over
the process.
References and websites:
Community Engagement in the NSW Planning System Prepared for
Planning NSW by Elton Consulting (2003) www.iplan.nsw.gov.au

3.4 Education and awareness programs


Education and awareness raising techniques
involve providing a specific set of often factual
information, for example, regarding safe blood
alcohol concentration levels. They can be designed
to target a range of stakeholders and can support
a variety of community engagement techniques
and methods. Education and awareness programs
can be one-off or ongoing.
Strengths:
very important when seeking to generate
behaviour change
can support sustained engagement by
contributing to community capacity and
some agencies have staff with responsibility
for community education and awareness who
may support such initiatives.
Weaknesses:
can be seen as a one-sided, non-consultative
process

16

the facts being disseminated may be


contested
can be costly to develop and
if processes of engagement are not made
transparent, the provision of information can
be alienating to some key stakeholders.
References and websites:
The State of Queensland (2003) www.qld.gov.au
The State of Queensland. Department of Communities (2003)
www.schooliesweek.qld.gov.au

Case Study: Gold Coast Schoolies Week


information panel
2003 Gold Coast Schoolies Week preparations
included a cross agency information panel which
prepared and presented messages targeted at Year
12 leavers across South East Queensland. This
was a culmination of both government and nongovernment agencies working together to improve
the safety of young people.
www.schooliesweek.qld.gov.au

3.5 Fact sheets


Fact sheets are generally brief, paper based or
online documents which summarise the facts
about a program or issue. Developing and
distributing fact sheets can be a simple, timely and
inexpensive way to summarise the state of play
in an engagement process. Fact sheets can be
directed at a range of stakeholders including those
who are deeply involved in the issue and others
who are maintaining a watching brief and expect
to receive up-to-date information. The messages
contained in fact sheets should be tailored and
relevant to the needs of the recipients and should
avoid editorial comment.

Engaging Queenslanders A guide to community engagement methods and techniques

Strengths:
often an efficient way of summarising
significant information for dissemination to a
wide range of people and
can be developed in languages other than
English and large text formats.
Weaknesses:
may not be accessible to people with low
literacy levels or visual impairments
distribution strategies need to be planned
carefully to ensure that all of those with an
interest receive copies and
facts may be contested or mistrusted.
References and websites:
Walsh K & Sarkissian W (2000) Improving Community Participation
in the City of Port Phillip. A toolbook of Participatory Techniques.
Melbourne: Walsh Planning Research & Design
VicRoads (1997) Community participation: Strategies and guidelines.
Melbourne: VicRoads www.vicroads.vic.gov.au

Case Study: Q Health fact sheets


Fact sheets are used widely by Queensland Health
when informing the public of diseases such as
Meningococcal Disease or Influenza.
www.health.qld.gov.au

3.6 Newsletters
Like fact sheets, newsletters provide information
about a program or issue in a paper or online
format. Along with containing facts however,
newsletters also often contain a variety of
additional information including photographs,
diagrams, maps and editorial comment.
Typically, newsletters are targeted at citizens
and stakeholders who are most interested in the
issue. They enable agencies to provide regular
information and feedback about communal issues,
and the contribution made by participants and
future proposed steps. Newsletters usually include
contact details for people who require more
information, or wish to become more involved.

Newsletters can be used to inform the community


of decision-making developments and are
considered as excellent community engagement
tools in their own right. Some communities have
been active in setting up their own websites as
an example of interactive newsletters promoting
community capacity building.
Strengths:
if distributed on a regular basis can build
community awareness and understanding
demonstrates governments commitment to
ongoing engagement
can contain information from a range of
stakeholders including departmental staff,
community members, experts and others
is an effective means of developing and
sustaining interest throughout a community
engagement activity that may run over a
period of time and
can be developed in a format that appeals to
the target group.
Weaknesses:
can be relatively expensive to develop,
publish and distribute and
may not be accessible to people with low
levels of literacy or visual impairments.
References and websites:
Walsh K & Sarkissian W (2000) Improving Community Participation in
the City of Port Phillip. A toolbook of Participatory Techniques. Walsh
Planning Research & Design: Melbourne.
VicRoads (1997) Community participation: Strategies and guidelines.
Melbourne: VicRoads www.vicroads.vic.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

17

Case Study: Van News


The Onsite Network of South-East Queensland
established a newsletter which is prepared by
caravan park residents. The newsletter contains
poetry, art, upcoming events, and other interesting
caravan park community interests. The Onsite
Network distributes the newsletters and residents
provide the content with the valuable assistance of
the Kyabra Community Centre. The developmental
process adds a unique capacity building dimension
to a wide range of readers.
Email: onsite@qshelter.asn.au

3.7 Media stories


Sending a press release to a media outlet for
inclusion in a print or electronic bulletin is one
way to raise interest, or inform the community
of a decision-making process or community
engagement activity. Making contact with a
reporter who has an interest in the issue may
however achieve a better outcome. It is often
helpful if reporters understand the background to
an issue and the engagement process. Preparing
a media kit that provides a summary of the
key information can ensure journalists have an
authoritative source of information. The emphasis
should be on making sure that the media is
provided with information that is timely, factual,
and objective. Care should be taken to ensure that,
where necessary, appropriate Departmental or
Ministerial approval is obtained prior to providing
material to a media outlet. Media contact will
usually be handled by the Ministers Office.

and accurately translate your message. The


National Accreditation Authority for Translators
and Interpreters Ltd website www.naati.com.au
contains a list of qualified translators who may be
of assistance.
Strengths:
can reach a large number of people
can generally be arranged quite quickly
enabling swift information provision and
is cost effective.
Weaknesses:
the target group may not access media
editing by media outlets may result in key
messages not being delivered
does not generally promote two-way
relationships between government and the
community and
can usually only convey a limited amount of
information.
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management
www.griffith.edu.au
International Association for Public Participation (2000) IAP2 Public
Participation Toolbox. www.iap2.org
PR Web The Free Wire Service (2004) www.prweb.com
RCRA (1996). Public Participation Manual. Ch 5: Public participation
activities. www.epa.gov
Queensland Government Youth Website
www.generate.qld.gov.au
Social Change Online (2000) Using the Media
www.media.socialchange.net.au
Thornton P et al (1997) 1 Sydney, Pluto Press. Warringah Council.
(2000). Community Consultation Toolkit.
www.warringah.nsw.gov.au

It may be important to provide press releases


to a range of community radio and print media
outlets in order to ensure that your message
reaches the target group. If your media release is
to be published in the print media in a language
other than English, it may be important that your
agency pay to have the press release translated
rather than relying on others to fully understand
18

Engaging Queenslanders A guide to community engagement methods and techniques

Case Study: Gold Coast Schoolies Week 2003


A media information kit was prepared during the Gold
Coast Schoolies Week festival 2003. Timely and
accurate information was provided to a number of
stakeholders on a regular basis during the schoolies
week preparations and celebrations.
www.schooliesweek.qld.gov.au

3.8 News conferences


A news conference is a way to stimulate public
interest by enabling either a Minister or a public
official to speak directly to the public via the
media. For a news conference to be effective
the topic should be newsworthy and timely,
therefore, news conferences are usually reserved
for announcements which may have a significant
community impact.
Strengths:
can usually be arranged within relatively
short timeframes in order to disseminate
information quickly and
there are generally no costs associated with
calling a conference.
Weaknesses:
editing by media outlets may result in key
messages not being delivered
cannot control when, or if, the news
conference will be aired and
the target group may not access media
outlets which feature the conference.
References and websites:
Queensland Government Youth Website
www.generate.qld.gov.au
PR Web The Free Wire Service (2004) www.prweb.com

3.9 Telephone hotline


A hotline is a widely advertised phone number that
people can call to access pre-recorded messages,
leave comments on selected topics, or talk directly
to a person who can answer their questions about
an issue or an engagement activity, based on
their interest and need. The key to a successful
staffed hotline is to have the right person at the
receiving end of the line. Callers must feel that the
person taking their calls is really listening to and
interested in what they have to say, and is both
knowledgeable and responsive. Depending upon
the group you are seeking to engage, it may be
important to have bi-lingual or multi-lingual staff
answering calls to the hotline.
Strengths:
target group members may access the hotline
at a time and on a day which suits them and
can be used to elicit information from the
community, or to provide opportunities for
community members to ask questions.
Weaknesses:
can be relatively resource intensive to
establish and operate.
References and websites:
Carson L (1999b) The telephone as a participatory mechanism at a Local
Government Level. With commentaries by Ann Moyal, Wendy Sarkissian
& Monica Wolf, in Brian Martin, ed. Technology and Public Participation.
Wollongong: Science and Technology Studies: University of Wollongong:
37-60.
Citizen Science Toolbox, Cooperative Research Centre for Coastal Zone,
Estuary and Waterway Management. www.griffith.edu.au
Department of Public Health (Flinders University) & South Australian
Community Health Research Unit (2000) Improving Health Services
through Consumer Participation - A Resource Guide for Organisations.
Commonwealth Department of Health & Aged Care. Canberra.
www.participateinhealth.org.au.
RCRA (1996) Public Participation Manual. Ch 5: Public participation
activities. www.epa.gov
US EPA (2002) National Pollution Elimination System (NPDES)
Public Involvement/Participation Hotlines. www.cfpub.epa.gov

Engaging Queenslanders A guide to community engagement methods and techniques

19

In addition to these processes which are well


suited to reaching larger numbers of people, the
following information strategies can also be used
when information is required to be shared with a
definable geographic community, or with a group
or groups within a community who are expected to
congregate in a specific place at a specific time.

3.10 Displays
Displays involve the provision of a range of often
highly visual materials relating to the engagement
topic. Displays can inform the public and stimulate
citizens and stakeholders to participate in an
engagement activity. Displays are generally located
in community locations such as shopping centres,
libraries, community centres and community
events and festivals. Although producing a display
can be costly, it can often be designed so that it
can be used again at other events or locations.
Strengths:
can be established in places that the community
of interest is known to use and therefore support
effective information dissemination
is a cost effective way of sharing highly visual
materials, for example, maps, photographs,
and colour designs, which are often expensive
to print
written materials can be produced in languages
other than English and large text format
can support relationship building and improve
understanding if staffed by an appropriate
person who has knowledge about the issue and
a commitment to engagement and
can be used as an engagement tool within the
community if poster/display competitions are
coordinated.

Weaknesses:
can be resource intensive if staff are required
to be present to discuss issues with people
viewing the displays
not all information can be effectively displayed
in a visual format and
are only accessible to people who use the
venues at which the displays are installed.
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management. www.griffith.edu.au
International Association for Public Participation (2000) IAP2 Public
Participation Toolbox. www.iap2.org
Dept of Transportation (1997) Public Involvement and Techniques for
Transportation Decision-Making: Transportation Fair. Washington,
www.fhwa.dot.gov
Wates N (1999) The Community Planning Handbook. London,
Earthscan. www.communityplanning.net

3.11 Newspaper inserts


Distributing fact sheets or other written material
via a newspaper insert is a good way to provide
information to a large number of people in a
community. Depending on the breadth and timing
of newspaper circulation, inserts can be useful
to reach beyond actively involved citizens to
the broader public. Many media outlets include
features targeting particular groups, for example
young people, on particular days. Coordinating
inserts with these established features can
increase confidence that the target group will
receive the insert. As with all information methods,
the insert should present objective and balanced
information which is tailored to the target audience.
It is important to consider placing inserts in a range
of community papers and journals as well as more
mainstream publications.
Strengths:
can be customised to a particular group
can be targeted to the geographic community
of interest and
can reach large numbers of people.

20

Engaging Queenslanders A guide to community engagement methods and techniques

Weaknesses:
relatively expensive
the target group may not read newspapers
and
may not be accessible to people with low
literacy levels or visual impairments.
References and websites:
Queensland Government Youth Website
www.generate.qld.gov.au
PR Web. The free wire service (2004) www.prweb.com

3.12

Community fairs or events

A community fair or event provides a fun and


enjoyable venue for sharing project information
and raising awareness about a particular issue.
A fair should incorporate a range of activities and
events to cater for the broadest possible audience.
Activities can include sausage sizzles, rides and
activities for children, hands-on art activities for
young people and events of interest to adults. As
well as distributing information, a fair provides a
range of opportunities for consultation and active
participation. Community fairs or events can be
organised specifically as part of an engagement
activity, or the engagement activities could be
planned to coincide with existing community fairs
or events.
Strengths:
can increase the visibility and
approachability of the agency/issue
is often attended by a wide variety of people,
many of whom have time to look at displays,
ask questions, participate in activities and
can support relationship building efforts.
Weaknesses:
often attended by people beyond the
immediate geographic community that may
be targeted
can require significant staff resources to
establish and maintain and
requires good collaborative practice
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management. www.griffith.edu.au
International Association for Public Participation (2000) IAP2 Public
Participation Toolbox www.iap2.org
US Dept of Transportation (1997) Public Involvement and Techniques
for Transportation Decision-Making : Transportation Fair. Washington.
www.fhwa.dot.gov
Queensland Health (2002) The Methods Manual Engaging
Communities in Participatory Action Research. Public Health
Services: Southport

Engaging Queenslanders A guide to community engagement methods and techniques

21

Case Study: The Jacaranda Festival


The Jacaranda festival is a yearly event which
is sponsored by a number of organisations and
community members. A significant amount of
community co-operation is required. The festival
has the capacity to promote community development
by raising awareness around a number of issues,
and celebrating the multi-cultural diversity of the
community.
www.goodnarsljacfest.gil.com.au

3.13

Community meetings

Community public meetings are one of the most


familiar methods of increasing awareness about
an issue or proposal and can be suitable for
small and large groups. Community meetings
are generally called by the agency and have a
specified time, date, venue, agenda and invitation
list. Opportunities may also exist to provide
information, or to create consultations at existing
community meetings, at the invitation of other
groups. Attending existing meetings makes good
use of community infrastructure, and if negotiated
in advance, is likely to minimise community
frustration, demonstrate respect for community
processes and to lead to more coordinated
engagement. There are a range of innovative
methods which can be used in workshopping
forums.
A well facilitated community meeting can generate
a wide range of feedback about a topic and ensure
that many people have their say, not just the
loudest and most articulate attendees. Community
meetings can be used at the start of, or throughout,
a consultative and deliberative engagement
processes. The timing, format, audience mix and
venues are important considerations in planning
effective meetings.
Risks of conducting community meetings need
to be considered in the planning. For example,

22

if there is a contentious issue and considerable


conflict within the community, other methods such
as nominal group processes should be considered.
Strengths:
particular people/groups/sectors can be
targeted and invited
is time limited
the agenda is known in advance
is relatively efficient to implement and
can be structured in a number of ways to
achieve a number of outcomes.
Weaknesses:
may not attract participants who are
representative of the community
can frustrate participants as discussion
is often artificially constrained to a limited
number of government priorities and
is not suitable for topics around which there is
significant controversy or negative opinion.
References and websites:
Queensland Health (2002) The Methods Manual Engaging
Communities in Participatory Action Research. Public Health
Services: Southport
Walsh K & Sarkissian W (2000) Improving Community Participation
in the City of Port Phillip. A toolbook of Participatory Techniques.
Walsh Planning Research & Design: Melbourne

3.14

Shop fronts

Shop fronts can be a temporary project office or


site generally set up in a heavily used public area
such as a main street, mall or shopping centre.
People can drop in at their convenience to collect
information, view displays and ask questions. Shop
fronts can also be used as a semi-permanent
meeting place to convene discussions throughout
the duration of an engagement activity. Shop
fronts work best when they are effectively located
to attract the target audience and are staffed by
knowledgeable and approachable people. It is also
important that the opening hours of a shop front
are clearly advertised and honoured.

Engaging Queenslanders A guide to community engagement methods and techniques

Strengths:
increases the visibility and accessibility of the
agency/issue
community members can access at a time
and on a day which suits them and
can support local infrastructure by providing
an additional space for people to meet to
discuss community issues
Weaknesses:
if shopfronts only operate during business
hours they may not be accessible to people in
full-time employment
can be expensive to establish and operate
and
workplace health and safety of staff needs to
be carefully considered.
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management. www.griffith.edu.au
Industry and community participation. EPA Information Sheet IS No.
23 July (2001) www.environment.sa.gov.au
The University of Queensland Service and Research Centre (2002)
Regional Engagement & Consultation Projects. The Shopfronts and
Community Hubs Project in Esk Shire www.uq.edu.au/boilerhouse
Walsh K & Sarkissian W (2000) Improving Community Participation in
the City of Port Phillip. A toolbook of Participatory Techniques. Walsh
Planning Research & Design: Melbourne

Finally, when seeking to share information with


small, very localised and targeted groups, highly
personalised approaches may be most appropriate
including the following.

3.15

Informal club forums

Informal club forums are informal meetings either


online, or with small groups of people, often in a
private home or gathering, to share and discuss
issues and ideas. They are sometimes an effective
way to achieve genuine engagement with people
who may be unable or reluctant to attend other
public activities. The casual environment in which
the informal club forum can be held creates a
space in which people feel safe to share their

views. It may be helpful to discuss catering and


participation with the person in whose home the
gathering will be held in order to avoid imposing or
offending.
Strengths:
very useful when engaging with people with
limited mobility, limited literacy skills or who
are reluctant to participate in wider community
engagement processes for cultural or other
reasons
demonstrates a strong commitment to
communicating with the participants and
often builds trust and confidence for
participants who may be more likely to
participate in broader community processes
in the future.
Weaknesses:
resource intensive
needs to ensure the safety of staff
participating
can only be delivered with small groups of
people and
skilled facilitators in group processes
required.
References and websites:
International Association of Public Participation (IAP2)
www.iap2.org
Goizueta Magazine. Summer 1999
www.goizuetamag.emory.edu

Case Study: The Goodna-Gailes Caravan


Park Project
Coffee and breakfast BBQs were used as activities
to welcome and talk with residents in their own
community. This provided a safe and welcoming
environment for a transient population enabling them
to make connections and progress projects within
their own environment. Trusting relationships were
developed enabling residents to become
more involved in their wider community.
www.communityrenewal.qld.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

23

4
Consultation techniques

Consultation provides important opportunities


to develop two-way relationships between
government and citizens or communities.
Consultation processes may run parallel
with information and active participation
strategies. Often, the public has been informed
about an issue or an engagement activity. To
progress the issue, it may be useful to use
more consultative mechanisms in order to
explore a wider range of opinions. A variety of
consultation techniques are available.
It should be noted that it may be appropriate
to use a number of these techniques within a
consultation strategy either in sequence, or in
parallel, for example, road shows and forums
complemented by an online survey.

4.1 Discussion groups and workshops


Facilitated discussion groups or workshops
involving participants selected either randomly or
to approximate the demographics of a community,
can be a good way to draw out a range of views
and opinions. Discussion groups and workshops
usually explore a limited number of community or
government established issues over a brief period
of time. Discussion groups tend to involve relatively
open-ended dialogue whereas workshops are
generally more structured activities which often
combine dialogue with other strategies such as
information provision. An action research approach
is sometimes the basis for the coordination of
these techniques.
Strengths:
targets specific groups
can be structured in a number of ways to
achieve a range of outcomes
harnesses community energy and knowledge
to generate innovative options

24

can build capacity, consensus, ownership and


relationships and
can be iterative or cyclical, evolving in scope
over the course of a project.
Weaknesses:
participants may not be representative
produces qualitative not quantitative
information which may not be easily
understood or valued and
consideration regarding the collection and
analysis of qualitative data is required, and
may sometimes require skilled expertise in
qualitative analysis.
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
COSLA (1998) Focusing on Citizens: A guide to Approaches and
Methods. www.communityplanning.org.uk
International Association of Public Participation (IAP2) www.iap2.org

4.2 One-on-one interviews


One-on-one interviews involve a person who
has been thoroughly briefed on their task posing
a standard set of questions to individuals within
a community. One-on-one interviews can
be conducted in public places, at events, via
telephone and doorknocks. Although interviewing
everyone in a community is generally not feasible,
two or three days may allow enough time to
talk with a cross-section of people. Interviewing
provides important qualitative information at a level
of detail that is difficult to obtain any other way.
Care needs to be taken when selecting people
as interviewers and interviewees regarding their
role and influence in the community, other time
commitments and personal circumstances. In an
engagement process run over a extended period
of time there may be a need to conduct a round
of interviews near the beginning of the process to
gather information, and one or two other rounds
at key points in the process to inform progress.

Engaging Queenslanders A guide to community engagement methods and techniques

Providing opportunities for community members


to act as paid or voluntary interviewers can be
an important capacity and relationship building
strategy.
More in-depth interviewing, carried out on a oneto-one basis over a period of one to two hours, can
provide a more detailed understanding of peoples
thoughts, feelings, and behaviour on important
issues. The aim of in-depth interviews is to explore
the reasons underlying a problem or practice in a
target group and to gather ideas and information.
Strengths:
people will often provide much more detailed
information in a one-on-one interview or
discussion than they will in a public forum
is useful to gain views on sensitive or
complex issues
can be conducted in languages other than
English
is effective when working with people with
limited literacy and
has the ability to be empowering and/or
therapeutic for the participants because of
the narrative response.
Weaknesses:
expertise in qualitative analysis is required to
produce a quality report
it is generally not possible to interview all
community members and
can be resource intensive.

Open days involve providing community members


with access to an office/centre/project site that they
would not normally access, for a limited period of
time. They provide important learning opportunities
for interested citizens as well providing a forum
for people to raise concerns and issues and to
celebrate progress. Open days can incorporate
displays, printed handout materials as well as
tours, scheduled presentations and question and
answer sessions. Open days need to be well
planned, advertised and suitably resourced.
Strengths:
demonstrates transparency and credibility
provides concrete, first hand, learning
opportunities
is time limited and
often fun for community members and
staff alike.
Weaknesses:
safety and access issues need to be
considered and
can be resource intensive.
References and websites:
Abelson J, Forest P-G Eyles J, Smith P, Martin E & Gauvin F-P (2001)
A Review of Public Participation and Consultation Methods. Canadian
Centre for Analysis of Regionalization and Health
www.regionalization.org
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Connor D (nd) Public Participation: A Manual. Victoria B C. Canada:
Connor Development Services Ltd. www.maroochy.qld.gov.au
International Association for Public Participation (2000) IAP2 Public
Participation Toolbox www.iap2.org

References and websites:


COSLA (1998) Focusing on Citizens: A guide to Approaches and
Methods. www.dundeecity.gov.uk
Mahoney C (1997) Indepth Interview Guide www.ehr.nsf.gov
Queensland Health (2002) The Methods Manual Engaging
Communities in Participatory Action Research: Southport Public
Health Services
Sarantakos S (1998) Social Research. 2nd edition, Melbourne:
MacMillian Education Australia.

4.3 Open days

NSW Minerals Council ( 1999-02) Guidelines for best practice


community consultation in the NSW Mining and Extractive Industries
(available free) NSW Minerals Council www.nswmin.com.au
Northwest Regional Facilitators (1999) Public Participation Resource
Guide September, Chapter One Public Participation Methods &
Techniques www.nrf.org
RCRA (1996) Public Participation Manual Ch 5: Public participation
activities. www.epa.gov
Sarkissian W & Hirst A (2002) SpeakOut. A Manual for Organisers.
www.maroochy.qld.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

25

Case Study: Maroochydore Council


SpeakOut/Open Day
A SpeakOut was conducted by the Maroochydore
Shire Council in order to narrow down the selection
of designs for a civic centre in Maroochydore.
The final decision involved a jury panel decision.
www.maroochy.qld.gov.au

4.4 Polls
Polls generally involve posing a small number of
closed questions to a range of people in order to
identify community opinion. The answers sought
are often yes or no, or scaled responses, for
example, strongly supported, supported, not
supported, unsure. It has become increasingly
affordable to conduct polls, and in particular
telephone polls, in recent years. Polls are often a
suitable adjunct to public participation activities.
Polls do not always predict an outcome, rather,
they provide a snapshot of public opinion at one
moment in time. If people are still learning about
an issue, a poll may tell you how they feel given
their current level of knowledge but may not reflect
how theyll react once they learn more unless a
deliberative component is built in to the process
(refer Deliberative Polling section 5.14).
Strengths:
permits a quantitative assessment of
community opinion
responses are relatively easy to collate and
is a relatively quick and cost effective way to
sample a large number of people on a variety
of topics.
Weaknesses:
requires significant effort to ensure that
the sample of the population polled is
representative of the broader community
assumes a level of knowledge/opinion that
may not exist

26

does not generally provide information


regarding the reasons underlying certain
opinions and
does not contribute to two-way relationship
building.
References and websites:
COSLA (1998) Focusing on Citizens: A guide to Approaches and
Methods. www.dundeecity.gov.uk
Carson L & Martin B (1999) Random Selection in Politics. Westport
CT: Praeger.
Carson L (1999a) Random Selection: Achieving Representation in
Planning. Alison Burton Memorial Lecture. Canberra: Royal Australian
Planning Institute.

Case Study: Televoting in New Zealand


New Zealand conducted a nationwide televote
which was widely publicised. A number of strategies
included a nationwide televote by three universities,
televote brochures printed in national newspapers,
and radio network coverage on the process.
Alternative futures for the country were voted on.
The overall process was noted to observe a shift
in national opinion which resulted in increased
awareness and community debate.
Lyn Carson & Kath Gelber (2001) Ideas for
Community Consultation: A discussion on principles
and procedures for making consultation work, a
report prepared for the NSW Department of Urban
Affairs and Planning.

Engaging Queenslanders A guide to community engagement methods and techniques

4.5 Road shows


Road shows are a travelling presentation and/or
display used to seek feedback about, or input
into a project which potentially affects more than
one community. Road shows travel to where the
people are thereby reducing the distance people
have to travel to have their say about a project.
For road shows to be effective they should be
complemented by pre-event advertising and
appropriate local media exposure.
Strengths:
inclusive of a number of geographic
communities
ensures consistency of the information
provided to different communities
can coincide with local events and
presentation of verbal and visual information
provides access to a range of people.
Weaknesses:
can be resource intensive to establish, move
and staff and
outcomes can be difficult to interpret across
different communities.
References and websites
Life Education Australia (2003) www.life-educationaustralia.com.au

tool to ensure that it generates useful and reliable


information. Questions must be clear, impartial,
easily understood, unambiguous and should
ideally be trialled before the survey is distributed.
Sampling strategies need to match engagement
objectives. Care should be taken when using
self-completed, telephone or computer-aided
techniques as they may bias a sample by excluding
people such as those with low literacy, no
telephone or low computer skills respectively.
Strengths:
can be used to gain feedback from large and
diverse groups of people
can often be produced and distributed in large
quantities relatively cheaply
enables comparison between groups in the
community, or between different stages of the
process and
can provide large amounts of qualitative and
quantitative data.
Weaknesses:
many groups in the community feel they have
been over-consulted by government and may
react negatively to being asked to complete
yet another survey
may not be accessible for people with limited
literacy, English as a second language or with
visual impairments

Santa Barbara County Housing Element 2003-2008


www.countyofsb.org

4.6 Survey research


Surveys involve posing a standard set of open
and/or closed questions to a range of people.
They are a popular method of collecting qualitative
and quantitative information from a population at
certain a point in time. Surveys can be conducted
through face-to-face interviews, self-completion
written forms, over the telephone, or electronically
via the internet or email.

analysing the data provided via surveys


requires time, resources and skill and
often only useful for providing and collecting
information on a limited number of topics.

Careful planning is needed for surveys to be


successful. It may be helpful to seek assistance
from skilled researchers in designing a survey
Engaging Queenslanders A guide to community engagement methods and techniques

27

References and websites:


Abelson J, Forest P-G Eyles J, Smith P, Martin E &Gauvin F-P (2001)
A Review of Public Participation and Consultation Methods. Canadian
Centre for Analysis of Regionalization and Health.
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
COSLA (1998) Focusing on Citizens: A Guide to Approaches and
Methods. www.dundeecity.gov.au
Flinders University Department of Public Health & South Australian
Community Health Research Unit (2000) Improving Health
Services through Consumer Participation - A Resource Guide for
Organisations. Commonwealth Department of Health & Aged Care.
Canberra. www.participateinhealth.org.au
Northwest Regional Facilitators (1999) Public Participation Resource
Guide September, Chapter One Public Participation Methods &
Techniques. www.nrf.org
Queensland Health (2002) The Methods Manual Engaging
Communities in Participatory Action Research. Public Health
Services: Southport
RCRA (1996) Public Participation Manual. Ch 5: Public participation
activities. www.epa.gov
US Department of Transportation (1996) Public Involvement
Techniques for Transportation Decision-Making. www.fhwa.dot.gov
Sarantakos S (1998) Social Research. 2nd edition, Melbourne:
MacMillian Education Australia.

4.7 Web-based consultation


New information and communication technologies
have opened up innovative channels for citizens
to engage in the processes of government policy
development, program and service planning
and decision-making. Online chats, surveys and
questionnaires enable citizens to contribute their
views and opinions to government. They also allow
government to provide information and feedback
to citizens. Online consultation is one tool which
should be considered as part of a range of other
consultative tools.
4.7.1 Interactive websites
Websites are primarily a tool for informing citizens
about government programs and services.
Websites can also be used to support consultation
by encouraging technology-based participation,
including surveys, polls, online discussions and
email feedback. Measuring website statistics
can also be used as a means of tracking public
28

interest.
4.7.2 Internet surveys
Internet surveys can be used to gain information
from the public on a single issue or to gauge public
opinion on a number of topics. Used in conjunction
with an existing website, they can be an effective
way for users of the internet to submit their ideas
and opinions directly to government. A suitable
questionnaire will need to be developed and
posted on the internet, with ongoing monitoring
and analysis of the results. Internet surveys can
be an effective means of obtaining information
from the sector of the public that is online. If
access and capability issues are not addressed
in this technique the results may not be
representative of the public as a whole.
4.7.3 Discussion boards and listserves
Discussion boards are places on the internet that
people can access to engage in conversations
and discussions around issues. A listserve
is an automated mailing list which allows the
subscribers to the list to send email messages
to all other members of the list. They can allow
similar discussion and debate as discussion
boards except that the messages are transmitted
via email. Discussion boards and listserves are
generally founded on a single issue of concern.
Monitoring the discussion boards and listserves
can be a useful way of gaining insight into the
often uncensored thoughts and ideas of people
who are communicating on the internet. It may
be appropriate to appoint a moderator to facilitate
discussion or to monitor contributions in order
to ensure compliance with legal and policy
frameworks.

Engaging Queenslanders A guide to community engagement methods and techniques

4.7.4 Email feedback


Email feedback can be an easy way to obtain
ideas from the public on an issue or a range of
issues. It can be used with an existing website with
a feedback system. It is quicker than most forms
of participation and may be attractive to those with
little time.
4.7.5 Internet-based forums
These can be limited to certain individuals (e.g.
a core group of stakeholders) or open to anyone.
They can be designed to allow citizens to respond
to government proposals online, read and view
the comments of all participants, and engage
with other citizens in dialogue centred around
proposals. Generally internet-based forums
take one of two forms issue-based forum and
policy-based forum. ConsultQld which can be
found at www.getinvolved.qld.gov.au provides
a structured tool for seeking community views
on particular policy issues, and subject to a
moderation process, making public submissions
available on the website to inform other
participants in the consultation.
4.7.6 Online chat events
Citizens can exchange views within a fixed period
of time with Ministers, Members of Parliament and
other public officials.

people can participate at a time and on a date


that suits them and
may be appealing to people who do not wish
to participate in group gatherings.
Weaknesses:
the anonymity afforded by online processes
may result in some people providing multiple
responses to surveys and skewing results
resources must be allocated to moderating
online discussions and ensuring that
questions raised are responded to in a timely
manner
concerns about privacy and confidentiality
may need to be carefully addressed to ensure
participation and
participation is limited to those with access to
the internet.
References and websites:
Further information can be located at www.getinvolved.qld.gov.au
The Department of Communities administers the Generate Website,
a site established to facilitate on-line engagement with young people
www.generate.qld.gov.au
The Department of Education, Training and the Arts provides
guidance on setting up information with online publishing
www.education.qld.gov.au

Chats can take place during internet discussion


forums. Online chat events may also require
a moderator, particularly if large numbers of
participants are expected.
Strengths:
a number of existing ICT platforms exist to
support this type of engagement
can be very cost efficient, particularly if using
established online engagement mechanisms
can reach a wide audience quickly

Engaging Queenslanders A guide to community engagement methods and techniques

29

5
Active participation techniques

There are international trends towards


increasing inclusiveness of citizen opinions
and values in government policies and
decisions. Queensland Government agencies
are seeking to move beyond informationsharing and consultation to more actively
involve citizens and communities in planning
and decision-making processes. A range of
active participation techniques are available.
These techniques should be supported by
an effective information program and may be
implemented in conjunction with consultation
processes.
This section groups the techniques according
to the size of the group being engaged:
less than 20
20 100
100 plus
The following processes are often used to
actively engage relatively small numbers
of people, generally less than 20, as key
stakeholders.

5.1 Action research


Action research refers to a set of research methods
that enables public officials, community members
and others to explore issues, difficulties and
experiences in a collaborative and participative
way and to identify and test solutions. The two key
principles of action research are that the research
processes have both an action focus and a specific
focus upon developing understanding.
Action research can be defined as learning by
doing and involves a cyclical process which
includes identifying a problem, planning, taking
action, reflecting on outcomes and amending action
based on evolving understanding. The primary
difference between action research and other
research is that it deliberately seeks to engage

30

stakeholders as active participants in the research


and learning process. It also differs from traditional
models of research due to its iterative orientation
and because it is usually led internally by staff and
stakeholders rather than by an external expert.
For action research to be effective, public officials
need to sensitively engage with community
members, either one-on-one or in groups, and build
trusting relationships within which experiences
and needs can be explored. Interviews, surveys,
focus groups and informal meetings can be used
to support the research process. There is a high
emphasis on collecting and analysing qualitative,
rather than quantitative data.
Strengths:
can be incorporated into everyday work
is inclusive it can be used with any
stakeholder group and is appropriate for
socially excluded groups
is flexible and responsive has the ability to
develop/reformulate the research agenda in
parallel with the project work and
supports problem solving and solution testing.
Weaknesses:
can lose focus unless the research question is
tightly defined
the qualitative data generated via action
research processes
may not be easily understood or valued and
participation may not be representative.
References and websites:
Action Research Toolkit, Edinburgh Youth Social Inclusion Partnership
2000 www.culturalpolicy.arts.gla.ac.uk
Action research resources. Southern Cross University:
www.actionresearch.net.au
Dick B (2002) Action Research:
www.scu.edu.au/schools/gcm/ar/arp/aandr.html

Engaging Queenslanders A guide to community engagement methods and techniques

5.2 Advisory committees

Strengths:
values a wide range of technical and local
expertise and knowledge
provides committee members and
government with an understanding of a
range of perspectives, data sets and other
knowledge bases in order to develop
informed, agreed and integrated solutions
can support a range of other engagement
processes, for example action research
provides opportunities to explore alternative
strategies and build on commonalities and
alliances and
enables information and decisions to be
distributed to members of the organisations
or community sectors represented on the
committee.

Advisory committees are generally made up of


representatives from a particular profession,
industry, peak-body, community or interest group
who are appointed to provide technical or specific
information on often complex or multi-faceted
proposal(s) or issue(s). Establishing an advisory
committee enables expert and ongoing input into
planning and decision-making from a range of
groups and agencies that have relevant skills or
knowledge.

Weaknesses:
participants may not be representative of the
various groups with relevant knowledge or skills
it can be difficult to manage the diversity
of opinion, data, frameworks and other
information provided via committee members
and
standing committees may lose impetus or
relevance.

Case Study: Goodna Service Integration Project


The methodology for the project was action research
based. Throughout the project cyclical processes
ensured that changes were informed by research and
worked to ensure that the services offered in Goodna
were integrated, improved community well-being
and strengthened the Goodna community. Specific
areas tackled included the ways in which government
plans, funds, implements and evaluates strategies
to reduce crime, improve school retention rates,
improve community health and address a variety of
other issues identified by the Goodna community as
being important. Active participation techniques were
the core methods used to inform and deliver project
objectives.
www.uq.edu.au/boilerhouse/goodna-sip/

Advisory committee members may meet


throughout the duration of a specific project
to provide input and advice. Other advisory
committees or councils may have a mandate to
provide ongoing, high level policy and planning
advice to Ministers, departments and others.

References and websites:


Community Engagement in the NSW Planning System, 2003
www.iplan.nsw.gov.au
Department of Natural Resources, Mines and Energy. Good practice
standards for Advisory Councils www.nrm.qld.gov.au

Membership and terms of reference of the


committee, including committee and participant
roles and responsibilities, time frames and
decision-making processes, need to be clearly
articulated and agreed prior to commencement.
It is important to establish whether the committee
members are representing a broader group or
participating as individuals.
Engaging Queenslanders A guide to community engagement methods and techniques

31

5.3 Charrettes

Case Study: The Villawood Charrette

A charrette or inquiry by design workshop is an


intensive workshop where stakeholders come
together to identify issues, deliberate about
preferred outcomes and create plans for the
future. A charrette can be held over several days
or weekends and involves participants splitting
into small groups to discuss and brainstorm issues
and topics. Once these groups identify options
they are collated and fed back to all participants
for further comment with a view to developing
more formal plans.

A five day charrette was conducted to discuss the


commercial centre of Villawood. A steering committee
was established and there was a three month
planning period with a budget of $80,000. A preconsultation meeting with key stakeholders informed
them of the process and its purpose. Day one of
the charrette involved a field site visit. On day two,
stakeholders met and formulated a policy statement
on days three and four, design meetings were
conducted in a design studio, and finally, on day five,
a public meeting was conducted to present findings.
Follow-up meetings with the steering committee
confirmed support for the design.

A charrette can be a cost effective way to identify


potential outcomes and solutions for complex
issues, for example, planning decisions which
require balancing social, environmental and
economic demands. Participants at a charrette
can include community stakeholders plus
representatives from interest groups, although it
is not limited to these groups. All participants in a
charrette, including public officials, should agree
that something needs to be done about the issues
being discussed and be clear about their role in
decision-making.

Lyn Carson & Kath Gelber (2001) Ideas for


Community Consultation: A discussion on principles
and procedures for making consultation work, a
report prepared for the NSW Department of Urban
Affairs and Planning.

Strengths:
promotes joint problem-solving and creative
thinking and
creates partnerships and positive working
relationships with the community.
Weaknesses:
participants may not be representative of the
community and
it can be difficult to engage groups usually
marginalised from consultative processes.
References and websites:
Community Consultation Resource Website Victorian Local
Governan Association www.vlgaconsultation.org.au
Community engagement in the New South Wales planning system.
www.iplan.nsw.gov.au

5.4 Citizens juries


In a citizens jury, a randomly recruited and
demographically representative panel of between
12 and 20 citizens meets for three to five days to
carefully examine an issue of public significance
or community concern. The jurors are typically
provided with a question or series of questions
on which to deliberate. Jurors hear from, and can
ask questions of, a variety of expert and other
witnesses. They then deliberate, discuss and
debate issues together. On the final day of their
moderated hearings, the members of the jury
present their recommendations to the public or to
the Minister.
Convening a citizens jury needs high level
facilitation, coordination, negotiation and conflict
resolution skills. Witness testimony needs to be
carefully balanced to ensure all sides receive fair
treatment. This does not mean each perspective
needs to be impartial, but that a range of views
are presented for jurors consideration and

National Charrette Institute (NCI) (2003) www.charretteinstitute.org

32

Engaging Queenslanders A guide to community engagement methods and techniques

deliberation. Processes for reporting on and


responding to recommendations made by a
citizens jury need to be carefully planned and
agreed by all. Expert witnesses who are able to
present clear arguments need to be found, and
generally paid. Jurors will require training and
briefing and are also often paid for their time.
Strengths:
good for obtaining informed community
opinions on complex or controversial issues
which have obvious solution
is transparent process
can promote a culture of citizenship and
participation
can help to identify solutions to problems
provides a good opportunity to develop a
deep understanding of an issue
provides informed feedback and
the general public can usually identify with
jury members.
Weaknesses:
expensive and time-consuming
it may be difficult to sustain panel member
participation
doubt exists about representativeness
because of the small numbers of jurors
can exclude people with low literacy or
non-English speakers
in many cases, there is no guarantee that the
jurys decisions will be taken into account in
government decision-making
not all issues are suitable for consideration via
a jury process and
extensive preparatory work is needed.
References and websites:
The Citizens Handbook. A guide to building community/Charles
Dobson/Vancouver Citizens Committee.
www.vcn.bc.ca/citizens-handbook
Citizen Juries - Coastal Cooperative Research Centre Project
Urban Research Program Community Toolbox www.griffith.edu.au
Jefferson Center. Originator of the Citizens Jury Process.
www.jefferson-center.org

Case Study: Cooloola State Land Audit


A citizens jury was used during an investigation into
the future preferred sustainable use of unallocated
state land on the Cooloola Coast. A two day citizens
panel involved the use of an expert panel, and a
citizens jury. Preliminary planning included three trial
citizens juries, and the development of an expert
panel. The process was deemed to be well suited to
determining a multi-faceted complex issue.
Cooloola Council Information Paper (2003) An
investigation into the future preferred sustainable use
of unallocated State Land on the Cooloola coast.

5.5 Community reference groups


Community reference groups are made up
of invited representatives from a particular
community who have an interest in a given
topic. Reference group members attend regular
meetings, represent their group or communitys
views and provide input into the development,
implementation and evaluation of strategies,
plans, programs and services.
It is important to support members to ensure
they have the capacity, knowledge and time to
both represent their group or community and to
participate effectively. The activities of the group
can be publicised in order to generate and sustain
interest and energy.
Strengths:
supports long term community engagement
and relationship building
can build the capacity of community
members
enables sharing of local knowledge and
expertise
generates new ideas and provides a snapshot
of likely community reaction to a particular
decision or process and
can create intra-group rapport and trust
over time.

Engaging Queenslanders A guide to community engagement methods and techniques

33

Weaknesses:
may be too formal and structured for some
community representatives
if not well-resourced and supported,
community members may not be able to
sustain involvement
can be difficult to sustain in remote
communities
may attract vocal community members
and fail to engage representatives of more
marginalised groups and
difficult to ensure genuine representation.

that encourages social interaction as well as


discussion, deliberation and decision making.
Moving participants to new surroundings can
prompt new or different perspectives and allows
people to interact on an informal basis. There
is a much higher chance of building consensus
when people can really talk the issue through in a
concentrated, yet informal setting.

References and websites:

Strengths:
intensive and focused
a good way to build and strengthen
relationships between key stakeholders and
decision makers
can take place at a neutral venue and
enables sufficient time and space to share,
discuss and deliberate.

Queensland Government. Department of Housing


www.communityrenewal.qld.gov.au
Forth Valley SAT Operating structure. Forth Valley Substance Action
Team, UK. www.drugmisuse.isdscotland.org

Case Study: Community Renewal


Reference Groups
Residents, businesses and community groups
are encouraged to join local Community Renewal
Reference Groups to make sure that their views are
heard. Community Renewal Reference Groups are
involved in activities such as the management of
Community Action Plans, priority setting and project
validation. Community Renewal facilitators are
assigned to each renewal area.
www.communityrenewal.qld.gov.au

5.6 Deliberative retreats


Deliberative retreats are framed around a specific
decision or action that requires the attention of
key stakeholders. The chief decision-makers
need to attend, including those who may oppose
proposed change. The major aim of a retreat is to
achieve consensus about future actions. A skilled
facilitator may be able to assist with designing and
conducting the retreat.
Deliberative retreats seek to move people
away from their everyday work environment
for a concentrated period of time to a setting

34

A retreat can be useful at a certain stage of


an engagement activity, for example, when an
advisory committee is getting close to a key
decision point.

Weaknesses:
can be costly to convene
requires very careful planning, clearly
articulated goals and objectives and
facilitation
may be negatively portrayed as a junket and
may exclude key people who are unable to
participate in overnight events for example,
single parents and carers.
References and websites:
Marcus L PhD & Dorn B MD (2003) Create a tipping point when
planning a retreat. Renegotiating Health Care. By AMNews
contributors. www.ama-assn.org

5.7 Drama workshops


Participants at a drama workshop are encouraged
to act out their interpretation of a future vision
for their community, including what they want
and dont want to happen. Time is then spent
exploring and discussing the issues arising from

Engaging Queenslanders A guide to community engagement methods and techniques

performances. Public officials can attend the


workshop to answer questions and clarify key
points, to consider community perspectives, and
may also perform their own interpretation of a
future vision. Outcomes of a drama workshop may
include a series of options for discussion with the
broader community or consensus about the future
direction.
Incorporating drama and theatre in a community
engagement activity can provide people with
useful hands-on participation in decision-making
processes. Drama can be especially attractive to
people who are not comfortable with traditional and
more formal engagement methods such as public
meetings and surveys.
Careful consideration is required for debriefing and
reflection with the audience following the roleplays/drama workshops.
Strengths
a good way to tap in to diverse and creative
views in the community
can be enjoyable, fun and spontaneous and
can be used with specific people or groups in
the community e.g. youth, art workers, people
with learning difficulties or those who speak
English as second language.
Weaknesses:
may not suit participants who feel inhibited in
role-playing situations
deliver qualitative results which may be
difficult to analyse and
reaching consensus can be difficult.
References and websites:

5.8 Learning circles


Learning circles provide an effective, practical and
democratic opportunity for small groups of people
(generally between five and 20) to come together
to discuss and learn about issues which are
important to them and their community. Learning
circles have been used by community groups,
trade unions, churches and social justice groups
for many years to help explore social and political
issues and provide a forum to make decisions and
take action.
They can be used at the start of a process to
gather peoples ideas and also as a way to
measure peoples understanding about issues and
to explore contentious topics.
Learning circle sessions last around two hours
and run for a number of weeks. They work best
when well supported by balanced but provocative
written materials and carefully facilitated to
explore predetermined and emerging questions.
It is critical to ensure the discussion is focused,
fair and that everyone has an opportunity to
contribute. Throughout the process participants
are encouraged to keep an open mind and make
an effort to understand and value different views.
As the name suggests, participants should sit in a
circle so they can see all other participants.
As the session progresses participants share
previous experiences, recall good and bad
memories and describe feelings associated with
a topic. Providing people with the opportunity to
describe events and feelings in their own way
and in their own time is a useful way to maintain
interest from all participants.

Participation Works: 12 techniques of community participation for the


21st century, (1999) www.neweconomics.org
New Economics Foundation (1999) Participation Works: 12
techniques of community participation for the 21st century.
www.neweconomics.org

Engaging Queenslanders A guide to community engagement methods and techniques

35

Strengths:
builds respectful relationships
provides more focus than discussion groups
and seeks to have action-oriented outcomes
uncovers opinions and feelings about a topic
provides a non-threatening forum which
can draw out a variety of views and ideas,
including from reserved participants and
provides a democratic forum by providing
equal time and attention for each participant.
Weaknesses:
some participants may feel intimidated by the
views and opinions of other participants and
participants may not be totally representative.
References and websites:
Learning Circles Australia www.learningcircles.org.au
Educators for Community Engagement
www.e4ce.org/pages/learning.htm

5.9 Design workshops


Design workshops are structured around specific,
complex issues. The main objective of a design
workshop is to give a number of stakeholders an
opportunity to provide information and advice and
plan for creative problem solving. It is strongly
suggested that a detailed agenda is provided to
each participant prior to the event. Membership
of a workshop group is defined, often limited to
eight people and each member is encouraged to
participate in preparing possible potential solutions
to the issue being considered prior to the meeting.

Strengths:
can be used in initial planning and problem
solving phases
requires a commitment from all participants to
share information
can be highly productive over a short period
of time
techniques are easily learnt and applied
provides an opportunity for a range of
knowledge and skills to be used
enables technical and non-technical people
to participate at the same forum and
allows development and/or enhancement of
relationships.
Weaknesses:
needs to be used in the early phases of
project development
does not allow for wide participation (targeted
participant involvement) and
usually requires expert knowledge or lived
experience regarding a particular issue.
References and websites:
Gaffney G (1999) www.infodesign.com.au
Information and Design (2003) www.infodesign.com.au
Community Engagement in the NSW Planning System (2003)
www.iplan.nsw.gov.au
Sarkissian W & Walsh K (1998) Community Participation in Practice.
Casebook. Murdoch: Institute for Science and Technology Policy.
Wates N (1998) The Community Planning Handbook. London:
Earthscan

There is an opportunity for other stakeholders to be


invited into the group for later follow-up meetings.
These particular workshops can be repeated.
Workshops enable participants to understand the
needs of other stakeholders. A skilled facilitator is
required to conduct the workshop.

36

Engaging Queenslanders A guide to community engagement methods and techniques

5.10 Focus groups


Focus groups are one example of an active
participation methodology used to explore the
opinions, knowledge, perceptions, and concerns of
individuals in regard to a particular topic. A focus
group typically involves six to ten people who have
some knowledge of or experience with an issue.

good for in-depth exploration of peoples


views on an issue/service including their likes
and dislikes
can be used at different stages of a
consultation process from preliminary
planning to the feedback stage and
can target specific groups.

Group discussion is led by a moderator who


guides participants through a series of open-ended
questions. The information gathered can provide
important clues to the participants attitudes and
values as they relate to an issue. Convening
multiple focus groups with different community
members on the same topic can strengthen an
agencys level of understanding about issues
associated with the topic of concern.

Weaknesses:
some people may feel inhibited in expressing
non-consensus views

It is important to have a skilled facilitator


who encourages all members of the group to
participate, to provide a comfortable venue and to
ensure that the participants feel confident about
expressing their views (refer also section 2.3). The
latter can be encouraged by ensuring participants
have an interest in the topic before they are
recruited and, if necessary, providing support for
them to attend.

Dick R (2000) Structured focus groups. www.scu.edu.au

Further efforts may be required to obtain additional


comments or views which may not have been
articulated during the focus group. This may
include follow up phone calls with participants,
opportunities to have an informal discussion with
participants following the focus group, and/or
opportunities for participants to make written or
email comments following the event.

risk of group think and


not guaranteed to be statistically
representative because of small numbers
involved.
References and websites:
Scottish Executive (2000) Stop youth crime now: making it work
together. www.scotland.gov.uk
Silverman G (2003) How to get. Market Navigation. www.mnav.com

Case Study: Development of an after hours


crisis centre for youth focus group
The NSW government commissioned a series
of focus groups to inform the development of an
after hours crisis centre. Separate focus groups
representing young people (who were paid $20
to attend), and community service providers were
conducted. The feedback from the young people was
creative and thoughtful providing a fresh outlook on
the development.
Lyn Carson & Kath Gelber (2001) Ideas for
Community Consultation: A discussion on principles
and procedures for making consultation work, a
report prepared for the NSW Department of Urban
Affairs and Planning.

Strengths:
can be used to gain the views of those
who may not respond to other forms of
consultation, for example, surveys, written
exercises

Engaging Queenslanders A guide to community engagement methods and techniques

37

5.11 Participatory editing


Participatory editing provides citizens with
the opportunity to shape written reports and
documents, without necessarily leaving their
homes. Drafts are circulated to stakeholders in
hard copy or electronically for comments and
feedback. An editor goes through the submitted
comments and produces a revised version of the
report which is then returned to the participating
stakeholders for their endorsement or amendment.
The process may be repeated several times until
consensus is reached on the content.
For participatory editing to be effective those
providing feedback should represent a crosssection of stakeholders. Participants need to be
clearly informed about the steps involved and
need to understand that their comments may
not automatically be included, but will inform the
editors improvements.
Strengths:
builds ownership of documents/plans edited in
this way
enables people to participate at times and on
days which suit them
enables feedback to be received from a
cross-section of participants from different
geographic locations and
can provide the basis for a variety of other
engagement techniques.
Weaknesses:
needs sufficient time and detailed information
and briefing material to ensure clarity about
the requirements of participants
may be unsuitable for people who speak
English as a second language, with low
literacy levels or with visual impairments
is difficult to ensure genuine representation
and

38

editing may attract criticism if the final result


does not adequately reflect all of the input
provided.
References and websites:
North Sydney City Council (2004) www.northsydney.nsw.gov.au
Randwick City Council (2004) www.randwick.nsw.gov.au
The Community Planning Handbook. Nick Wates.
www.wates.demon.co.uk

5.12 Precinct committees


Precinct committees provide a forum for residents
within a defined geographic community or precinct
to actively participate in government decisionmaking relevant to their area. Residents from local
areas make up the committee and meet regularly
to discuss existing or emerging issues which
affect them. Precinct committees are organised
by local residents who are often elected by fellow
committee members, or who volunteer to take on
the role. Meetings are open to any person living
within the precinct boundaries.
Precinct committees discuss matters of local
relevance and may make recommendations
to government, for example, about park and
landscape issues, recreation areas and events.
Where there is interest by residents it is possible to:
arrange an initial public meeting to set up the
committee
notify relevant households of the time, date
and venue of the meeting
encourage the boards or management
committees of local community services to
have precinct/resident representation and
provide advice and support to committees.
Strengths:
supports two-way flow of communication
and information between community and
government

Engaging Queenslanders A guide to community engagement methods and techniques

can provide residents with an opportunity


to influence the provision of services and
programs in their neighbourhood
can support active citizenship and
provides opportunities for discussion and
deliberation.
Weaknesses:
may not be representative of the community
formality may discourage certain people from
seeking to get involved and
needs a clear role and objectives so as not to
become a talk fest.
References and websites:
North Sydney City Council (2004) www.northsydney.nsw.gov.au
Randwick City Council (2004) www.randwick.nsw.gov.au
Waverley Council, New South Wales. www.waverley.nsw.gov.au

5.13 Partnerships for active participation


Partnerships can be an important strategy for
promoting ongoing government and community
engagement. All partnerships involve an
agreement to work together to achieve specific
outcomes. Partnerships recognise the important
contribution that each party makes to achieving
an outcome. Partnerships can be formal such
as the arrangements negotiated between State
and Commonwealth Government agencies and
various community and industry groups to support
natural resource management. Other partnerships
are informal such as when a government agency
and a community group agree to work together to
host a consultation event. Informal relationships
are increasingly being recognised as significant
enablers of great partnership alliances.
Partnerships can significantly affect communities.
Maintaining relationships within partnerships
depends on practicing the key principles listed
below. Processes such as networking activities,
sharing meals and joint learning activities can play

an important part in developing, maintaining and


sustaining partnerships.
There are several key principles of encouraging
active community participation in partnerships.
These are:
1. Trust can be earned in a number of ways,
mostly through introductions by people
who already have established trust with the
community and/or key stakeholders. Shared
action and working together on a sustainable
basis will generate trust provided the
additional principles are applied.
2. Mutual respect commitment to respect
should be communicated through verbal
and non-verbal behaviour and through
action, such as setting up ground rules for
engagement in the initial meeting.
3. Clarity of roles and responsibilities
roles need to be communicated in a
number of forums including at meetings and
in written or video material.
4. Agreement to listen there needs to be
a commitment from all players to active
listening. This can be conveyed in a group
setting through the establishment of
ground rules which are determined by the
participants.
5. Power sharing structures and agreements
have to be put in place to acknowledge how
power will be shared between partners.
6. Accessible and transparent decisionmaking structures decision-making
structures need to be agreed, respected and
communicated by all participants through
a variety of mediums being sensitive to the
learning needs of the community.
7. Empowerment provide an environment
where there is conscious sharing of activities,
decision-making, advocacy, and recognition
of human rights.

Engaging Queenslanders A guide to community engagement methods and techniques

39

8. Training, skills development and


education for all partners through skill
development in the areas of collaboration
and leadership meaningful community
capacity can be harnessed and supported.
Concrete contributions to personal,
organisational, and community change can
be effected.
Strengths:
harnesses the resources and energy of
government and community members to
achieve shared outcomes
can be established in a variety of ways to
achieve a variety of outcomes
is a useful to build longer term relationships
and
can build the knowledge, skills and
awareness of all partners.
Weaknesses:
not all stakeholders have the resources,
desire or need to partner government
no matter how well-intentioned partnerships
may be, power is often not equal and in some
instances it is difficult for some stakeholders
to let go of their power
often requires extensive discussion and
negotiation to agree on the nature and terms
of the partnership and
requires significant commitment of resources
to maintain partnerships.
References and websites:
Community Planning Implementation Group
www.communityplanning.org.uk
National Resource Centre for Consumer Participation The Consumer
and Community Participation Toolkit. The Adelaide Community Health
Service. www.participateinhealth.org.au
Scottish Executive Central Research Unit. Community Participation in
Social Inclusive Partnership. www.scotland.gov.uk

40

Case Study: The Goodna Integrated Family


Support Service Project
This service provides a supportive model of
collaborative case management to families, targeting
children and young people. Information is provided
on available services through a single, accessible
point (an agency they already have contact with)
with access provided to counselling and support
and advocacy services from a variety of partner
organisations.
www.communities.qld.gov.au

The techniques which are described below are


most often used to engage medium sized groups,
generally 20-100 people, as active participants in
an engagement process.

5.14 Future search conferences


A future search conference is a participative
method often used to develop a shared future
vision and plan for a community. A future search
conference is an effective way of developing a
partnership with the community. It can be used
for developing and gaining broad commitment
in a strategic planning process, but depends
on a strong commitment to follow through with
conference outcomes.
Future search conferences initially focus
on identifying desirable futures and then
concentrating on ways to achieve them. They
are intensive events, usually taking place over
a number of days. Participants are generally
stakeholders who have power or information on
the topic or who may be affected by any resulting
decisions or outcomes.
The ideal number of participants is 64 people
this breaks down into eight groups of eight.
People from similar interest groups are usually
placed together for some or all of the conference
to take part in a highly structured process covering
five stages:

Engaging Queenslanders A guide to community engagement methods and techniques

1. Review the past each participant writes


key events in the history of themselves, the
community and the world onto three parallel
time lines.

References and websites:

2. Explore the present a mind map is made


of trends affecting the local community.
Specific interest groups identify important
trends and what they would like to be done
about them. Groups share what they are
proud of and sorry about in their community.

Emery M & Purser R (1996) The Search Conference: A Powerful


Method for Planning Organizational Change and Community Action.
San Francisco: Jossey-Bass.

3. Create ideal futures small mixed groups


develop visions. Barriers to achieving the
visions are identified. Each group acts out its
vision to everyone else.
4. Identify common ground first the small
groups, then the whole group, work out the
common ground or shared vision, identify
projects to achieve it, and identify any
unresolved differences.
5. Make action plans self-selected action
groups plan projects and publicly commit to
their action.
Strengths:
good technique for developing a vision for a
community
can drive community and government action
involves a broad range of relevant
stakeholders and
can develop support and consensus among
stakeholders with diverse views early in the
planning process.

Future Search Network www.futuresearch.net


Weisbord M (2000) Productive Workplaces Revisited: Dignity,
Meaning and Community in the 21st Century: John Wiley and Co
www.mountainplains.org

Emery M (1997) Participative Strategic Planning: the Search


Conference in Open Government Network, Reaching Common
Ground: Open Government, Community Consultation and Public
Participation. Proceedings of the Reaching Common Ground
Conference, 23-24 October, 1996. Sydney: The Open Government
Network.
Sarkissian W, Cook A & Walsh K (1999) Community Participation in
Practice. A Practical Guide. Murdoch: The Institute for Sustainability
and Technology Policy. Murdoch University.

Case Study: Future Search. Victoria Roads


Corporation
The future search conference was conducted as
part of a wider research project into the arterial
road formation in Melbourne. A diverse number of
stakeholders were invited to discuss economic,
ecological, sociological and urban design issues. The
goals for the conference were to search for issues
and explore problems, form cooperative networks,
seek ways of implementing principles of ecologically
sustainable development and provide guidance for
the larger study.
Lyn Carson & Kath Gelber (2001) Ideas for
Community Consultation: A discussion on principles
and procedures for making consultation work, a
report prepared for the NSW Department of Urban
Affairs and Planning.

Weaknesses:
there may be difficulties in reaching
consensus
the process may be dominated by large
interest groups if not carefully planned and
facilitated and
can be logistically challenging.

Engaging Queenslanders A guide to community engagement methods and techniques

41

5.15 Imagine
Imagine is a new approach to community
participation based on appreciative inquiry.
Appreciative inquiry can be used to discover,
understand and foster innovations in communities
by gathering positive stories and images and
constructing positive interactions.
Imagine focuses on exploring ways to consider what
could be and what is possible by reflecting on past
positive experiences. It helps participants identify a
collectively desired future and vision and consider
ways of translating possibilities into reality and belief
into practice.
Imagine asks people to tell stories of what works
and involves a six-stage process of:
1. defining the issues and a set of exploratory
questions
2. using the questions to draw out stories
3. dreaming how the future could be and
expressing peoples ideas as provocative
propositions ideally done in a one-day
workshop
4. co-creating the dream by forming
partnerships that in turn use the Imagine
method for continuing workshops
5. celebrating the project and its achievements
and
6. evaluating the project.
A core group of participants should be trained to
facilitate the Imagine process prior to commencing
the event. The core group can then guide and
train other participants. Skilled and independent
facilitation for a workshop/s is desirable.
Strengths:
is inclusive all sections of the community
can take part
is based on storytelling, which is familiar
and fun
42

links people who dont normally meet


participants learn skills
is flexible it can be used for a variety of
topics and locations
creates a shared vision
visions are rooted in success, so should have
realistic outcomes and
generates commitment and social action the
willingness and ability of people to act for the
common interest.
Weaknesses:
may be seen as trendy or superficial
may create expectations which cannot be met
and
participants may not be representative.
References and websites:
Imagine Chicago. www.imaginechicago.org
Engwicht D (1993) Just Image The 1993 Meares Oration. Sydney:
Disability Advisory Council of Australia.
Engwicht D (1999) Street Reclaiming: Creating Livable Street and
Vibrant Communities. Annandale NSW: Pluto Press.

5.16 Negotiation tables


Negotiation tables have been initiated in
Queensland as part of the state governments
Ten Year Partnership, which is a state-wide,
issues-based approach to Aboriginal and Torres
Strait Islander policy. Negotiation tables are
one strategy being implemented to provide for
more effective engagement between the state
government and the states Aboriginal and
Torres Strait Islander communities. This model of
engagement can be used in most communities
where issues are culturally specific.Negotiation
tables are a sustained process of consultation,
planning and negotiation between community
leaders and senior public officials. State and
Commonwealth government agencies, regional
and local Indigenous organisations and community
groups work together in a collaborative way.
The process involves reviewing existing plans,
producing community development plans which

Engaging Queenslanders A guide to community engagement methods and techniques

identify priority needs, negotiating a government


response and establishing a mutually agreed
Shared Responsibility Agreement and Community
Action Plan which clearly defines the commitment
of all participants.
Negotiation Tables may be locally or regionally
(cluster) oriented. A cluster Negotiation Table
may be convened when a group of communities
has identified a common issue and agreed that
there would be advantages in negotiating crosscommunity resolutions.
The key responsibility of government
representatives participating in Negotiation
Tables is to listen to the priorities identified by
communities and harness resources to deliver
agreed government strategies.
Strengths:
is based on a partnership approach which
brings multiple agencies to the table with
community
community representatives can directly
influence government decision-making
promotes diversity, flexibility and equality of
opportunity for communities and
uses mutual planning and goal setting to
develop agreements and plans.
Weaknesses:
are formal and highly structured and
are resource intensive.
References and websites:
Office of Aboriginal and Torres Strait Islander Partnerships
www.datsip.qld.gov.au

Case Study: Meeting Challenges Making Choices


The indigenous community within the Cape York
region have forged together strong government
partnerships using negotiation tables. The community
has been able to enforce changes which will
positively impact on the community.
www.datsip.qld.gov.au

5.17 Nominal group workshops


Nominal group workshops are based on the idea
that any reasonably representative group of people
with an interest in a topic can identify almost all
of the issues associated with the topic and make
compromises so that most important issues are
identified and prioritised.
Nominal group workshops consist of approximately
25 people. Stage one involves a facilitator
distributing a background report and providing
a chance for people to ask questions (public
officials or other experts can attend to such
questions and clarify issues). Working alone, each
participant is asked to list one major issue and
several associated challenges relating to the topic,
for example What are the essential features of a
quality transport system?.
In stage two, participants are assigned to small
(nominal) groups of four to six people to share
their responses. During stage three, members of
the small group discuss, clarify and record their
responses. Once the small groups have identified all
of their issues, the large group reconvenes and all
the responses are displayed around the room.
Stage four involves participants being provided with
ballots. Each person is asked to vote on the issues
that they feel are the most important. The votes
are then counted, and the issues are ranked by the
number of votes that they received. Following the
prioritisation of the issues, there is a discussion,
guided by the facilitator, on the results of the process.
This can be followed by a final voting process if
required.
This process can also be implemented using
online tools to gather the opinions and priorities of
geographically dispersed stakeholders and those
who prefer not to participate in group discussions.
With these groups stages two, three and four are
managed remotely by a central facilitator who collects

Engaging Queenslanders A guide to community engagement methods and techniques

43

and collates information from each of the participants


before recirculating the materials using online or
traditional postal services. This process continues
until consensus is reached.

members and enable them to prioritise their


concerns and discuss problems and solutions.
Photovoice can also be a useful tool for identifying
community strengths and assets.

Strengths:
can identify problems, explore solutions and
establish priorities
allows individual judgements to be pooled in
situations where uncertainty or disagreement
exists about the nature of a problem
all participants have an equal opportunity to
have their say and
delivers timely results.

Photovoice is an innovative and creative


engagement activity which seeks to inform policymaking by enabling people to record and reflect
their communitys strengths and concerns. It also
promotes critical dialogue and knowledge about
personal and community issues through large and
small group discussions of photographs.

Weaknesses:
the group may not be representative
may result in ill-informed or impractical
outcomes and
is not especially in-depth and therefore does
not allow comprehensive exploration of
peoples feelings.
References and website:
Borrini-Feyerabend G (ed) (1997) Beyond Fences: Seeking social
sustainability in conservation. www.iucn.org
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Commonwealth Department of Health & Aged Care. Canberra.
Available as pdf as www.participateinhealth.org.au
COSLA (1998) Focusing on Citizens: A Guide to Approaches and
Methods. Available at:
www.improvementservice.org.uk/community-planning

Strengths:
provides pictorial evidence of community
issues
provides an alternative means of expression
which may help to include those who prefer
visual rather than textual or verbal information
allows detailed information to be collected
from participants and
can easily be used in the media, including
print, television and online.

Flinders University Department of Public Health & South Australian


Community Health Research Unit. (2000) Improving Health
Services through Consumer Participation A Resource Guide for
Organisations.

Weaknesses:
can be costly, including cameras, developing
and printing photographs
may generate ambiguous information and
may be difficult to manage and coordinate.

5.18 Photovoice

References and website:

Photovoice involves providing cameras (generally


disposable) to people in the community to identify,
record, represent, and enhance their community
through photography. It uses the immediacy of the
visual image and accompanying stories to enable
community members to describe their priorities.
It can be used to inform and organise community
44

Photovoice is highly flexible and can be adapted


to specific participatory goals (such as needs
assessment, asset mapping and evaluation) and
used to engage different groups and communities
in relation to planning and policy issues.

Photovoice, Social Change Through Photography


www.photovoice.com

Engaging Queenslanders A guide to community engagement methods and techniques

5.19 Policy action teams


Policy Action Teams are responsible for an
intensive program of policy development around
a particular issue e.g. anti-social behaviour in
a disadvantaged neighbourhood. Teams are
composed of 20 to 40 members representing a
cross-section of government departments, as
well as experts from the community, industry and
tertiary education sectors.
The teams bring together the expertise of those
on the ground with that of public officials who
have been working on the relevant issue often
in isolation. While policy action teams are
encouraged to engage in blue skies thinking, all
recommendations must be evidence-based.
Where relevant, the team may work in the
community affected by the policy issue to gain
first-hand experience. Teams are often chaired
by a senior public official and have a champion
Minister, who is assigned to take a proactive role
in the work of the team. A lead agency provides a
supporting secretariat and careful consideration
is given to how the team can maximise the
contribution of communities to the policy issue and
what capacity building is required to support that
contribution.
Policy action teams are potentially best suited
to addressing issues which are complex and cut
across traditional departmental boundaries and
which require innovative and new perspectives.
Experiences from the United Kingdom suggest
that teams work best when tackling policy issues
which need to involve stakeholders from across the
social spectrum and when it is important to have
stakeholders take ownership of issues at a local or
service delivery level.
Strengths:
reports and recommendations of policy action
teams are grounded in first-hand practical
experience and balanced by specialist
knowledge

public officials, community and industry


representatives work in equal partnership with
a responsibility to find solutions that may have
eluded them in the past
representatives from across government and
from different levels of government work in
a collaborative manner alongside external
stakeholders who represent the views of the
community and other expert bodies and
the teams provide an opportunity for a new
approach to policy development, generating
energy, ideas and relationships.

Weaknesses:
time consuming and
managing expectations can be challenging
members may be unsure whether their role
is to act as an expert on a particular issue or
to represent the interests of their organisation
or government agency.
References and website:
Social Exclusion Units Policy Action Team Approach to Policy
Development.www.policyhub.gov.uk

5.20 Fishbowls
A fishbowl is a discussion strategy that seeks
to maximise participation in identifying and
understanding issues in response to set questions.
Questions for discussion are prepared and
considered one at a time. Fishbowl participants are
assigned to either a listening or a discussion group.
The two discreet groups are positioned so that the
listening group is seated around the discussion
group (usually in concentric circles).
The first discussion group has an agreed
amount of time to discuss the question (only one
question per discussion round). During the active
discussion, the listening group takes notes and
prepares commentary. The groups then swap
places and the listening group provides rebuttal or
further examination of the issues discussed and

Engaging Queenslanders A guide to community engagement methods and techniques

45

any further issues not raised previously. The group


may also provide feedback on their observation
of the dynamics within the first discussion group.
This process can be repeated for a number of
questions. Recording and/or documenting of the
discussions is necessary.
This is a focused activity based on intense
exploration of a specific issue. It requires careful
planning and participant selection. The process
can be aided by follow-up small group workshops
for further action planning.
Strengths:
is particularly useful for a diverse group of
people to explore complex issues in a short
timeframe
provides an opportunity for participants to
actively listen, and then reflect/respond
can inform solutions through creative
dialogue and
opportunity for trust development and a wider
awareness of issues from a diverse group.
Weaknesses:
the questions considered need to be
significant and prompt energetic discussion
there needs to be a certain level of comfort
within the group and an agreement to adhere
to the rules of polite conversation for an
inclusive interaction
only able to accommodate medium-sized
groups of people as participants
requires skilled facilitators and good
timekeeping
must be culturally sensitive and
follow-up planning and debriefing maybe
required after this process.
References and websites:
Active Training (2003) www.activetraining.com
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Walsh K & Sarkissian W (2000) Improving Community Participation in
the City of Port Phillip. A Toolbook of Participatory Techniques. Walsh
Planning Research and Design: Melbourne (p. 99)
46

The final set of active participation techniques


which are described below are generally
used with large groups of people, often more
than 100, who are all encouraged to become
actively involved in the process.

5.21 Planning For Real


Planning For Real has been used to give people a
voice in decisions effecting their neighbourhoods
and communities. The key piece of equipment in
Planning For Real is a community-assembled,
three-dimensional model of a geographical area
(e.g. the neighbourhood or catchment area),
on which problems and improvements for the
community are identified by the placement of
cards.
The model and cards are used to:
overcome the difficulties of verbal
communication by providing an alternative
currency to words as a means of exchanging
views and information
provide a common reference point around
which to structure feedback and comments
and
permit a broader perspective of issues as well
as a physical base for suggestions.
Planning For Real has three basic stages. Stage
one involves key stakeholders such as either
volunteers, a local club, students, or others,
assembling the model within the community.
The model is used to publicise public meetings
to begin the process of identifying problems
and opportunities. The model is designed to be
transportable so that it can be used in multiple
locations.
Stage two involves training sessions with a few
local residents to familiarise them with the Planning
For Real process. Stage three involves public
meetings which are often held in large, preferably

Engaging Queenslanders A guide to community engagement methods and techniques

community-based venues. Participants view and


place cards or small flags on the model to identify
their issues of care or concern. It is often useful for
business and government stakeholders to attend
the public meetings to get a clear idea of local
peoples needs and to answer specific questions.
Careful planning and facilitation is prudent to
ensure that the presence of experts does not set
up an us against them environment.
As the Planning For Real process develops
momentum is created about specific practical
proposals.
Small, ad hoc working parties are formed around
each issue of concern. The working parties meet
to work out details and to negotiate between
conflicting interests and priorities. Providing a
follow-up pack which describes how issues raised
will be followed up can be useful to sustain the
energy.
Strengths:
starts with an open agenda
large numbers of people can take part (no
finite number)
is inclusive all sections of the community
can take part
discussion of a large number of topics is
permitted
can be used to develop a community
action plan
can bridge language gaps
is fun, simple and easy to understand
is non-confrontational and informal and
is particularly appropriate for geographical/
physical issues, e.g. environment, planning.
Weaknesses:
can take a lot of time and effort to organise
feedback to participants may be difficult and
may not be totally representative.

References and websites:


Neighbourhood Initiatives Foundation (1995) A Practical Handbook for
Planning for Real Consultation Exercise. Telford: U.K.
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Gibson T et al (1986) Us Plus Them? How to use the Experts to
get What People Really Want. London: Town and Country Planning
Association

5.22 Open Space Technology


Open Space Technology is a large group
facilitation technique for up to 1000 participants
which has been used in a wide variety of
circumstances including peace-making between
factional groups, strategic redirection of companies
in crisis, innovation and visioning sessions,
knowledge sharing and community development.
Open Space Technology is based on the premise
that people will take ownership of issues they feel
strongly about. Participants, rather than organisers,
set the agenda, decide the length of the event
(generally between one to three days) and the
outcomes.
Four principles of engagement for Open Space
Technology forums apply:
1. Whoever comes are the right people
2. Whatever happens is the only thing that
could have
3. Whenever it starts is the right time
4. When its over, its over.
In addition to these four principles, the law of two
feet applies. This simply means that people have
the right and responsibility to walk away if they are
disinterested.
Participants write on a piece of paper the issues
that are important to them and that they are willing
to work on by convening or contributing to a
workshop. All issues are placed on a wall or matrix
for everyone to see. Other participants then sign
up for workshops which they are interested in
attending to discuss and agree further action.

Engaging Queenslanders A guide to community engagement methods and techniques

47

By providing an open and participative


environment, people self-organise and work on
issues which they feel passionate about and for
which they will take responsibility. Participants
are encouraged to exchange views and seek to
understand different viewpoints.
Open Space Technology can be used with
community groups in local settings or large
numbers of people at a specially convened event.
It can be especially useful wherever complex
issues need to be resolved, where commitment
and passion of individuals can be embraced,
or when it is necessary to motivate a group or
organisation to urgent action or change, and where
formal procedural methods have failed or are
inappropriate.
As Open Space Technology sessions progress
dominant themes emerge. Workshops and
outcomes are written up and distributed back to
participants for reflection and action.
Strengths:
a broad range of issues can be tackled
it allows a bottom-up agenda to emerge
it enables new alliances to form across social
barriers
all participants have an equal opportunity to
have their say and
it inspires ownership and action.
Weaknesses:
focusing on action, rather than issues, can be
difficult
the group may not be representative
a large amount of data is collected and
consideration needs to be given to data
collection, analysis and reporting
it can be relatively time consuming and
it can sometimes be difficult to sustain
the energy from the workshop in order to
generate longer term outcomes.
48

References and websites:


Change Management Toolbook www.nps.gov
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Open Space World www.openspaceworld.org
Owen H (1993) Open Space Technology: A Users Guide: Potomac
Maryland: Abbott Publishing.
Sarkissian W Cook A & Walsh K (1999) Community Participation in
Practice. A Practical Guide. Murdoch: The Institute for Sustainability
and Technology Policy. Murdoch University.
Wates N (2000) The Community Planning Handbook. UK: Earthscan.

5.23 Citizens panels


A citizens panel can involve large numbers of
people, often between 100 and 2000, who are
selected to be representative of the population.
Participants agree to take part in regular
deliberations about a range of issues over a period
of time. The panel members are surveyed on a
regular basis on specific issues or processes
to track changes in attitudes, knowledge and
behaviour. Approximately one-third of the panel
is replaced each year to ensure it remains
representative.
Strengths:
access is open to a wide range of people
including minority groups
is a useful way to test new ideas and plans
is a timely and economical method once
established
can undertake research at short notice
views can be tracked and measured over
time (although care needs to be taken with
interpreting results given panel membership
changes over time)
panel members develop an understanding of
issues over time and
participants feel valued as long as adequate
feedback is given.
Weaknesses:
panel members may lose interest
representativeness of the panel can be

Engaging Queenslanders A guide to community engagement methods and techniques

compromised if panel members pull out


before their term expires
may be difficult to sustain participation by
panel members
can be time consuming to replace members
throughout the process
resource intensive to establish
requires considerable degree of ongoing
commitment from all parties involved and
there is a risk that as some representatives
become more informed, that they become
less representative of the community.

References and websites:


South Lanarkshire Citizens Panel, UK www.step.gb.com
Community Engagement in the NSW Planning System, 2003
www.iplan.nsw.gov.au

5.24 Deliberative polling


Deliberative polling is an attempt to use public
opinion research in a new way. A random,
representative sample is first polled on an issue
(refer section 4.4). After the baseline poll, members
of the sample are sent an information pack
containing carefully balanced briefing material on
the issue and invited to gather at a single place to
discuss the issue over a number of days. In some
instances, one-on-one, face-to- face interviews
have been conducted in the initial recruitment
stage.
Once together, participants engage with various
experts and political leaders to explore questions
they develop in small group discussions with
trained moderators. After the deliberations, the
sample is polled again using the same questions
from the pre-poll survey. In some instances, written
material can be sent to the sample group and
further participation can be generated by asking
the participants to discuss the material with family
and friends. The resulting changes in opinion are
thought to reflect the conclusions the broader
public would reach if they had an opportunity to
become more informed about the issue being
considered.

Over 20 deliberative polls have been held in the


United States, Australia and elsewhere. Two
national deliberative polls have been conducted
in Australia, the first before the November
1999 referendum on whether Australia should
become a republic and the second on Aboriginal
reconciliation in February 2001. These events
involved national random samples of Australians
who met in Canberra for three days of nationally
televised discussions with experts and key political
leaders.
Strengths:
highly representative sample
provides a human face to poll results
can inform policy decisions by tracking the
impact of education processes on opinion
the sample population can be targeted for
ongoing decision-making processes
is a form of public education in the broadest
sense and
can be staged at a national, state or
local level.
Weaknesses:
issues need to be clearly viewed as being in
the public interest and of significance
requires participants to have a high level of
literacy
high costs of organising, staging and
broadcasting the event, plus paying the travel
costs for the participants (which may number
anywhere between 100 and 500) and
careful consideration needs to be given to
the level of importance surrounding the issue
versus the cost benefits.
References and websites:
Carson L (1999) Enabling Mechanisms for Public Participation in
Science. www.ies.unsw.edu.au
The Center for Deliberative Polling www.utexas.edu
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au

Engaging Queenslanders A guide to community engagement methods and techniques

49

5.25 Summits
A summit is a large scale, time limited event
which brings together large numbers of diverse
participants to consider information, engage in
dialogue and to make recommendations for action.
Summits are often used in the early phases of
developing strategies to address particularly
complex issues. They can be both a visioning and
exploratory exercise. Intensive planning is required
to organise a summit. Summits are interactive and
can be tailored to suit a diverse group of interested
community participants, key stakeholders and
policy makers.
The summit process is structured and transparent
and requires significant forms of consultation
prior to the event. It also requires a high level of
commitment and resourcing from political leaders
and key stakeholders. A summit is normally held
over two to three days. Consultation can be
expanded to include a web based chat link during
the summit, and information sharing processes for
those who are unable to attend the summit.
The methods for delivering a summit may vary,
but generally the first day features introductory
speakers from a diverse group including
politicians, experts, and community members. The
second day features exploration of existing policies
with international, national and local perspectives
being discussed. Expert panel members inform
participants, and working groups are established
and operate throughout the summit. A special
resolution group is established and informed by
the other working groups, this can also include
an online forum. The final day features the
establishment of draft policies which are discussed
within a plenary session.
Strengths:
can defuse a contentious issue by providing
all stakeholders with the opportunity to put
forward options for consideration

50

enables open and rapid communication


supports collaborative policy making
enables multi-sectoral engagement which
has the potential to develop and enhance
relationships between key stakeholders and
community participants
blends the reality of the lived experience, with
laws, existing services, and the costs and
benefits of all these factors
can deliver a high degree of bi-partisan and
public support for key directions that emerge
through summit processes and
the sharing of group skills and experiences
can support education and awareness raising
outcomes.
Weaknesses:
requires high-level commitment and
leadership for preparation and planning
effective stakeholder engagement is critical
requires effective risk management
requires significant investment in planning,
engagement, coordination, management,
delivery and follow up
requires a high level of skill and expertise in
planning, consultation and facilitation
participants must to be prepared to be
exposed to a variety of responses based on
perceived flaws in current policies, programs,
expenditures and practices.
References and websites:
NSW Alcohol Summitt 03 www.alcoholsummit.nsw.gov.au
Collins D & Lapsley H (2003) Counting the cost: estimates of the
social costs of drug abuse in Australia in 1998-9, Commonwealth
of Australia, cited in NSW Summit Preliminary Background Paper,
April 2003
Queensland Education (2002) www.education.qld.gov.au
Walsh K & Sarkissian W (2000) Improving Community Participation
in the City of Port Phillip. A Toolbook of Participatory Techniques.
Melbourne: Walsh Planning Research and Design with Sarkissian
Associates Planners.

Engaging Queenslanders A guide to community engagement methods and techniques

Case Study: NSW Alcohol Summit


The NSW government conducted a summit on
alcohol as a result of community concern. A
diverse group of participants included, multi-cultural
communities, rural communities, young people,
government and non-government representatives,
and industry representatives. The goals for the
summit were to develop a better understanding
of issues, better inform the community, examine
existing approaches, consider evidence and new
ideas, identify areas of improvement, and finally,
build political and community consensus. Following
the summit, a government action plan and relevant
implementation resources were developed and
announced.
NSW Alcohol Summit
www.alcoholsummit.nsw.gov.au

5.26 Collective learning technique


(also known as World caf)
The aim of the World caf is to create a discussion
environment that feels like a caf. World caf can
either be conducted online or in a public space.
This method is suitable for large groups of people
(has been practiced in groups of over 1,200
people). It provides a diverse group of people with
an opportunity to share information and insights
into complex issues. A number of questions are
prepared and documented on a number of tables.
Either a tablecloth (which can be written on) or
large note pads are provided at each table. Groups
are initially assigned to a table, and then given a
set amount of time to respond to the questions.
People are invited to talk in small, intimate groups
about topics of interest. They are then asked to
rotate to another table (and another question) and
to add to the responses made by previous groups.
The number of rotations can be tailored to the time
requirements of the event.

connection with the wider group. This offers the


whole group an opportunity to connect the overall
themes or questions which are presented, and talk
about the possibility for further action.
Strengths:
the method is simple in design
allows a large, diverse group of people to
participate
enables information sharing on a large scale
responses do not have to be limited to
written material, drawing would be equally as
effective in articulating issues
allows cross-pollination of ideas across a
large group of people and
is a powerful technique for creating shared
knowledge of a communities issues and a
subsequent sense of community.
Weaknesses:
resource intensive (venues, resources,
people, marketing)
requires significant planning
requires a number of skilled facilitators
preferably one for each table and
a significant amount of follow-up is required
for further action planning.
References and websites:
The World caf Community Foundation (2003)
www.theworldcafe.com/storyawwd.html
National Coalition for Dialogue and Deliberation (2003)
www.thataway.org

When the final rotation has occurred, a plenary


session is conducted to create a sense of

Engaging Queenslanders A guide to community engagement methods and techniques

51

5.27

Community visioning

Creative or community visioning is an exploratory


method for any number of community participants.
It normally involves the facilitation of sessions in
which participants are asked to close their eyes
and imagine what their community looks like
now, and what it could look like into the future.
A scenario can be set which may provide stimuli
for the visioning experience. Visualisation is the
technique used and a skilled facilitator provides an
atmosphere with a dialogue closely mapping out
the community featured. Small group sessions can
be facilitated to capture the creative thoughts of
participants and follow-up planning activities begin
to translate the community vision into concrete
plans. There are a number of forms of community
visioning, and it can be expanded to include
creative arts, such as drawing, or making models
out of craft materials (these can be particularly
good for children).
Strengths:
large numbers and diverse participants can
be involved
can be a great community building exercise
creating a sense of community through the
sharing of visions
explores a variety of visions for the future
focuses on possible strengths rather than
issues or conflict and
is able to generate forward planning and
regenerate a positive spirit and purpose.
Weaknesses:
may create anxiety in some prospective
participants and impact on recruitment for
the day
requires a number of facilitators to compile
and interpret the visions described
generates a lot of ideas and data for collation
and analysis may be difficult and
requires careful documentation and clarity
of purpose to ensure sound links to concrete
outcomes.
52

References and websites:


COSLA (1998) Focusing on Citizens: A guide to approaches and
methods www.cosla.gov.uk
Walsh K & Sarkissian W (2000) Improving Community Participation
in the City of Port Phillip. A Toolbook of Participatory Techniques.
Melbourne. Walsh Planning Research and Design (p. 99)
Ames S (ed) (1989) A Guide to Community Visioning. Portland
Oregon: Steve Ames Planning.
Ames S (1993) The Agency Visioning Handbook: Developing a Vision
for the Future in Public Agencies, A Hands-On Guide for Planners and
Facilitators in State and Federal National Agencies. Arlington, Virginia:
U S Fish and Wildlife Service, Division of Federal Aid.

5.28

Community cultural development

Community cultural development refers to a cluster


of community-based arts practices that involve artists
working with community members to build skills, to
share information, understandings and experiences
and to actively involve people in developing their
community and/or their culture. A wide range of arts
practices can be used to engage people including,
but not limited to, dance, theatre, festivals and events,
exhibitions, video, digital arts, public art, circus and
fashion design.
Community cultural development processes have
been used to achieve diverse outcomes including
fostering harmony, creating a sense of place, giving
voice to the disengaged and unengaged, generating
creative solutions to local issues, community
revitalisation, promoting health and well-being,
natural resource management, informing and/or
improving the design of the built environment,
recording the history of communities and creating
employment.
Strengths:
creates artistic outcomes alongside
community, cultural and economic
development outcomes by exploring ideas
and issues of importance to the community
supports skills development, relationship
building and belonging
allows communities significant control over
what messages, plans and products are
developed and how they are developed

Engaging Queenslanders A guide to community engagement methods and techniques

may support the achievement of government


requirements such as the art built in or
two percent for art policy for capital works
projects
is often effective when engaging people
from culturally and linguistically diverse
backgrounds, young people and people who
prefer to express themselves using images
and concepts rather than words and
unleashing creativity can often result in more
innovative thinking and problem solving.
Weaknesses:
requires skilled qualitative expertise and/or
advice on data analysis
skills and confidence need to be built to
ensure that community cultural development
processes link to, and inform, government
processes and
can be resource intensive and time
consuming.
References and websites:
Australia Council for Arts Community Cultural Development Board
www.ozco.gov.au/boards/ccd
Hirst A & Sarkissian W (2002) Community Participation in Practice.
New Directions. Murdoch: Institute of Sustainability and Technology
Policy. Murdoch University.
Queensland Community Arts Network www.qldcan.org.au

The Art of Renewal Thinking culturally about strengthening


communities www.communityrenewal.qld.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

53

6
Feedback and follow-up

Feedback and follow-up are critical elements of


an engagement process.

6.1 Providing participants with feedback


Providing feedback to those who have participated in
an engagement process, allows them to see whether
their views have been accurately represented when
decisions are being made. Participants are often
interested in receiving a summary of the range of
information generated via an engagement process
and how this is being considered, not simply a
summary of their own ideas. Sharing summary
materials across groups is often an effective way of
raising awareness and can lay the foundations for
relationship and consensus building.
Citizens and stakeholders take time out of their
busy lives to contribute to government engagement
activities and it is therefore important for them to
receive feedback on how their views were taken
into account. Without feedback, citizens and
stakeholders may assume public officials were
not listening and may not know whether their
contribution has made a difference. Both situations
are likely to result in a reluctance to participate in
future engagement processes.
Feedback to participants and others with an interest
in the particular issue, such as other government
departments, organisations and the wider public,
can enhance the legitimacy and quality of decisions
by ensuring that they are subject to a robust and
effective public scrutiny.
Ongoing feedback will:
encourages continuing participation
clarifies whether community issues have been
accurately understood
improves relationships
builds trust and confidence in the engagement
process

54

assesses the appropriateness and


effectiveness of the engagement techniques
used and
clarifies whether the original government/
community goals and objectives are
being met.

6.2 Following up on engagement


Community engagement activities are generally
undertaken to inform action and to generate change.
Follow-up strategies provide those who participated
in an engagement process with advice regarding
progress made in addressing the issues raised.
Follow-up information provided to participants
may include:
details of subsequent engagement activities
with other groups
answers to questions raised by participants
confirmation that information generated via
engagement has been forwarded/is being
considered by relevant agencies
details of any changes made or planned in
response to participant comment and
details of any future opportunities for further
participation.

6.3 When should feedback and follow-up


occur?
It is often useful to establish a protocol during the
planning and design phase of an engagement
process that outlines when and how feedback
will be provided, and also what information will
be shared with whom. Depending on the nature
of the engagement, feedback might be offered at
regular intervals, and/or within a pre-determined
period after each engagement activity and further
opportunities to be involved. Feedback and followup should generally be incorporated throughout the
engagement process and have a focus on letting
participants know what the next step is and when

Engaging Queenslanders A guide to community engagement methods and techniques

and how they will be advised of the outcomes from


any activity.

using a dedicated community engagement


project email group

It is important that follow-up be timely and that


commitments to follow up particular issues
or matters of concern are addressed within
agreed time frames. This helps to build faith in
government engagement processes. Followup may also be a critical part of the evaluation
process. So it is important that the capacity to
provide regular and ongoing feedback is woven
into the process at the planning stage.

establishing an interactive or informative


website
issuing media releases and updates within
organisation newsletters
using informal communications and
issuing reports.

6.4 How should feedback be given?


A range of feedback techniques should be
employed to reach a variety of participants.
Depending on the group you are seeking to
provide feedback to, it may be important to
use both written and verbal feedback methods.
It is usually important to provide people with
information, but also to create opportunities
for them to ask questions or to seek additional
information if required. Some techniques to
consider include:
writing letters to all participantsthis can be
via email
posting reports
providing summary reports of meetings/
workshops
acknowledging written submissions
providing information via telephone hotlines
holding meetings to relay findings, outcomes,
progress
giving presentations to groups within the
community
offering discussion/issues papers
publishing newsletters, charts and posters

Engaging Queenslanders A guide to community engagement methods and techniques

55

7
Celebration, transition and handover

7.1 Community celebrations


Community celebrations can mark the end of
a stage of a particular engagement process or
be planned as a technique to enable diverse
community engagement (refer also section
3.12). Celebrations can create a sense of fun
around community issues and provide public
acknowledgement of collaborative efforts within
the community.
Celebrations have the ability to create a sense
of community pride and identity and provide
an avenue for a number of purposes such as
information/awareness raising, active participation
and consultation.
When planning a community celebration,
consideration needs to be given to the purpose
of the event, the budget, who will coordinate the
event, and who will be invited to participate.
The process for coordination can follow the WHO,
WHAT, WHEN, WHERE, HOW and WHY format.
Strengths:
can be multipurpose in its design, including
showcasing of projects, informing residents
and others of what is going on in the
community; it can have an active participation
and consultative component
can create a sense of energy and community
in the preparatory phase of an engagement
process and build momentum to support the
implementation phases
has the capacity to further inform planning for
change within the community
diverse groups of people from the community
can be involved such as children, families,
government and non-government agencies
and industry and
demonstrates respect for the community.

56

Weaknesses:
requires intensive planning
budget considerations are a priority
requires skilled coordination
requires significant collaboration from a
number of agencies and stakeholders and
media and publicity can be a significant issue.
References and websites:
Citizen Science Toolbox, Cooperative Research Centre for Coastal
Zone, Estuary and Waterway Management www.griffith.edu.au
Queensland Health (2002) Methods Manual. Engaging Communities
in Participatory Action Research. Southport: Public Health Services.
Vichealth and RMIT (2004) Community Celebrations Project (project
in partnership with Vichealth) www.rmit.edu.au

Case Study: Community Renewal Program


Eagleby-Logan Celebration
A local community celebration based within this
community was multi-dimensional with community
entertainment, visual arts displays, and feasting.
The end stage of the celebration was a symbolic
burning of the stigma of the community, signifying
a stage of renewal.
www.communityrenewal.qld.gov.au

7.2 Transition and handover


Community engagement can be seen as a cyclic
process moving through different stages until the
agency ultimately winds down or ceases initiated
engagement (though engagement may increase
again in the future). These lifecycle phases and
the accompanying activities are shown on the
following page.
Whilst some community engagement processes
may go on for a long time, other engagement
projects are of finite duration. To disengage
from communities, particularly those which have
been more actively involved in your engagement
process, requires careful thought and planning.

Engaging Queenslanders A guide to community engagement methods and techniques

Community engagement often includes the


concept of empowerment. If an agency exits from
an engagement before the community has the
capacity to sustain progress made through the
engagement, then all the good work previously
undertaken may be wasted. It may be necessary
to have a transitional phase, where agencies
provide skilling or resourcing (facilitation, planning
and coordination etc.) until the community has the

capacity to run or sustain their own processes.In


planning your community engagement, consider
any transition and exit strategies that might be
appropriate. Make sure they are consistent with
the cyclic nature of engagement.
References and websites:

Doing what we know we should: The final report of the Goodna


Service Integration Project (2003) www.uq.edu.au/boilerhouse/

7.3 Lifecycle phases of community engagement


Building
potential

Engaging

Acting

Members come
together and
recognise their
potential

Members engage
in developing the
group, working
together and
engaging others

Stage 1

Stage 2

Stage 3

Stage 4

Stage 5

Finding each
other, discovering
commonalities

Finding each
other, discovering
commonalities

Engaging in
joint activities,
planning and
doing, creating
artifacts, adapting
to changing
circumstances,
renewing interest,
committment and
relationships

Plans made
regarding
staying in touch,
communicating,
holding reunions,
calling for advice

Telling stories,
preserving
artifacts,
collecting
memorabilia

A cluster of
people face
similar situations
without the
benefit of a
shared practice

Transitioning &
disengaging
Members no
longer engage
as intensely but
the group is still
alive as a force
and centre of
knowledge

Remembering
A cluster of
people face
similar situations
with the benefit of
a shared practice

Engaging Queenslanders A guide to community engagement methods and techniques

57

8
Evaluating engagement acivities

Evaluation is a process that facilitates learning


and examines what worked well, what did
not work well, and why. Evaluation should
begin in the planning stages of a community
engagement activity and continue throughout
the activity.

helping to build an evidence base for


innovative approaches to community
engagement

Evaluating community engagement techniques


can help you to:

presenting opportunities for further


citizen involvement in the evaluation
process and

find out what worked and what did not


identify unanticipated outcomes
apply learning to improve future practice in
engagement activities
know whether involving citizens or
communities actually met the community
engagement objectives of the program
and contributed to improved decisionmaking and
assess whether the exercise was cost
effective in terms of time and resources.
The information generated by evaluation is
used to inform future community engagement
planning and decision-making and to report
on, and improve practice.
Effective evaluation of community engagement
activities can provide considerable benefits to
government agencies. They include:
improving practice by identifying and
articulating lessons and achievements
developing a shared understanding of
what contributes to, and what hinders,
successful community engagement
analysing strengths and weaknesses
to inform future planning and decisionmaking

contributing to engagement capability


development by providing feedback on
performance

building support for citizen and


community involvement in government
planning and decision-making by
providing evidence of
how effective engagement works.

8.1 Guidance on evaluating community


engagement
Engaging Queenslanders: Evaluating community
engagement has been developed by the
Department of Communities, in collaboration with
government agencies. It aims to assist public
officials in evaluating community engagement
activities and provides guidance in:
developing an evaluation framework
developing data collection tools
interpreting and analysing data and
ensuring evaluation outcomes feed into future
planning and decision-making.
The resource also provides guidance in developing
key evaluation questions, performance criteria
and indicators, and, importantly, how the results
of evaluation will be reported and shared across
agencies, across government and across the
sectors. The resource is available at
www.getinvolved.qld.gov.au

contributing to setting good-practice


standards for future engagement

58

Engaging Queenslanders A guide to community engagement methods and techniques

8.2 What does evaluation involve?

8.3 Developing an evaluation framework

Community engagement evaluation involves four


main activities:

Perhaps the most important thing to understand


about evaluation is that there is no one-size-fits-all
process for evaluating community engagement.
Therefore an evaluation framework must be
developed for each engagement activity which is
tailored to the purpose for which the evaluation
will be used, the intended audience of the
evaluation, the type of community engagement
activity to be evaluated and the scale and
significance of the activity.

developing an evaluation framework including


a research plan
developing data collection tools
collecting and analysing data and
interpreting, sharing, reporting, and
responding to results.
The scope of these activities will vary depending
on the scale of the community engagement activity
and the purpose of the evaluation.
Evaluation may require setting up new or
concurrent project management arrangements
including:
an evaluation steering committee, which
includes key government and community
representatives, to direct the design of the
evaluation framework and the interpretation
of the results

Scale and significance refers to:


the amount of resources that have been
committed to the community engagement
activity (and/or may be committed in
the future)
the significance of the activity to government,
including the degree of political support and
attention and
the nature of public expectations surrounding
the activity.

project plans for data collection, analysis


and reporting, including timelines, deadlines
and budgets
project and tender briefs for outside
consultants or contractors
systems for reporting the results of the
evaluations to internal and external
stakeholders and into knowledge bases and
systems for the on-going review of projects,
programs or policies.

Engaging Queenslanders A guide to community engagement methods and techniques

59

9
Managing contractors and consultants

If a government agency decides to engage


with citizens and stakeholders using a more
innovative or complex technique, there may
be a need to consider involving a skilled,
independent facilitator. Using a contractor or
consultant as a facilitator can also be useful
when there are poor trust relations between
a community and an agency and can improve
perceptions of neutrality and impartiality.
Contractors are procured by agencies on a
regular basis where required skills within the
public sector may not be available at the time.
Consultants are a type of contractor that the
government defines separately for reporting
purposes. The roles of the consultant need to
be clarified providing itemised details of the
contract being considered.
If a contractor/consultant is enlisted to
undertake a community engagement activity
on behalf of an agency, it is important to
remember that the agency retains ultimate
responsibility for developing and maintaining
relationships with citizens, stakeholders and
communities throughout the engagement
activity. The onus is also on the agency
to ensure the information provided in the
engagement process is accurate and that
feedback and follow-up processes are timely
and effective. This will generally require
regular and close liaison between a contractor
and the contracting agency. It is also important
to ensure that learnings about engagement
processes and outcomes are fed into the
agency in order to support internal capability
development.

9.1 Choosing and managing


contractors/consultants
Effective communication
When enlisting a contractor/consultant to
undertake community engagement activities on
behalf of the agency, it is important to ensure that
60

the roles and responsibilities of the contractor/


consultant, the agency project manager, external
stakeholders and the agency and government
decision-makers are clearly communicated
and understood. This requires comprehensive
briefings and ongoing communication between the
contractor/consultant and the agency throughout
the engagement process.
Managing expectations
Developing strategies for effective communication,
clarity of roles and responsibilities and
transparency of process will assist the agency and
the contractor/consultant in managing expectations
about community engagement activities. Setting
and clearly communicating the parameters
for the community engagement activity is an
important part of managing the expectations of
a range of stakeholders. Many risks or issues
can be addressed in advance by selecting the
correct engagement techniques to make sure all
stakeholders are properly engaged.
Skills and knowledge
To maximise effectiveness of the engagement,
it is important that contractors/consultants
have appropriate community engagement skills
and knowledge which is aligned with the
Queensland Governments priorities, and a
clear understanding about:
the purpose and objectives of the
engagement activity
agency expectations
their role and responsibilities
any government or agency legislative or policy
requirements associated with the engagement
activity
limitations or constraints in the engagement
activity
the level of influence of the community in
decision-making processes
the groups to be engaged
timelines and resources

Engaging Queenslanders A guide to community engagement methods and techniques

their primary contact within the agency and


community
how the expectations of those involved will be
managed and
how risks and issues will be addressed
and managed as they arise throughout the
engagement process.
The skills and knowledge of possible consultants
should be verified with reference to demonstrated
examples of how such skills have been applied in
past. This may be achieved by asking consultants
to provide examples of previous work (videos,
reports etc.) and by contacting referees nominated
by the contractor or consultant.
Contract management
A critical part of managing a contractor/consultant
is the contract. All consultancies, regardless of the
cost, require a written contract between the parties
that is signed and dated. This may be in the form
of a simple Letter of Acceptance or a purchase
order for low value and low risk consultancies.
The letter should clearly define the requirements
and obligations of both parties. Individual agency
policies and procedures should be confirmed
and adhered to in order to ensure that the correct
processes are followed.
It is important to remember that the process
does not end with the signing of the contract.
Contractors/consultants need to be monitored to
ensure that milestones and quality outcomes are
being achieved on time and within budget. Typical
measures to ensure effective management of
contractors/consultants include:
appointing a project manager (or in some
cases a steering committee) with a clearly
defined responsibility for the management of
the consultant
maintaining adequate records
clearly defining performance standards
expected of consultants

clearly defining intellectual property


agreements
the department will want to know the
range and representation of samples of
the community, and the level of community
engagement attendance to ensure the
quantity and quality of consultation practice
specifying the requirements for reports and
meetings with the consultant and
assessing the work and performance of the
consultant at regular intervals.
Communication between the project manager and
contractor consultant needs to be effective and
regular to make sure the community engagement
activity is on track and that the agency is getting
what has been specified. Keep documentation of
all communications on file.
Evaluation
Monitoring and evaluation of the progress
at specified regular periods will ensure that
clarification and modifications can be sought for
optimal project outcomes.
Performance evaluation of consultants
and contractors has been examined by the
Commonwealth, and an audit indicated that the
performance of consultants should be formally
reviewed prior to progressive contract payments
being made. The details of such an evaluation
should be negotiated with the consultant/contractor
as part of the initial contract development phase to
ensure that both parties are aware of what will be
assessed.
References and websites:
Information and Procurement Division: Department of Public Works
and Housing (1996) Engaging and using Consultants. Quick Guide.
Better Purchasing Guides Index (2003)
www.qgm.qld.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

61

10
References and further resources

10.1 Summary of relevant online resources


Queensland Government:
Directions Statement, Community Engagement
Division, Department of the Premier and Cabinet,
Queensland (2001) www.premiers.qld.gov.au
Queensland Government community engagement
website www.getinvolved.qld.gov.au
Engaging Queenslanders: An introduction to
community engagement (2003)
www.getinvolved.qld.gov.au
Engaging Queenslanders: Community
engagement in the business of government (2003)
www.getinvolved.qld.gov.au
Engaging Queenslanders: Improving community
engagement across the Queensland Public Sector
(2003) www.getinvolved.qld.gov.au
Queensland Government Youth Website
www.generate.qld.gov.au
Queensland Youth Charter
www.generate.qld.gov.au
Queensland Youth Participation Strategy
www.generate.qld.gov.au
Two-Way Street: How government departments
can engage with young people through
consultation www.generate.qld.gov.au
Getting Young People on Board: How government
can engage with young people through boards and
committees www.generate.qld.gov.au
Citizen Science Toolbox, Cooperative Research
Centre for Coastal Zone, Estuary and Waterway
Management. www.griffith.edu.au

62

Other Australian sites:


Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au
Consulting Citizens: A Resource Guide Citizens
and Civics Unit, Department of the Premier and
Cabinet, Government of Western Australia (2003)
www.dpc.wa.gov.au
Community Consultation Resource Website
Victorian Local Governance Association
www.vlgaconsultation.org.au
International sites:
Bowling Together: Online Public Engagement in
Policy Deliberation Stephen Coleman & John
Gtze (2001) www.bowlingtogether.net
Community Planning Implementation Group,
Scotland www.scotland.gov.au
The Connecting with Communities toolkit
Improvement and Development Agency, UK
www.idea.gov.uk/communications
Engaging Citizens in Policymaking: Information,
Consultation and Public Participation OECD
Public Management and Governance Policy Brief
No. 10 (2001) www.oecd.org
Engaging People in Active Citizenship
The European Commission
www.pjb.co.uk/npl/bp44.htm
Good Practice Guidance Consultation with
Equalities Groups Reid-Howie Associates,
Scottish Executive Central Research Unit and
Equality Unit (2002) www.scotland.gov.uk

Engaging Queenslanders A guide to community engagement methods and techniques

International Association of Public Participation


(IAP2) www.iap2.org

Griffith University Online CRC Database (2004)


www.griffith.edu.au

National Resource Centre for consumer


participation in health
www.participateinhealth.org.au

Hirst A & Sarkissian W (2002) Community


Participation in Practice: New Directions. Murdoch:
Institute of Sustainability and Technology Policy.
Murdoch University.

New Economics Foundation


www.neweconomics.org/gen
Viewfinder: A policy makers guide to public
involvement Strategy Unit, UK Cabinet Office
(2002) www.policyhub.gov.uk
XPIN, Expertise Bureau for Innovative Policymaking (the Netherlands) harnessing IT
to develop different ways of involving citizens
in policy development.
www.xpin.nl/overxpin/english.php

10.2

References for planning and


implementation of effective
community processes

The following resources provide valuable advice


regarding the planning and implementation of
effective community processes which is relevant
to the implementation of a range of information,
consultation and active participation techniques.
Carson L & Gelber K (2001) Ideas for Community
Consultation: A Discussion on Principles and
Procedures for Making Consultation Work.
Sydney: New South Wales Department of Urban
Affairs and Planning.
Citizen Science Toolbox, Cooperative Research
Centre for Coastal Zone, Estuary and Waterway
Management www.griffith.edu.au

International Association for Public Participation


(2000) IAP2 Public Participation Toolbox
www.iap2.org
Queensland Health The Consumer and
Community Participation Toolkit. The State of
Queensland. (2003). Adelaide Central Community
Health Service.
Sarkissian W, Cook A & Walsh K. (2000)
Community Participation in Practice: Workshop
Checklist. 2nd Edition. Murdoch: Institute for
Sustainability and Technology Policy. Murdoch
University.
Sarkissian W, Cook A & Walsh K. (1999)
Community Participation in Practice. A Practical
Guide. Murdoch: The Institute for Science and
Technology Policy. Murdoch University.

10.3

References for specific community


groups

Where particular features exist within the


community to be targeted eg. large populations
of young people or people with low levels of
literacy, specific care must be taken to design
appropriate and accessible engagement
processes. The following resources provide
detailed advice to support engagement with
particular community groups.

Community Engagement in the NSW Planning


System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au

Engaging Queenslanders A guide to community engagement methods and techniques

63

10.3.1 Young people


Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au
Department of local government youth consultation
research project www.dlg.nsw.gov.au

Community Engagement in the NSW Planning


System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au

Driskell D (2002) Creating Better Cities with


Children and Youth. Unesco: London

Driskell D (2002) Creating Better Cities with


Children and Youth. UNESCO: London

Getting young people on board: How government


can engage with young people through boards and
committees www.generate.qld.gov.au

Freeman C, Henderson P & Kettle J (1999)


Planning with children for better communities.
The challenge for professionals. Bristol: The
Policy Press.

Hart R (1997) Childrens Participation: The Theory


and Practice of Involving Young Citizens in
Community Development and Environmental Care.
London: Earthscan.
PLA notes. Participatory learning and action.
(2001) Childrens participation-evaluating
effectiveness. London: International Institute for
Environment and Development.
www.earthprint.com
Queensland Youth Charter
www.generate.qld.gov.au
Queensland Youth Participation Strategy
www.generate.qld.gov.au
Two-Way Street: How government departments
can engage with young people through
consultation www.generate.qld.gov.au

64

10.3.2 Children
The Christchurch City Council - The Kids Tool Box
www.ccc.govt.nz/ChildrensStrategy/ToolBox

Hart R (1982) Wildlands for Children: Consideration


of the Value of Natural Environments in Landscape
Planning. Childhood City 9 (2), Summer.
Hart R (1993) Children on Playgrounds. Albany,
New York: State University of New York Press.
Hart R (1997) Childrens Participation: The Theory
and Practice of Involving Young Citizens in
Community Development and Environmental Care.
London: Earthscan.
NSW Commission for Children and Young People.
Conferences and Events: Children and Young
Peoples participation. www.kids.nsw.gov.au
PLA notes. Participatory learning and action.
(2001) Childrens participation-evaluating
effectiveness. London: International Institute
for Environment and Development.
www.earthprint.com

Engaging Queenslanders A guide to community engagement methods and techniques

10.3.3 People from culturally and linguistically


diverse backgrounds
Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au

Department of Aboriginal & Torres Strait Islander


Policy and Development Information, Planning
& Review Branch (1998) Proper communication
with Torres Strait Islander People. Queensland
Government: Brisbane

Hirst A & Sarkissian W (2002) Community


Participation in Practice. New Directions. Murdoch:
The Institute for Sustainability and Technology
Policy. Murdoch University:

Department of Aboriginal & Torres Strait Islander


Policy and Development Information, Planning &
Review Branch (1998) Protocols for consultation
and negotiation with Aboriginal People.
Queensland Government: Brisbane

New South Wales Department of Community


Services (1994) Community Consultation: NSW
Department of Community Consultation Protocol.
Sydney

Engaging Queenslanders: Introduction to


working with Aboriginal and Torres Strait Islander
Communities

Queensland Community Arts Network (2001)


Community Cultural Development. A Guide. A
resource for new artsworkers in Queensland.
New Farm: QCAN.

Hirst A & Sarkissian W (2002) Community


Participation in Practice. New Directions. Murdoch:
Institute for Sustainability and Technology Policy.
Murdoch University.

Queensland Government Department of


Communities (formerly Families)
www.communities.qld.gov.au

Queensland Community Arts Network (2001)


Community Cultural Development. A Guide. A
resource for new artsworkers in Queensland.
New Farm: QCAN.

10.3.4 Aboriginal and Torres Strait Islander


Australians
Behrendt L (1997) Indigenous People and
Consultation: Exploring Issues of Equality,
Effective Representative Government and
Democracy in Open Government Network,
Reaching Common Ground: Open Government,
Community Consultation and Public Participation.
Proceedings of the Reaching Common Ground
Conference, 23-24 October, 1996. Sydney: the
Open Government Network: 103-111.
Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au

10.3.5 People with limited literacy levels


Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au
Community Consultation Resource Website
Victorian Local Governance Association
www.vlgaconsultation.org.au
Sarkissian W, Cook A & Walsh K (1999)
Community Participation in Practice. A Practical
Guide. Murdoch: The Institute for Science and
Technology Policy. Murdoch University.

Engaging Queenslanders A guide to community engagement methods and techniques

65

10.3.6 Seniors
Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au

Sarkissian W, Cook A & Walsh K (1999)


Community Participation in Practice. A Practical
Guide. Murdoch: The Institute for Science and
Technology Policy. Murdoch University.

Community Consultation Resource Website


Victorian Local Governance Association
www.vlgaconsultation.org.au

10.3.8 People living in rural communities


Community Builders NSW Working together to
strengthen communities (2003)
www.communitybuilders.nsw.gov.au

Consulting Citizens: A Resource Guide, Citizens


and Civics Unit, Department of the Premier and
Cabinet, Government of Western Australia (2003)
www.dpc.wa.gov.auHirst A & Sarkissian W
(2002) Community Participation in Practice. New
Directions. Murdoch: Institute of Sustainability and
Technology Policy. Murdoch University.
Queensland Government Department of
Communities www.communities.qld.gov.au

Commonwealth Department of Health and Aging


(2002) www.health.gov.au
Institute for Rural Futures (2004) University of New
England www.ruralfutures.une.edu.au
Sarkissian W & Perlgut D (1994) Community
Participation in Practice. A Practical Guide. (2nd
edition) Murdoch: The Institute for Science and
Technology Policy. Murdoch University.

Sarkissian W, Cook A & Walsh K (1999)


Community Participation in Practice. A Practical
Guide. Murdoch: The Institute for Science and
Technology Policy. Murdoch University.
10.3.7 People living with a disability
Community Consultation Resource Website
Victorian Local Governance Association
www.vlgaconsultation.org.au
Community Engagement in the NSW Planning
System Prepared for Planning NSW by Elton
Consulting (2003) www.iplan.nsw.gov.au
Disability Services Queensland
www.disability.qld.gov.au
Hirst A & Sarkissian W (2002) Community
Participation in Practice. New Directions. Murdoch:
Institute of Sustainability and Technology Policy.
Murdoch University.
Queensland Community Arts Network (2001)
Community Cultural Development. A Guide. A
resource for new artsworkers in Queensland.
New Farm: QCAN.

66

Engaging Queenslanders A guide to community engagement methods and techniques

Understanding the psychology of gang


violence: implications for designing
effective violence interventions

Daryl Harris, Russell Turner, Ian Garrett


and Sally Atkinson

Ministry of Justice Research Series 2/11


March 2011

Understanding the psychology of gang


violence: implications for designing
effective violence interventions

Daryl Harris, Russell Turner, Ian Garrett and Sally Atkinson

This information is also available on the Ministry of Justice website:


www.justice.gov.uk/publications/research.htm

Analytical Services exists to improve policy making, decision taking and practice
by the Ministry of Justice. It does this by providing robust, timely and relevant data
and advice drawn from research and analysis undertaken by the departments
analysts and by the wider research community.

Disclaimer
The views expressed are those of the authors and are not necessarily shared by the Ministry
of Justice (nor do they represent Government policy).

Crown Copyright 2011.


You may re-use this information (not including logos) free of charge in any format or medium,
under the terms of the Open Government Licence.
To view this licence, visit http://www.nationalarchives.gov.uk/doc/open-government-licence/
or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU,
or e-mail: psi@nationalarchives.gsi.gov.uk.
First Published 2011
ISBN: 978-1-84099-458-2

Contents
Executive summary

Introduction

Methodology
Sample
Design
Methodological limitations

2
2
3
5

Main findings
What is a gang?
What factors motivate individuals to join a street gang?
What factors maintain gang membership in prison and the community?
What factors are associated with desistance from gang involvement/
membership?
How does gang membership influence an individuals use of violence?

14
18

Practical implications
Assessment
Intervention
Resettlement/throughcare

22
22
23
24

References

8
8
9
11

25

Executive summary
This report outlines the findings of an exploratory project seeking greater understanding of
the psychological processes contributing to violence carried out by prisoners identified as
street-gang members. Specifically the research aims to provide information relating to the
following questions:
1.

What is a gang?

2.

What factors motivate individuals to join a street gang?

3.

What factors maintain gang membership in prison and the community?

4.

What factors are associated with desistance from gang involvement/membership?

5. How does gang membership influence an individuals use of violence?


The study employed a qualitative approach in which 44 male gang-affiliated prisoners
convicted of violent offences were interviewed about their own experiences and perceptions
of gang affiliation. Interpretative phenomenological analysis was used to identify themes that
emerged from participants accounts.

What is a gang?
Participants held different views about the nature of gangs and there was a lack of
consensus about what constituted a gang.

What factors motivate individuals to join a street gang?


This study identified important psychological motivations pulls contributing to gang affiliation.
These included:

the need and/or desire to make money;

seeking protection against victimisation;

gaining a sense of belonging or connectedness with others; and

a means of achieving status and respect.

What factors maintain gang membership in prison and the community?


This research suggests that criminality reinforces gang affiliation and gang identity in several
ways:

criminal activity was positively reinforced by others in the gang, through praise,
enhanced status, greater inclusion, and financial reward;

criminality also reinforced gang affiliation by the avoidance of unwanted consequences,


such as rejection from the gang or victimisation by others;

territorial disputes maintained gang cohesion and justified the need to group together to
protect the gangs territory.

What factors are associated with desistance from gang involvement/


membership?
Some participants in the study described themselves as desisting from gang involvement
as they matured and reflected on past behaviour. Some spoke about the positive impact of
acquiring a new role in life, such as becoming a father, in helping them to re-evaluate their
gang associations. Others identified feeling let down or abandoned by the group to which
they belonged as a catalyst for re-evaluation.
Some participants expressed a sense of wanting to be in control of change. However, this
was sometimes linked with doubt about being able to change without positive support. Some
of those who had completed accredited offending behaviour programmes reported personally
benefiting from them and provided examples of how their learning had helped them to avoid
using violence in prison.
Participants often had positive plans for the future. However, these tended to sound like
general, simplified hopes that often overestimated the ease with which they would overcome
potential difficulties. Some participants discussed the risk of continued gang involvement
if they returned to live in the same area on release. Finally, participants discussed how
members of the criminal justice system might not acknowledge positive changes.

How does gang membership influence an individuals use of violence?


Findings from this study suggest the meaning of violence for participants can be understood
under the following themes:
using pre-emptive violence to protect themselves from victimisation;

a willingness to join in with violence to gain approval for inclusion in the group;
using violence as a means of having fun or excitement;
having a propensity for violence that existed before joining a gang;
using violence to achieve and maintain status and respect;
viewing violence as a necessary and acceptable means of making money and protecting
business interests.

Practical implications
The research highlighted a number of issues relevant to assessment and intervention with
gang-affiliated offenders.

It is important to explore an offenders own sense of their involvement in collective


offending and avoiding labelling and simplistic assumptions about gangs.
Assessments should include the full range of domains linked with gang affiliation.
Personal motivations for affiliation may be closely linked to a gang members use of
violence. Exploring these links may help to inform intervention.

ii

There may be some differences in the criteria (and information) used across agencies
to prioritise offenders, which reinforces the importance of information sharing and
collaboration in assessment and management of risk.
There can be significant rivalry and conflict both between and within gangs. This has
obvious implications for allocation of offenders to intervention groups.
There can be considerable variation between different participants experience and
sense of gang affiliation. Exploring and understanding these differences may help to
inform and refine decisions about appropriate allocation.
Motivation for the use of violence by gang-affiliated offenders overlaps considerably
with patterns of thinking linked with the use of violence in other violent offenders. This
suggests that many gang members could benefit from the same interventions as those
designed for generally violent offenders, which focus on underlying values, beliefs, and
expectations about violence.
Interventions focusing solely on facilitating exit from gangs are unlikely to reduce
violence risk in all gang-affiliated offenders. They should also explore (and address) the
full range of other factors linked with the offenders use of violence.
Offenders treatment needs and patterns of engagement might vary at different
developmental points, which should be considered in treatment planning.
Exploring personal motivations for joining and staying with street gangs might help to
identify ways of engaging offenders in intervention, and motivating them towards prosocial change.
Becoming a father and disillusionment with gang life may be significant events that
support the process of exiting gangs and desisting from offending.
Some offenders expressed a strong need for control over change, a mistrustful or
anti-authority stance, and sensitivity to being labelled, stereotyped and/or judged. It
is important that facilitators and managers of interventions find ways of constructively
working with these issues.
Potential barriers to successful resettlement include the absence of concrete and
realistic future plans, and an over-reliance on leaving the home area as a strategy for
overcoming barriers to resettlement.

iii

1 Introduction
This report presents the main findings from a research study that was commissioned by
the Metropolitan Police Service, the National Offender Management Service (NOMS)
Rehabilitation Services Group and the Home Office. It aims to develop an understanding
of the psychological factors that contribute to violence carried out by prisoners identified
as street-gang members. This is essentially an exploratory study. It aims to explore the link
between street gangs and violence and the implications of this for current violence reduction
practice in prison and the community.

2 Methodology
This project is an exploratory study that seeks to add to the understanding of violence carried
out by prisoners identified as street-gang members. The over-arching aim is to identify
potential implications for improving existing violence reduction interventions for this group of
offenders. The primary end-users of the research are staff within the criminal justice system,
particularly practitioners advising on and/or working directly with offenders convicted of gangrelated violence. Current methods of practice within offender interventions are at the level
of individual or group work, and mainly rely on psychological techniques. In consequence,
this research must be able to identify implications for practice at the level of individual
psychology. This research is viewed as an exploratory first step towards developing a
psychological understanding of gangs at an individual level.

Sample
The selection of participants for the field research involved two steps.
The first step was to identify potential gang members. As noted above, this step focused on
individuals who were detained in custody at the time of research. Evidence of gang affiliation
was assessed against the Hallsworth and Young (2006) definition of gang membership.
Hallsworth and Young define a gang as a relatively durable, predominantly street-based
group of young people who see themselves (and are recognised by others) as a discernible
group for whom crime and violence is intrinsic to identity and practice. Candidates without
substantiated evidence of gang membership or association were removed from the sample.
This step involved reviewing information held on a number of specified databases related to
violent gang-related offences in the Greater London area. The researchers noted that one of
these databases prioritised gun crime, while another focused on so-called Black-on-Black
crime. They also acknowledged that the sample extracted reflects the bias in the original
records, most notably on three variables:

geography (London-based);
index offence (gun-crime);
ethnicity (Black).

Although the Hallsworth and Young criteria were used to define the sample, one of the
issues the study aimed to explore was participants own sense of their gang affiliation. This
included considering their own definitions and orientation to what a gang is, and the extent
that they saw themselves as a gang member. The Hallsworth and Young official definition
is seen as an important anchor point. This anchor provides an appropriate starting point for
an explorative study because it clearly identifies the population being explored. At the time
of the research, the Hallsworth and Young definition was the operational definition in use by
the Metropolitan Police. Prison staff often consult police records in assessment of prisoners

and in planning interventions with convicted offenders. Hence the sample obtained closely
corresponds to the intended end use of the research.
The second step screened candidates for violence history. This involved screening out
candidates without either a violent index offence or evidence of prior violent offending.
Violent offences included possession of a weapon. The study did not differentiate between
gang-related violence and general violence. This reflected two considerations. First, this
distinction can be tenuous and difficult to make. Second, a principal focus of the study was
on improving violence interventions for gang-affiliated offenders. These interventions do not
routinely distinguish between violence occurring in different contexts. Instead they aim to
improve understanding and management of risk factors contributing to the range of violent
acts committed by an individual.
The result of these two steps of sample selection produced a list of 150 convicted offenders
who were considered for recruitment as participants in the study.

Design
Interpretative phenomenological analysis (IPA) was chosen as the underpinning
methodology. This is a qualitative approach developed within psychology by Smith (1996).
It allows in-depth exploration at the individual level of the sense people make of their
experiences, and is thus particularly suited to exploratory studies.
IPA advocates purposive sampling, which means that the sample is chosen on its relevance
to the research aim (Smith and Osborn, 2008). In this case this is people in prison convicted
of violent, gang-related offences, as it is these individuals for whom any implications for
violence reduction interventions will be relevant.
There were two discrete phases to the field research.

The first phase can be referred to as a full IPA study.


The second phase can be considered an extension of the IPA method in keeping with
qualitative psychological research principles.

Both phases incorporated the collection of qualitative data through one-to-one interviews.
The first phase of the field research involved conducting a series of open-ended interviews
with male gang-affiliated violent offenders currently serving prison sentences. It is important
to note that what was being sought was the participants own view of their experience.
Interviews ranged between one and two hours and were digitally recorded and then
transcribed verbatim. Transcripts were analysed following IPA principles (Smith and Osborn,
2008) and a set of four themes was produced.

Self as protected & connected

Self as feared, respected, & having status


Self as money-maker: From survival to big business
The changing self: Self as maturing, prison subject, and future self
Each theme had between 2 and 5 sub-themes, totalling 16 sub-themes. These themes were
written up with substantial reference to interview extracts.
The first phase of the field work was conducted during January 2009. Researchers
approached14 prisoners at three establishments, 1 adult and 2 juvenile prisons. Of
these, seven declined, one was transferred, and six agreed to participate (an acceptance
rate of 42%).
Three of the six participants self-classified as Black or Black British: Caribbean and three
were Black or Black British: African. Age at the time of interview ranged from 18 to 22 and
the mean age was 19.8. Five of the six were convicted for violent offences, ranging from
attempted murder to robbery. One participant was convicted of a serious sexual offence.
Convictions were from the period May 2007 to August 2008 and age at the time of offence
ranged from 16 to 19 (mean age 17.4). The number of previous convictions ranged from
one to ten (mean and median five). Offender Assessment System (OASys) scores were only
available for one participant in this phase. At the time of interview, participants had been in
custody between 5 and 20 months (mean 12.8 months).
The second phase of the field research used an identical design to the first phase in an
attempt to test the first phase themes as a way of understanding, with more members of
the group under study. The first phase themes were revised based on the qualitative data
from the second phase, and the themes of violence and of the phenomenon of the gang
were developed.
The second phase of the field work was conducted during March and April 2009. Of the
remaining 136 potential participants from the original sample list, 17 (12%) were deemed to
be impractical to reach due to single participants being in remote locations. A further 42 (31%
of 136 potential participants) were unavailable for other reasons:

13 (10%) transferred during the field work;


12 (9%) could not be located;
9 (7%) were released during the field work;
5 (4%) posed staff safety concerns;
access to the prison was an issue for 3 (2%) participants.

This left 77 potential participants. Of these, 39 declined to take part (including 1 who
initially agreed but withdrew on the day), this being 29% of the original 136 but 51% of
those approached. There were thus 38 participants, giving an acceptance rate of 49%. The
majority, 32 participants (84%) were in adult prisons, of which 4 (11%) were in high security
prisons. The remaining six participants (16%) were in juvenile prisons.
As discussed earlier, the researchers expected that the composition of this sample would
reflect the bias in the records from which it was drawn, particularly that it will predominantly
comprise Black offenders convicted of gun crime. In the second phase sample:
31 participants (82%) self-classified as Black or Black British, comprising 17 (45%) of

Caribbean origin, 10 (26%) of African origin, and 4 (11%) of other origins;


3 participants (8%) were White, comprising 2 (5%) from outside the British Isles;
2 participants (5%) were Asian;
1 (3%) self-classified as Mixed: White & Black Caribbean;
ethnicity information was missing for 1 (3%) participant.
The majority, 36 participants (95%), were convicted for violent offences ranging from murder
to robbery, of which 17 (45%) participants were convicted of possessing a weapon, and 4
(11%) of the violent offences were violent acquisition, such as robbery. One participant (3%)
was convicted of drug offences and one other of possessing criminal property. Convictions
were from the period October 2004 to November 2008. Age at first conviction ranged from 13
to 39 (mean age 18.4, median 16), and 30% of participants were adults (18 and over) at first
conviction. The number of previous convictions per person ranged from 0 to 16, with 18% of
participants having 1 or no previous convictions, and 52% having 4 or fewer. The mean number
of convictions per person was 5.2 (median 4). OASys scores were missing for 14 (37%) of
participants. Available scores ranged between 19 and 116 with mean of 66 and median of 67.
Age at the time of interview ranged from 20 to 56 with a mean age of 26.4 and a median
of 23. More than two-thirds of participants were in the age bracket 20 to 25. At the time of
interview, participants had been in custody between 4 and 53 months (the mean and median
were 25 months).

Methodological limitations
The limitations of the methodology can be discussed under three main headings:

sampling;
acceptance rates (self-selection);
barriers to disclosure and engagement.

The sample was drawn from existing records about violent gang-related offences. Bias in the
records has been noted in terms of geography, index offence, and ethnicity. What is not known,
however, is the extent that the original 150 prisoners on the list, and thus those who were
interviewed, are representative of the wider population of convicted violent gang members in
prison. For example, a sample drawn from another city is firstly likely to have a differing ethnic
composition. The desk research discussed how the ethnic composition of gangs tends to
reflect the ethnic composition of the areas where they are based. Secondly, it may be the case
that gangs have different experiences in different cities and regions. The themes would need to
be tested on a sample of convicted violent gang members from other cities.
The researchers also noted that the original sample excluded high-level organised criminals
(as defined by Hallsworth and Young, 2006). As a result application of the findings of this
study to organised crime should be approached with much caution.
Finally, the researchers acknowledged that all members of the sample were held in custody
at the time of interviewing. This might impact on the generalisability of findings to gangaffiliated offenders on the street. However, they noted that there was a high degree of
overlap in the findings of this study and other studies of gang members not in custody.
Acceptance rates (the proportion of those asked who agreed to be interviewed) at the first
and second stage were 42% and 49% respectively. This gives a self-selecting sample. This is
common in qualitative research. Indeed, it can be argued that it is necessary that somebody
chooses, without incitement or reward, to participate in a research interview, otherwise
their engagement in the interview is seriously compromised. However, this means that the
research does not have information about those prisoners who chose not to participate, apart
from that they did not differ in age. It is possible that their experiences of being in a gang
could differ from those who chose to be interviewed.
The extent to which a participant engages in the interview is important to the quality of
the interview. This is something that the researcher conducting the interview is able to
adequately judge based on professional experience. However, several barriers to participant
engagement in the interviews should be noted.
The interviews were held within the prison environment and the research was being carried
out on behalf of the NOMS. Although participants were informed that the research team
were independent researchers and were provided with information concerning anonymity
and confidentiality, it seems unlikely that all participants would speak as freely as they
might to a friend in a home environment. As mentioned above participants self-selected to
be interviewed, without coercion or reward, and the interview only covered events already
known to the criminal justice authorities. This was seen to minimise one potential barrier to
disclosure, that of incriminating self or others, including being seen as a grass. It was also

made clear in interview that participants could skip questions without explanation, as well as
choose not to be recorded. Furthermore, the IPA style of interviewing is open, curious, and
supportive in facilitating participants to explore their own sense of experiences and events.
These approaches combined were viewed to minimise barriers to engagement.
The research team comprised two White males and four White females. Given that the
sample was predominantly Black, it may be possible that the ethnic difference was a barrier
to engagement in the interviews.
From the debrief discussions after the interviews, the research team felt that disclosure
and engagement had not presented a problem in the interviews, and that engagement
was generally very good. It was felt that participants differed in terms of their willingness to
discuss potentially uncomfortable aspects of their experiences, but this was felt to reflect
an ordinary spread one would expect, rather than a systematic issue with this sample.
The wide-ranging experiences of the research team with different offender populations,
in both research and practice, was essential to being confident about adequate levels of
engagement in interviews.
The research aims concern implications for violence reduction interventions with similar
groups, primarily in a prison environment. It can be argued that interventions staff are likely to
get a similar level of engagement in interviews or treatment sessions to that achieved by the
research team. This suggests that any gains in engagement attained by, for example, peerinterviewing and/or interviewing in home locations, would be negligible for the intended end
use of this research.

3 Main findings
The findings from this report are discussed under five main research questions:
1. What is a gang?
2. What factors motivate individuals to join a street gang?
3. What factors maintain gang membership in prison and the community?
4. What factors are associated with desistance from gang involvement/membership?
5. How does gang membership influence an individuals use of violence?

What is a gang?
Participants had differing views on what they believed a gang to be. For some individuals
collective offending was experienced as occurring in a context of closed groups of stable,
supportive and cohesive friendships. These groups might or might not have a process
of recruiting new members, and might or might not identify themselves as a gang. Other
participants described a sense of gangs as highly competitive, hierarchical structures
that provide some level of exclusivity. For some participants affiliations were strongly
tied to geographic territory, yet for others they were highly fluid and based on shifting
geographical boundaries.
These themes overlap to a large extent with information from previous research, which
suggests that gangs can be fluid, flat in structure, stem from ordinary friendships, and have
a relatively strong identity (Aldridge and Medina, 2007; Youth Justice Board, 2007; Marshall,
Webb and Tilley, 2005; Mares, 2001). However, the above also suggests that practitioners
need to be careful about making assumptions about an offenders own sense of their
gang affiliations. This includes being cautious about labelling offenders as gang members.
One reason for this caution is that some of the participants in the field research actively
resisted the label gang member. Several of these participants refused to proceed until the
interviewer acknowledged their rejection of this label.
One other issue complicating the understanding of gangs is the difficulty of translating
community definitions of a gang to custodial contexts. In these settings gangs have been
defined as a cohesive group of prisoners (with a leader), whose criminal activities have a
negative impact on the prisons that hold them (Fong and Buentello, 1991; Huff, 1991), or as
a group of three or more prisoners whose behaviour has an adverse impact on the prison
that holds them (Wood, 2006).
Most participants in the field research reported a sense that gangs or groups inside prison
were different to those in the community. Participants generally talked about prison collectives
representing groups of ordinary friends who would protect and support each other. However,
some participants also reported experiencing more predatory prison groups/gangs.

Some interviewees suggested that gang-related disputes and rivalries might be carried over
into custody. Other participants suggested these disputes might be put aside. This in part
reflected the need to band together with people from the same or similar home area. This
was seen as providing mutual protection, support, and the company of someone with a
similar background and cultural reference points. This need was reported to be particularly
strong when prisoners are held some distance from their home. For instance, members
of two rival London gangs who may have been in conflict in the community might form an
alliance if they were serving prison time in the north of England.

What factors motivate individuals to join a street gang?


Previous research suggests that the likelihood of gang affiliation is linked with the following
variables:

adolescence or young adulthood (Marshall, Webb and Tilley, 2005; Bennett and
Holloway, 2004);
being male (Marshall, Webb and Tilley, 2005; Bennett and Holloway, 2004);
pro-criminal or absent role models (Aldridge and Medina, 2007; Sharp, Aldridge and
Medina, 2006);
having family members who belong to a gang (Youth Justice Board, 2007);
having a perceived need for protection (Marshall, Webb and Tilley, 2005);
being prone to sensation seeking and risk taking (Dawson, 2008);
being part of a peer group that is characterised by strong territorial affiliations (Kintrea
et al., 2008), criminality (Dawson, 2008), and a heightened need for respect and status
(Toy and Stanko, 2008; Youth Justice Board, 2007);
alienation and stress within family, education, and community contexts (Marshall, Webb
and Tilley, 2005; Smith and Bradshaw, 2005);
living in a culture that strongly identifies success with material wealth (Toy and Stanko,
2008; Youth Justice Board, 2007) and that holds negative attitudes to youth and
migrants (Building Bridges Project, 2008).

The researchers noted that many of the factors associated with gang affiliation overlap
with factors that are predictive of general offending and violence. These include young age
(Flood-Page et al., 2000), being male (Blanchette and Brown, 2006), having family members
(Richardson and Budd, 2003) and peers (Youth Justice Board, 2007) who are involved in
offending, childhood experiences of neglect, inconsistent parenting or abuse (Farrington,
2002), and poor educational performance (Rodger, Palmer and Mahon, 2007).
Many of the studies reported above were sociological or criminological in focus. These
studies typically explore societal and community variables (Dutton, 2006). Decker and Van
Winkel (1996) note that these variables are often interpreted as pushing young people
towards gang affiliation. However, they note that it is also important to recognise that gang
membership can exert a strong pull.
9

The use of interpretative phenomenological analysis (IPA) in this study enabled detailed
exploration of psychological motivations pulls contributing to gang affiliation and the findings
both support and extend previous research findings. Important psychological motivations
contributing to gang affiliation included:

money;
protection against victimisation;
connectedness;
status and respect.

Money
The need and/or desire to make money were central to the experience of most participants.
Interviews indicate that this need is linked with gang affiliation in several ways. First, some
participants experienced gangs as assisting their survival. This was associated with
descriptions of a general sense of hopelessness about the future and a sense of desperation.
This in turn was linked with reports of the experience of living on the fringes of society.
Second, gang affiliation was seen by some participants as a way of helping them to make
quick and easy money. For some of these participants this was not in response to social
exclusion. Instead it reflected impatience, greed, and/or a reluctance to engage in legitimate
work.
Third, some participants described a sense of seeing their illegal money-making activities as
part of big business. These individuals typically presented a positive view of themselves and
gangs as entrepreneurial. For some participants this was linked with a sense of vocational
competence and status.

Protection against victimisation


A number of interviewees indicated a sense that gang affiliation provided protection against
victimisation. This sense was experienced as being likely to lead to gang affiliation when it
was linked with the sense of being surrounded by danger. This in turn was exaggerated by a
sense of being alienated from, the unavailability of, or ineffectiveness of, sources of support
(for example, parents, teachers and the police). The combination of these factors is reported
as a sense that gang affiliation was the only realistic source of protection.

Connectedness
The field work also highlights the need for a sense of connectedness as a significant
psychological factor associated with gang affiliation. For some participants the need to belong
was associated with a sense of living outside of mainstream society. Participants comments
suggest that this need can be realised in several ways. These included the experience of an
affiliation to an ordinary peer group, and/or a sense of joining a special family.

10

Status and respect


Status and respect seemed to be other important psychological needs for most
participants. Interviews suggest that the need for respect contributes to gang affiliation in
several ways. First, a number of participants expressed the belief that if they are seen
as being part of a gang or being associated with older gang members then they will be
respected by their peers.
Second, the peer system was seen as a context in which participants could (or had to)
earn respect from their peers. This was particularly likely to be the case when participants
experienced living within a context characterised by competition and conflict between gangs
and peers representing different territories.
Third, conflict within the peer network was seen as a mechanism that could draw nonaffiliated individuals into gang disputes involving their family members or peers. In these
situations some participants reported a sense of needing to act with the gang in order to
maintain peer respect. This in turn was seen as a potential route to gang affiliation.
With respect to prison gangs much of the available research is from America, and is not
methodologically strong (Wood and Adler, 2001). These two studies focused on offenders
held in English Prisons. These studies suggest that the activity of prison gangs is greatest
among younger offenders, and in male establishments. They also suggest that the activity of
custodial gangs is linked with prisoner perceptions of prison control and order. This suggests
that concerns about the balance of control within a prison might be one factor motivating
individuals to band together.
The findings from the field research largely mirrored those of the desk research. First,
compared with street gangs, interviews yielded relatively little information about custodial
gangs. Second, interviewees gave a sense that there was less trust in prison than on the
streets. As a result connections to the home area could bring prisoners together for support,
familiarity, and mutual protection.

What factors maintain gang membership in prison and the


community?
Compared with research into factors that lead to gang affiliation, there is relatively
little published work on the maintenance of gang membership. In a notable exception,
Aldridge and Medina (2007) provide some important insights into the processes involved
in maintaining gang affiliation. Their interviews and observations of several gangs within
one English city suggest a number of factors maintaining involvement. These include
the following:

11

gang affiliation providing a source of money;


loyalty and ties of reciprocity;
force of habit;
being stuck;
gang membership supporting the transition from adolescence to adulthood.

Research from mainstream psychology highlights the importance of group processes in


maintaining group affiliations. This research indicates that the mere act of an individual
categorising themselves as a member of a group is sufficient to lead them to display ingroup favouritism (Tajfel and Turner, 1986). Tajfel and Turner argue that individuals seek to
achieve positive self-esteem by positively differentiating their in-group from a comparison
out-group on some valued dimension. Research from the US and Europe also highlights
the importance of group processes in maintaining gang membership. This research suggests
that these processes are tightly bound up with the criminal activity and territoriality.

Criminality and group processes maintaining gang affiliation


Moore (2002) in the US, and Lien (2002) in Oslo, highlight how delinquency serves to
reinforce membership and increase the cohesiveness of gangs. Moore suggests that criminal
acts lead to the emergence of patterns of criminal thinking. These in turn influence and
shape the motives and attitudes within a gang. Lien highlights how criminality gives gang
members an additional reason to keep their activities secret. This leads to the development
of a deep commitment to secrecy within the gang. This is associated with a perceived need
to protect its members from authority figures, and from outsiders in general. This in turn
reinforces a strong sense of loyalty and cohesion within the gang.
Moore and Vigil (1989) propose that gang cohesion can tip over into an oppositional culture.
This culture sets the gang against societys institutions, including the police, criminal justice
agencies, schools, and the Government. This stance is reinforced by the perceived rejection
of the gang by society figures. Lien (2002) makes a similar point, but goes further in noting
that gang members come to see themselves as the victims of oppression and the unfair
targets of racism, inequality, and oppression.
The findings from this research support the role of criminality in reinforcing gang affiliation
and gang identity. Participants in the research reported that their individual and gang-related
criminal activity was positively reinforced by others in the gang. This positive reinforcement
included praise, being given nicknames (for example, killer), being invited to take part in
other criminal activities, enhanced status, greater inclusion, and financial reward. Criminality
also reinforced gang affiliation by the avoidance of unwanted consequences (for instance,
rejection from the gang, reduced victimisation by other gang members) and a sense that
being feared reduced the risk of victimisation by other gangs.

12

Territoriality and group processes maintaining gang affiliation


Previous research suggests that conflict with rival gangs and territoriality also serve to
increase gang cohesiveness. The former does this by creating a perceived need to stand
together for mutual protection. Kintrea et al. (2008) note that gang disputes are often over
territory. This aspect of disputes also serves to reinforce gang cohesion by producing a
sense of pride in protecting the gangs territory. In addition, territorial disputes contribute
to cohesiveness by forcing geographical divides that can reinforce a sense of specialness
(Klein and Maxson, 2006).
Findings from this research also indicate the role of territorial disputes in maintaining gang
cohesion and affiliation. Participants comments indicate that in many cases these disputes
justify the need to band together to protect the gangs territory. They also indicate that these
disputes reduce freedom to visit other areas and/or provide a sense of entering enemy
areas, accompanied by feelings of needing to protect oneself, for example, weapon carrying.
This in turn potentially decreases the availability of alternatives to gang activity. This is likely
to have the knock-on effects of increasing cohesion and reducing the availability of exit
points. Other studies have explored barriers to leaving gangs.

Barriers to leaving gangs


Aldridge and Medina (2007) highlight several potential barriers to leaving gangs.

Rival gangs sometimes challenged the process of desistance by not acknowledging


changes in an individuals status. These challenges might take the form of continued
threats and violence.
Statutory agencies also frequently challenged changes in gang status. These challenges
often took the form of ongoing mistrust and labelling.
The challenge of renegotiating relationships with extensive networks of relatives and
friends. This issue is further complicated because gang members and their associates
typically live in relatively small areas.
Low take-up rates for community interventions and initiatives designed to reduce gang
affiliation.
Unpreparedness of schools, the health service, and the prison service to collaborate or
respond adequately to the problems brought about by gangs.
Tension and mistrust that undermines partnership work, community engagement, and
effective practice.

Scott (2004) explored the resettlement challenges for American prisoners who want to
leave gang life. This study included ethnographic interviews with 19 former and current
gang affiliates. These were backed up by field observations and another 85 interviews. The
challenges identified included difficulty in getting legitimate employment, spoiled family ties,
the need to move away from their home neighbourhood and the resulting isolation.

13

The findings from the present study suggested that many participants underestimated
potential barriers to their return to mainstream society. Although many of them identified their
home area as a potential problem, they said they would resolve this by keeping away. Few
participants appeared to have considered in any detail the potential obstacles they might
experience in doing this. For instance, they seemed to have given little consideration to the
consequences of distancing themselves from family, friends, and previous sources of money,
connectedness, respect and status.
In some cases participants expressed a sense that they would be unable to change without
the positive support of others, or without avoiding the unhelpful influence of others. For
example, some participants highlighted the risk posed by seeing friends making easy
money, and/or having symbols of success. Participants also talked about the problem of
their previous connectedness to a gang or territory. They indicated that this might result in
them still being targeted by other gangs. Finally, participants discussed how members of the
criminal justice system might not acknowledge positive changes.

What factors are associated with desistance from gang


involvement/membership?
There is little published UK research directly exploring the issue of desistance from gang
involvement. However, a number of studies indicate that the average age of gang members
is around 20 (Dawson, 2008), and that the upper age limit is typically around 25 years of
age (Marshall, Webb and Tilley, 2005). These figures are broadly comparable with data from
studies of the criminal careers of general offenders (Flood-Page et al., 2000). This research
has been influential in suggesting that there are maturational turning points in the careers of
young adult offenders.
Aldridge and Medina (2007) note that many of the gang members in their study saw their
involvement in gangs as a transition stage before adulthood. Desistance was described
as a gradual process involving a cognitive element (wanting to get out), turning points (for
example, fatherhood), and opportunities (for example, good jobs). Further support for the
view that many young adults mature out of gang membership is provided by evidence that
compared with current gang members, ex-gang members tend to be older and more likely to
be married. However, an apparently contradictory observation is that current gang members
were less likely to be unemployed (Bennett and Holloway, 2004).
Some participants in the current study described themselves as having already moved on
from gang life and offending. They tended to put this in terms of maturation and critical
reflection on being young, impatient, and/or blinded by the culture or moment they were
in. Talk of maturation often concerned taking a view from the outside. This took the form of
contrasting their sense of changed self with their view of their own old behaviours and values
or those of others.

14

Contrasting with an other seemed to be important in presenting a new identity of having


matured and moved on. The notion of achieving status by being above others appeared to
a key aspect of experience. Critically looking down on others, even by dismissing their own
past behaviours as immature, allowed a person to retain a sense of being above or better
than peers left behind. It also keeps a general sense of self as a good person.
It is interesting to note that for some participants the position of maturity was experienced
positively as an opportunity. For example, some had clear wishes to become positive
mentors for younger gang members still on the streets, to help them out of gang culture.
The second way participants could talk about maturing was the role of a new focus or
meaning in new life. Often this was a new relationship, such as becoming a father. There
was a sense of having something else to live for, suggesting that gang life was all they had
prior to becoming a father. Some participants also conveyed that the desire to be a good role
model for their child was motivation enough to cease criminal activity.
The third way participants critically reflected was in terms of a forced re-evaluation. This was
where they felt let down or abandoned by the group to which they belonged. For example,
some participants felt that perceived strong bonds and trust had proved to be weak or nonexistent by members not being there when they were needed.
Reports from gang members and ex-gang members suggest that leaving a gang could
require significant changes in ways of thinking, socialising, money-making and behaving.
Similar changes are described in the literature on desistance from general offending. For
example, Maruna (2000) interviewed 55 men and 10 women with a history of offending. Of
these 30 were classified as desisting, and 20 were considered to be persisting with offending
behaviour. He found that changes in ways of thinking about self (personal identity) were
a major factor differentiating between the two groups. Qualitative research suggests that
access to employment and reconfiguration of relationships are important factors in facilitating
identity change (Farrell and Calverley, 2006; Farrell, 2002). This research suggests that
gaining employment or changes in family, intimate or social relationships provide a sense
that things can be different in the future. Farrell and Calverley suggest that the capacity to
see a future me is central to the process of desistance.
For some participants it was also important to emphasise the role of personal control and
choice (for example, the individual was the master of this change, or it was their decision
to move on). One interpretation of this is that it fits with previous ways of evaluating self and
peers. For example, personal choice and strength were discussed as valued characteristics
under previous themes.

15

Being in prison places an expectation on the person to change. This was experienced either
as a subject of change programmes, or as a perception of a general sense of the system
requiring change/evidence of change, for example, for parole purposes. Most participants
expressed some ambivalence towards being a subject of prison change. This concerned the
extent that they were the agents of change and how they could control, or not be affected by,
surrounding influences.
Some participants expressed a tension between being the subject of change interventions
and being the agent or actively in control of this change. There was a sense of wanting to
be in control of change. However, for some participants this was linked with doubt about
being able to change without positive support or avoiding the unhelpful influence of others.
For example, in some cases this was linked to people in the criminal justice system not
acknowledging positive changes. However, for some participants there was a sense that
despite wanting to change, to attend offending behaviour programmes and so on, they felt
that that this would be hard due to negative influences from other prisoners on the wing. This
suggests that for some participants there was a conflict between their need for control, and
the continued influence of other people.
Most participants gave an impression of needing to move through the system when talking
about their experience of prison interventions. Generally, accounts of these experiences
were very thin, compared with the richness of accounts of life before prison. Thin accounts of
prison change programmes corresponded to the research teams experiences from clinical
practice and other prison research projects, and thus may not be specific to this sample. For
these participants there was a sense that this was not their life and they were not engaged
in living it to the same degree as their life in the community. For example, participants would
talk about moving through the system purely as a means to an end; their focus was on
release when life could then begin again.
Within this sense of passing the time, some participants said they were keen to do courses. A
few participants expressed the desire to attend accredited offending behaviour programmes but
were turned down on the basis of not meeting the minimum criteria. Others had who completed
accredited offending behaviour programmes reported personally benefiting from them. Some
participants provided examples of applying learning points on prison wings to avoid disputes
escalating to violence. This suggests genuine engagement with the course material.
Most participants viewed their return to society as a fairly unproblematic. Possible barriers
seemed to be presented in a simplified way. This suggests an overestimation of the ease of
return. This can be understood under two themes:

having simplified plans;


escaping the influence of others.

16

Participants often had positive plans for the future. However, these tended to sound like
general, simplified hopes (for example, start a family, get a job, stay out of crime). This was
felt to be something common to most prisoners, and not specific to this sample. The prison
environment and the interview situation are likely to promote pro-social responses to future
plans. Indeed, these answers have probably been rehearsed a number of times in sentence
planning meetings, parole board reviews, and so on. Nevertheless, it suggests that these
participants at best view their return as fairly unproblematic. This was shown in sharp relief
by those participants who did have clear plans. It is worth noting that few participants referred
to gang involvement as having disrupted hopes or dreams held as a teenager.
Many participants identified their home area as a potential problem. These individuals
typically said that they just needed to keep away from that area. Again, ideas of how
to achieve this were in the main quite simple or non-existent (for example, just go
and live in another town). The need to see one as being in control seemed to obscure
acknowledgement of psychological needs. Many participants emphasised the ease of leaving
the gang. This was seen as a matter of personal choice. This was linked with the belief that
no one in the gang would force them to stay. Moreover, some participants reported that other
gang members would be happy for them if they were moving on to better things.
Few participants verbalised that simply moving to another town would involve leaving behind
familiarity of context and relationships, and the sense of self connected to these things. It
may be the case that some participants felt they had matured and moved on. This might
have made starting up a new life in a new place seem realistic. However, the account of just
moving to another area raises questions about how participants would manage without the
personally-valued sense of self they left behind.
Some participants referred, however, to being drawn back into things again if they returned
to the area. This was put in terms of being influenced by seeing friends making money,
and/or having symbols of success. There was a sense that being back in this environment,
having been successful at making money, having status and so on, it would be difficult to
resist. Friends were perceived as not trying to influence you, but that the personal choice to
join them would be the problem.
Another important divergence to the theme of escaping the influence of others relates to the
idea of connection by others. Some participants talked about the problem of rival gangs
still connecting them to the group or gang with which they were affiliated. For example,
one participant felt that he had to go and live in a completely different area, less because
of being drawn back into old friendship connections, but because he would be a target
for other gangs. The underlying belief was that younger members in rival gangs looking
to prove themselves would target a higher member of a rival gang being released from
prison. This was because they are less likely to be carrying a gun. This belief meant that this

17

participant felt he could not return to his home area. If other participants shared this belief, it
raises questions about other ways (ex-)gang members might protect themselves on release
from custody.
The significance of changes in thinking have also been highlighted in the broader literature
on the process of exiting personally meaningful roles. Ebaugh (1988) argues that role exits
(and entrances) are closely linked with self identity. She suggests that this is because the
roles an individual plays become important parts of the way a person defines themself,
and how they are defined by others. Each time a person enters or exits a role self-identity is
threatened. Elements of the new or previous role have to be negotiated and reintegrated into
ones self concept before stability and security can be re-established.
The process of disentangling oneself from a previous role requires an individual to establish a
new set of values and attitudes. It also needs them to find a way of squaring new values with
their former belief system. With respect to general offending this process is explored in detail
by research undertaken by Maruna (2000). This research explored differences in the way that
recidivists and ex-offenders thought and talked about their past offending. It found that exoffenders were far more likely to have found face saving ways of reconciling their past. These
included turning their past into something positive. This might be by seeing their life as a
series of lessons that have led them to a new way of being. This new way of being may even
lead to a sense of having much to offer other people. In particular, those who are at risk of
following, or who have already followed, the same path. Marunas research strongly suggests
that ex-gang members will also need to find a way of explaining their previous behaviour.
Ebaugh (1988) highlights that another challenge an individual faces in creating the ex-role is
to manage other peoples expectation that they will still behave in accordance with their old
role. It has already been noted that gang members report that failure of peers, adversaries,
family, and criminal justice staff to recognise their ex status is a barrier to change.

How does gang membership influence an individuals use of


violence?
A number of studies suggest that gang membership is linked with high crime rates
(Communities that Care, 2005; Bennett and Holloway, 2004; Bullock and Tilley, 2002).
Other studies have looked specifically at the links between gang membership and violence.
These studies suggest that gang members do not typically specialise in violence. However,
violence plays an important role within gangs, particularly in symbolism and rhetoric
(Aldridge and Medina, 2007). Triggers for gang-related violence were typically found to
involve interpersonal disputes. These commonly included inter-group rivalries, turf wars,
and retaliation (Aldridge and Medina, 2007; Youth Justice Board, 2007), disputes within
gangs linked with jealousy and debt, and disputes regarding friends, family, and romantic
relationships (Aldridge and Medina, 2007).

18

The literature suggests that gang members are much more likely than non-gang members
to carry weapons (Communities that Care, 2005; Bennett and Holloway, 2004; Bullock
and Tilley, 2002). With respect to knives, research indicates that gang members were
significantly more likely to claim to have carried a knife in the past year than young people
claiming not to be involved with a gang (Youth Justice Board, 2007; Communities that
Care, 2005). There is also evidence of a link between gang membership and possession of
firearms (Communities that Care, 2005; Bennett and Holloway, 2004; Stelfox, 1998).
The present study attempted to draw out an understanding of participants experiences of
being violent. Findings from the interviews suggest the meaning of violence for participants
can be understood under six sub-themes, which overlap to some degree with the factors
motivating individuals to join street gangs:
pre-emptive protective violence;

approval for inclusion;


violence as exciting;
pre-gang propensity/experience;
violence for status and respect;
violence for money and business.
Different participants orientate towards these sub-themes in differing degrees. Some showed
aspects of all the sub-themes. Others clearly showed just one approach to violence. As a
result the sub-themes should not be viewed or used as a typology of gang violence. Instead,
they represent means of understanding different psychological approaches to it.
Pre-emptive protective violence is related to a sense of risk of being attacked. Participants
talked about using violence for protection in three ways.

Some participants presented a sense of needing to group together for safety in


numbers. The key thing here is that the group produces a sense of, or actual threat of,
violence to potential aggressors. The individual joins the group to passively receive the
protection this threat offers.
Some participants described the experience of reacting violently as a pre-emptive way
of managing their expectations about future risk of victimisation.
Carrying a weapon was felt to be protective. Some participants expressed the view that
if others knew you carried a weapon then they would be less likely to attack you. Some
participants referred to the general sense of the streets being dangerous. This was
coupled with a view that fistfights and other non-weapon forms of physical violence were
something from a bygone era. Hence there was the feeling of needing to carry a weapon
around for real protection.

19

Some participants actively displayed to the gang their willingness to join in with violence in
order gain approval for inclusion in the group. Other participants talked about needing to be
violent in order to be not excluded from the group. For example, running away from a fight was
viewed to be an invitation to the entire group, younger and older members, to physically attack
them. Violence was also seen as a way of confirming a sense of self as located or connected
and belonging to a particular group. Additionally, knowing that someone in their area had been
attacked by a rival gang consolidates the sense of belonging to a side or group.
Some participants described violence as exciting. This was linked to being bored and
needing stimulation. It also sat in a wider context of having fun with the group. It is hard not
to interpret these comments in the light of other themes about violence earning inclusion and
status, and that the excitement is in fact a product of joint venture as a group and the social
weight of the act. However, it may be the case that some of these participants genuinely
enjoyed the perpetration of violence purely for the act itself.
For some individuals there was a sense of enjoying being feared by others, which was
coupled with extreme violence being perceived as inevitable in many situations. This was
irrespective of whether or not these situations were connected to gangs and groups. Being
suddenly and extremely violent had a personal tone, and the identity of being feared appeared
personally valued. This was linked to early experiences of violence, either witnessed or
received as a victim. This approach to violence suggests a propensity for violence that existed
before joining a gang. It was discussed that the social value of violence within some gangs
meant such a pre-gang propensity is likely to help someone with this disposition thrive, in
that they can earn status. Other participants talked about their experience of violence during
childhood as something that toughened them up. The violence they now used or witnessed
was felt to be not as bad in comparison. This suggests that the impact of violent acts on
victims has been devalued by early experiences. This may also suggest an instrumental use
of, rather than a propensity to, violence, which underestimates the impact of the severity used.
Violence was deemed a normal and necessary part of having or achieving status for some
participants. It was also interwoven with the triangle of money, business, and guns. This
meant that the lure of the perceived end goal of a comfortable, luxury life with people looking
up to you, casts violence as a prerequisite. Any discomfort about the use of violence seems
of negligible significance in the participants grand schemes and fantasies.
The public rating of status and respect (what other members are believed to think about
ones status) was presented as crucial for some participants. Perceived slights or attempts
to undermine someones sense of status could only be dealt with by violence. Not reacting
with often extreme violence was experienced as tantamount to abject failure. There was a
sense of being worse than nothing if a once-held status is lost. This was not only due to loss
of respect, but also a sense of inevitable attacks and victimisation from others. This highlights
the forced-choice of violence for status and respect.
20

For some participants the relaying to the gang of individual acts of violence was seen as just
as powerful as being violent in front of, or with, the gang. For example, the telling of the act
would serve to cement the person as part of the group while raising their status.
Many participants held the view that violence is a necessary and acceptable means of
making money and/or protecting business interests. This primarily concerned drug
dealing at various levels. However, it also included the use of violence to commit robberies.
Some participants gave a sense of legitimate violence. This was about being armed to
protect yourself against being robbed, using intimidation with weapons and, if necessary,
violence to prevent competitors taking away business. This kind of violence was contrasted
with stupid violence, which was linked to younger members looking to achieve status.
Some participants distanced themselves from such illegitimate violence. These individuals
promoted themselves as essentially good people interested in working to provide for their
family. Some participants would refer to petty crimes as being those of small financial gain,
such as stealing a handbag or wallet, but still using serious levels of violence including
weapons. This suggests a normalised use of serious violence, whether for small financial
gains or for protecting big business.
Use of violence for some participants was set in the context of honest survivalism/steady
employment in that it was a normal part of everyday business. They conveyed a view that
it was expected that they would protect business interests they had been working hard for,
particularly where it concerned being able to provide for their family. Bound up with this was
the belief that if other drug dealers are carrying guns, then the safest and proper option is
to carry a gun. For some participants this was coupled with a sense of being prepared to use
guns if the opposition use theirs.
A number of authors propose that an individuals interpretations of the world are underpinned
by interconnected networks of beliefs that are organised around underlying dominant themes,
or theories (Polaschek, Calvert and Gannon, 2009; Ward, 2000). These networks are
referred to as implicit theories (Ward, 2000). The above findings suggest some similarities
between the way participants made sense of gang violence and the implicit theories that
have been identified in studies of other violent offenders. For example, participants in the
field research indicated a sense that violence was a necessary and normal part of achieving
and protecting status, and of making money and protecting business interests. This can be
seen as providing some support to the violence as normal and acceptable implicit theory.
Violence is seen as an acceptable way of exacting revenge, having fun, increasing social
status, and obtaining material needs or wants (Polaschek and Donovan, 2006).

21

4 Practical implications
Implications and recommendations are grouped under key tasks undertaken with offenders
and/or by the staff groups likely to perform these tasks. Recommendations are presented
as suggestions for improving current practice. They are not intended as evidence-based
statements of proven best practice.
The sample used in the field research was a geographically-based sub-set of violent
offenders. This potentially has consequences for the generalisability of findings to other gangaffiliated offenders, violent offenders, and offenders from other geographical areas. However,
the research team noted that a high level of consistency was typically observed between the
field and desk research. This suggests that with appropriate caution the implications of the
research could be applicable to other populations of gang-affiliated offenders.

Assessment
The research highlighted a number of issues relevant to the assessment of gang-affiliated
offenders. These include the following.

There was considerable heterogeneity among offenders meeting the recognised criteria
for gang affiliation. For instance, they differed in the extent to which they agree with
the label of gang member, and the way they experienced their affiliations with others.
Several participants in the field research actively resisted any implication from the
researcher about them being gang members. This highlights the importance of exploring
an offenders own sense of involvement in collective offending. This includes avoiding
labelling and simplistic assumptions about gangs.
The desk research identified a broad range of factors linked with gang affiliation. This
suggests the importance of assessing (and intervening in) the full range of domains
linked with gang affiliation.
The field research suggested that the personal motivations for affiliation may be
closely linked to a gang members use of violence. Exploring these links may help to
inform intervention. For instance, it might help to identify values, rules (beliefs), and
expectations linked with violence.
All participants in the field research were high-priority gang offenders according to police
intelligence. However, a number of participants had few or no previous convictions. This
variable is an important anchor point in actuarial assessments of risk. In addition, a number
of participants obtained low scores on formal assessments of treatment need. This suggests
that there may be some differences in the criteria (and information) used across agencies to
prioritise offenders. This may have implications for inter-agency working (for example, multiagency public protection arrangements). This in turn reinforces the importance of information
sharing and collaboration in assessment and management of risk.

22

Intervention
This section adopts a broad definition of intervention. This includes enforcement, prevention
and rehabilitation. Some of the following recommendations are particularly applicable to the
offending behaviour programmes delivered in criminal justice settings. However, many are
equally relevant to other contexts and forms of intervention. The implications for intervention
are divided into three sub-sections:
allocation;

treatment need;
factors influencing the likelihood of a positive response.

Interventions: allocation
The desk and field research suggested that there can be significant rivalry and conflict

both between and within gangs. This has obvious implications for allocation of offenders
to intervention groups.
The field research found considerable variation between different participants
experience and sense of gang affiliation. For instance, some participants expressed a
sense that their associates were supportive and would not get in the way of them leaving
the gang. Others suggested that their associates were highly competitive and would
prevent them from leaving the gang. Exploring and understanding these differences may
help to inform and refine decisions about appropriate allocation.

Interventions: treatment need

The field research indicated that the motivations for the use of violence by gangaffiliated offenders include protection, turf wars, achieving and protecting status and
respect, making and protecting money, and obtaining excitement. These motives overlap
considerably with patterns of thinking linked with the use of violence in other violent
offenders (for example, seeing violence as a normal and acceptable way of exacting
revenge, having fun, increasing social status, and obtaining material needs or wants).
This suggests that many gang members could benefit from the same interventions as
those designed for generally violent offenders.
The desk and field research highlighted the role of underlying values, beliefs, and
expectations in the violence carried out by gang-affiliated offenders. This suggests that these
offenders might benefit from interventions focusing on these deeper levels of thinking.
The desk and field research found evidence for the selection (and self-selection) of
violent individuals into gangs. For instance, the desk research observed a considerable
overlap between the factors that linked gang affiliation, and the risk factors for offending
and violence. This process of selection partly explains the link between gangs and
violence. This strongly suggests that interventions focusing solely on facilitating exit

23

from gangs are unlikely to reduce violence risk in all gang-affiliated offenders. Instead
facilitators should carefully explore the impact of gang affiliation on an offenders
violence. They should also explore (and address) the full range of other factors linked
with the offenders use of violence.
The desk research indicated that gang affiliation is strongest during adolescence and

early adulthood. These are times of considerable development and maturation. The field
research suggested that treatment needs and patterns of engagement might vary at
different developmental points. For instance, a number of participants made comments
critically reflecting on their younger, less mature, selves. This point should be considered
in treatment planning.

Interventions: factors influencing the likelihood of a positive response


The field research highlighted a range of personal motivations for joining and staying

with street gangs (protection/connection, status and respect, money). Exploring these
motivations might help to identify ways of engaging an offender in intervention, and
motivating them towards pro-social change.
The desk and field research highlighted some significant events that acted as
motivational hooks supporting the process of exiting gangs and desisting from
offending. These included becoming a father and disillusionment with gang life. It is
important that facilitators look out for, and work constructively with, these and other
potential motivators for moving through the steps of leaving a gang.
The desk and field research identified several factors contributing to resistance to
engagement in interventions. These included a strong need for control over change, a
mistrustful or anti-authority stance, and sensitivity to being labelled, stereotyped and/
or judged. It is important that facilitators and managers of interventions find ways of
constructively working with these issues. It has already been noted that this should
include caution with labelling participants as gang members.

Resettlement/throughcare
The desk and field research highlight several important considerations linked with the
resettlement needs of (ex-)gang members. These include the following points:

The desk research suggested that potential barriers to successful resettlement include
a difficulty in renegotiating relationships with gang-affiliated friends and relatives, and
convincing professionals and other gang members that they have made meaningful
changes in their lives.
The field research suggested that other barriers to resettlement include the absence of
concrete and realistic future plans, and an over-reliance on leaving the home area as a
strategy for overcoming barriers to resettlement.

24

References
Aldridge, J. and Medina, J. (2007) Youth Gangs in an English City: Social Exclusion, Drugs
and Violence. Swindon: ESRC.
Bennett, T. and Holloway, K. (2004) Gang membership, drugs and crime in the UK, British
Journal of Criminology, 44, pp 30523.
Blanchette, K. and Brown, S. L. (2006) The Assessment and Treatment of Women
Offenders: An Integrative Perspective. West Sussex: John Wiley & Sons.
Building Bridges Project (2008) A report by the young people of London, facilitated by
Race on the Agenda (ROTA) providing evidence based recommendations to tackle gangs
and the use of weapons. www.rota.org.uk
Bullock, K. and Tilley, N. (2002) Shootings, Gangs and Violent Incidents in Manchester:
Developing a Crime Reduction Strategy. Crime Reduction Research Series, Paper 13.
London: Home Office.
Communities that Care (2005). Findings from the Safer London Youth Survey 2004.
London: Metropolitan Police Service.
Dawson, P. (2008) Monitoring data from the Tackling Gangs Action Programme.Home Office
Crime Reduction Website. London: Home Office.
Decker, S. H. and Van Winkle, B. (1996) Life in the Gang: Family, Friends, and Violence.
Cambridge: Cambridge University Press.
Dutton, D. G. (2006) Re Thinking Domestic Violence. UBC Press.
Ebaugh, H. (1988) Becoming an ex. Chicago: Chicago University Press.
Farrell, S. (2002) Rethinking What Works with Offenders. Cullumpton, Devon: Willan
Publishing.
Farrell, S. and Calverley, A. (2006) Understanding desistance from crime: Theoretical
directions in resettlement and rehabilitation. Berkshire: Open University Press.
Farrington, D. P. (2002) Developmental criminology and risk focused prevention. In The
Oxford Handbook of Criminology (3rd edition), Maguire, M., Morgan, R. and Reiner, R. (eds).
Oxford: Oxford University Press.

25

Flood-Page, C., Campbell, S., Harrington, V. and Miller, J. (2000) Youth Crime, Findings from
the 1998/1999 Youth Lifestyle Survey. Home Office Research Study 209. London: Home Office.
Fong, R. S. and Buentello, S. (1991) The detection of prison gang development, Federal
Probation, 55(1), pp 669.
Hallsworth, S. and Young, T. (2006) Urban Collectives: Gangs and Other Groups. London:
Metropolitan Police Service.
Huff, C. R. (1991) Gangs in America. Newbury Park, CA: Sage.
Kintrea, K., Bannister, J., Pickering, J., Reid, M. and Suzuki, N. (2008) Young People and
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Klein, M. and Maxson, C. (2006) Street gang patterns and policies. Oxford: Oxford
University Press.
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Mares, D. (2001) Gangstas or Lager Louts? Working Class Street Gangs in Manchester. In The
Eurogang Paradox: Street Gangs and Youth Groups in the U.S. and Europe, Klein, M. W., Kerner,
H. J., Maxson, C. L. and Weitekamp, E. G. M. (eds). London: Kluwer Academic Publishers.
Marshall, B., Webb, B. and Tilley, N. (2005) Rationalisation of current research on guns,
gangs and other weapons: Phase 1. London: University College London Jill Dando Institute
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Implicit Theory-Based Research with Violent Offenders, Journal of Interpersonal Violence,
24(1), pp 7596.
Polaschek, D. L. L. and Donovan, K. F. (2006) Offending-related cognition in violent
offenders: A grounded theory investigation. Unpublished manuscript.
26

Richardson, A. and Budd, T. (2003) Alcohol, crime and disorder: a study of young adults
(ages 1824). Home Office Research Study 263. London: Home Office.
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Behaviour: Findings from the 2004 Offending, Crime and Justice Survey. Home Office Online
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27

Ministry of Justice Research Series 2/11


Understanding the psychology of gang violence:
implications for designing effective violence interventions
The study employed a qualitative approach in which 44 male gang-affiliated prisoners convicted of
violent offences were interviewed about their experiences of gang affiliation. The analysis suggested
that participants held different views about the nature of gangs and there was a lack of consensus about
what constituted a gang. This study identified several important psychological motivations contributing
to gang affiliation and highlighted ways in which criminality reinforces gang affiliation and identity. The
meaning of violence for participants was explored and the authors identify practical implications relating
to assessment and intervention with gang affiliated offenders.

ISBN 978 1 84099 458 2


Crown copyright
Produced by the Ministry of Justice
Alternative format versions of this report are available on request.
E-mail: research@justice.gsi.gov.uk
http://www.justice.gov.uk/publications/research.htm

RESOURCE GUIDE TO CONCEPTS AND METHODS


FOR COMMUNITY-BASED AND
COLLABORATIVE PROBLEM SOLVING

June 2000

Womens and Childrens Health Policy Center


Department of Population and Family Health Sciences
Johns Hopkins University School of Public Health

Resource Guide to Concepts and Methods for


Community-Based and Collaborative Problem Solving

June 2000

Prepared by
Marjory Ruderman, MHS
Womens and Childrens Health Policy Center
Johns Hopkins University School of Public Health

Womens and Childrens Health Policy Center


Department of Population and Family Health Sciences
Johns Hopkins University Bloomberg School of Public Health
615 North Wolfe Street
Baltimore, MD 21205
(410) 502-5443

Principal Investigator: Holly Allen Grason, MA


Bernard Guyer, MD, MPH

The Womens and Childrens Health Policy Center (WCHPC) at the Johns Hopkins
University was established in 1991 to address current policy issues found in national legislative
initiatives and evolving health systems reforms impacting on the health of women, children, and
adolescents. The mission of the center which operated during its first five years as the Child
and Adolescent Health Policy Center is to draw upon the science base of the university setting
to conduct and disseminate research to inform maternal and child health policies and programs,
and the practice of maternal and child health nationally. Projects are conducted to provide
information and analytical tools useful to public and private sector MCH professionals and to
elected officials and other policymakers.
Funding for the development of this Resource Guide was provided through a cooperative
agreement (5 T78 00005) with the Maternal and Child Health Bureau, Health Resources and
Services Administration, Department of Health and Human Services.

Contents

I.

II.

Part One: Key Concepts in Community-Based/Collaborative Problem Solving


A. Introduction

B.

Key Concepts Table

Part Two: Resources for Community-Based and Collaborative Problem Solving


A. Cross-Reference Table

11

B. Annotated Bibliography

III.

Defining and Involving the Community

17

Community Capacity

18

Social Capital

19

Community Competence

19

Community Empowerment

21

Community Readiness

22

Collaborative Problem Solving

22

Community Coalitions

24

Community Diagnosis/Assessment/Mapping

28

Measurement and Evaluation Issues Related to Community Constructs

29

Part Three: Expanded Summaries of Selected Resources


A. Community Involvement
Howell EM, Devaney B, McCormick M, Raykovich KT. Community involvement in the Healthy
Start Program. Journal of Health Politics, Policy and Law 1998; 23:291-317.

37

B. Community Competence
Goeppinger J, Baglioni AJ. Community competence: A positive approach to needs assessment.
American Journal of Community Psychology 1985; 13:507-523.
Knight EA, Johnson HH, Holbert D. Analysis of the competent community: Support for the
community organization role of the health educator. International Quarterly of Community Health
Education 1990-91; 11:145-154.

38

40

C. Community Readiness
Peyrot M, Smith HL. Community readiness for substance abuse prevention: Toward a model of
collective action. Research in Community Sociology 1998; 8:65-91.

43

D. Community Capacity
Easterling D, Gallagher K, Drisko J, Johnson T. Promoting health by building community capacity:
An effective medicine? Denver, CO: The Colorado Trust, 1998.

46

E. Coalitions
Goodman RM, Wandersman A, Chinman M, Imm P, Morrissey E. An ecological assessment of
community based interventions for prevention and health promotion: Approaches to measuring
community coalitions. American Journal of Community Psychology 1996; 24:33-61.

47

Wandersman A, Goodman RM, Butterfoss FD. Understanding coalitions and how they operate: An
open systems organizational framework. In Minkler M (ed.). Community Organizing and
Community Building for Health. New Brunswick, NJ: Rutgers University Press, 1997, pp. 261-277.

49

F. Measurement and Evaluation Issues

IV.

The Aspen Institute. Measuring community capacity building: A workbook-in-progress for rural
communities (version 3-96). Author, 1996.

51

Fetterman DM, Kaftarian SJ, Wandersman A, eds. Empowerment Evaluation: Knowledge and Tools
for Self-Assessment and Accountability. Thousand Oaks, CA: Sage Publications, 1996.

52

McKnight JL, Kretzmann JP. Mapping Community Capacity. Evanston, IL: Institute for Policy
Research, Northwestern University, 1990.

53

Part Four: Internet Resources for Community Building Concepts and Methods
55

Introduction

The last two decades have seen a sort of convergent evolution of concepts related to community-based problem
solving and the conditions necessary for community health and well-being. Researchers of different disciplines and
orientations delineate constructs like community capacity, community competence, community empowerment, and
community readiness. All attempt to capture at least some of the characteristics and resources that enable
communities to participate successfully in problem solving. Coupled with these ideas are others related to
community coalitions and other collaborative strategies to promote community-driven change.
Underneath the proliferation of terms surrounding community-based initiatives and community collaboratives are
three basic principles: 1) a population, rather than individual, approach to health promotion, 2) acknowledgement of
the effect of social environment on individual and population health status, and 3) a recognition of the importance of
changing health and related service systems in order to impact health status.1 Also central to most of these concepts
is an assets-based approach to understanding communities, one cognizant both of the resources and skills a
community brings to bear in addressing common needs and of the importance of enhancing the communitys ability
to mobilize those assets.2
This resource guide brings together documents that contribute to the knowledge base about community resources
promoting effective problem solving and health systems change, with a special emphasis on issues pertaining to the
measurement of key constructs. The literature consolidated here provides guidance on assessing the community
context to gauge: 1) how community context will affect the development and success of initiatives, and, conversely,
2) how community-based systems initiatives may influence community capacity. To understand the potential effect
of community context on a program, for example, a pre-implementation assessment of community readiness for
intervention might provide important information for use in targeting resources and activities. Gauging the effects
of collaborative/interagency initiatives on the community is a more complex endeavor; the literature as of yet offers
little guidance for linking specific collaborative initiatives to population-based outcomes. This document
summarizes recent progress in developing process and outcome measures for use in examining community
collaboratives and documenting their impact.
This guide is organized into several sections. Part One introduces key concepts related to community-based
program planning and evaluation, outlining the various ways different authors have elaborated these concepts. In
Part Two, the sources included in this guide are matched to the concepts they explore for easy identification of
resources of interest to the reader. An annotated bibliography of resources related to community-based and
collaborative problem solving follows. This bibliography includes both references readily found in the research
literature and fugitive documents that might not otherwise come to the readers attention. Part Three consists of
expanded summaries of selected resources from the annotated bibliography. The resources chosen for expanded
summary stand out as seminal works on practice-oriented concepts and/or methodological tools. Finally, Part Four
lists internet resources that can serve as jumping off points for explorations of a broad range of concepts and
activities related to community-based problem solving.
Publications were selected for inclusion in this Resource Guide according to three criteria:

Broadly applicable: Concepts and methods are not limited to use with specific kinds of initiatives (e.g.,
substance abuse prevention programs, community development initiatives).

Practical: Includes explicit descriptions of constructs or of measurement methods that can be adapted for other,
similar uses.

Adding to the knowledge base: Contributes to a broader understanding of key concepts and/or how to measure
them.

1
2

Kreuter & Lezin, 1998.


Goodman et al., 1998.
1

Publications that are not included in this resource book are those that serve primarily as how to guides, such as
those that detail steps to building community coalitions or mobilizing/empowering community members without
also contributing to or reviewing salient conceptual or methodological approaches. However, all of the websites
listed in Part Four provide access to publications and other resources for technical assistance in community-building
activities.
The Johns Hopkins University Womens and Childrens Health Policy Center (WCHPC) compiled this literature
while designing several studies currently underway. The Maternal and Child Health Bureau asked the WCHPC to
develop this Resource Guide to make what has been learned by the faculty and staff of the Center more readily
accessible to local and state maternal and child health professionals, whose work daily involves aspects of the
principles, concepts, and activities reviewed in this document. As performance measurement issues continue to
move to the forefront of public health practice, access to this material may become increasingly valuable to public
health administrators and managers.

Key Concepts Related to Community-Based, Collaborative Problem-Solving


Concept
Community

Definition
Defining and Involving the Community
Communities are systems composed of individual members and sectors that have a variety of distinct
characteristics and interrelationships." They can be defined by the characteristics of its people; geographic
boundaries; shared values, interests, or history; or power dynamics.
The definition of a community should take into account "opportunity for interpersonal and networking
interactions within the unit."
Elements of community include: a sense of membership; common symbol systems; common values;
reciprocal influence; common needs and a commitment to meeting them; and a shared history.
Communities can be conceived of as geographic communities (e.g. residents of a geographically-defined
neighborhood) or affinity communities (e.g. a community of providers, a religious group).
Community refers to a multidimensional system which encompasses interactions across both horizontal
and vertical levels and is characterized by people and organizations, actions, context, and consciousness
(perceptions and cultural constructs). Community is variable and permeable, shaped and re-shaped
continuously by changing actions and relationships.

Community
Involvement/
Participation

Community
Competence

Author(s)

CDC, 1998
Hancock et al., 1997
Israel et al., 1994

Walter, 1997

Hancock et al., 1997

Two models of community involvement:


1) The service consortium model focuses on involvement of local providers/professionals, with impact
measured by access to services and quality, coordination, and utilization of services.
2) The community empowerment model focuses on participation of nonprofessional community members in
the planning process via neighborhood-based groups, service-provision contracts with community-based
organizations, employment of community members, and economic development initiatives.

Howell et al., 1998

The dimensions of community competence include: commitment, self-other awareness and clarity of
situational definitions (accurate perceptions of divergent viewpoints), articulateness, communication, conflict
containment and accommodation, participation, management of relations with the larger society, and
machinery for facilitating participant interaction and decision making. Social support and leadership
development have also been added in some conceptualizations.

Kumpfer et al., 1993

Community participation is defined as involvement in decision-making processes and implementation, as


well as sharing the benefits of the program. Participation occurs along a continuum, from active
involvement in all stages of the intervention, or "community development/organizing," to token or
consultative involvement, or "community-based."

Community Resources for Collective Action


In a competent community, the various component parts of the community: 1) are able to collaborate
effectively in identifying the problems and needs of the community; 2) can achieve a working consensus on
goals and priorities; 3) can agree on ways and means to implement the agreed-upon goals; and 4) can
collaborate effectively in the required actions."

Cottrell, 1976
Cottrell, 1976; Denham,
Quinn, & Gamble, 1998;
Eng & Parker, 1994;
Goeppinger & Baglioni,
1985

Concept

Definition
Community competence is the capacity of a community to assess and generate the conditions required to
demand or execute change, the ability to "pull it together. Community competence can be described as
an individual-systems interaction, with systems being human service organizations. Effective interaction
is characterized by: 1) the match between the problem-solving preferences of an individual and the resources
provided by a system, 2) informational-feedback between the two parties that allows for adjustment on either
side, and 3) the availability of advocacy or participatory processes.
Different definitions of community competence have in common "the notion that the parts of a community
develop congruent perceptions of one another through social interaction and that congruent perceptions are
necessary for the identification and resolution of community issues."
A competent community harnesses and enhances resources, particularly those indigenous to the community,
and transfers power to the disenfranchised.
A competent community is skilled in problem solving and provides resources that aid the well-being of
community members. Characteristics of a competent community include "collaboration for integration of
services and decision-making, which is facilitated by knowledge of other agencies and services, and
participation by citizens in the functioning of organizations."

Community
Empowerment

"Community-level empowerment (i.e., the capacity of communities to respond effectively to collective


problems) occurs when both individuals and institutions have sufficient power to achieve substantially
satisfactory outcomes."
Community empowerment is both the process and outcome of organized community members gaining
control over their lives. Community empowerment is commonly conceptualized as community
participation, mobilization, and ownership.
Community empowerment refers to the process of gaining influence over conditions that matter to people
who share neighborhoods, workplaces, experiences, or concerns.

Organizational
Empowerment

Empowerment suggests "the ability of people to gain understanding and control over personal, social,
economic, and political forces in order to take action to improve their life situations." Empowered
communities are characterized by resource sharing, collective problem solving, influence on the larger social
system, and the ability to obtain equitable resources.
Empowered and empowering organizations are characterized by:

democratic management;
individuals' control within the organization;
influence in the larger community; and
recognition of the "cross-cutting linkages among members.

An empowering organization enhances the collective empowerment of its members, while an empowered
organization is able to effectively influence institutions in its environment.

Author(s)

Eng & Parker, 1994

Goeppinger & Baglioni,


1985

Iscoe, 1974
Knight, Johnson, &
Holbert, 1991

CDC, 1998

Eisen, 1994
Fawcett et al., 1995

Israel et al., 1994

Israel et al., 1994

McMillan et al., 1995

Concept
Community Readiness

Social Capital

Community Capacity

Definition
Community readiness can be described along a spectrum related to Roger's (1983) stages of diffusion of
innovations and Prochaskas (1992) stages of psychological readiness: 1) community tolerance, 2) denial, 3)
vague awareness, 4) preplanning, 5) preparation, 6) initiation, 7) institutionalization, 8)
confirmation/expansion, and 9) professionalization.

Author(s)

Oetting et al., 1995

Peyrot & Smith, 1998

Kreuter & Lezin, 1998

The Aspen Institute, 1996

Easterling et al., 1998

Goodman et al., 1998

The dimensions of community capacity include: participation; leadership; skills; resources; social and
interorganizational networks; sense of community; understanding of community history; community power;
community values; and critical reflection.

Goodman et al., 1998

A program is institutionalized when it becomes integral to and embedded within an organization or


community. Institutionalization describes the "built-in-ness" of a program.

Goodman et al., 1993;


McLeroy et al., 1994

Community readiness is an aggregate measure of residents willingness to engage in collective problemsolving activities.
Social capital is defined as the specific processes among people and organizations, working collaboratively
in an atmosphere of trust, that lead to accomplishing a goal of mutual social benefit. The theory of social
capital appears to be manifested by four constructs: trust, cooperation, civic engagement, and reciprocity.
Community capacity is reflected in the commitment, resources, and skills brought to bear on community
problem solving and assets building.
"Community capacity is the currency that residents bring to the table when they are inspired (or threatened)
by an issue that speaks directly to their collective well-being." Its elements include skills and knowledge,
leadership, sense of efficacy, trusting relationships, and a culture of learning.
Community capacity can be conceived of as the characteristics affecting the communitys ability to identify
and solve problems and its cultivation and use of resources toward that end. Community capacity is a
"potential state" corresponding to the "active state" of community competence that is, competence is the
effective use of capacity.

Institutionalization of
Programs

Mobilizing Community Resources


Community
Engagement
Community
Organizing

Community Action

Community engagement is "the process of working collaboratively with groups of people who are affiliated
by geographic proximity, special interests, or similar situations with respect to issues affecting their wellbeing," often through partnerships or coalitions.

CDC, 1998

Community organizing is a process by which the problem-solving capacity of communities is enhanced.

CDC, 1998

Community organizing is another term for "community development," which involves a high level of
community involvement in all aspects of intervention activities.
Community action entails a lower level of community involvement than does community organizing, but
includes some measure of community control over the implementation of interventions.
Community action is characterized by "a collective rather than an individual approach to health, a social
rather than a medical model of health and illness, a preventive rather than curative orientation to health
problems, and the participation of community members in health care decisions."

Hancock et al., 1997


Hancock et al., 1997
Hancock et al., 1997

Community Coalitions

Collaborative Problem Solving


Coalitions are "interorganizational, cooperative and synergistic working alliances" which are distinguished
from other group arrangements such as networks and consortia.

Butterfoss, Goodman, &


Wandersman, 1993

Coalitions are issue-oriented, structured/formal, focused on external goals, made up of diverse


members/organizations, and sustainable over the long term. Like other group arrangements, coalitions are
characterized by unity and a shared purpose; unlike other group arrangements, members work on behalf of
their own organizations as well as the coalition itself.

Butterfoss, Goodman, &


Wandersman, 1993

Health promotion coalitions specifically are usually long-term and multi-faceted; aimed at
complex and difficult problems; community-based or agency-dominated; and focused on
planning and implementing prevention activities.

Butterfoss, Goodman, &


Wandersman, 1993

Coalitions can be classified by membership (grassroots, professional, other coalitions or organizations, or a


combination), reason for formation (funding opportunity, external threat), and functions (advocacy,
information and resource sharing, integration of services).

Butterfoss, Goodman, &


Wandersman, 1993

A community coalition is a formal alliance of diverse groups or agencies working toward a common goal
and is often characterized by a focus on multiple factors, multiple levels of influence, and participation of
community members. In a coalition, groups share resources to bring about changes that would not be
possible working separately.

Florin, Mitchell, &


Stevenson, 1993;
Wandersman et al., 1996

Community health coalitions use two community development strategies: 1) social planning, a top-down
approach with problem solving by professionals, or 2) locality development, involving citizen participation
and building indigenous leadership capacity.

Francisco, Paine, &


Fawcett, 1993

Unlike consortia (see below), coalitions consist of "groups of varied organizations whose interests converge
or overlap to varying degrees, but whose member organizations have separate agendas and interests of their
own." The goals and missions of coalitions are more broad than those of consortia.

Kreuter & Lezin, 1998

Coalition Development

Collaboratives/
Consortia

4-stage model of coalition development:


1) Formation
2) Implementation
3) Maintenance
4) Accomplishing goals/outcomes

Butterfoss, Goodman, &


Wandersman, 1993

7-stage model of coalition development:


1) Initial mobilization
2) Establishing organizational structure
3) Building capacity for action
4) Planning for action
5) Implementation
6) Refinement
7) Institutionalization

Florin, Mitchell, &


Stevenson, 1993

3-stage model of coalition development:


1) Formation: Building committees with broad representation, conducting needs assessment, and generating
plans.
2) Implementation: Implementing, maintaining, and routinizing programs and plans.
3) Institutionalization: Continuation of coalition or adoption of programs and policies by other institutions
after initial funding ends.

Wandersman et al., 1996

Collaborative problem solving involves four beliefs: 1) solutions must be acceptable to the community
experiencing the problem, 2) enduring change is only possible with the involvement of the community
experiencing the problem, 3) collaborative problem solving enhances community capacity and leadership,
and 4) "sectorial approaches to complex development problems cannot mobilize the full range of resources
required to effect sustainable change."

Clark et al., 1993

Collaboratives/
Consortia (contd)

Types of strategies used in collaborative ventures:


1) Cooperative strategies are collective efforts undertaken to facilitate cooperative action toward the
common goal.
2) Maintenance strategies are initiated by individual organizations for either partnership maintenance
(aimed at maintaining cooperation with other organizations) or organizational maintenance (aimed at the
day-to-day functioning of the organization or reaching collaborative goals).
3) Pressure strategies are aimed at compelling members to act in ways that advance the goals of the
collaboration.

Clark et al., 1993

Consortia and collaboratives are the banding together of "similar organizations ... to benefit more from their
collective actions than they could as individual players."

Kreuter & Lezin, 1998

Collaboration can be conceived as the highest of three levels of interagency activities:


Cooperation/networking: The most informal type of alliance, used primarily for
resource exchange.
Coordination: More structured, used for increasing efficiency and resource exchange.
Collaboration: The "most sophisticated," entailing common goals, exchange of
resources, planning, implementing, and evaluating services, and the power of members
to commit resources and change policies/procedures in the interest of common goals.

McCoy-Thompson, 1994

Alter & Hages stages and levels of collaboration:


1) Obligational network: Collaboration consists mainly of information exchange through personal
communication among staff members.
2) Promotional network: Organizations contribute resources, feel an obligation to the group, work together
to address a common problem, and retain autonomy, since decision-making is limited to the identified
common problem.
3) Systemic network: The problems addressed are more complex and require resources from outside the
coalition/collaborative structure. Organizations are less autonomous, and decisions are made by the
coalition/collaborative.

In Parker et al., 1998

Community Diagnosis

Community Story
Community Mapping

Participatory
Evaluation

Participatory Action
Research
Participatory Research
Empowerment
Evaluation
Triangulation

Measurement and Evaluation Methods


A method of assessing a communitys needs and characteristics that takes into account its social dynamics
and other factors affecting internal problem-solving capacity. Community diagnosis may couple the
assessment process with community organizing and capacity building. Community mapping can be used to
supplement the assessment and illustrate its results.
A community-controlled ethnographic approach to evaluation, the community story describes the
development of community change activities for use in continuous monitoring and improvement.
In community mapping, the assets of a community are diagrammed in primary, secondary, and potential
building blocks according to their source and locus of control (i.e., within or external to the community).
Community mapping can be used as part of a community diagnosis.
A participatory evaluation serves dual purposes to provide evaluation data on process and outcome
measures and to provide feedback to the coalition as part of a continuous cycle of quality improvement. The
evaluation team thus works closely with the coalition membership to develop evaluation measures and
collect data.
A cyclical model of community assessment, intervention, and evaluation based on an empowerment
perspective that balances the goals of research and practice.
Systematic inquiry, with the collaboration of those affected by the issue being studied, for purposes of
education and taking action or effecting change.
A process of program self-evaluation that promotes self-determination and continuous monitoring for
improvement. Empowerment evaluation is meant to be used at the program level, but can be applied to the
community level as well.
The use of multiple types and sources of data, combining, for example, quantitative and qualitative data
collection methods to obtain complementary information.

Eng & Blanchard, 1990-91


Dixon, 1995; Dixon &
Sindall, 1994
CDC, 1998; McKnight &
Kretzmann, 1990

Francisco, Paine, &


Fawcett, 1993

Israel et al., 1994

Institute of Health
Promotion Research, 1999
Fetterman, Kaftarian, and
Wandersman, 1996

Goodman et al., 1996

Bazzoli et al., 1997

Bruner, 1998

X
X

Butterfoss, Goodman, &


Wandersman, 1993
CDC, 1998

X
X
X

X
X

Clark et al., 1993


Connell et al., 1995

X
X

Bailey & Koney, 1995

Bruner & Chavez, 1998

X
X

The Aspen Institute, 1996 (p. 51)

Baker & Teaser-Polk, 1998

Measurement
and Evaluation
Issues*

Aronson, O'Campo, & Peak,


1996

Community
Mapping/
Diagnosis

Collaborative
Problem
Solving

Community
Action/
Organizing

Social
Capital

Community
Capacity

Community
Readiness

Community
Empowerment

Community
Competence

Community
Involvement

Defining
Community

Authors Matched to Selected Key Concepts

Citations in italics indicate that an expanded summary of the resource is included in Part III, and the page number follows.

11

Cottrell, 1976

Denham, Quinn, & Gamble, 1998

Measurement
and Evaluation
Issues*

Community
Mapping/
Diagnosis

Collaborative
Problem
Solving

Community
Action/
Organizing

Social
Capital

Community
Capacity

Community
Readiness

Community
Empowerment

Community
Competence

Defining
Community

Community
Involvement

Coombe, 1997

Dixon, 1995

Dixon & Sindall, 1994

X
X

Easterling et al., 1998 (p. 46)


Eisen, 1994

X
X

Eng & Blanchard, 1990-91


Eng & Parker, 1994

Fawcett et al., 1995

Fetterman, Kaftarian, &


Wandersman, 1996 (p. 52)

Florin, Mitchell, & Stevenson,


1993

12

X
X
X
X

Measurement
and Evaluation
Issues*

Community
Mapping/
Diagnosis

Collaborative
Problem
Solving

Community
Action/
Organizing

Social
Capital

Community
Capacity

Community
Readiness

Community
Empowerment

Community
Competence

Community
Involvement

Defining
Community
Francisco, Paine, & Fawcett,
1993

Gatz et al., 1982

Goeppinger & Baglioni, 1985


(p. 38)

Goodman & Steckler, 1989

Goodman et al., 1993

X
X

Goodman et al., 1996 (p. 47)


X

Goodman et al., 1998


Haglund, Weisbrod, & Bracht,
1990

Hancock et al., 1997

Howell et al., 1998 (p. 37)

X
X

X
X

Institute of Health Promotion


Research, 1999
Institute of Medicine, 1997

X
X

13

Israel et al., 1994

Jewkes & Murcott, 1996

Jewkes & Murcott, 1998

Measurement
and Evaluation
Issues*

Community
Mapping/
Diagnosis

X
X

X
X

Kegler et al., 1998


Knight, Johnson, & Holbert,
1990-91 (p. 40)

X
X

X
X

X
X

Kumpfer et al., 1993

14

Collaborative
Problem
Solving

Community
Action/
Organizing

Social
Capital

Community
Capacity

Community
Readiness

Jones & Silva, 1991

Kreuter & Lezin, 1998

Community
Empowerment

Community
Competence

Community
Involvement

Defining
Community

Iscoe, 1974

McArthur, 1995

McCoy-Thompson, 1994

McKnight & Kretzmann, 1990


(p. 53)

X
X

McMillan et al., 1995

X
X

Oetting et al., 1995

X
X

Parker et al., 1998


X

Peyrot & Smith, 1998 (p. 43)

X
X

Scheirer, 1993
X

Wandersman, Goodman, &


Butterfoss, 1997 (p. 49)

Wandersman et al., 1996

Wilson, 1997

Measurement
and Evaluation
Issues*

Nezlek & Galano, 1993

Walter, 1997

Community
Mapping/
Diagnosis

Collaborative
Problem
Solving

Community
Action/
Organizing

Social
Capital

Community
Capacity

Community
Readiness

Community
Empowerment

Community
Competence

Community
Involvement

Defining
Community

McLeroy et al., 1994

15

Annotated Bibliography
DEFINING AND INVOLVING THE COMMUNITY
Bruner C, Chavez M. Getting To The Grassroots: Neighborhood Organizing and Mobilization. Volume 6:
Community Collaboration Guidebook Series. National Center for Service Integration Clearinghouse, 1998.
This document, part of a series devoted to community collaboratives, provides guidance on neighborhood
development and community ownership of initiatives. The authors briefly describe the meaning of neighborhood,
which they distinguish from community, before describing the role of collaboratives in neighborhood organizing.
Specific guidelines are offered for creating true partnerships and building neighborhood capacity. Appendices
address more fully the concepts of community, neighborhood, and social capital; Arnsteins (1969) Ladder of
Citizen Participation, a hierarchy of community involvement in initiatives; methods of obtaining residents input in
community assessments; McKnight and Kretzmanns (1990) guide to mapping community capacity; community
organizing; employing neighborhood residents; and the role of government in community capacity building.
Available from Child and Family Policy Center, 218 Sixth Avenue, Suite 1021, Des Moines, IA 50309-4006, (515)
280-9027, fax (515) 244-8997.
v Howell EM, Devaney B, McCormick M, Raykovich KT. Community involvement in the Healthy Start
Program. Journal of Health Politics, Policy and Law 1998; 23:291-317.
Howell et al. briefly describe the historical context for community participation in health promotion programs and
other community organizing activities and the equivocal empirical support for a positive effect on program
development. Using a case study approach, national evaluators examined the approaches to community
involvement taken by local Healthy Start programs. Interviews with project staff covered topics including
community context (e.g., demographics, characteristics of the health care delivery system) and the characteristics
and development of Healthy Start Consortia. The study revealed two approaches to community involvement, the
service consortium model and the community empowerment model. For each model, the paper presents a pictorial
description of the relationships among strategies for involving community members, the intermediate outcome
measures associated with these strategies, and the final outcome measure of reduction in the infant mortality rate.
The evaluators draw a series of conclusions about the stumbling blocks to involvement of community members and
the often negative effects of consumer participation on program development. They address issues related to
involvement of community providers, nonprofessional community members, community institutions and businesses,
and economic development strategies, including employment of local residents by the program.

Jewkes R, Murcott A. Meanings of community. Social Science and Medicine 1996; 43:555-563.
In this paper, the authors address the conflicting definitions of community employed in health promotion
programs and the consequences of the choice of meanings. They review the history of the concept in the social
sciences literature dating from the late nineteenth century and note that the health literature shares with the social
sciences a decided lack of consensus about what constitutes a community, even while asserting its importance.
Through interviews, non-participant observation, and document review, the authors examined the implicit meanings
of community for health promotion workers engaged in community mobilization efforts. Common to the varied
meanings identified (28 in all) was the use of a central point of reference the organization or individual engaging
in the health promotion initiative to define the community and its members. Definition by these non-members of

References in bold indicate resources that are included in this guide.

v = An expanded summary is included in Part III.

17

the community also tended to be premised on an assumption of a shared sense of community among members an
assumption that often proves false.
Jewkes R, Murcott A. Community representatives: Representing the community? Social Science and
Medicine 1998; 46:843-858.
Jewkes and Murcott explore the uses and interpretations of "community" and "community participation" in
community health promotion projects in the United Kingdom. They note that, despite debate about the meaning of
community in the academic literature, in practice, programs and policies treat the meaning of community as selfevident, while defining it implicitly in the manner most expedient to the problem at hand. The authors describe a
process whereby community representatives were chosen without assurances that they actually represented the
voice of the community, bolstering a monopoly on group leadership. They conclude that definitions of
community participation may have to be context-specific, differing, for example, by the level of change targeted.
McArthur A. The active involvement of local residents in strategic community partnerships. Policy and
Politics 1995; 23:61-71.
Though this article addresses community participation in the context of British urban development policy, its
observations about the reasons for community involvement, the methods of inclusion, the influence of community
members in partnerships, and the outcomes of community participation are relevant to U.S. community
collaboratives as well. The authors note some of the stumbling blocks to community involvement and highlight
potential impacts, including increased accessibility and local orientation of programs, shaping policy and agendas,
and sparking new initiatives.
Walter CL. Community building practice: A conceptual framework. In Minkler M (ed.). Community
Organizing and Community Building for Health. New Brunswick, NJ: Rutgers University Press, 1997, pp. 6883.
Walter broadens the notion of community from a contained unit to a multidimensional system encompassing the
interactions of people and organizations across horizontal and vertical levels including those traditionally viewed
as external to the community. In this conception, community is characterized not just by people and organizations,
but by actions, context, and even consciousness (perceptions and cultural constructs) as well. Community is thus
variable and permeable, being shaped and re-shaped continuously by changing actions and relationships; what
community is can look very different depending on where one is sitting (p. 72). The author describes the
consequences of this re-conceptualization of community for community building practice: an emphasis on
community, rather than the community; a more complex model on which to base practice; a greater concern for
community-building activities; and a focus on mutual exchange rather than intervention. She then focuses more
specifically on the implications of this theoretical orientation for community building practice and links different
approaches (e.g. community development, community action) to the different dimensions of community.

COMMUNITY CAPACITY
Baker EA, Teaser-Polk C. Measuring community capacity: Where do we go from here? Health Education
and Behavior 1998;25(3):279-283.
Commenting on Goodman et al.'s (1998) work, Baker and Teaser-Polk set forth some of the issues that should be
considered as professionals and community members further attempt to develop measures of community capacity.
The authors address the implications of several key issues for measuring community capacity: the definition of the
community's boundaries, levels, and stages of development; the use of formal versus informal leaders; the barriers
and costs of participation; and community input in operationalizing the dimensions of community capacity.

18

v = An expanded summary is included in Part III.

v Easterling D, Gallagher K, Drisko J, Johnson T. Promoting health by building community capacity:


Evidence and Implications for Grantmakers. Denver, CO: The Colorado Trust, 1998.
As part of its larger mission of health promotion, The Colorado Trust funds initiatives which promote community
capacity building. This report makes a case for the effect of community capacity on a populations health status.
The Trust offers a definition of community capacity that is based on its experience with community-based programs
and encompasses five broad dimensions. The report provides evidence from the research literature linking elements
of community capacity to health outcomes. Finally, it identifies some general strategies for building community
capacity, including community development and community empowerment.
Available from The Colorado Trust, 1600 Sherman Street, Denver, CO 80203, (303) 837-1200.
Goodman RM, Speers MA, McLeroy K, Fawcett S, Kegler M, Parker E, Smith SR, Sterling TD, Wallerstein
N. Identifying and defining the dimensions of community capacity to provide a basis for measurement. Health
Education and Behavior 1998;25(3):258-278.
Goodman et al. present the work of a 1995 CDC symposium convened to delineate the elements of community
capacity, with an aim toward aiding in the development of methods to operationalize and measure the construct.
The paper distinguishes community capacity from the related concepts of community empowerment, competence,
and readiness; details ten dimensions of community capacity; and describes the relationships among these
dimensions. The authors discuss the use of the dimensions as a basis for discussion by community groups engaged
in capacity-building activities and as a first step in efforts to operationalize measures of capacity for community
assessment.

SOCIAL CAPITAL
Wilson PA. Building social capital: A learning agenda for the twenty-first century. Urban Studies 1997;
34:745-760.
While technically not the equivalent of community capacity, the concept of social capital consists of several related
components: inter-personal trust and commitment, civic engagement, and organizational capacity. Wilson uses
social capital as a unifying concept, providing the basis for a broad philosophy related to the importance of
community building for community development. Drawing from disciplines as diverse as business and history, she
addresses the creation of social capital and identifies tools and methods that can assist professionals in growing from
technical experts to facilitators. In the process, Wilson touches on social learning theory and its outgrowths,
participatory action research, organizational development, dynamic systems theory, and social mobilization all
built to some extent on the principles of non-horizontal power relationships, knowledge residing in the community,
and the transformative effect of social networks.

COMMUNITY COMPETENCE
Cottrell LS. The competent community. In Kaplan BJ, Wilson RN, Leighton AH (eds.), Further Explorations
in Social Psychiatry. New York: Basic Books, 1976, pp. 195-209.
Cottrell was one of the first to translate the idea of individual competence to the level of the community. In this
chapter, Cottrell describes how the concept of community competence emerged from early efforts at comprehensive,
community-based initiatives targeting juvenile delinquency and crime and sets forth the skills necessary for effective
collective problem solving. He then describes in detail eight conditions of community competence.

v = An expanded summary is included in Part III.

19

Denham A, Quinn SC, Gamble D. Community organizing for health promotion in the rural South: An
exploration of community competence. Family and Community Health 1998; 21:1-21.
This article describes the results of a qualitative study on the effects of community organizing on community
competence. The researchers interviewed 11 grass-roots community organizers using questions derived from Eng
and Parker (1994) and based on Cottrells (1976) eight dimensions of community competence, with the addition of
social support and leadership development. The interviews covered the participants perceptions of their
communities current levels of competence and the degree to which community competence had changed since they
began their community organizing efforts. The article reports in detail the results of the interviews for each
dimension assessed and suggests possible mechanisms whereby community organizing acts to increase capacity for
each dimension.
Eng E, Parker E. Measuring community competence in the Mississippi Delta: The interface between program
evaluation and empowerment. Health Education Quarterly 1994;21(2):199-220.
Eng and Parker report on the evaluation of a health promotion program that had at its roots a "community
empowerment agenda," or the strong belief in the necessity of community ownership and the obligation of the
program and its evaluation to promote community capacity building. This article focuses on one of three
components of the initiative, the use of lay community health advisors to mobilize residents' responses to
community problems and build community competence. The authors describe the different conceptualizations of
community competence found in Cottrell (1976), Iscoe (1974), and Hurley, Barbarin, and Mitchell (1981), noting
how these and other researchers have operationalized and measured community competence. The authors discuss
the major problems encountered in previous measurements of community competence. The action research
approach to developing the measures used in this study is described and the final survey items are included. The
methods and results of the instrument's field testing are detailed.
Gatz M, Barbarin O, Tyler F, Mitchell RE, Moran JA, Wirzbicki PJ, Crawford J, Engelman A.
Enhancement of individual and community competence: the older adult as community worker. American
Journal of Community Psychology 1982; 10:291-303.
This article details the results of a primary prevention program aimed at increasing the individual competence and
competence within the community of both residents and community health workers. The definition of community
competence was based on the work of Iscoe (1974) and Hurley, Barbarin, and Mitchell (1981), focusing on access to
and utilization of resources. The authors describe in detail the items used to measure community competence,
including ratings of community strengths and needs, knowledge about five community agencies, hypothetical
responses to community problems, and sources of information about community services. Pre- and postintervention scores are reported and the relationship between individual and community competence is described.
v Goeppinger J, Baglioni AJ. Community competence: A positive approach to needs assessment. American
Journal of Community Psychology 1985; 13:507-523.
Goeppinger and Baglioni report on a field test of survey items assessing community competence, based on
Cottrell's (1976) model, which were administered as part of a Community Residents Survey in five towns. Survey
items representing six of Cottrells eight dimensions of community competence were found to discriminate among
the communities. Factor analysis revealed four factors explaining 35 percent of the variance: democratic
participation style, crime, resource adequacy and use, and decision-making interactions. Although these factors do
not correspond exactly to Cottrell's model, the authors describe the overlap between the two conceptualizations. The
authors conclude by describing the problems entailed in the measurement of competence at the community level.
The survey items pertaining to community competence are attached as an appendix to the article.

20

v = An expanded summary is included in Part III.

Iscoe I. Community psychology and the competent community. American Psychologist 1974; 29:607-613.
Like Cottrell (1976), Iscoes work was central to the original development of the concept of community
competence. Iscoe describes community competence as relating to the development and use of resources. In this
article, he does not so much detail the conditions of community competence as make a case for the importance of
attention to it in developing and evaluating human services interventions.
v Knight EA, Johnson HH, Holbert D. Analysis of the competent community: Support for the community
organization role of the health educator. International Quarterly of Community Health Education 1990-91;
11:145-154.
The authors attempt to establish a link between community competence and population health status, defined by
county-level years of productive life lost (YPLL). To assess community competence, representatives of social
service agencies in 33 eastern North Carolina counties were surveyed about resource availability, citizen
participation, coordination of services, and frequency of networking activities in their counties. Comparisons of
rankings for community competence with rates of YPLL produced moderate support for an association between
community competence and health status. Further analysis supported this trend, but without statistically significant
results. The authors conclude that the competence of the provider/organizational community does impact population
health status, with its level of influence varying by the dimension of competence.

COMMUNITY EMPOWERMENT
Eisen A. Survey of neighborhood-based, comprehensive community empowerment initiatives. Health
Education Quarterly 1994; 21:235-252.
Reporting on a study of 17 initiatives, Eisen explores how program planners put community empowerment into
practice. She first elaborates on the meanings of community empowerment and two other concepts intrinsic to these
initiatives, comprehensiveness and neighborhood-as-base. The history of the initiatives is then outlined and their
target neighborhoods described in detail. Eisen addresses the participation of community members, the strategies
used by the initiatives to promote empowerment, the relationships between initiatives and their funders, and the
initiatives' outcomes. She closes by discussing potential criteria for evaluating the process and outcomes of
community empowerment initiatives and by posing several questions about the factors which influence the success
of initiatives.
Fawcett SB, Paine-Andrews A, Francisco VT, Schultz JA, Richter KP, Lewis RK, Williams EL, Harris KJ,
Berkley JY, Fisher JL, Lopez CM. Using empowerment theory in collaborative partnerships for community
health and development. American Journal of Community Psychology 1995; 23:677-697.
The authors present a model of community empowerment in which relationships among persons, groups, and
environmental context influence the outcomes and capacity for empowerment of community partnerships. Their
framework for collaborative empowerment consists of five components: 1) collaborative planning; 2) community
action; 3) community change; 4) community capacity and outcomes; and 5) adaptation, renewal, and
institutionalization. Much of the article is devoted to citing enabling activities for boosting community
empowerment and describing applications of the model in community coalitions.
Israel BA, Checkoway B, Schulz A, Zimmerman M. Health education and community empowerment:
Conceptualizing and measuring perceptions of individual, organizational, and community control. Health
Education Quarterly 1994; 21:149-170.
This article aims to clarify the definition of empowerment across levels and provide a basis for measurement of
empowerment at the community level. The authors first outline the definition of community on which their work is

v = An expanded summary is included in Part III.

21

based. The meanings of empowerment at the individual, organizational, and community levels are explored, and
relationships among the three levels are noted. The conceptual link between community empowerment and health
status is examined in detail. The authors then report on their development of an instrument for the measurement of
multi-level community empowerment. Twelve questions incorporated into a larger survey of residents of the Detroit
area assessed individuals' perceptions of both their own power within the community and the power of the
community and its composite institutions within the larger society. Three subscales, corresponding to individual,
organization, and community-level control, were formed based on factor analysis, and reliability statistics are
reported. Important limitations are noted, including the scale's measurement of perceived, rather than actual, control
and its reliance on individual-level, rather than collective, data. Finally, the authors provide guidance for integrating
a community empowerment perspective into health education practice and research.

COMMUNITY READINESS
Oetting ER, Donnermeyer JF, Plested BA, Edwards RW, Kelly K, Beauvais F. Assessing community readiness for
prevention. The International Journal of the Addictions 1995; 30:659-683.
The authors describe a nine-stage model of community readiness and the development of five scales for use in
measuring key aspects of readiness. Building on Prochaska et al.s (1992) stages of individual psychological
readiness for change, Rogers (1983) stages of adoption of innovations, and the social action process of community
development, this model delineates progressive collective orientations toward specific community problems: 1)
community tolerance; 2) denial; 3) vague awareness; 4) preplanning; 5) preparation; 6) initiation; 7)
institutionalization; 8) confirmation/expansion; and 9) professionalization. The five rating scales, developed for use
with key informant interviews, measure level of readiness along five dimensions: prevention programming,
knowledge about prevention programs, leadership and community involvement, knowledge about the problem, and
funding for prevention. The full scales are included in the article and may be reproduced for use in research without
permission of the authors.
v Peyrot M, Smith HL. Community readiness for substance abuse prevention: Toward a model of collective action.
Research in Community Sociology 1998; 8:65-91.
Peyrot and Smith set forth a model of community-level readiness to engage in collective action that links community
composition (aggregate residential characteristics), community context (drug and economic problems, neighborhood
resources), and community organization (informal and formal neighborhood activities) to an independent measure of
community readiness. Using structured key informant interviews and census data, the authors assessed the
predictors of residents willingness to undertake prevention activities and the number of activities they might
initiate. Community composition explained eight percent of the variance in community readiness, community
context explained seven percent of the variance not explained by community composition, and community
organization explained six percent of the variance unaccounted for by the other two indices. The authors present
the variables from each index that showed significant effects on community readiness.

COLLABORATIVE PROBLEM SOLVING


Bailey D, Koney KM. Community-based consortia: One model for creation and development. Journal of
Community Practice 1995; 2:21-42.
The authors differentiate consortia from coalitions by their membership, with coalitions consisting of organizations,
while consortia include individual members. The authors review the literature on organizational development and
interorganizational collaboratives and coalitions, finding several common factors: leadership, membership, linkages

22

v = An expanded summary is included in Part III.

with external entities, mission, strategy, tasks, structure, and systems. Based on the literature and on experience
with a local, community-based consortium, the authors outline four phases of consortium development: assembling,
ordering, performing, and ending. The tasks and issues related to each phase are described, and transitional
themes related to moving from one phase to the next are noted. The framework described in this article is
particularly relevant for categorical programs, given that it draws on the experience of a single-issue consortium
mandated by a funder, and resolving that issue leads to the final phase, ending.
Bazzoli GJ, Stein R, Alexander JA, Conrad DA, Sofaer S, Shortell SM. Public-private collaboration in health
and human service delivery: Evidence from community partnerships. The Milbank Quarterly 1997; 75:533561.
Bazzoli and colleagues explore the types and degrees of collaborative activity among public-private coalitions
working with service delivery networks and examine the factors influencing that activity. The authors summarize
the multi-disciplinary literature pertaining to community collaboration and propose a conceptual framework linking
environmental context, the structure of the partnership, and the purposes of collaborative action. Based on this
framework, the researchers used a survey of geographically diverse partnerships and other sources of data to
produce a characterization of collaborative activities focused on three service factors: preventive health and
educational services, usually provided collaboratively; traditional acute and chronic care services, usually provided
individually; and behavioral health services, provided with partial collaboration. Specific activities of the
partnerships fell into four categories: reports to the community; cost-containment; community health needs
assessment; and coordination of services. Factors associated with the probability and extent of collaboration are
presented for each category of collaborative service and collaborative action. Lastly, observations about the
successes and stumbling blocks of these partnerships are noted.
CDC/ATSDR Committee on Community Engagement. Principles of Community Engagement. Public Health
Practice Program Office, CDC, 1997.
This comprehensive look at community engagement, a community-based process of collaborative problem solving
and health promotion, is geared toward professionals and community leaders interested in forming partnerships with
community members and other organizations. Part one of the document explores the concept of community and
other related theories and concepts: social ecology, cultural influences on health behaviors, community
participation, community empowerment, capacity building, coalitions, benefits and costs of community
participation, community organization, and stages of innovation. It concludes with a discussion of factors
influencing the success of community engagement activities. Part two of the document describes nine principles
meant to guide the development and implementation of community engagement activities. Finally, eight successful
community collaborations are described as examples of the principles in action.
Available over the internet at www.cdc.gov/phppo/pce/index.htm.
Clark MN, Baker EA, Chawla A, Maru M. Sustaining collaborative problem solving: Strategies from a study
in six Asian countries. Health Education Research 1993; 8:385-402.
Results are reported from seven case studies designed to identify strategies used to sustain collaborative activities
and produce the desired outcomes. Beliefs intrinsic to the collaborative process and internal and external barriers
which formed the backdrop for collaborative activities are described. Three types of strategies cooperative,
maintenance, and pressure were planned for or emerged from the activities of collaborative projects. The purposes
of each type of strategy and the specific tasks performed for each are outlined and demonstrated with examples from
the case studies.
Jones B, Silva J. Problem solving, community building, and systems interaction: An integrated practice
model for community development. Journal of the Community Development Society 1991; 22:1-21.

v = An expanded summary is included in Part III.

23

Jones and Silva propose a model of community development encompassing three distinct but interrelated processes:
problem solving, community building, and systems interaction. The task-oriented problem solving process follows a
course characterized by several stages from problem identification through implementation and evaluation.
Community building also proceeds through a series of steps, but is aimed generally at creating ownership and
networks for a community development organization. Finally, systems interaction refers to the relationships among
an agent of change, the segment of the community affected, and the target of change, collectively making up an
action system which provides direction for the intervention. A case study illustrates the model in practice.
Kreuter M, Lezin N. Are consortia/collaboratives effective in changing health status and health systems? A
critical review of the literature. Health Resources and Services Administration, January 9, 1998.
Kreuter and Lezin first outline the differences between consortia, collaboratives, and coalitions and describe some of
the reasons behind their formation. They then detail some of the few examples of collaboratives/coalitions showing
demonstrable, positive effects on health status and health systems change. The authors outline the literature on
stages of coalition development and corresponding factors related to effectiveness. They note the problems inherent
in many evaluation strategies that may preclude demonstration of coalitions impact and describe three tools that
may be useful for evaluating the process and outcomes of coalitions/collaboratives: Formative Evaluation,
Consultation, and Systems Technique (FORECAST); Framework for Evaluating and Improving Community
Partnerships to Prevent CVD; and Prevention Plus III. The paper concludes with recommendations for improving
technical assistance to coalitions and shifting the thinking about the purposes of collaborative work to encompass
more intermediate outcomes.
McCoy-Thompson M. The Healthy Start Initiative: A Community-Driven Approach to Infant Mortality
Reduction -- Volume I. Consortia Development. Arlington, VA: National Center for Education in Maternal
and Child Health, 1994.
This document addresses the consortia required by the Healthy Start program to promote community ownership and
guide the development of context-appropriate activities and services. The introduction includes a brief look at types
of collective activities and five general factors influencing their development: climate, people, resources, processes,
and policies. The document then addresses each factor specifically in relationship to the Healthy Start consortia.
The following chapter details challenges that emerged in the development of the consortia: defining the consortia
structure and process, involving community members, addressing race and class issues, and promoting economic
development. Finally, the document offers recommendations for the future of the consortia.
Available from the National Maternal and Child Health Clearinghouse, 8201 Greensboro Drive, Suite 600,
McLean, Virginia 22102, (703) 821-8955 ext. 254 or 265, fax (703) 821-2098.

COMMUNITY COALITIONS
Butterfoss FD, Goodman R, Wandersman A. Community coalitions for prevention and health promotion.
Health Education Research 1993; 8:315-330.
Butterfoss, Goodman, and Wandersman synthesize the literature on the use and characteristics of coalitions in order
to draw attention to the areas of research still lacking. They devote considerable space to exploring the different
definitions and configurations of coalitions. They then describe the stages of coalition development along with the
factors influencing effectiveness at each stage. The authors point to the paucity of research on factors affecting the
success of coalitions in meeting their original goals and objectives and highlight the need for development of
methods to measure the long-term, systems-level impacts of coalitions. Finally, they identify several areas of
research regarding coalition characteristics and functioning that would elucidate the principles guiding effective
coalition use.

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v = An expanded summary is included in Part III.

Florin P, Mitchell R, Stevenson J. Identifying training and technical assistance needs in community
coalitions: A developmental approach. Health Education Research 1993; 8:417-432.
Responding to communities' need for technical assistance in implementing coalitions and the general absence of
empirical data guiding approaches to providing this assistance, the authors set forth a model of the stages of
coalition development accompanied by the tasks required by each stage. This model formed the basis for a process
and implementation evaluation of 35 local substance abuse prevention coalitions in the early stages of development.
Data sources and data collection methods related specifically to training and technical assistance needs are
described. Characterizations of the coalitions at each early stage of development are detailed along with their
implications for technical assistance and training. The authors conclude by recommending the use of regional
intermediary organizations and "enabling systems" for supporting community coalitions.
Francisco VT, Fawcett SB, Wolff TJ, Foster DL. Toward a research-based typology of health and human service
coalitions. Amherst, MA: AHEC/Community Partners, 1996.
This document describes the use of a coalition evaluation system (see also Francisco, Paine, & Fawcett, 1993,
below) in developing a typology of community coalitions. Case studies were conducted of five coalitions using both
qualitative and quantitative indicators of coalition context, process, outputs, and outcomes to reflect the development
of coalition functioning over time. Based on these studies, the authors produce a general classification of coalitions
as 1) planning coalitions, 2) support networks for agencies, 3) service providers to the community, 4) catalysts for
change, or 5) hybrid coalitions. The document includes descriptions of the coalition types, a framework relating the
typology to the products of the coalition process, and descriptions of the measurement instruments used. These
instruments included a monitoring system tracking coalition activities and outputs, a constituent survey on coalition
functioning, and key informant interviews about critical events in the coalitions history.
Available from AHEC/Community Partners, 24 South Prospect Street, Amherst, MA 01002, (413) 253-4282, fax
(413) 253-7131, www.ahecpartners.org.
Francisco VT, Paine AL, Fawcett SB. A methodology for monitoring and evaluating community health
coalitions. Health Education Research 1993; 8:403-416.
A method of monitoring and evaluating community coalitions that promotes the participation of coalition members
is described. The method uses event logs and semi-structured interviews to assess eight indicators of coalition
process and outcomes: 1) number of members, 2) planning products, 3) financial resources, 4) dollars obtained, 5)
volunteer recruitment, 6) service provision, 7) community actions, and 8) community changes. Definitions of
variables, descriptions of data collection methods, and methods of analysis are presented, and the evaluations of two
community coalitions are used as examples. Finally, the authors suggest several other methodologies that can
complement the one described here for a comprehensive evaluation.
v Goodman RM, Wandersman A, Chinman M, Imm P, Morrissey E. An ecological assessment of community
based interventions for prevention and health promotion: Approaches to measuring community coalitions.
American Journal of Community Psychology 1996; 24:33-61.
An ecological approach to evaluating community coalitions is conceived as one that encompasses multiple social
levels, multiple stages of community or coalition readiness, and multiple sources of data. The article first
synthesizes the literature on these conditions and then describes the evaluation of a local substance abuse prevention
coalition. Specific methods and instruments appropriate to each stage of coalition development are described. The
authors note the opportunities for capacity building and ongoing improvement of coalitions that are made possible
by the interaction of coalition members with the evaluation.

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25

Kegler MC, Steckler A, McLeroy K, Malek SH. Factors that contribute to effective community health
promotion coalitions: A study of 10 Project ASSIST coalitions in North Carolina. Health Education and
Behavior 1998; 25:338-353.
This article examines the effect of coalition factors (operational processes and structural characteristics) and
community capacity on coalition effectiveness in local tobacco control coalitions. A detailed conceptual framework
is provided, as are full descriptions of each factor and its scoring. A survey instrument measuring coalition and
community factors and two outcomes, member satisfaction and member participation, is notable for using a truly
community-level, albeit limited, measure of community capacity, defined by the history of the community in
tobacco control activities. Methods of assessing other outcomes are also described, including instruments developed
to facilitate systematic review of coalitions' action plans and implementation of planned activities. The remainder of
the paper is devoted to reporting the relationships between coalition and community factors and coalition
effectiveness.
Kumpfer KL, Turner C, Hopkins R, Librett J. Leadership and team effectiveness in community coalitions for
the prevention of alcohol and other drug abuse. Health Education Research 1993; 8:359-374.
This article aims to fill partially the gap in empirical, as opposed to case study, evidence about the factors
influencing coalition effectiveness. Specifically, it reports the results of an exploratory test of a theoretical model
linking leadership style, member satisfaction, and "team" (i.e., subcommittee) self-efficacy to team effectiveness,
using data from a substance abuse prevention coalition that merged a top-down, professionally-driven approach with
a bottom-up, community-driven approach. Brief reviews of the literature on sense of community, coalition
leadership, empowerment, and team self-efficacy are provided.
McLeroy KR, Kegler M, Steckler A, Burdine JM, Wisotzky M. Community coalitions for health promotion:
Summary and further reflections. Health Education Research 1994; 9:1-11.
This paper summarizes the journals special issue on the state of knowledge about community coalitions, which
presented empirically-based articles on coalition development, operation, and evaluation. The authors present a
simple diagram of coalition development based on key assumptions found in the coalition literature, and they
synthesize the theme issue's contributions to the understanding of a variety of factors impacting coalition success.
Finally, they provide lengthy discussions of four issues for which questions remain in the literature: the nature and
lifespan of coalitions, the success and outcomes of coalitions, the ways in which contextual factors influence the
development and effectiveness of coalitions, and the ways in which factors internal to the coalition impact their
development and success.
McMillan B, Florin P, Stevenson J, Kerman B, Mitchell RE. Empowerment praxis in community coalitions.
American Journal of Community Psychology 1995; 23:699-727.
In a study of 35 community coalitions for substance abuse prevention, McMillan et al. assess the effects of coalition
characteristics on the psychological empowerment of coalition members, the collective empowerment of members,
and the coalitions organizational empowerment. Following an exploration of the conceptual basis for these
empowerment constructs, the authors describe in depth a survey and interview instruments assessing psychological
and organizational empowerment (the dependent variables) and perceptions of community problems, sense of
community, coalition participation, and organizational climate (independent variables). The results lend support to a
strong link between organizational context and psychological empowerment, an effect of both participation and
organizational climate on the collective empowerment of coalition members, and a relationship between an
organizations ability to empower its members and its success in influencing its environment.

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v = An expanded summary is included in Part III.

Parker EA, Eng E, Laraia B, Ammerman A, Dodds J, Margolis L, Cross A. Coalition building for
prevention: Lessons learned from the North Carolina Community-Based Public Health Initiative. Journal of
Public Health Management Practice 1998; 4:25-36.
The North Carolina Community-Based Public Health Initiative (NC CBPHI) was a consortium of four county-level
coalitions which took a broad-based approach to improving health, health systems, and community input in minority
communities, rather than the categorical approach of many of the coalitions described in the literature. The authors
report evaluation results related to coalition functioning and outcomes and compare their findings to those of other
coalition evaluations. The multiple case study participatory evaluation design employed both quantitative and
qualitative methods.
The framework guiding the evaluation, Alter and Hage's stages and levels of
interorganizational networks (1992), is described and compared with the stages of coalition development advanced
by Butterfoss et al. (1993) and Florin et al. (1993). Six factors emerged from the evaluation as having had an
impact on the functioning and success of the coalitions, and these factors are discussed in detail. The authors
discuss the advantages of a noncategorical approach and the benefits of working with community-based
organizations as equal partners.
v Wandersman A, Goodman RM, Butterfoss FD. Understanding coalitions and how they operate: An open
systems organizational framework. In Minkler M (ed.). Community Organizing and Community Building for
Health. New Brunswick, NJ: Rutgers University Press, 1997, pp. 261-277.
Katz and Kahns (1978) open systems model of organizational operation and interaction with the environment is
used to frame a theory of coalitions as mechanisms for processing resources obtained from the environment into
products that affect that environment (p. 264). The framework treats coalitions as organizations and centers on four
elements: 1) resource acquisition (internal and external resources), 2) maintenance subsystem (organizational
structure and functioning), 3) production subsystem (goal-oriented and maintenance activities), and 4) external goal
attainment.
Wandersman A, Valois R, Ochs L, de la Cruz D, Adkins E, Goodman RM. Toward a social ecology of
community coalitions. American Journal of Health Promotion 1996; 10:299-307.
Community coalitions and other collaborative networks have emerged as promising vehicles for social ecological
interventions, which aim "multiple interventions at multiple levels." The definitions and advantages of coalitions
are presented, and three stages of coalition development are briefly described. Contextual factors (economic,
demographic, political, and structural) influencing coalition functioning are noted and illustrated with examples
from the field. The development of a survey instrument using key community leaders to measure awareness,
concern, and change across multiple levels of the community is described. Lastly, the authors call for the
development of a comprehensive framework for the interaction of contextual factors and coalition functioning.

v = An expanded summary is included in Part III.

27

COMMUNITY DIAGNOSIS/ASSESSMENT/MAPPING
Aronson RE, O'Campo PJ, Peak GL. The use of neighborhood mapping in community evaluation: The
experience of the Baltimore City Healthy Start Evaluation. Working Paper, Johns Hopkins Population
Center, Manuscript No. WP96-07, 1996.
This report from the Baltimore Healthy Start program evaluation provides an example of the use of mapping in
assessing the community characteristics that may influence the outcomes or implementation of programs. The
evaluation used mapping as part of a participatory (community involvement) community diagnosis to determine
areas of greatest need, the "diversity of risk" within small high-risk areas, and changes in neighborhood
characteristics over the course of the intervention. Examples of the maps produced in this project are included.
Available from the Hopkins Population Center, 615 North Wolfe Street, Baltimore, MD 21205, (410) 614-5222, fax
(410) 614-7288. The full text is also available over the internet, at http://popctr.jhsph.edu/Papers/wp96-07.htm.
Eng E, Blanchard L. Action-oriented community diagnosis: A health education tool. International Quarterly
of Community Health Education 1990-91; 11:93-110.
Community diagnosis is offered as one answer to the limitations of traditional needs assessments in program
planning. Community diagnosis goes beyond an assessment of needs to take into account community characteristics
and social dynamics that affect the communitys capacity for collective action, an essential condition for
interventions that must survive independently of an external agency. In action-oriented community diagnosis,
data collection and analysis serve also as a means of community organizing and building community problemsolving capacity. Detailed directions for carrying out this type of assessment are provided. A lengthy case example
illustrates the process.
Haglund B, Weisbrod RR, Bracht N. Assessing the community: Its service needs, leadership, and readiness.
In Bracht N (ed.). Heath Promotion at the Community Level. Newbury Park, CA: Sage Publications, 1990, pp.
91-108.
This chapter provides a broad overview of the meaning, uses, and components of community analysis, also called
community diagnosis, mapping, or needs assessment. It distinguishes community diagnosis from the community
development or community organizing approach to assessment, although they are clearly interrelated. The chapter
touches on objectives, research questions, quantitative and qualitative methods, and data sources for use in
community analysis. The authors suggest that a crucial component of community analysis is an assessment of the
community's readiness for change, explaining readiness with reference to Cottrell's (1976) conceptualization of
community competence. An appendix lists key contacts and agencies to include in a community assessment and
suggests data to be gathered from each.
vMcKnight JL, Kretzmann JP. Mapping Community Capacity. Evanston, IL: Institute for Policy Research,
Northwestern University, 1990.
McKnight and Kretzmann propose a capacity-oriented approach to community building beginning with the creation
of a Neighborhood Assets Map. Offered as an alternative to the negative focus of traditional needs assessment
surveys, the assets map lays the groundwork for community development efforts led by community residents. The
map is composed of primary building blocks, for neighborhood assets and capacities that are controlled by
residents, secondary building blocks, for assets and capacities that are located in the neighborhood but controlled
by outsiders, and potential building blocks, for assets and capacities that are located outside of the neighborhood
and controlled by outsiders.
Available over the internet at www.nwu.edu/IPR/publications/mcc.html.

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MEASUREMENT AND EVALUATION ISSUES RELATED TO "COMMUNITY" CONSTRUCTS


v The Aspen Institute, Rural Economic Policy Program. Measuring community capacity building: A
workbook-in-progress for rural communities (version 3-96). The Aspen Institute, 1996.
Although targeted to rural communities, this publication is applicable to any community interested in documenting
its capacity-building efforts. The definition of capacity is based on commitment, resources, and skills. The
guidebook leads the user through an explicit, easy-to-follow process for assessing eight outcomes of community
capacity building. Aside from brief explanations of key terms and simple steps for putting the workbook to use, the
bulk of the document is divided into sections detailing each outcome. The outcomes are broken down into
indicators and subindicators and then linked to specific measures that can be chosen from based on the interests of
the community.
Available from The Aspen Institute Publications Office, P.O. Box 222, Queenstown, MD 21658, fax (410) 827-9174.
Bruner C. Defining the prize: From Agreed-Upon Outcomes To Results-Based Accountability. Volume 2:
Community Collaboration Guidebook Series. National Center for Service Integration Clearinghouse, 1998.
This guidebook makes a case for the use of outcome indicators to guide the development of initiatives and to
increase their accountability. It opens with definitions of outcomes, indicators, and performance measures and
provides guidance for selecting outcomes and indicators. It emphasizes the use of outcomes and indicators in the
development of strategic plans, with community assessments pinpointing strengths in addition to deficiencies.
Issues related to using outcomes as the basis of systems of accountability are addressed. Finally, specific steps in
implementing outcomes-based accountability are proposed. Appendices provide definitions of key terms; examples
of outcomes and indicators related to child and family health; annotated citations for resources on using indicators of
child well-being; a description of a collaborative model of reform; a description of McKnight and Kretzmanns
(1990) tool for mapping community capacity; questions for use in evaluating comprehensive service reform
initiatives; an annotated bibliography on assessing the benefits of comprehensive community reform efforts; and a
discussion of measuring system accountability.
Available from Child and Family Policy Center, 218 Sixth Avenue, Suite 1021, Des Moines, IA 50309-4006, (515)
280-9027, fax (515) 244-8997.
Connell JP, Kubisch AC, Schorr LB, Weiss CH. New Approaches to Evaluating Community Initiatives:
Concepts, Methods, and Contexts. Roundtable on Comprehensive Community Initiatives for Children and
Families. New York, NY: The Aspen Institute, 1995.
This book addresses a wide array of issues concerning the evaluation of comprehensive community initiatives,
which aim to bolster and coordinate services across a variety of domains (e.g. housing, health care, economic
development) while promoting the empowerment of the community. The introductory chapter touches on some of
the difficulties encountered in evaluating these types of initiatives. The next chapter outlines the history of
evaluation science as applied to comprehensive community initiatives. It uses examples of actual evaluations to
illustrate past functions of or approaches to evaluation social learning, impact assessment, policy learning, and
contextual analysis and notes some lessons for current evaluation efforts. The following chapter proposes an
alternative to the standard outcomes-based evaluation model, using the theories of change underlying initiatives as a
basis. Next, the use of conceptual frameworks based on existing social science research to guide the design and
evaluation of initiatives is explored. Methodological issues encountered in community-level evaluation are
described in the subsequent chapter: linking outcomes to specific initiatives, selecting appropriate units of analysis,
defining community boundaries, and selecting outcome measures. The chapter ends with research questions for use

Many of the resources in preceding sections also contain measurement-related issues and instruments. Those
included in this section focus principally on measurement/evaluation tools and perspectives.

v = An expanded summary is included in Part III.

29

in evaluating community-wide initiatives and steps to be taken in improving evaluation methodology. The
following chapter addresses the use of indicators of child well-being, touching on the differences between outcome
indicators and contextual indicators as well as some methodological concerns related to community-level indicators.
Finally, the role of the evaluator, the purpose of the evaluation, and current strategies of evaluation are explored.
Available from The Aspen Institute, 345 East 46th Street, Suite 700, New York, NY 10017-3562, (212) 697-1261, fax
(212) 697-2258.
Coombe CM. Using empowerment evaluation in community organizing and community-based health
initiatives. In Minkler M (ed.). Community Organizing and Community Building for Health. New Brunswick,
NJ: Rutgers University Press, 1997, pp. 291-307.
Coombe describes an evaluation process designed as much to build capacity as to assess an initiative. He argues that
traditional evaluation methods often undermine the objectives of community-building initiatives, while
empowerment evaluation supports community ownership, organizational development, and institutionalization of
programs through democratic and participatory means. Empowerment evaluation is explicitly designed to increase
resources and skills across multiple levels while linking assessment to action. Coombe outlines a six-step
empowerment evaluation process: 1) assessing community concerns and resources, 2) setting a mission and
objectives, 3) developing strategies and action plans, 4) monitoring process and outcomes, 5) communicating
information to relevant audiences, and 6) promoting adaptation and institutionalization all undertaken with
community members as key players and outside evaluators playing a supportive role.
Dixon J. Community stories and indicators for evaluating community development. Community Development
Journal 1995; 30:327-336.
Dixon advocates for the use of community self-assessment to enhance the validity of evaluations of community
development programs. She proposes the use of the Community Story as a formative evaluation tool, describing
the developmental process in community-driven change activities for use in continuous monitoring and
improvement. For the evaluation of externally-led activities which traditionally focus on accountability and tangible
outcomes, Dixon describes assets-based indicators which correspond to the underlying values of specific community
development outcomes.

30

v = An expanded summary is included in Part III.

Dixon J, Sindall C. Applying logics of change to the evaluation of community development in health
promotion. Health Promotion International 1994; 9:297-309.
Dixon and Sindall take on the differences between externally and internally generated change processes and
traditional perspectives on community ownership, maintaining that the trend toward using community-controlled
process evaluations alongside professionally-driven outcome evaluations bypasses some important epistemological
issues in the evaluation of community development programs. The authors describe three types of community
change processes: community-led change, community programs (partnerships between external agencies and
community agencies), and community interventions (implemented in a community by an external agency).
Underlying these logics of change are logics of rationality, which shape the values and assumptions of the
community change approaches. The authors argue that the epistemological basis for each community change
process should frame the evaluation approach, and they outline the evaluation approaches appropriate for each type
of community change process. They note some of the problems inherent in current approaches to health standards
and indicators, including the use of indicators that are individual-level rather than community-level and problemoriented rather than strengths-oriented. Finally, they propose the use of community-controlled ethnography to
develop a community story as part of a bottom-up evaluation approach.
v Fetterman DM, Kaftarian SJ, Wandersman A, eds. Empowerment Evaluation: Knowledge and Tools for
Self-Assessment and Accountability. Thousand Oaks, CA: Sage Publications, 1996.
Empowerment evaluation fuses quantitative and qualitative methods in a process of program self-evaluation and
improvement.
The general steps involved include: 1) taking stock, or assessment of program
activities/components, strengths, and weaknesses; 2) setting goals that are linked directly to both program activities
and outcomes; 3) developing strategies to reach objectives; and 4) documenting progress toward goals. Several
chapters contribute easily adaptable frameworks based on the general empowerment evaluation model. What
differentiates this method from other assessment processes is its basis in empowerment theory and its focus on selfdetermination; the role of the professional evaluator in empowerment evaluation is to train, facilitate, even to
advocate, all with the goal of fostering self-sufficiency of the program in evaluation and monitoring. Many
examples are presented of empowerment evaluation in practice, but with a focus on conceptual and methodological
issues that are relevant to program types other than those presented as well. Part five of the book includes several
chapters that provide evaluation instruments and techniques useful for both professional and nonprofessional
evaluators.
Goodman RM, McLeroy KR, Steckler AB, Hoyle RH. Development of level of institutionalization scales for
health promotion programs. Health Education Quarterly 1993; 20:161-178.
The authors present preliminary work on an instrument to measure the extent to which a program has become
embedded within its host organization, or level of institutionalization. Borrowing from Yin's (1979) framework of
passages and cycles and Katz and Kahn's (1978) conceptualization of organizational subsystems, Goodman et al.
developed a matrix for classifying the level of institutionalization of a program based on both its extensiveness and
intensiveness of institutionalization across the subsystems of an organization. Results supporting the construct
validity of the scales are presented.
Goodman RM, Steckler A. A model for the institutionalization of health promotion programs. Family and
Community Health 1989; 11:63-78.
Goodman and Steckler describe a model of program institutionalization, the final stage in a process of organizational
diffusion of innovations. Case studies of the passages and cycles achieved by ten health promotion programs
revealed six factors related to program institutionalization: standard operating routines; six sequential critical
precursor conditions moving from problem awareness to perceived benefit of a program; convergence of support
leading to coalition-building; activities of a program advocate; mutual adaptation of program and organizational
norms; and organizational fit.

v = An expanded summary is included in Part III.

31

Hancock L, Sanson-Fisher RW, Redman S, Burton R, Burton L, Butler J, Girgis A, Gibberd R, Hensley M,
McClintock A, Reid A, Schofield M, Tripodi T, Walsh R. Community action for health promotion: A review
of methods and outcomes 1990-1995. American Journal of Preventive Medicine 1997; 13:229-239.
The authors assess the utility of the community action approach to health promotion through a review of the
evaluation literature. They define community action and discuss the advantages and disadvantages of this approach
to health promotion. They present several criteria for scientific evaluation of community action interventions and
note some common barriers to carrying out rigorous evaluation. A review of the literature on cancer and
cardiovascular disease prevention programs revealed 13 evaluation studies. However, none of the studies met all of
the criteria for scientifically rigorous evaluation, and those that met most of the criteria failed to show a great impact
on health risk factors.
Institute of Health Promotion Research. Guidelines And Categories For Classifying Participatory Research
Projects In Health Promotion. University of British Columbia, Canada, 1999.
The Institute of Health Promotion Research (IHPR), working in conjunction with experts in the field in Canada,
developed a set of criteria characterizing participatory research projects projects undertaken in collaboration with
the study population and directed toward community change. Presented as a checklist with scaled answers, these
guidelines are meant to be used both by researchers planning participatory projects and by funders assessing the
degree to which projects adhere to participatory principles. Six general domains are assessed by specific questions
or indicators, with responses scaled along a continuum: Participants and the nature of their involvement, Origin of
the research question, Purpose of the research, Process and contextomethodological implications, Opportunities to
address the issue of interest, and Nature of the research outcomes. The full set of guidelines is available for
downloading on the IHPRs website.
Available over the internet at www.ihpr.ubc.ca/guidelines.html.
Institute of Medicine. Improving Health in the Community: A Role for Performance Monitoring. Washington,
DC: National Academy Press, 1997.
This book addresses a community-oriented, collaborative process of health assessment and improvement that
includes attention to the accountability of specific community entities. It advocates the use of a community health
improvement process (CHIP) with complementary cycles of problem identification/prioritization and
analysis/implementation. The books chapters cover the field model of the determinants of health and its
implications for communities; community-level accountability for performance and concepts related to the
community change process; the CHIP framework, including the community and coalition capacities necessary for
success of the process; selecting indicators for community health profiles and other measurement issues; and
guidelines for developing and implementing the CHIP framework. Appendices include prototype performance
indicator sets and discussions of methodological issues involved in using performance indicators, issues involved in
the use of performance monitoring in community health improvement activities, and a conceptual framework for
community health improvement with examples of communities experiences.
Available from National Academy Press, Box 285, 2101 Constitution Avenue NW, Washington, DC 20055, (800)
624-6242 or (202) 334-3313, www.nap.edu.

32

v = An expanded summary is included in Part III.

Scheirer MA. Are the level of institutionalization scales ready for "prime time?" A commentary on
"Development of level of institutionalization (LoIn) scales for health promotion programs. Health Education
Quarterly 1993; 20:179-183.
Scheirer comments on Goodman et al.'s (1993) Level of Institutionalization Scales, questioning how well the scale
items represent the concepts they are supposed to measure, whether the eight scales included truly measure separate
dimensions, and whether choice of respondent may influence the results. She concludes that the scales are not
sufficiently well developed for use in general research or program assessments, but that research furthering the
developing of the instrument is needed. The response of Goodman et al. to the critique is included.

v = An expanded summary is included in Part III.

33

Expanded Summaries
Of
Selected Resources

Howell EM, Devaney B, McCormick M, Raykovich KT. Community involvement in the Healthy Start
Program. Journal of Health Politics, Policy and Law 1998; 23:291-317.
Overview:
Two strategies for involving the community in Healthy Start infant mortality prevention programs
are described and the implications of each are assessed.
Concepts:
The authors briefly describe the history of community involvement in health programs, noting that
the evidence for the effectiveness of community involvement activities is weak, due in part to inadequate evaluation
methods and inconsistent conceptualization of community involvement. Nevertheless, community participation in
the Healthy Start program was seen as essential to addressing community needs and was incorporated into the
program through consortia of community members and providers. As with the guidelines for the program as a
whole, the specifications for developing the consortia were left broad.
The evaluation revealed two main strategies, usually used in concert, to involve the community in Healthy Start
consortia. The service consortium model primarily involves providers and other professionals and is oriented
toward forming networks to improve the coordination of and access to services. The community empowerment
model solicits participation through neighborhood-based groups, contracts with community-based organizations,
employs residents as project staff, and generates economic development initiatives. By targeting poverty-related
issues, the empowerment model attempts to move beyond traditional health services interventions to address the
more underlying causes of infant mortality. However, evaluation of the community empowerment model is made
difficult by the indirect links between strategies and these more distal health outcomes.
Measurement: As part of the national evaluation of Healthy Start, site visits were conducted at each of the
original 15 projects, including observations of consortium meetings and review of prior meeting minutes and
attendance lists. Interviews with project staff and consortia participants covered project structure, community
context, the consortium, public information, outreach and case management, and service delivery.
The authors highlight several findings:
Sustained efforts at community participation require a clear understanding of the purposes of involving the
community.
Projects were able to achieve only token representation of community residents in their central consortia,
although community participation in local, neighborhood-based consortia was greater.
Program goals must converge with the goals of providers and residents for involvement strategies to be
effective. Relatedly, community participants may steer program goals toward issues unrelated or tangential to
the programs mission.
Community involvement is labor-intensive and may slow program development.
Involving community residents may be more difficult than involving providers.
Use:
Howell et al. provide useful information about the advantages and disadvantages of two very different
approaches to maintaining a community orientation.

37

Goeppinger J, Baglioni AJ. Community competence: A positive approach to needs assessment. American
Journal of Community Psychology 1985; 13:507-523.
Overview:
Using a model of communities based on strengths rather than deficits, Goeppinger and Baglioni
propose that interventions target the communitys ability to utilize resources to address problems. This article
demonstrates the use of a survey of community residents to assess the communitys general capacity for problem
solving.
Concepts:
The authors base their assessment on Cottrells (1976) model of community competence, refining
it to allow for operationalizing and measuring the construct. They present other authors definitions of community
competence, suggesting that a common thread is the importance of congruent perceptions among community
sectors for problem-solving. Goeppinger and Baglioni stress that individual competence is necessary but not
sufficient for community competence, noting that the two constructs are frequently confused.
Cottrells specification of eight dimensions of community competence provided a framework for the development of
survey items:

Commitment and a feeling of connection to the community;

Self-other awareness and clarity of situational definitions, or accurate perceptions of divergent viewpoints;

Articulateness of needs and perspectives;

Effective communication based on common meanings and taking the view of the other;

Participation of residents in achieving community goals;

Conflict containment and accommodation in an open forum;

Management of relations with the larger society, involving the mobilization of external resources; and

Machinery for facilitating participant interaction and decision-making, including formalized, but flexible,
rules and procedures.
Measurement: A survey containing 22 items assessing community competence was administered to residents
from rural households chosen from clusters based on size and socioeconomic conditions. The items included in the
final analysis are matched to the dimensions of community competence they are thought to represent in Table 1,
below. The actual survey questions are included as an appendix to the article.
Field Testing:
The authors analyzed the data for both the discriminatory power of items and the extent
to which items represented Cottrell's 8-dimension model. Fourteen items were found to discriminate among the
communities, using multiple one-way analysis of variance (see table 1 for the items with F-values). Those items
which did not discriminate among communities (not listed here) were dropped from the analysis.
Only six of the eight dimensions of community competence were represented in the Community Residents Survey.
Neither articulateness nor effective communication were represented; The authors suggest that these dimensions
may actually convey one concept, and attempts to distinguish between the two hindered their adequate
representation in the survey instrument.
Factor analysis revealed four factors accounting for 35 percent of the variance in the data: democratic participation
style, crime, resource adequacy and use, and decision-making interactions. The authors draw parallels between
these four factors and the dimensions in Cottrells model, with democratic participation style representing machinery
for facilitating participant interaction, management of relations with the larger society, and self-other awareness;
resource adequacy and use representing commitment and participation, machinery for facilitating participant
interaction, and self-other awareness; and crime and decision-making interactions representing conflict containment
and accommodation. Goeppinger and Baglioni suggest that the decision-making interactions variable reflects the
essence of community competence," in that the two items loading on this factor measure the openness of debate
about community problems and the reconciliation of differences.

38

Table 1. Dimensions Represented, Discriminatory Power, and Factor Loadings of Survey Items
Dimension Represented

Item

Factor (factor loading)

participation

proportion of family members in


community
use of local services

participation
commitment

organization membership
pride in community appearance

6.60
3.49

resource adequacy and use (.525)


resource adequacy and use (.300)

adequacy of local services

5.64

resource adequacy and use (.390)

shared decision-making power

7.36

democratic participation and style (.412)


and resource adequacy and use (.324)

7.92

democratic participation and style (.274)


and resource adequacy and use (.254)

9.74

democratic participation style (.813)

commitment

self-other awareness and clarity of


situational definitions
machinery for facilitating participant
interaction and decision making

6.18

none

18.07

resource adequacy and use (.456)

self-other awareness and clarity of


situational definitions
management of relations with larger
society

freedom of all residents to


participate
residents attempt to exert
influence on county

machinery for facilitating participant


interaction and decision making
management of relations with larger
society

residents attempt to exert


influence on town

5.82

democratic participation style (.569)

effective county representatives

3.68

democratic participation style (.295)

speak out on issues

3.94

decision-making interactions (.671)

work together on issues

7.02

decision-making interactions (.577)

conflict containment and


accommodation

general crime is a problem

5.00

crime (.793)

conflict containment and


accommodation

juvenile crime is a problem

7.31

crime (.711)

conflict containment and


accommodation
conflict containment and
accommodation

Adapted from Goeppinger & Baglioni, 1985.


Use:
This survey instrument has informed more recent research on community competence (e.g., Eng &
Parker, 1994). It illustrates one approach to measuring community-level factors, using individuals perceptions of
collective characteristics.

39

Knight EA, Johnson HH, Holbert D. Analysis of the competent community: support for the community
organization role of the health educator. International Quarterly of Community Health Education 1991;
11:145-154.
Overview:
In this study, the authors attempt to establish a link between community competence and
population health status, using an agency, as opposed to resident, survey.
Concepts:
The authors describe a competent community as one that engages in active problem solving and
supports resources that contribute to residents well-being. Characteristics of a competent community include
"collaboration for integration of services and decision-making, which is facilitated by knowledge of other agencies
and services, and participation by citizens in the functioning of organizations" (p. 146).
Measurement: A survey developed for use with representatives of social service agencies assessed the types of
services they offer, their knowledge about other services available in the county, the extent of collaboration with
other county agencies, and mechanisms for citizen input in planning.
Five variables measured community competence:

Resource availability: Respondents were asked about the availability in the county of 104 services from five
categories (preventive health, medical, housing, nutrition, and support services). The score consisted of the
number of services either provided by respondents or identified as available from another organization by at
least 50% of respondents. Each service counted only once, so the highest possible score was 104.

Participation: The average number of citizen input mechanisms used by responding agencies, with the options
including citizen advisory groups or boards, citizen surveys, information from community leaders or agencies,
and others.

Integration: The average number of organizations in the county with which the agency met regularly for
planning and coordination of services.

Network intensity: The frequency of the meetings identified in the integration variable. Six response categories
were provided, from once per year to once per week, and the mean intensity scores for each agency were
averaged to obtain a county score.

Knowledge of services: The proportion of services available in the county, as identified in the resource
availability variable, which the respondent knew to be available; the county score was obtained by averaging
the scores for responding agencies.

Population health status was assessed by the rate of years of productive life lost (YPLL), defined as the number of
years of life lost between age 1 and 65 from all causes, per 100,000 population.
Field Testing:
The directors of county social service agencies in one state completed the survey. Each
county was ranked for each of the five community competence variables and assigned a score of 0, 1, and 2 (for the
bottom, middle, and top rankings). Counties were then ranked; those with composite scores greater than or equal to
six and which did not fall into the bottom group on any variable comprised the top group; counties with composite
scores less than or equal to four and which did not fall into the top group on any variable comprised the bottom
group; and the remaining counties made up the middle group.
A comparison of rates of race-stratified YPLL by rankings on community competence revealed some trends.
Counties with the highest community competence scores had lower white rates of YPLL than did the middle and
bottom groups, although this trend was not evident for non-white rates of YPLL. Summing over all community

40

competence variables, small but statistically significant correlations were observed between composite scores and
YPLL, with white and non-white rates of YPLL dropping with a rise in composite score. Further analysis supported
the relationships between integration of services and white and non-white rates of YPLL and between knowledge of
services and white YPLL, but these associations were not statistically significant.
The authors conclude that the competence of the provider/agency community does impact population health status,
with its level of influence varying by dimension of competence. They suggest that knowledge of services and
integration of services are particularly important, noting that these factors seem to benefit primarily whites; with the
use of strategies utilizing existing power structures, groups which have traditionally been excluded from these
structures may not benefit (p. 153).
Use:
Knight, Johnson, and Holbert take a relatively original approach to measuring community competency.
Their use of an agency-level survey and indicators based on the presence of actual community resources illustrates
measurement at the community level.

41

Peyrot M, Smith HL. Community readiness for substance abuse prevention: Toward a
model of collective action. Research in Community Sociology 1998; 8:65-91.
Overview:
Peyrot and Smith propose and test a multi-factorial model of community readiness to address a
common problem, using indices of community composition, community context, and community organization.
Concepts:
Three types of factors are proposed to affect community readiness for prevention activities:
community composition, community context, and community organization. In determining the factors likely to
influence community readiness, the authors relied heavily on the research on community cohesion, or attachment,
the most extensive related literature. Factors related to community attachment are presumed to be likely predictors
of community readiness as well. (See Table 1.)
Measurement: Much of the prior research on community attachment and mobilization has relied on individuallevel data, which do not take into account factors related to social organization. This study employed surveys of
neighborhood leaders and census data aggregated to the level of the neighborhood.
Community composition was assessed through census data:
households with married families
age
vacant housing units
number of residents
owner-occupied housing
family income
education
employment rate
disability rate
public assistance enrollment
race/ethnicity
poverty rate
From interviews with neighborhood leaders, mean scores were calculated for each scale representing community
context and organization variables (see Table 2).
Table 2. Survey Scale Items
Sets of Factors
Community
Context

Community
Organization

Scales
Severity of neighborhood
problems
Availability of services
Cohesion
Neighborhood Organization

Measures (# items)
alcohol and tobacco use (6)
economic and drug problems/social decay (9)
youth programs (3)
police services (2)
other programs (5)
commitment and social relationships (5)
neighborhood formal organization (1)
neighborhood informal organization (1)

Alpha
.89
.94
.84
.66
.79
.81

Actual items and response scales are included in an appendix to the article.

Community readiness was assessed with three questions:


How many would be willing to join in neighborhood substance abuse prevention activities? (almost none,
few, some, many, or most)
What substance abuse prevention activities do you think your neighbors would be most willing to take part
in? (# of activities)
If your neighborhood had the necessary assistance, what other types of neighborhood strengthening activities
would your neighbors be most interested in? (# of activities)

43

Field Testing:
Table 1 includes items shown to be related to community readiness. A path model,
generated to represent the causal pathways among variables, confirmed that community composition, context, and
organization affected community readiness. Community composition explained eight percent of the variance in
community readiness, community context explained seven percent of the variance not explained by community
composition, and community organization explained six percent of the variance unaccounted for by the other two
indices.
Use:
This research provides a model for the assessment of community characteristics likely to affect success in
establishing an intervention.

The full path model identifies directions and degrees of influence among specific variables.

44
.

Table 1. Factors affecting community readiness.


Set of Factors
Community
Composition

Community Context

Community
Organization

Definition
characteristics of residents

needs and resources

formal and informal


neighborhood activities

Determinants of Community Attachment


residential stability
marital status and number of children
income and education (equivocal)
age and race (equivocal)

crime rates and fear of crime


economic deterioration
nonresidential resources (public and private
agencies and businesses)

neighborhood associations
residential social networks

Statistically Significant Survey Items

median family income


percent elderly ( 65 years)

Social decay
youth loitering
abandoned housing
adult unemployment
youth unemployment
drug-related violent crime
youth drug use
adult drug use
presence of open air drug markets
presence of houses with drug sales and use
Police services
patrolling
response to resident calls
Cohesion
neighbors like living in neighborhood
neighbors want to stay in neighborhood
neighbors have friends in neighborhood
neighbors exchange favors
neighbors would help in an emergency
Formal neighborhood organization
number of annual neighborhood association meetings
Informal neighborhood organization
number of neighborhood events in last year

Adapted from Peyrot & Smith, 1998

45

Easterling D, Gallagher K, Drisko J, Johnson T. Promoting health by building community capacity: Evidence
and Implications for Grantmakers. Denver, CO: The Colorado Trust, 1998.
Overview:
As part of its larger mission of health promotion, The Colorado Trust funds initiatives that
promote community capacity building. This report makes a case for the effect of community capacity on a
populations health status and for the importance of supporting capacity-building initiatives as an adjunct to
traditional health services programs.
Concepts:
This report first demonstrates the use of geographical analysis of differences in health status,
providing support from the research literature for links between regional disparities in a variety of health indicators
and environmental conditions, cultural norms, and economic resources. The authors note that there are many paths
health promotion can take, including improving environmental conditions, changing cultural norms, and
strengthening the economy. Taking a wider view of the determinants of population well-being and methods of
health promotion, the Trust advocates for the inclusion of community capacity-building initiatives in the repertoire
of health promotion and disease prevention activities.
The Trust offers a definition of community capacity based on three principles:
Individual and collective assets benefit the community as a whole, rather than specific individuals or
organizations.
Assets come from within the community itself, not from an external source.
Collective use of individuals assets creates synergistic effects.
Based on their experience with capacity-building initiatives, the authors delineate five dimensions of community
capacity:
Skills and knowledge, supported when necessary by the transfer of knowledge from outside experts to the
community.
Leadership in both the forefront, catalyzing the community, and the background, mentoring and nurturing
collaborative partners.
A sense of efficacy on both the individual and collective levels.
Trusting relationships, or social capital, indicative of a sense of community, reciprocal relationships, and civic
engagement.
A culture of openness and learning supporting divergent points of view.
The report provides recent empirical support linking elements of community capacity to health outcomes, including
effects of social capital on mortality, neighborhood resources on low birthweight, and collective efficacy on
violence.

Use:
The report identifies some general strategies for using this conceptualization of community capacity to
build the communitys potential to promote its own health and well-being. Community empowerment initiatives,
aimed at enhancing community assets rather than focusing on deficits, and provision of technical assistance in
support of community-driven problem solving are offered as ways to bolster the indigenous strengths of the
community from a grassroots perspective. In addition, promoting networking among community initiatives is
suggested as an important means of fostering continuous capacity building among organizations.

46

Goodman RM, Wandersman A, Chinman M, Imm P, Morrissey E. An ecological assessment of community


based interventions for prevention and health promotion: Approaches to measuring community coalitions.
American Journal of Community Psychology 1996; 24:33-61.
Overview:
Goodman et al. address a problem inherent in many community health interventions to date, the
use of individual-level indicators as the sole basis for evaluation of community-level projects. They propose instead
the use of a social ecology approach, which goes beyond individual attitudes and behavior to target community-level
factors such as community values and the comprehensiveness and coordination of services.
Concepts:
An evaluation based on the ecological approach uses multiple sources and types of data and
targets multiple social levels at different stages of community readiness (see Table 1). The communitys readiness,
in essence its capacity to mobilize, structure, initiate, refine, and sustain an organized response to a problem,
affects the type of intervention activities that are appropriate at any point in time and is closely related to the
developmental stages of coalitions. The use of varied data sources and methods, called triangulation, aids in the
assessment of complex, multi-level phenomena.
Measurement: The authors describe the evaluation of a substance abuse prevention coalition tailored to the
coalitions developmental stage, the stage of community readiness, and the ecological level involved:
Table 1: Evaluation Methods by Coalition Stages, Ecological Levels, and Stages of Readiness

Phase 1: Coalition Formation


Forecast
Meeting Effectiveness Inventory
Project Insight Form
Committee Survey
Needs Assessment Checklist
Plan Quality Index
Phase 2: Plan Implementation
Tracking of Actions
Prevention Plus III
Policy Analysis Case Study
Phase 3: Impact
Key Leader Survey
Community Survey
Trend Data
Level of Institutionalization Scale

X
X

X
X
X
X
X
X
X
X
X

Stages of Readiness

Initial mobilization and


establishing organizational
structure
X
X
X
X

Public Policy

X
X
X

Community

X
X
X

Organizational

Interpersonal

Developmental Phases and Measures

Intrapersonal

Ecological Levels

X
X
X
X
X

X
X
X

X
X

Building capacity for action


and implementation

Refining and
institutionalizing

Source: Goodman et al., 1996.

47

The methods and instruments used are described below:

Forecast System: Analysis of meeting minutes, phone logs, staff activity calendars, and resumes of coalition
members; includes the Meeting Effectiveness Inventory (included in the article) and Project Insight Form for
assessing the leadership, participation, decision-making, conflict resolution, and productivity of specific
meetings
Committee Survey: Analysis of group climate, member satisfaction, task orientation, leadership characteristics,
staff support, membership costs and benefits, communication channels, linkages with community organizations,
and conflict resolution
Needs Assessment Checklist: Development of necessary steps for designing, implementing, and analyzing a
needs assessment
Plan Quality Index: Rates the action plan resulting from the needs assessment based on the specificity of goals
and activities, time line, division of responsibilities, target groups, means of building community support,
operational details, and potential barriers and solutions
Tracking of Coalition Actions: Monthly logs monitoring community planning, community actions, community
changes, collaboration, member recruitment, and resource generation
Prevention Plus III: Four-step model identifying program goals, processes, outcomes, and impacts
Policy Analysis Case Study: Assessment of the coalitions policy development strategies
Key Leader Survey: Assessment of awareness, concern, and actions of community officials and administrators
Community Survey: Assessment of impact on the individual level
Trend Data: Analysis of archival data to indicate community-level trends before and after the intervention
Level of Institutionalization Scale: Assessment of the sustainability of the program based on its imbeddedness
in the host organization

Use:
Important to this type of evaluation is the close interaction of evaluators with coalition members and staff.
Its purpose is not only to assess the functioning and impact of the coalition, but to provide feedback to the coalition
as a basis for improvement.

48

Wandersman A, Goodman RM, Butterfoss FD. Understanding coalitions and how they operate: An open
systems organizational framework. In Minkler M (ed.). Community Organizing and Community Building for
Health. New Brunswick, NJ: Rutgers University Press, 1997, pp. 261-277.
Overview:
In the proposed model, coalitions are viewed as organizations that are influenced by, and in turn
influence, the environment. Four components of organizational functioning essential to coalition maintenance and
effectiveness are presented.
Concepts:
In an open systems model of organizational functioning, the coalition is a vehicle for translating
resources from the environment into outputs affecting the environment. Sustaining the system requires four
elements (see figure 1):
Resource Acquisition:
member resources

external resources

- size of membership
- commitment to mission
- personal and political efficacy
- pooling of assets
- formalization of relationships
- standardization of procedures
- frequency of interactions and flow of resources
- reciprocity
- access to local communities
- links to other organizations

Maintenance Subsystem:
organization control - leadership structure
- formalized rules, roles, procedures
- decision-making and conflict resolution processes
membership commitment
- volunteer-staff relationships
and resource mobilization
- communication patterns
- membership commitment and mobilization
Production Subsystem:
goal-oriented activities
maintenance activities
External Goal Attainment:
short-term changes
long-term changes
Use:
The authors suggest that viewing coalitions as organizations dependent on these four
elements will provide valuable insight into their functioning and viability.

49

Figure 1. Open Systems Framework

INPUT

RESOURCE
ACQUISITION
A. Member
resources
B. External
resources

THROUGHPUT

MAINTENANCE
SUBSYSTEM
A. Organization
control
structure
B. Membership
commitment
and resource
mobilization

OUTPUT

PRODUCTION
SUBSYSTEM
A. Action
strategies

A. Successful
track record

B. Internal
maintenance
activities

B. Accomplishment
of initial goals

Organization
becomes
inactive

ENVIRONMENT

Source:
Wandersman, Goodman, & Butterfoss, 1997.
50

EXTERNAL GOAL
ATTAINMENT

Organization
remains active

The Aspen Institute, Rural Economic Policy Program. Measuring community capacity building: A
workbook-in-progress for rural communities (version 3-96). The Aspen Institute, 1996.
Overview:
This publication is premised on the importance of gauging the progress of citizens and community
organizations in improving community life. Specific measures that can be used to document the outcomes of
community capacity-building efforts are outlined in a concise workbook format.
Concepts:
Community capacity, the collective ability to address community problems and strengthen
community assets, is built on:
commitment to act,
resources (economic, human, etc.), and
skills of individual community members and organizations.
Building community capacity is seen as a valuable end in its own right. Rather than viewing capacity building as an
objective linked to the goals of a specific type of program, this guidebook frames community capacity building in an
overall strategy for maintaining a healthy community. In the context of rural development, community capacity
building is the springboard for sustainable economic development and stewardship of cultural and natural resources.
Measurement: The workbook is organized around outcomes, indicators, and measures.
effective community capacity building are proposed:
expanding, diverse, inclusive citizen participation;
expanding leadership base;
strengthened individual skills;
widely shared understanding and vision;
strategic community agenda;
consistent, tangible progress toward goals;
more effective community organizations and institutions; and
better resource utilization by the community.

Eight outcomes of

A section for each outcome includes indicators measurable capacities for gauging achievement of outcomes (e.g.,
leadership infrastructure) and sub-indicators (e.g., leadership development programs). Finally, for each indicator
and sub-indicator, a number of actual measures are suggested, each identified by type (e.g., yes/no, percent, rating).
Uses: Although targeted to rural communities, this publication is applicable to other kinds of communities
interested in documenting the effects of capacity-building efforts. Basic steps are provided to guide users in
undertaking an assessment. Future versions of this workbook will include work pages for tracking the outcomes,
indicators, and measures chosen for evaluation.

51

Fetterman DM, Kaftarian SJ, Wandersman A, eds. Empowerment Evaluation: Knowledge and Tools for SelfAssessment and Accountability. Thousand Oaks, CA: Sage Publications, 1996.
Overview:
Empowerment evaluation fuses quantitative and qualitative methods in a process of program selfevaluation and improvement.
Concepts:
In the introduction to this book, Fetterman describes the genesis of this approach and, in general
terms, the steps it entails: 1) taking stock, or assessment of program activities/components, strengths, and
weaknesses; 2) setting goals that are linked directly to both program activities and outcomes; 3) developing
strategies to reach objectives; and 4) documenting progress toward goals.
Some chapters in particular are notable for their emphasis on easily adaptable frameworks. Fawcett et al. describe
an empowerment evaluation framework composed of four elements agenda setting, strategic planning,
implementation, and outcome and provide examples of activities useful for each. The authors then develop these
components and Fettermans general evaluation process into six steps: 1) assessing community concerns and
resources; 2) setting a mission and objectives; 3) developing strategies and action plans; 4) monitoring process and
outcome; 5) communicating information to relevant audiences; and 6) promoting adaptation, renewal, and
institutionalization. Yin, Kaftarian, and Jacobs translate the general empowerment evaluation model into an
evaluation framework for community partnerships that includes collaboration across multiple levels, from the
federal to the local, and emphasizes quality of the evaluation framework, implementation, and outcomes. Their
framework encompasses eight sequential components: 1) partnership characteristics; 2) partnership capacity; 3)
community actions and prevention activities; 4) immediate process and activity outcomes; 5) prevention programrelated outcomes; 6) other community outcomes; 7) program impacts; and 8) contextual conditions.
Measurement: Part five of the book is of particular interest for readers interested in obtaining actual tools of the
trade:

Linney and Wandersman present Prevention Plus III, a tool developed for use by nonprofessional evaluators of
community prevention programs. Sample worksheets from each of the four steps of the model (goal and
outcomes identification, process assessment, outcome assessment, and impact assessment) are included.

Dugan describes the development of a participatory and empowerment evaluation framework encompassing
five stages: organizing for action, building capacity for action, taking action, refining the action, and
institutionalizing the action. For each stage, participant tasks, evaluator tasks, and a percentile breakdown of
the evaluators roles (e.g., facilitator, mentor) are presented. Sample worksheets adapted from Prevention Plus
III are provided.

Butterfoss et al. introduce the Plan Quality Index, a tool for assessing coalition plans and channeling
information back to coalition members for use in program improvement. The instrument, included in an
appendix in its entirety, assesses the adequacy of the plans components and scope, the necessary community
resources, and overall impression of the plan.

Mayer proposes an evaluation approach that is consistent with the principles of community capacity building,
providing examples of evaluation techniques that promote a constructive environment, inclusivity, and
advocacy.

Use:
What differentiates this method from other assessment processes is its basis in empowerment theory and its
focus on self-determination; the role of the professional evaluator in empowerment evaluation is to train, facilitate,
even to advocate, all with the goal of fostering self-sufficiency of the program in evaluation and monitoring. The
methodological concerns that might be raised about the use of empowerment evaluation, including scientific rigor,
intersection with traditional evaluation methods, objectivity, participant bias, and validity are addressed in the
introduction and other chapters. Many of the chapters present examples of empowerment evaluation in practice, but
with a focus on conceptual and methodological issues that are relevant to program types other than those presented
as well.

52

McKnight JL, Kretzmann JP. Mapping Community Capacity. Evanston, IL: Institute for Policy Research,
Northwestern University, 1990.
Overview:
McKnight and Kretzmann propose a capacity-oriented approach to community building that is
radically different from the traditional needs assessment approach to community-based initiatives.
Concepts:
McKnight and Kretzmann write from a community development perspective that views the
capabilities and resources indigenous to a community as the foundation for sustainable urban renewal efforts led by
community residents. Conversely, they argue, the traditional human services approach unnecessarily conditions
whole communities to become dependent on outside resources.
Measurement: The Neighborhood Assets Map is built on three categories of assets and capacities:
Primary building blocks indicate assets and capacities that are located within neighborhoods and controlled by
residents. They are made up of individual skills and assets as well as organizational assets.
Secondary building blocks indicate assets and capacities that are located in the neighborhood but controlled by
outsiders. These include private and non-profit organizations, public institutions, and physical resources such
as vacant structures that can be redeveloped.
Potential building blocks indicate assets and capacities that are both located outside of the neighborhood and
controlled by outsiders. They include public assets such as welfare expenditures, capital improvement funding,
and public data.
Use:
The assets map lays the groundwork for the creation of an Asset Development Organization, using existing
community organizations, community development corporations, or citizens associations. This group undertakes a
community planning process, mobilizing representatives of the neighborhood assets identified in the map. This
process includes some form of inventory of neighborhood capacity. A tool for collecting data on capacities of
individual residents is included in the document. As a final step, the Asset Development Organization begins to
form connections with outside entities and activities.

53

Internet Resources for Community Building Concepts and Methods


If www is either optional or required for access to a website listed below, it is included in the address provided.
The absence of www indicates that its use interferes with access to the site.
AHEC/Community Partners

www.ahecpartners.org

AHEC/Community Partners is a non-profit coalition building and community capacity development institute serving
Massachusetts. Part of the Massachusetts Area Health Education Center system, the institute is based in the
University of Massachusetts Medical School. The website offers downloadable publications on topics such as
coalition development, planning and evaluation, community assessment, and community involvement.

The Asset-Based Community Development Institute

www.nwu.edu/IPR/abcd.html

The Asset-Based Community Development Institute, part of Northwestern Universitys Institute for Policy
Research, is the focal point for dissemination of information related to McKnight and Kretzmanns work on building
community capacity. This site includes access to a variety of tools for use in capacity-building initiatives (e.g.
capacity inventory, training manual) and publications on related topics, many of them downloadable. The site also
includes access to an e-mail discussion group for people working in community-building activities.

Amherst H. Wilder Foundation

www.wilder.org

Although this foundation provides local health and human services programs in St. Paul, Minnesota, its website
offers publications of national interest on community development, strengthening urban communities, and nonprofit management.

Civic Practices Network

www.cpn.org

This multi-disciplinary network is a locus for information related to the new citizenship movement, which is
premised on the need for communities to reassert responsibility for public, collaborative problem solving. Essays
and guides addressing community responsibility and community building (e.g., social capital, community
organizing, asset-based community development) are posted.

COMM-ORG

comm-org.utoledo.edu

COMM-ORG, the On-Line Conference on Community Organizing and Development, provides several interactive
forums, including a series of working papers posted for reader review and an e-mail discussion list. The site also
directs users to a large number of websites related to community organizing and development. These links are
categorized as: community organizing groups and networks; community organizing training and technical
assistance; community organizing funding; community organizing and development readings; course syllabi; policy
links; research databases; action research resources; resources for public health community organizing and
development; community-based planning resources; community-based development resources; information on
effective use of the internet in activism; and multimedia related to social change.

Community Building Institute

www.xu.edu/cbi

Based in Cincinnati, Ohio, this cooperative venture of Xavier University and United Way & Community Chest
focuses on asset-based community development. The website provides access to training and technical assistance as
well as links to other community building organizations and publications.

55

Community Building Resources

www.cbr-aimhigh.com

This Canadian company provides technical assistance in asset-based community capacity building and community
assets mapping. The CBR internet site summarizes its Community Capacity Building and Asset Mapping model
and related projects. A list of references on community development is also posted.

Community Development Society

www.comm-dev.org

The Community Development Society is an international, multi-disciplinary professional association that focuses on
community capacity building with an emphasis on citizen participation. The website includes links to other
community development internet resources.

Community Toolbox

ctb.lsi.ukans.edu

The Community Toolbox is a vital resource for people engaged in community-based initiatives. Developed by the
University of Kansas Work Group on Health Promotion and Community Development and AHEC/Community
Partners, this site offers extensive guides to a wide variety of activities essential to effective community capacity
building: grant writing; advocacy and public education; recruitment of members; strategic planning; organizational
development; leadership development; community assessment; implementation; collaboration; monitoring and
evaluation; and institutionalization. These training materials can be navigated through several routes. A Guide for
Community Problem Solving links community problems faced by the user to relevant sections. The training
materials can also be accessed through links built into two models of community change, Building Community
Capacity for Change and the Community Health Improvement Process (CHIP). The sites General Store
provides access to publications and fee-based technical assistance.
Institute of Health Promotion Research

www.ihpr.ubc.ca/guidelines.html.

This institute, part of the University of British Columbia, is dedicated to linking multi-disciplinary research and
community health promotion practice. Of particular interest on the IHPRs website are the Guidelines And
Categories For Classifying Participatory Research Projects In Health Promotion (see Annotated Bibliography) and
its reports on surveys of Community Participation in Health System Decision Making in Canada.

National Civic League

www.ncl.org

The National Civic League works to enhance collaborative, community-driven problem solving through three
programs accessible from its website. Its Community Assistance Team offers technical assistance in designing and
implementing community-based initiatives. The Healthy Communities Program involves identification of key
community stakeholders, development of a community vision for the future, assessment and evaluation tools (e.g.,
The Civic Index for measuring community resources, benchmarking, asset mapping), and skills for effective
leadership and organizational interaction. The Program for Community Problem Solving conducts research and
offers technical assistance in developing communities capacity for collaborative activities. The site lists
publications from all NCL programs, including guides and instruments for use in collaborative and communitybased activities.

National Community Building Network

www.ncbn.org

This membership organization brings together urban poverty reduction/community building projects for networking
and mutual learning. Its website offers information about community building principles, events and conferences
related to community building, news about policies impacting urban rebuilding efforts, a directory of resources
(organizations, reference lists, and website links), and a downloadable version of the Networks newsletter.

56

UNV Emblem / A4 Vertical / tagline / CMYK


eed included

Assessing The
Contribution
Of Volunteering
To Development

Handbook for UN Volunteers, Programme Officers and Managers

inspiration in action
United Nations Volunteers
UN Campus, PO Box 260 111, 53153 Bonn, Germany

inspiration in action
English UNV Emblem / A4 Vertical / tagline / CMYK
3 mm bleed included

www.unvolunteers.org

August 2011

Assessing The
Contribution
Of Volunteering
To Development
A Participatory Methodology
Handbook for UN Volunteers, Programme Officers and Managers

United Nations Volunteers


Evaluation Unit
August 2011

inspiration in action

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

The United Nations Volunteers (UNV) programme is the UN Organization


that contributes to peace and development through volunteerism worldwide.
Volunteerism is a powerful means of engaging people in tackling development
challenges, and it can transform the pace and nature of development. Volunteerism
benefits both society at large and the individual volunteer by strengthening trust,
solidarity and reciprocity among citizens, and by purposefully creating opportunities
for participation. UNV contributes to peace and development by advocating for
recognition of volunteers, working with partners to integrate volunteerism into
development programming, and mobilizing an increasing number and diversity
of volunteers, including experienced UN Volunteers, throughout the world. UNV
embraces volunteerism as universal and inclusive, and recognizes volunteerism in its
diversity as well as the values that sustain it: free will, commitment, engagement and
solidarity.
UNV is administered by the United Nations Development Programme (UNDP).

Assessing the Contribution of Volunteering to Development:


A Participatory Methodology
Copyright United Nations Volunteers, 2011
This document was produced by the
Evaluation Unit (EU) of United Nations Volunteers.
Copies are available online and in print in English.
United Nations Volunteers
Postfach 260 111
D-53153 Bonn, Germany
Tel: +49-228-815 2000
Fax: +49-228-815 2001
Email: evaluation@unvolunteers.org
Website: http://www.unvolunteers.org

Foreword
Dear colleagues,
It is with great pleasure that I am sharing with you the handbook on the
Methodology for Assessing the Contribution of Volunteering to Development. It is
the result of a joint effort with the International FORUM on Development Service,
a network of organizations engaged in international volunteering and personnel
exchange. The handbook provides development and volunteering practitioners
with practical approaches and tools to generate evidence on the contribution of
volunteering, thereby supporting accountability and learning. It consists of this
handbook plus a CD-ROM with practical tools that facilitate the application of the
methodology.

The methodology was piloted in twelve countries in 2006. Representatives from


a range of national and international volunteering organizations took part along
with a broad range of stakeholders including beneficiaries, partner organizations,
government, and national employees of international agencies. The participatory
assessment methodology that evolved over the course of those pilots forms the
basis of this handbook. It is complemented by the experience gained and additional
tools UNV developed during Volunteerism for Development Results workshops in
2008.

Flavia Pansieri
Executive Coordinator
United Nations Volunteers

UNV wants to thank the many people and organizations that have contributed to developing this handbook:



All volunteers in the field, community members, partners, stakeholders, UNV Field Units and headquarters staff
who contributed their time and participated in the processes leading to this handbook;
The Centre for International Development and Training (CIDT) and the consultants Patricia Daniel, Sarah French
and Ella King who designed and coordinated the pilot study and wrote the first version of the handbook;
UNDP Country Offices that were very helpful in supporting the logistics of the workshops;
FORUM members who participated in the pilot study: the Australian Volunteer Initiative, Carrefour Canadien
International, the Japanese Overseas Cooperation Volunteers, Skillshare International and the Voluntary Service
Overseas;
The UNDP Evaluation Office that provided advice during critical stages of the development of the Methodology;
Antonella Mancini and Rosalind David who developed complementary methods and tools for the UNV
Volunteerism for Development Results workshops, and who facilitated those workshops together with Natalia
Ortiz. Special thanks goes to Antonella Mancini who put together the current version of the handbook by editing
and revising the original draft and by writing Section Three of this handbook, and to Anum Murtaza of UNV Online
Volunteering services for the graphic design of the handbook.
The UNV Evaluation Unit: Edmund Bengtsson and Robert To, former Evaluation Unit staff, who started this work;
and Katrin von der Mosel, Caspar Merkle and Ana Cristina Guimaraes Matos who have ensured its finalization.

We hope that many UN Volunteers and Volunteer Involving Organizations around the world will use this handbook, be
inspired by it, and adapt the methods and tools to the needs of their own organizations and environment. We wish you all
success with this and look forward to receiving your comments on the experiences you have at: evaluation@unvolunteers.
org. Ultimately, we hope that the handbook will help to showcase the contribution volunteering makes to development.

Best Regards,

Flavia Pansieri

4
inspiration in action

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

CONTENTS

PREFACE ...................................................................................................................................................................................3
INTRODUCTION........................................................................................................................................................................7
SECTION ONE: KEY CONCEPTS.........................................................................................................................................7
SECTION TWO: THE ASSESSMENT METHODOLOGY...............................................................................................18

PLACEMENT LEVEL ASSESSMENT PARTICIPATORY WORKSHOP..........................................................................................21

Exercise A: Sharing Stories.............................................................................................................................................24

Exercise B: Reviewing and ranking the volunteers key activities and outputs.................................................25

Exercise C: The outcomes of the contribution of volunteering..............................................................................27

Exercise D: The volunteers overall contribution to higher level development goals.......................................29

Exercise E: SWOT Analysis............................................................................................................................................ 30

Exercise F: Key Lessons and Recommendations......................................................................................................31






PROGRAMME LEVEL ASSESSMENT PARTICIPATORY WORKSHOP...................................................................................... 32


Exercise A: Sharing of Key Findings and Lessons from the Placement Level Workshops.......................... 35
Exercise B: The Contribution of Volunteering to Development Goals................................................................36
Exercise C: The Contribution of Volunteering to Development Goals Group Feedback...........................37
Exercise D: The Volunteer as a Catalyst for Change...............................................................................................38
Exercise E: Factors supporting and hindering change........................................................................................... 39
Exercise F: Key Lessons and Recommendations..................................................................................................... 40

INTER-ORGANIZATIONAL WORKSHOP................................................................................................................................................................ 43
Exercise A: Sharing experiences, key findings and lessons................................................................................. 44
Exercise B: Group discussion....................................................................................................................................... 45
Exercise C: Stakeholder perceptions and interests in volunteering....................................................................46
Exercise D: Key Lessons and Recommendations.....................................................................................................47

SECTION THREE: ADDITIONAL RESOURCES AND TOOLS.....................................................................................48



VOLUNTEERISM FOR DEVELOPMENT RESULTS WORKSHOP.................................................................................................... 50

Tool 1: Volunteer Self Reflection....................................................................................................................................51

Tool 2: Reflection for partners attending a workshop..............................................................................................52

Tool 3: Exploring our understanding of volunteerism for development.............................................................. 53

Tool 4: The Results Tree.................................................................................................................................................. 54

Tool 5: Group analysis of key achievements, challenges and lessons................................................................56

Tool 6: Assessing the volunteers contribution to organizational/corporate goals............................................57

Tool 7: Results Matrix....................................................................................................................................................... 58

Tool 8: External Feedback.............................................................................................................................................. 59

Tool 9: Developing a vision for our future work generating recommendations............................................ 60

Tool 10: Tips for workshop note takers........................................................................................................................61
APPENDICES...........................................................................................................................................................................62
APPENDIX 1: GUIDE TO CD MATERIALS.......................................................................................................................63
APPENDIX 2: GLOSSARY...................................................................................................................................................65
APPENDIX 3: ACRONYMS..................................................................................................................................................66
APPENDIX 4: SELECTED BIBLIOGRAPHY....................................................................................................................67

INTRODUCTION
The handbook aims to support International Volunteering Organizations to ask six basic questions and use the answers to
inform the work that they do and the decisions they take:
1.
2.
3.
4.
5.
6.

What contribution does volunteering make to development? What are the key results?
How does volunteering achieve these results?
What factors help or hinder the volunteering contribution?
What is the added value of volunteering?
How is volunteering perceived by other stakeholders and partner organizations, both national and international?
What lessons can be learned from volunteering and how can they be used to enhance development planning?

By answering these questions, the assessment also provides an opportunity for volunteers to share experiences amongst
themselves and to systematically reflect on the contributions they have made. In this sense the handbook benefits both the
Volunteering Organization and the individual volunteer.
The fundamental principle underlying the assessment approach in this h handbook is that it should be a bottom-up
process, which draws on the experiences and perceptions of volunteers themselves, their partners and the intended
beneficiaries of volunteering placements and programmes. The methodology does not intend to produce an impact
assessment, but rather to promote an analysis of results and contributions of volunteering to short and long-term
development goals. It provides opportunities for volunteers and their stakeholders to engage in a variety of ways. This
includes:





Primary beneficiaries to be included in the process: their voice can illuminate the contributions and changes
observed as well as help to inform policy
Individual volunteers to gain wider recognition of their work and to see their contribution to the bigger picture
Stakeholders and volunteers to reflect on the wider changes brought about through working in partnership with
others
UNV Programme Officers to see the cumulative contribution of volunteer work at national level and where
programme changes might be made
Lesson learning to be shared within and between volunteering organizations and with a range of partners
Promoting awareness about volunteering and its role in development

The methodology draws on a body of existing participatory methods and approaches. References and sources of methods
that provided inspiration are acknowledged with thanks in the appendices at the back of this h handbook. The list of key
people and organizations involved in the pilot workshops can also be found in the appendices.

Who should use this handbook and how?


This h handbook is primarily designed for internal use in ongoing volunteer programmes where volunteers are posted for
approximately two years. Many of the approaches and methods included in the h handbook can be adapted and used in
other contexts. For example:



For placement assessment by the country programme officer in cases where a volunteer has left early or has
particular difficulties
For ex-post assessment by the host organization and beneficiaries to reflect on longer term changes and their
contribution to development
As a basis for, or as part of, an external evaluation
For ongoing monitoring and learning purposes

6
inspiration in action

Good facilitation is key

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

The workshops and exercises in this h handbook will require good facilitation. Facilitation can be placed in the hands
of one person or a team, depending on the size of the group. A skilled facilitator may be a colleague or a volunteer from
within your host organization, or a colleague from a national/international volunteer organization. Alternatively, you may
decide to involve an external facilitator.

How the handbook is set out


The handbook is set out in three sections:

Section 1: Key concepts


This section introduces some of the key concepts underpinning the Methodology:

Volunteerism for development


Types of volunteers and volunteering
The Logical Framework Approach
Gender
The broader context of our work: national goals and Millennium Development Goals (MDGs)

Section 2: The Assessment Methodology


This section outlines the participatory assessment methodology developed and tested by UNV in twelve
countries. The Methodology comprises a series of participatory workshops at different levels in a two-year cycle:
1.
2.
3.

Placement Level
Programme Level
National Inter-Organizational Level

Section 3: Additional approaches and tools


This section gives an overview of the results workshop methodology developed by UNV and sets out the various
tools used over the course of the workshops.
Appendices
This includes a guide to the additional materials, reading and handout sheets on the accompanying Compact
Disc (CD), a glossary, a list of acronyms, a selected bibliography that serves also as list of additional
recommended reading and resources, and acknowledgements.

A word about jargon!


We have tried to minimize the amount of jargon used in this handbook. However, there are standard monitoring and
evaluation terms that we feel you should know about. You will no doubt have come across them in your work. There are
also a number of terms that are used by UNV, as this was the context in which the Methodology was developed and
tested. As you gradually familiarize yourself with the handbook and undertake your own assessment processes these
terms will become self-evident. We also have a glossary at the back of this handbook that you can refer to at any time. Feel
free to adapt the language to your organizations needs.

And finally...
We hope the ideas and processes in this handbook will stimulate your own thinking and ideas on how to assess the
contribution of volunteering to development, and that you will feel encouraged experimenting with and adapting the
frameworks, methods and tools to suit your own organizational systems and work context. Dont worry about getting it
right. Its a learning process for all of us. We only get better by giving it a go. We do however encourage you to send us
feedback on your experience using the ideas and methods in this guide and to share your own ideas as well.
Please send your feedback to the UNV Evaluation Unit: evaluation@unvolunteers.org.

SECTION ONE:
KEY CONCEPTS
Introduction
It is helpful to start by examining some of the key concepts that underpin the Methodology for Assessing the Contribution
of Volunteering to Development. These are:





Volunteerism for development


Types of volunteers
The Logical Framework Approach
Triangulation
Gender
The broader context of our work: national development goals and MDGs

Who should read this section?




The facilitator(s) as part of their orientation process and to help them prepare for the workshops
The country programme officers/managers as part of the induction/orientation on the methodology with
volunteers and partners
Volunteers as part of the preparation for the workshops to ensure they are familiar with the basic concepts

8
inspiration in action

Volunteerism for development

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

At the heart of volunteerism are the ideals of service and solidarity and the belief that together we can
make the world better.
Kofi Annan, UN Secretary-General
Volunteerism is both an opportunity and an asset for development. It represents a tremendous resource for addressing
many of the development challenges of our times and it has the potential to significantly promote broad-based national
ownership, gender equality, inclusive participation and sustainability. Volunteerism is increasingly seen as an essential
ingredient in supporting peace and development and in achieving the MDGs.

How does UNV define volunteerism?


Volunteerism includes civic action and work that is carried out freely and without coercion, where financial gain is not
the main motivating principle, and where there are other beneficiaries beyond the volunteer. There are different forms
of volunteerism, and some key aspects include mutual or self-help, philanthropy or service to others, participation and
advocacy or campaigning. For the purposes of this Methodology, the UNV definition of volunteerism is used.
Volunteerism is a broad concept, while volunteering refers to the actual activities carried out by volunteers.

How do volunteers define volunteerism?


Volunteers and their partners helped to define the key characteristics of volunteering from their own experience. The most
essential characteristics include:
Neutrality
Self sufficiency
Innovation

Committed

Volunteering

Fostering
participation
Agents of
change

Adapting to local
circumstances

Technical
knowledge

Passion

Intrinsic
motivation

Professional

Multinational
Highly skilled

Valuing indigenous
knowledge

Figure 1.1: How volunteers define volunteering


Le volontariat est bnficiaire par une attitude positive et cest cela qui amne le changement positif. Il faut se
rappeler que la plupart des bnficiaires nont pas t lcole et ils ont de la difficult accepter linnovation.
Le seul moyen damener quelquun au changement, cest de vivre avec lui dans le milieu.
Association Malienne pour la Promotion des Jeunes (CCI Partner organisation), Mali.
Volunteering is a positive attitude that brings about positive change. One must remember that most beneficiaries did not attend school and have difficulties accepting change and innovation. The only way to make
them understand the benefits of change is by living with them and sharing their life in the community.
Malian Association for Youth Promotion (CCI partner organization), Mali

El voluntario tiene un gran valor agregado siendo un ser humano dotado de las siguientes caractersticas e
inculcado en siguientes valores: una vocacin, una vida de servicio, actitud y espritu de voluntariado, y buscar
ser til. Bolivia National Workshop, UNV.
A volunteer adds great value and, as human being, has the following characteristics: a vocation, a life of
service, volunteering attitude and spirit, and quest for being useful. Bolivia National Workshop, UNV.

72% of people feel that volunteering offers something that could never be provided by paid professionals.
Volunteering Ireland, 2006.

key concepts

Types of Volunteers and Volunteering


It is important to remember that the term volunteer can be used to denote a number of different people in different
circumstances. Similarly, volunteering takes different forms and meanings in different settings.
Let us first talk about the concept of volunteering. It is strongly influenced by the history, politics, religion and culture
of a region. What may be seen as volunteering in one country may be dismissed as low paid or labour intensive work in
another. And yet, despite the wide variety of understandings, it is possible to identify some core characteristics of what
constitutes a voluntary activity.
There are three key defining characteristics of volunteering. First the activity should not be undertaken primarily for
financial reward. Second, the activity should be undertaken voluntarily, according to an individuals own free-will. And third,
the activity should be of benefit to someone other than the volunteer him or herself, or to society at large.
Within this broad conceptual framework it is possible to identify at least four different types of volunteer activities:
mutual aid or self-help; philanthropy or service to others; participation or civic engagement; and advocacy or campaigning.
The form each type takes and the balance or mix between different types differs markedly from country to country.
The promotion of volunteering or civil society self-help implies the mobilization of individual citizens in local activities
for which they receive no direct financial gain whatsoever.
International volunteers are mostly deployed by internationally operating volunteer involving organizations. Some of these
organizations, like UNV, also deploy national volunteers.
Some developing countries may have their own national volunteer schemes, which have different terms and conditions.
In peacekeeping missions, international volunteers may be recruited to carry out very specific tasks (e.g. piloting
aircraft, air traffic control), which do not necessarily include work with a wider group of stakeholders.

Traditional volunteering
It is also important to remember that all communities are likely to have a tradition of self-help. This will not be known as
volunteering but have a local term. For example, in Mali, it is called solidarity and includes activities such as:



Helping each other at harvest time


Loans in times of need
Conflict resolution
Discipline of children in the community

Often conflict or emergency situations have led to a breakdown of traditional social capital, but volunteering has been
shown to help revitalize this:

El voluntariado puede rescatar valores que se crean muertos, Guatemala Pilot study report.
Volunteering can rescue values that were believed dead, Guatemala Pilot study report.

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The Logical Framework Analysis (LFA) Approach

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

The participatory assessment methodology we are presenting in this handbook builds on the Logical Framework
Analysis approach (LFA). LFA or logframes are used worldwide by national and international agencies for planning and
evaluation of development activities. This can be at the organization, programme or project level. International volunteering
organizations are more and more commonly using the LFA, in line with the methodologies and requirements of their donor
agencies.
LFA looks like a table (or framework) and aims to present information about the key components of a project in a clear,
concise, logical and systematic way.
The framework includes:




What the project should achieve, from the level of overall goal down to specific objectives
The performance questions/indicators that will be used to monitor progress
How the indicators will be monitored or how the data will be collected
The assumptions behind the logic of how activities will eventually contribute to the goal
The associated risks

The advantages of using the LFA include the following:




LFA provides a handy summary to inform project staff, donors, beneficiaries and other stakeholders, which can be
referred to throughout the lifecycle of the project/programme
The LFA aims to link individual activities with longer-term impact and to show direct and indirect cause and effect
Using the same kind of approach and the same terms makes it easier to:
o
locate volunteering within the wider development framework
o
discuss the longer-term contribution of volunteering with partners and donors

The disadvantages of using the LFA are that:






It uses jargon and is not immediately user-friendly


It is not possible to neatly encapsulate the whole of human experience into boxes
It assumes that all project contingencies can be foreseen from the start, and that there will be a predictable,
linear, logical progression from activities to outputs to purpose to goal
It can lead to a rigidly controlled project design that becomes disconnected with field realities and changing
situations
Very few logical frameworks are done with beneficiaries. They are often done on behalf of communities.

However, if done well, LFA can be successfully used at the grassroots level by parents, volunteers, community leaders and
civil society organizations in participatory workshops to develop a shared vision for implementing agreed plans. Many of
the tools and methods included in this handbook can be adapted to facilitate a more participatory process for LFA.
Although the logical framework includes several levels up to impact, this methodology is NOT intended to measure the
impact of volunteering. This would be inappropriate, as in general the work of volunteers is not enough to generate impact
on its own. Rather, we look at how volunteering contributes to short and long-term development goals.

The Logical Framework for Volunteering for Development


On the next page we provide a generic logical framework that describes how volunteering can contribute to short and
long-term development goals. It was developed by volunteers during the pilot study. This logframe is intended to serve as
a basis for discussion and programme development.

key concepts

Table 1.1: A GENERIC LOGICAL FRAMEWORK


FOR VOLUNTEERING FOR DEVELOPMENT

This is the higher level impact to


which all development workers
hope to contribute to but which
they do not have control over
This is the longer-term
contribution of the country
programme - the cumulative
impact of volunteering

These are the wider changes


that come about through
activities in partnership with
others

These are the direct concrete


results of what you do

This is what you do

LEVEL

OBJECTIVES

GOAL

E.g. Contribution to the Millennium Development Goals in


selected sectors or across sectors
(e.g. gender equality, governance)

PURPOSE

OUTCOMES

E.g. Contribution to National Development Goals in selected


sectors or across sectors
(e.g. gender equality, governance)
Changes might include:
Changes in peoples lives e.g. economic, cultural, spiritual,
personal, social, psychological
Shifts in gender & power relations
Changes in attitudes, ideas, awareness or behaviour
Group, community, organizational or institutional change,
e.g. changes in practice, behaviours, priorities, resources or
systems
Ongoing participation, commitment and support of a wide
range of stakeholders
Development of self-sufficiency/self-reliance among primary
beneficiaries
Development of open dialogue and trust between civil society
and government
Changes in attitude about the value of volunteering
Empowerment of women and recognition of womens
contributions
Organizations strengthened
Enhanced service delivery
New systems embedded (e.g. in government programmes)
Pilot projects scaled up
Awareness raised about social and economic issues and propoor policies
Reduction of conflict

OUTPUTS

No. of women/men/youths etc. trained


Systems strengthened and/or set up
No. of partnerships developed
No. of schools built
No. of documents published

ACTIVITIES

Capacity building
Technical advice
Mobilization
Networking
Advocacy
Research

The following table describes what changes the various stakeholders of a volunteer assignment hope to see.

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Table 1.2: WHAT CHANGES DO WE HOPE TO SEE? 1

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leed included

STAKEHOLDERS

Volunteer

Host organization

CHANGES
Personal and Social change
E.g. Cross-cultural understanding
E.g. Valuing traditional knowledge
E.g. Development of skills
E.g. Commitment to global education
Attitudes and approach
E.g. Remarkable change of attitude among technicians (less top-down instructions and more
participatory approach)
Organizational development
E.g. Change in working practices and culture

Community
members/Civil
Society

Self help
E.g. New ideas for partnership for local development plans are emerging among community
associations
E.g. New attitude of self-reliance and change of mentality whereby village groups are no longer
waiting for UNV to resolve problems encountered
Inclusion
E.g. Participation and public role of women in inter-village land management committees has
increased

Local NGOs

Skills
E.g. Project planning especially among womens groups is now much better due to capacity
reinforcement

Local government

Relationships
E.g. Greater trust and recognition between civil society and elected officials
Public-private sector partnerships
E.g. Commitment to provide training in computing skills for a village school

Private sector
Responsibilities and Priorities
E.g. Drug company keeps pricing low for antiretroviral drugs
Media

Communications
E.g. Local radio programmes are promoting health education

National
government

Attitudes, Priorities and Institutional Development


E.g. Commitment to developing an enabling environment for civil society involvement in
development (legislative framework)
E.g. Recognition of national and local volunteering as means to develop solutions
E.g. Valuing and building on traditional forms of voluntary service
E.g. Taking stock of competences and needs of local volunteers
E.g. Recognizing the huge voluntary contribution made by women, especially in local health
initiatives
E.g. Setting up of national volunteer corps

International
partner
organizations

Attitudes and approach


E.g. Mainstreaming volunteering into programmes
E.g. Greater recognition of the added value of volunteering for development

Donors

Commitment
E.g. Recognition and additional support for volunteering

The public
in-country

Relationships, awareness and commitment


E.g. Motivation to participate in development
E.g. Feeling connected to the wider world

Changes identified by volunteers.

key concepts

Triangulation
Pulling together an overall analysis from the assessment process will require you to cross-check the information and
findings with your stakeholders. You need to constantly take into account the different contexts and sources of information.
This will help to ensure the findings and results are robust and reliable. Monitoring and evaluation practitioners sometimes
refer to this process as triangulation.
Of key importance are the rich insights and lessons that can be drawn from these processes at the different levels.
The key findings and lessons should be feeding into strategic planning decisions and help improve projects and future
programmes. Remember also to give feedback on decisions and findings to your stakeholders. Use whatever means are
locally available, including notice boards, meetings etc. to provide feedback on project decisions in local languages.

Box 1.1: Suggested further reading and resources


On CD:
Part 4 of the CD: Key Concepts

Looking at Outputs

Looking at Outcomes
Part 7 of the CD: Volunteerism for Development Results workshops

UNV results workshop generic methodology and process note
Part 8 of the CD: Additional reading

OECD Glossary of Key Terms in Evaluation and Results Based Management

Results-Based management - Concept and Methodology

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Gender

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leed included

What do we mean by gender?


Gender refers to the set of roles and characteristics that different cultures and social groups prescribe for women, men,
girls and boys. While sex is a biological trait usually defined by a persons reproductive organs, gender is a culturally
determined phenomenon that can change over time and across cultures.
There is considerable variation on gender roles from culture to culture but usually mens perceived roles are valued and
rewarded more than those seen as womens. Gender roles are also influenced by other factors such as class, caste, race,
disability, age etc.

Why is consideration of gender important to us?


(Gender mainstreaming is) the process of assessing the implications for women and men of any planned action,
including legislation, policies or programmes, in all areas and at all levels. It is a strategy for making womens as
well as mens concerns and experiences an integral dimension of the design, implementation, monitoring and
evaluation of all policies and programmes in all political, economic and societal spheres so that women and men
benefit equally and inequality is not perpetuated. The ultimate goal is to achieve gender equality.
(ECOSOC 1997/2)

Many scholars and practitioners have recognized that the status of women and girls in any society is one of the best
indicators of economic, social and political development. Nevertheless, there is no country in the world that can claim
to have achieved equality between men and women. While there are strong connections between poverty and gender
inequalityapproximately 70% of the worlds poor are womenwomens discrimination and subordination is experienced
across all social classes and cultures to different degrees.
There is a strongly gendered element to volunteerism, since traditionally a high proportion of the unpaid work that
supports a community has been carried out by women. In addition, the positive effects of volunteerism can be very
empowering for women in particular, providing access to social networks, new skills, and an influential role in the
community for individuals who may otherwise have few formal routes to education or influence. One of UNVs central
missions is the attempt to achieve recognition for the voluntary work that women are already doing, and which is often
disregarded or undervalued. UNVs projects can often have a positive effect in this regard by channelling and externally
validating the voluntary activity, which is already going on2.
However, during programming volunteers do need to consider the risks of adding to the existing loads of unpaid work,
which are already carried by many women. If volunteerism is to justify adding to this load of unpaid work, and taking away
from the time available to women to undertake paid work, it will need to bring very clear benefits to the volunteer. Every
project should, at the analysis stage, carry out an analysis of how volunteering will impact on gendered roles, and make it
explicit how the project will ensure that the benefits are great enough to compensate for the time spent on volunteering.
Gender needs to be integrated into all volunteering placements, projects and programmes and considered at each stage
of the assessment process undertaken with this methodology. When taking into consideration issues of gender, we need
to remember we are talking about men and women.

Gender Mainstreaming in UNV. Alexandra Norrish. June 2006.

key concepts

HOW VOLUNTEERISM CONTRIBUTES TO GENDER EQUALITY


Combating Female Genital Mutilation in Sudan

UNVs unique approach to combating Female Genital Mutilation (FGM) capitalizes on volunteerism and local
community action. By involving males and youth in peer education, engaging midwives and mothers in sexual
education, working with schools to raise the awareness of children, reaching families of pupils through public
events, and by generating innovative information materials, UNV and community volunteers were able to challenge
this issue from a community perspective.
Volunteerism enabled communities to generate their own solutions to development challenges, thus
complementing the work of governments and development partners, including civil society organizations. This has
led to enhanced openness to consider the collective abandonment of the practice.
In 2007, UNV contributed to the development of the National Strategy for the Abandonment of All Types of Female
Genital Mutilation (FGM) and launched an abandonment
campaign. Working closely with UNFPA, the Ahfad
University for Women and other stakeholders, UNV
engaged local volunteers to tackle FGM related issues
from within their own communities. It was the holistic
approach of interventions that contributed to the
success of the joint initiatives.
To ensure sustainability, UNV and partners supported
the creation of a new non-governmental organization
comprising the community volunteers it mobilized. The
scheme is being replicated elsewhere in Sudan and
expanded to include new partners.

Example questions to ask about womens participation and gender:

How and in what way did women, men, girls and boys participate in our assessment processes whose voices
and perspectives got heard?
Did we create the best possible conditions for the participation and active involvement of women?
Did we provide women only spaces that were organized and facilitated by women?
Is our work helping to raise awareness amongst women and men about gender inequality?
Who is benefiting from our different activities and how (men, women, girls & boys)?
What have been some of the unexpected (both positive and negative) results of our different activities on
men, women, girls and boys? (Here you might want to consider issues of work load etc.)
How many womens groups/associations have been formed?
How and in what way has our work contributed to changes in gender attitudes, roles, relationships and
behaviours?
Is our work helping to increase the capacity and confidence of women to have control over their own lives and
decision-making?
Is gender taken into account in the way we plan, analyze, review and report about our work?
Is our work helping to promote equal participation?
What lessons are we drawing from our work that will help to promote and contribute towards gender
equality?

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leed included

Box 1.2: Suggested further reading and resources


On CD:
Part 4 of the CD: Key Concepts

Contribution to gender equality and critique

The Broader Context of our Work: National Development Goals and MDGs
Increasingly development organizations including Volunteer Involving Organizations (VIOs) are aligning their strategies
and actions in support of much higher-level development goals and strategies, both at national and international level. The
rationale being that projects alone will not affect longer-term change and sustainable development, but that working in
synergy with others is more likely to produce significant changes for people living in poverty.

National Development Goals


There is much greater recognition by the aid community than before that development strategies need to support country
priorities, national ownership and the priorities of the poor. Many volunteer programmes are now aligned with the national
development goals of the countries where they operate. This is in line with the current practice of donors and other
development agencies.

Poverty Reduction Strategy Paper (PRSP)


In many countries the national development goals are to be found in the Poverty Reduction Strategy Paper (PRSP).
The World Bank and the IMF initiated the PRSP concept in 1999. The idea was for low-income countries to formulate a
national strategy for reducing poverty, which describes the countrys development objectives, the programmes that have
to be introduced to achieve these objectives, and the funding required implementing them. By establishing their own
Poverty Reduction Strategy (PRS), countries obtain access to debt relief and other financial support from the International
Finance Institutions (IFIs) and other donors.

United Nations Development Assistance Framework (UNDAF)


The United Nations Development Assistance Framework (UNDAF) is the strategic programme framework for the UN
Country Team (UNCT), which is composed of the operational UN agencies on the ground. It describes the collective
response of this team to the priorities in the national development framework. Its high level expected results are called
UNDAF outcomes. These show where the UNCT can bring its unique comparative advantages to bear in advocacy,
capacity development, policy advice and programming for the achievement of MDG related national priorities.

Millennium Development Goals


The Millennium Development Goals (MDGs) constitute the foundation of the mission of UNV of supporting
sustainable human development through volunteerism, including the mobilization of volunteers. At the heart of the
UNV approach is the conviction that voluntary action by millions of people in programme countries and elsewhere
is a vastly under-recognized and under-utilized resource that needs to be strategically engaged if the challenge of
attaining the MDGs is to be successful. UNV, 2006.

The Millennium Development Goals and targets have been developed as follow-up to the Millennium Declaration,
which was signed by 189 countries, including 147 heads of state and government, in September 2000. The MDGs
are interrelated and should be seen together. They represent a partnership between the developed countries and
the developing countries to create an environment at the national and global levels alike which is conducive to
development and the elimination of poverty.
Democracy, governance and peace-building as well as humanitarian relief and recovery underpin the achievement of the
MDGs.

key concepts

The cumulative contribution of volunteering


The purpose of including the MDGs in the assessment methodology is to enable volunteers and partners to look in
general terms at how they make a contribution in the wider context of international development targets. This is not about
trying to attribute changes to individual volunteers, projects or programmes, but attempting to look at the cumulative
contribution of volunteering within the broader context of ongoing development processes.
While it is useful for volunteers to have a copy of the MDGs for reference, we do not recommend getting caught up in the
details. One problem with the MDGs is that the targets are very much based on quantitative rather than qualitative data. (A
detailed copy of the MDGs can be found on the CD.)
What may be more relevant to assessing the wider contribution of volunteering are the Values and Principles of the MDGs
(these can also be found on the CD), which are much more in tune with the development of social capital and with the
volunteering ethos.

Box 1.3: Suggested further reading and resources


On CD:
Part 5 of the CD: The Broader Context of our work

National Development Goal Mali Example

Example chart of the contribution of volunteering to Cambodias National Goals

Aggregation Chart from Kenya: Volunteering contribution to the MDGs

The value and principles of the Millennium Declaration

MDG summary table PDF
Other resources from the internet (not from the CD)

http://poverty.worldbank.org/prsp/

http://www.un.org/millenniumgoals/

HOW VOLUNTEERISM CONTRIBUTES TO ACHIEVING THE MDGS


Spreading nutritional knowledge in Brazil

UNV and its partners in Brazil are harnessing school volunteers to raise
awareness of nutrition and MDG1: Eradicate extreme poverty and hunger.
The I learn, I teach programme, which is undertaken in cooperation with the
NGO Conexo - Servio de Integrao Social aims at disseminating and
implementing the MDGs. It involves groups of around five volunteer pupils and
their teachers from 10 schools in Carapicuba city. These groups are trained
on awareness-raising techniques and go out into their communities to spread
knowledge.

Research on local concepts of


nutrition was key to ensuring
the I learn, I teach project
addressed the communitys
needs. (UNV)

Women are the main target group of the information campaigns as they are often
responsible for the purchase and preparation of food, whether for their families
or as school cooks etc. Furthermore, the majority of volunteers both students
and teachers are female.
The strategy has developed local self-esteem and trained people to improve their
own situation, says UN Volunteer Alessandra Preto who has been running the
project since 2007.

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leed included

SECTION TWO:
THE ASSESSMENT
METHODOLOGY
The Methodology for Assessing the Contribution of Volunteering to Development comprises a series of participatory
workshops at different levels to collect data about the contribution of volunteering to development. This section introduces
you to main methods and exercises used in the Methodology.
1.
2.
3.

Placement level assessment workshops


Programme level assessment workshops
Inter-organizational assessment workshops

How to use this section


The example workshop schedules and workshop exercises presented in this section aim to support volunteers and their
key stakeholders in analyzing their achievements, challenges and lessons and in assessing how their work contributes to
changes in poor peoples lives and to the organizations and institutions they work with.
The suggested workshop schedules, exercises and steps in the process should be adapted by the facilitator(s) to suit the
specific needs of the organization and to fit the context in which volunteers are working.
A full set of workshop Feedback Sheets for each workshop can be found on the CD.

Box 2.1: Suggested further reading and resources


On CD:

Part 3 of the CD: User notes



Notes for the Volunteer

Notes for Country Programme Coordinators

Notes for the Facilitator
Part 5 of the CD: The Broader Context of our work
(These will need to be photocopied for the Programme Level Workshops)

National Development Goal Mali Example

Example chart of the contribution of volunteering to Cambodias National Goals

Aggregation Chart from Kenya: Volunteering contribution to the MDGs

The value and principles of the Millennium Declaration

the assessment methodology

The following four tables provide an overview of the workshops at placement, programme, national and global levels. Each
of these types of workshops is discussed more in detail afterwards.

Table 2.1: OVERVIEW OF THE ASSESSMENT WORKSHOPS


Level 1
Placement/Project Level Assessment Workshop
Level definition

Individual volunteer, or groups of volunteers working on the same project in the same locality

Purpose

Collaborative review and reflection on the placement

Timing

Near the end of the 2nd year of the placement

How

Self-reflection
1.5 day workshop/meeting
Interviews by the volunteers with stakeholders (optional)

Convener

Volunteer or VIO interested in the results of a particular project

Stakeholders

Volunteer
Other volunteers involved in the project/activity
Supervisor
Representative(s) of host organization(s)
Local groups/actors
Beneficiaries
Other relevant key informants

Output

Completed Placement Assessment Feedback Sheets (per volunteer, or groups of volunteers)


Key lessons and recommendations for future placements

Level 2
Programme Level Assessment Workshop

Level definition

National level - aggregating data across volunteer placement & projects

Purpose

Analyzing overall findings from placements and projects and overall contribution of volunteering
towards national/international goals

Timing

Approximately every 2 years with volunteers who are nearing the end of their placements

How

1.5 day workshop

Convener

VIO interested in the results of a sector or country programme

Stakeholders

Volunteers
Representative(s) of host organization(s)
Local groups/actors
Beneficiaries
Other relevant key informants

Output

Completed Programme Level Assessment Feedback Sheets


Recommendations and lessons relevant to strategic planning at country level

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leed included

Table 2.1 (CONTD): OVERVIEW OF THE ASSESSMENT WORKSHOPS


Level 3
Placement/Project Level Assessment Workshop

Level definition

Volunteering Organizations

Purpose

Joint analysis and sharing of lessons and findings, promoting networking and collaborative
planning amongst VIOs

Timing

At least every two years

How

Workshop or special event e.g. conference/seminar

Convener

VIOs interested in learning from each other

Stakeholders

Representatives from VIOs and selection of partners


Other key stakeholders including:
Representatives from host organizations
Donors, government, other NGOs/INGOs, civil society representatives, academics etc.

Output

Completed Inter-Organizational Workshop Feedback Sheets


Action Plan for future harmonization and coordination

Level 4
Global/Headquarters 3
Purpose

Analysis of findings and recommendations for improved placements and programmes

Timing

As needed/required by VIO headquarters

How

As part of managements ongoing review and evaluation of VIO projects and programmes

Stakeholders

Senior programme managers at HQ level, evaluation officers, programme specialists and


programme/executive officers

Outcome

Ongoing strategic plan reviews and revisions

3
The handbook does not set out specific exercises for HQ level. However, we do give an example schedule for a workshop at HQ
level on the CD. Many of the exercises and tools used in the placement/programme level workshops can be adapted for a workshop at HQ
level.

the assessment methodology

Placement Level Assessment Participatory Workshop


The purpose of this assessment is to:




Reflect on the contribution of volunteering at the level of the individual placement and/or project
Share perspectives between different stakeholders on the added value of volunteering and what difference it
makes
Generate data and findings on volunteering activities (outputs) and outcomes from individual placement or
projects
Identify how volunteering at individual placement or project level contributes to wider development goals
Discuss challenges, good practices and lessons learned

The outputs of the assessment will be:



Completed Placement Assessment Feedback Sheets (per volunteer)


Key lessons and recommendations for future placements

When should it take place and who should be involved?


The Placement Level Assessment can be organized by individual volunteers or by VIOs that are interested in learning
about the results of a particular project. In order to discuss results more meaningfully, we recommend the participating
volunteers to have been in their placements for approximately two years. The assessment might be done through a
workshop and/or meeting with a range of key stakeholders. We are not suggesting a very large workshop. However,
you may want to consider including partners, your line manager, local government members, representatives from the
community/beneficiaries, or representatives from other NGOs as relevant. It makes sense if a number of volunteers are
working on the same project to hold a joint workshop. If the placement is at community level, it may be more appropriate
to collect data through informal discussions and semi-structured interviews. The volunteer will still have to complete
the Placement Assessment Feedback Sheets, preferably in collaboration with one or two colleagues to help ensure
objectivity.

HOW ONE INDIVIDUAL VOLUNTEER CAN MAKE A DIFFERENCE


Football unites rival youth in Myanmar

The antagonism between the Rohingya and Rakhine ethnic


groups in Myanmars northern Rakhine State is especially
marked. However, UNV volunteer Primo Wusong and his
colleagues had an idea.
Mr. Wusong got together 30 young men from the two ethnic
groups, put them into football teams and raised some money
for T-shirts and balls. Resentment was soon put aside, he
explains, and the two groups actually joined together and
performed very well. The teams are about socialization as
much as sport, and during picnics and tea shop meetings,
the UN Volunteers encourage the players to talk about ethnic
reconciliation and also about ways to solve environmental
problems.
I can tell you that they are able to play and work together now, they can be seen in town moving together, and in
the tea shops welcoming one another, says Mr. Wusong. Actually, something real is happening here.

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Preparation for the Placement Level Assessment Workshop

UNV Emblem / A4 Vertical / tagline / CMYK


leed included

Decide on a convenient date, location and venue. Planning will require gathering any necessary background information
and materials, arranging logistics, inviting participants, developing the overall schedule and sequence of exercises and/
or interviews, and deciding on what additional preparation work will need to be undertaken. Volunteers will need to make
sure they can back up their analysis with both quantitative as well as qualitative data. Remember to allow time for any
translation work. Key concepts will also need translation into the local language. Make sure the facilitator is well briefed
and able to conduct their assigned tasks. Key exercises and preparation work will need to be adapted to each situation.
Please use the Workshop Participation Form (template on CD) to record who has taken part in the
assessment workshop.

Box 2.2: Suggested further reading and resources


On CD:

Part 3 of the CD: User notes



Notes for the Volunteer

Notes for Country Programme Coordinators

Notes for the Facilitator

Part 6 of the CD: Placement Level Assessment Workshop

Workshop Participation Form

Placement Assessment Feedback Sheets

Example of Story: No More Sleeping! Indonesia

Example of Story: Communications and relationships, UNV volunteer, Vietnam

the assessment methodology

Placement Level Assessment: Participatory workshop


Example workshop schedule
The following is an example of a workshop schedule for a one and a half or two day participatory workshop.
Day

Day 1

Time

Morning

Session
1.
2.
3.
4.

Introductions
Participant expectations & fears
Workshop objectives
Exercise A: Sharing Stories
Break

5.
Introducing basic terms and key concepts
6. Exercise B: Reviewing and ranking the volunteers key activities and outputs
Lunch
Afternoon

Day
Day 2

7.
Exercise C: The outcomes of the contribution of volunteering
8. Exercise D: The volunteers overall contribution to higher level development
goals

Time
Morning

Session
9.

Exercise E: SWOT analysis


Break

10.
11.
12.

Exercise F: Key Lessons and Recommendations


Closing the workshop & next steps
Workshop evaluation

List of Exercises
EXERCISE A: SHARING STORIES..............................................................................................................................................................24
EXERCISE B: REVIEWING AND RANKING THE VOLUNTEERS KEY ACTIVITIES AND OUTPUTS....................................25
EXERCISE C: THE OUTCOMES OF THE CONTRIBUTION OF VOLUNTEERING.....................................................................27
EXERCISE D: THE VOLUNTEERS OVERALL CONTRIBUTION TO HIGHER LEVEL DEVELOPMENT GOALS..............29
EXERCISE E: SWOT ANALYSIS...................................................................................................................................................................30
EXERCISE F: KEY LESSONS AND RECOMMENDATIONS................................................................................................................31

Box 2.3: Suggested further reading and resources


On CD:

Part 6 of the CD: Placement Level Assessment Workshop



Workshop Participation Form

Volunteer Information Form

Feedback Sheet Exercise A: Stories

Feedback Sheet Exercise B: Output ranking

Feedback Sheet Exercise C: Outcomes 1-3

Feedback Sheet Exercise D: Overall contribution to development goals

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Exercise A: Sharing Stories

What?
Invite each stakeholder in advance of the workshop to think of a story or choose a recent example of how
volunteering has brought about a significant change. Ask the participants to consider why the change has
occurred, who was involved, what were the activities and the role of the volunteer(s), who benefited from the
changes and the difference it has made.

Why?
This exercise can be used as an icebreaker. It is a good introduction to the theme of the workshop and helps to
build rapport amongst the participants.

How?
The facilitator should nominate someone to capture the key points from each of the stories and from the group
discussions. Stories can be tape-recorded if relevant for case study purposes. A summary of the most significant
story of change should be written up by the volunteer on the Feedback Sheet Exercise A (Copies of the Feedback
Sheet can be printed from the CD).
Tips: This exercise can also be done by individual volunteers as part of a self-reflection exercise and/or for ongoing
monitoring purposes.

Suggested steps in the process


Step 1: Ask each participant to spend five minutes sharing their story.
Step 2: After everyone has shared their story, invite the participants to share their impressions during a plenary
discussion. The facilitator may want to help the discussion by asking prompt questions. For example:






What seem to be the main activities that volunteers have been involved in?
What common themes seem to be arising from the stories about change and the role of the volunteer(s)?
What role did the volunteer(s) play? Who else was involved?
Who were the main beneficiaries (women, girls, boys, men, specific groups)?
What types of changes have occurred as a direct result of the volunteer(s)?
How significant was the change? What difference has it made (overall contribution)?
If the volunteer(s) had not been involved, would this activity have happened?

Step 3: For the final part of this exercise ask participants to get into small buzz groups (three-five people) to discuss
which story they feel best illustrates the contribution of the volunteer(s) and why. It is important that they note down the
reasons why. These provide useful criteria for later discussions on outcomes and overall contribution to development
goals. After 10 minutes, invite each group to share the highlights of their discussion. The facilitator should attempt to
synthesize the discussion, pulling out the most significant story or stories and any common themes and criteria identified.
For workshops with more than 8 people, we suggest the following:
Step 1: Ask participants to get into either pairs or groups of three. In their pairs/groups they each spend five minutes
sharing their story.
Step 2: Invite each group to share highlights of their discussion in plenary. This does not mean feeding back a detailed
account of what each participant has shared but general themes and significant elements of the story that they would like
to share with the other participants. The facilitator can use the same prompt questions as outlined in Step 2 above.
Suggested further reading: Most significant change guide: Rick Davies & Jessica Dart http://www.mande.co.uk/docs/
MSCGuide.pdf

the assessment methodology

Exercise B: Reviewing and ranking the volunteers key activities and


outputs
What?
A group exercise to learn more about the specific activities the volunteer has carried out and the immediate results
(outputs) of these activities.

Why?
To build on the stories shared in Exercise A and gather more information about the types of activities and outputs
of the volunteer placement and the volunteers contribution. This exercise requires both quantitative data as well as
qualitative analysis.

How?
The facilitator will need to explain what an output is (see box below). The facilitator can refer to the activities
already identified during Exercise A to illustrate the types of activities and outputs of the volunteer placement. The
facilitator should record the key outputs on a flipchart. The volunteer is responsible for completing Feedback Sheet
B. (Copies of the feedback sheet can be printed from the CD)

OUTPUTS: Outputs are the immediate and specific results of a series of activities that are directly attributable to
the volunteer or the project/programme. For example, the number of people trained, counselled, sheltered etc. The
number of pamphlets published, information leaflets produced etc. It is assumed that these activities will lead to the
achievement of what the project is hoping to achieve overall (the project objectives). Some of these will be planned
outputs (i.e. as per project plan) but there may well be results that were unplanned. See the Logframe example on
page 12 of this handbook.

Suggested steps in the process


Step 1: Ask participants to list all main activities of the volunteer placement(s) and the immediate results of these
activities (Key Outputs). They can either write these on cards or call them out to the facilitator who will then write them up
on cards or on a flipchart. If the facilitator has already generated a list from Exercise A, this may be used as a checklist.
Probe for quantitative information e.g. numbers of people, materials developed etc.
Step 2: Draw a table on a flipchart (see Feedback Sheet for Exercise B on CD for the template). In the first column of the
table you will place each of the key outputs. In the next columns write whether the output was planned or unplanned and
whether the activity was carried out by a national or international volunteer.
Step 3: Decide on a method to rank the outputs in order of importance and/or effectiveness. You will need to agree what
criteria you will use to judge what has been effective or is of importance. The facilitator may well have begun to draw this
list up from the previous Exercise A. You can use this as a checklist. The facilitator will need to ensure that she/he elicits
views from all of the participants and not just from a handful of more vocal participants.
A very simple and quick way to rank the outputs is through a scoring method. Give each participant five/seven sticky
dots. You might want to disaggregate by giving different coloured dots to women and men, volunteers, non-volunteers etc.
Participants have the option to put all of their dots onto one output or to spread the dots out over a number of outputs.
Instruct the participants not to be led by others.
Step 4: After the participants have placed their dots, the facilitator should identify the outputs that have received the most
and least dots. The facilitator leads a discussion with participants on the scores and the significance of the scores. They
should try and get the participants to identify any trends emerging, the types of outputs that appear to be more important
and/or effective. It is important to note down the different perspectives and views.

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Step 5: Write the list of final outputs and scores onto a clean version of the Placement Level Feedback Sheet Exercise B.

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Tips: Remember there will be very different perspectives on what constitutes an effective output. Participants may find it
confusing to rank and/or score the order of importance of the volunteer outputs without a more in depth discussion on the
outcomes and results of the activities. Participants are likely to want to discuss other factors that might have contributed to
these changes, including their role, and other internal/external factors. The facilitator can choose to carry out the ranking
exercise as part of Exercise C, which focuses on outcomes.

Example of outputs from the Ski Project in Botswana


Below are some of the outputs volunteers working with Kuru Family of Organizations (KFO) and stakeholders
involved in the Ski Project in Botswana identified during their placement level workshop:




Human Capacity: Many people trained in various areas (business, leadership, health issues, community
mobilization, CBNRM), skills-based training, also employment of local counterparts and local project staff
Systems: Financial controls, human relations enrichment, management, governance
Knowledge/Information: Cultural exchanges, networking, humanities, various skills
Infrastructure: in the past buildings of preschool etc. would be built by volunteers
Materials/Documents/Websites: KFO website, financial systems, curriculum materials (Bokamoso),
CDF training manuals (sourcing existing materials and updating them), adult education and non-formal
educational materials, health training manuals, BOOK VOICES OF THE SAN
Awareness/Engagement: advocacy for minority groups rights based approaches, cultural exchanges

Participants found it difficult to rank the order of importance of outputs because they felt all the outputs were of
equal importance and very crucial to a holistic development process. Yet in the end, they decided that those
outputs they characterized under human capacity were probably the most important outputs, followed by systems
and then materials. The factors and criteria they used included the mandate of KFO, participation and community
impact.

the assessment methodology

Exercise C: The outcomes of the contribution of volunteering

What?
A group exercise to identify the changes brought about by volunteering during the placement.

Why?
This exercise builds on Exercise B and begins to connect the volunteer activities and outputs to the changes that
have resulted (expected and unexpected).

How?
Ensure all participants understand what an outcome is (see the box below) The facilitator can refer to the
outputs identified during Exercise B as the starting point to discuss what changes have happened as a result of
these activities. The facilitator can use Placement Level Handout Sheet Exercise C (on the CD) to record the key
volunteer outcomes with respect to the changes with different stakeholder groups. Once this has been done, the
facilitator will support participants to explore and discuss in more depth how the volunteer contributed to these
changes, any key challenges and key disappointments, whether the changes were intended or not (based on the
original placement/project objectives), and to explore how different types of volunteers contribute in different ways.

OUTCOMES:
These are actual changes/benefits brought about by volunteers through working with different stakeholders. They
reflect the development of self-reliance.
Essentially we are looking at qualitative change, for example:

Changes in attitudes, ideas, awareness or behaviour

Social, cultural, political or personal change

Individual, group, community, organizational or institutional change

Changes in practice, priorities, resources or systems

Changes in roles, relationships, responsibilities, communications

Changes at micro or macro level, in a specific sector or cross-sectoral
See the examples of types of changes that we expect to see for different stakeholders previously on page 13 of this
handbook.

Suggested steps in the process


Step 1: Ask participants to spend five-seven minutes on their own to think about the changes that have taken place as
a result of the volunteer activities; these might be changes that the volunteers have contributed to with others, or they
might be changes that have resulted as a culmination of a number of volunteer activities. The changes might be personal
changes, organizational changes, changes in the community etc. They might be positive or negative changes. The
changes might be intended or unintended. The changes might be on a very small scale or a large scale. Ask participants
to write down the changes on separate cards. Ask participants to think about which stakeholders have been affected by
these changes.
Step 2: The facilitator prepares a flipchart paper on the template set out in Placement Level Feedback Sheet Exercise
C 1 on the CD. The facilitator will ask each participant in turn to call out a key change and writes this on the flipchart.
Participants will decide which stakeholder group(s) the change refers to. Once everyone has called out a change, ask
whether there are any additional changes they would like to add to the list. The facilitators role is to probe the responses
of the participants and reach further clarity on the type of change that has taken place, whether it was planned or not,
positive or negative, and who benefited (men, women, girls, boys, marginalized groups etc.)

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inspiration in action

Step 3: Once you have listed all the outcomes, divide the participants into small groups of three to five. Ask each group to
spend 45 minutes discussing the following questions:

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Identify HOW volunteering has contributed to the key changes (i.e. identifying the exact role of volunteering within
the changes brought about)
Have there been any negative or unplanned outcomes as a result of these changes?
What key factors do you feel have supported or hindered the volunteers contribution?
Is there a difference in the contributions the following types of volunteers can make? Is so, please explain why.
o
Volunteers of different ages
o
Male and female volunteers
o
National and international volunteers
o
Mixed teams of international/national volunteers
Any other observations you would like to add?

If there are more than five key outcomes to discuss you may want to divide these up amongst the groups.
Step 4: Each group should write up their key findings onto a flipchart paper. They can be as creative as they like, e.g. they
can do this as a picture or write up brief bullet points. The facilitator might want to hand out the Placement Level Feedback
Sheets Exercise C 2 and 3 on the CD for groups to record their discussions.
Step 5: Give each group 10 minutes to feed back the highlights of their discussion. After each group has given their
feedback, open up the discussion to plenary.
Step 6: The facilitator will need to consolidate the key outcomes of Exercise C onto the Feedback Sheets provided on the
CD.
Optional: You could carry out the scoring/ranking exercise detailed in Exercise B as part of this exercise.
TIPS: The facilitator should make it clear to participants that any discussion of negative changes that might have
occurred during the volunteer placement/project is not intended to be a blame making exercise. The idea is to get a better
understanding of some of the unintended consequences of our activities so that we can learn to improve future projects
and programmes. Likewise, any discussion on the contributions that different types of volunteers can make is intended to
inform future placement strategies and is not an assessment or critique of individual volunteers.

the assessment methodology

Exercise D: The volunteers overall contribution to higher level


development goals
What?
The session begins with a short presentation on volunteerism for development including an overview of National &
International Development Goals. This is followed by a group discussion to explore the contribution of volunteerism
to development goals.

Why?
Having looked at what the volunteer does and what is achieved by volunteerism, this task links volunteerism to
higher level goals and connects volunteer activities with the wider development landscape.

How?
Volunteer outputs and outcomes may either contribute to one specific goal or to a number of goals (see examples
on the Placement Level Feedback Sheet D on the CD). The idea is not to establish a direct causal link to these
goals, but to support volunteers and their stakeholders to reflect on how and in what ways volunteering and
volunteerism contributes to long term sustainable development.

Suggested steps in the process


Step 1: A representative from, either the volunteer host organization, VIO and/or invited participant presents a short
introduction on the development goals (either national/MDG and/or other goals) and on how volunteering for development
hopes to contribute to these goals. Aim to keep the presentation to a maximum of 10 minutes.
Step 2: After the presentation ask participants to split into small buzz groups for 15 minutes to discuss the following
questions:

In what way do you think the placement or project has contributed to the longer-term goals highlighted in the
presentation (or the longer term goals set out in Feedback Sheet D)?
How might the volunteer placement and/or project contribute to these goals in the future?

Step 3: In the feedback session elicit one point per buzz group for each question. Go round each group until all points
have been shared. Then open up the discussion to plenary.
Step 4: At the end of the plenary discussion the facilitator should attempt to draw together overall conclusions from
the discussion. You could also invite the presenter of the goals or an external stakeholder to feedback their overall
conclusions.
Step 5: The facilitator or volunteer should write up the key points from the discussion onto the Placement Level Feedback
Sheet Exercise D (on the CD).

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Exercise E: SWOT Analysis

What?
This is a participatory tool that can be used to analyze the strengths and weaknesses, opportunities and threats of
the project or placement.

Why?
To look at the factors which facilitate and constrain the volunteer in achieving the placement/project objectives.

How?
Draw up a SWOT chart on two flipcharts (see Placement Level Feedback Sheet Exercise E on the CD). Use
coloured post-its/coloured cards. You may find it easier to address all 4 factors simultaneously. SW factors are
often used to refer to internal aspects of the placement, while OT factors address issues external to the employing
organization. (See box below)

The aim of any SWOT analysis is to identify the key internal and external factors that are important to achieving the
objective. SWOT analysis groups key pieces of information into two main categories:

Internal factors The strengths and weaknesses internal to the organization.


External factors The opportunities and threats presented by the external environment.

Suggested steps in the process


Step 1: Ask the participants to:



List the key strengths of the placement/project (internal). Write each strength on a card and stick them to the
chart labelled strengths.
List the key weaknesses of the placement/project (internal). Write each weakness on a card and stick them to the
chart labelled weaknesses.
List the key threats to the placement/project (external). Write each threat on a card and stick them to the chart
labelled threats.
List the key opportunities for the placement/project (external). Write each opportunity on a card and tape them to
the chart labelled opportunities.

Step 2: Review each category separately and try to reduce the list in each category and/or rank in order of importance.
Step 3: Invite the participants to discuss the findings of the SWOT, and discuss in more detail the strengths, weaknesses,
opportunities and threats and the reasons why. Ask participants to give concrete examples.
Step 4: Ask participants which of the most critical issues need to be resolved and how the issues might be addressed.
Step 5: Make sure to write the SWOT cards and key points from the discussion onto the Placement Level Feedback
Sheet Exercise E (on the CD) at the end of the exercise.

the assessment methodology

Exercise F: Key Lessons and Recommendations

What?
Pulling together overall key lessons and recommendations.

Why?
The exercise builds on the SWOT analysis to prioritize key recommendations for the individual placement.

How?
Participants work in small groups. Participants should identify at least one recommendation that can be usefully
shared at the Programme Level Assessment Workshop.

Suggested steps in the process


Step 1: Divide the participants into two-three groups. Provide each group with a flipchart. Ask them to come up with a set
of five key lessons and five key recommendations for the future of the placement/project. These should build on:
1.
2.
3.

The overall workshop analysis of key achievements (Exercises A-D)


The strengths and opportunities identified (Exercise F SWOT)
Addressing the weaknesses and threats identified (Exercise F SWOT)

Ask participants to write up the key lessons and recommendations on the flipchart.
Ask participants to identify one overall key recommendation that can be usefully shared at the Programme Level
Assessment workshop.
Step 2: Ask each group to spend five minutes giving a brief highlight of their key lessons and recommendations.
Step 3: The facilitator feeds back overall conclusions from the workshop and from this last session, and explains how the
findings will feed into the Programme Level Assessment Workshop.
Step 4: The facilitator nominates or invites someone to write up the flipchart lessons and recommendations on to the
Placement Level Feedback Sheet Exercise F (on the CD).
TIPS: At the end of the workshop, it is good practice to carry out an evaluation of the workshop for learning purposes.

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Programme Level Assessment Participatory Workshop

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The purpose of this assessment is to:





Discuss the overall findings from a wide range of individual placements/projects (aggregation)
Examine and assess the cumulative contribution of volunteering on national and/or international development
goals
Discuss key questions about the difference volunteering makes
Exchange good practices and lessons learned

The outputs of the assessment will be:



Completed Programme Level Assessment Feedback Sheets


Recommendations and lessons relevant to strategic planning at country level

When should it take place and who should be involved


You should conduct an assessment approximately every two years through a workshop with volunteers who are nearing
the end of their placements. Not every end of service volunteer needs to attend, but you should aim to get a group that is
representative of the programme geography and sectors. You should also invite a small number of national and regional
stakeholders and partners. These might be from the placement NGO(s) or government, along with primary beneficiaries
as appropriate. You may also want to invite a small number of volunteers at other stages in their placement. For example,
newly arrived volunteers could attend as part of their orientation to the methodology and the programme. However, we
suggest no more than 30 people should attend the workshop. It is important to allow enough time for participants to have
meaningful discussions. This can be difficult with numbers of more than 30.

HOW A GROUP OF VOLUNTEERS CAN MAKE A DIFFERENCE


Assisting refugees in Chad

UN Volunteer Alexia Nisen is an Assistant Protection Field


Officer with UNHCR. Disputes within refugee camps
are sometimes solved via traditional methods, but Ms.
Nisen oversees these to ensure that human rights are not
degraded.
Other issues Ms. Nisen must deal with are sexual and
gender-based violence (SGBV) and the rights of children.
She refers women and children to volunteer representatives
within the refugee community and ensures they can consult
a doctor.
Helping refugees with longer-term development is her
colleague Amadou Boubakar, a UN Volunteer Environmental
Officer. Most of his efforts build the refugees capacity to solve their own problems. For example, Mr. Boubakar
helped set up committees of volunteers from among the camp-dwellers to manage agricultural production, food
security and animal husbandry.

the assessment methodology

Preparation for the Programme Level Assessment Workshop


Decide on a convenient date, location and venue. Planning requires gathering any necessary background information
and materials, arranging logistics, inviting participants, developing the overall schedule and sequence of exercises and
deciding what additional preparation work has to be done. Volunteers will need to receive all the background reading
and materials at least a month in advance of the Programme Level Assessment Workshop. This includes information on
National Development frameworks and the MDGs. Volunteers who attend the Programme Level Assessment workshop
should have completed the Placement Level Assessment. They should bring copies of all their Placement Level Feedback
Sheets to the workshop, plus an extra copy of the Change Story they prepared for the Placement Level Assessment.
The first part of this handbook (Section One: Key Concepts) can be circulated to national stakeholders in advance of the
workshop. Make sure the facilitator is well briefed and able to conduct their assigned tasks. Key exercises and preparation
work will need to be adapted to each situation.
Please use the Workshop Participation Form (template on CD) to record who has taken part in the
assessment workshop.

Box 2.4: Suggested further reading and resources


On CD:

Part 3 of the CD: User notes



Notes for the volunteer

Notes for Country Programme Coordinators

Notes for the facilitator

Part 5 of the CD: The Broader Context of our work

National Development Goal Mali Example

Example chart of the contribution of volunteering to Cambodias National Goals

Aggregation Chart from Kenya: Volunteering contribution to the MDGs

The value and principles of the Millennium Declaration

Part 6 of the CD: Programme Level Assessment Workshop

Workshop Participation Form

Example of Story: Programa de jvenes con la participacin popular, Bolivia

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Programme Level Assessment: Participatory workshop

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leed included

Example workshop schedule


The following is an example of a workshop schedule for a one and a half or two day participatory workshop.
Day

Day 1

Time

Morning

Session
1.
Introductions
2.
Participant expectations & fears
3.
Workshop Objectives & Introductory Presentation
4. Exercise A: Sharing key findings and lessons from the Placement Level
Workshops
Break
5. Exercise B Volunteering for development and the contribution towards
National/MDG Goals
Lunch

Afternoon
Day
Day 2

6.
7.

Exercise C Group A & B feedback


Exercise D: The volunteer as a catalyst for change

Time
Morning

Session
8.

Exercise E1: Factors supporting or hindering change


Break

9.
10.
11.
12.

Exercise E2: Group Feedback


Exercise F: Key Lessons and recommendations
Closing the workshop & next steps
Workshop evaluation

List of Exercises
EXERCISE A: SHARING OF KEY FINDINGS AND LESSONS FROM THE PLACEMENT LEVEL WORKSHOPS............35
EXERCISE B: THE CONTRIBUTION OF VOLUNTEERING TO DEVELOPMENT GOALS........................................................36
EXERCISE C: THE CONTRIBUTION OF VOLUNTEERING TO DEVELOPMENT GOALS GROUP FEEDBACK...........37
EXERCISE D: THE VOLUNTEER AS A CATALYST FOR CHANGE...................................................................................................38
EXERCISE E: FACTORS SUPPORTING AND HINDERING CHANGE............................................................................................39
EXERCISE F: KEY LESSONS AND RECOMMENDATIONS................................................................................................................40

Box 2.4: Suggested further reading and resources


On CD:

Part 6.2 of the CD: Programme Level Feedback Sheets:



Programme Level Workshop Participation Form

Volunteer Organization Information Form

Feedback Sheet: Exercise A Sharing key changes and lessons from the Placement Level Workshops

Feedback Sheet: Exercise B Group 1 Contribution to National Development Goals

Feedback Sheet: Exercise B Group 2 Contribution to the MDGs

Feedback Sheet: Exercise C Group 3 The Contribution of Volunteering to Development Goals

Feedback Sheet: Exercise D The Volunteer as a Catalyst for Change

Feedback Sheet: Exercise E1 Group 1 - Factors Supporting and Hindering Change

Feedback Sheet: Exercise E2 Group 2 Factors Supporting and Hindering Change

Feedback Sheet: Exercise F Action Planning

the assessment methodology

Exercise A: Sharing of Key Findings and Lessons from the Placement


Level Workshops
What?
Sharing experiences and lessons from the placement workshops.

Why?
This exercise can be used as an icebreaker. It is a good introduction to the theme of the workshop and helps to
build rapport amongst the participants as well as link this workshop to the Placement Level Workshop.

How?
Lessons and change stories are shared in small group work. Facilitator(s) pull together a synthesis of key
outcomes/stories and lessons. They can use the Programme Level Feedback Sheet Exercise A (on the CD) to help
collate and put together the synthesis.

Suggested steps in the process


Step 1: Divide participants into small groups (three-five per group). Provide each group with a flipchart. Ensure that the
invited stakeholders are spread out evenly between the groups of volunteers.
Step 2: Each volunteer will share his/her story of significant change and the one key lesson that they identified during the
placement level workshop. Allow 15 minutes per volunteer.
Step 3: After sharing the stories, the group participants can ask questions to each other regarding the stories. They
should identify and agree on the type of changes for each story. See the examples of types of changes that we expect
to see for different stakeholders on page 13 of this handbook. Each volunteer should pin up his/her story either on the
wall or on a pin board and/or flipchart. They should write the type of change(s) identified with a marker pen at the top of
their story. Each volunteer should also write up their key lesson on a card and put this on a second flipchart/pin board for
display.
Step 4: Towards the end of the session, the facilitator(s) will call the participants back to plenary. There will not be a
formal feedback session. Instead, the facilitator will invite participants to share any thoughts and reflections arising from
the small group session.
Step 5: During the break, the facilitator(s) will walk round to all the flipcharts/pin boards and attempt to classify the
stories of change (types of changes) and pull out overall key lessons. They will present back their summary findings at the
beginning of the session after the break. Leave the flipcharts/pin boards up for participants to read during subsequent
breaks. The initial analysis can be cross-checked at later stages in the workshop.

Sharing from the Placement Assessment


1.
2.
3.
4.

Logistics: How did you organize the workshops and who was involved?
Process: What did you like best about the workshop and what was most challenging/surprising about the
process?
Change story: Share your selected story and identify what type of change it illustrates
Key lessons: Share one overall key lesson and explain why

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Exercise B: The Contribution of Volunteering to Development Goals

What?
Group work exploring how volunteering contributes to higher level development goals.

Why?
To demonstrate the added value of volunteering and its overall contribution to higher level development goals. (See
examples from Mali, Cambodia and Kenya on the CD.)

How?
Two group exercises will run concurrently. One group will focus on assessing the contribution of volunteering
to PRSP/NDGs (or equivalent framework) and the second group will focus on assessing the contribution of
volunteering to the MDGs.

Suggested steps in the process


Step 1: Divide the volunteers and other participants into two groups. Group 1 will focus on national development
goals and Group 2 will focus on the international development goals (MDGs). Ensure there is a good mix of volunteers,
representatives from the VIO and other stakeholders in each group.
Group 1 National Level PRSP/NDG
Step 2: Draw a large chart with four columns on to flipchart paper. (See the Programme Level Feedback Sheet B Group
1 on the CD) Enter the national development goals for your country in column one.
Step 3: Ask each volunteer to write the key information from the Placement Level Workshop Exercises B (outputs), C
(outcomes) and D (contribution to development goals) onto small coloured cards or post-it notes, with a different colour
for each column. Volunteers should write one output/outcome/contribution to development goals per coloured card/postit note.
Step 4: Each volunteer first places their output post-it notes/cards on the output column. At each stage of this exercise
volunteers will be asked to discuss their cards. The role of the stakeholders is to question and help deepen the analysis
and offer their perspectives on the contributions noted. The following questions are to prompt the discussion during each
stage of the exercise:
1.

2.
3.

Key OUTPUTS on the chart. Discuss: In which sectors is your organizations (VIO) country programme
contributing and to what extent? Who else was involved? (partners, government, private sector) What was the
cost, etc.?
Key OUTCOMES on the chart. Discuss: Which are the most common key outcomes or changes (Who/what
has benefited from the changes, how significant? Why did it change, is the work sustainable?)
Identifying contributions to DEVELOPMENT GOALS. Discuss: How and in what way do the outputs
and outcomes contribute to higher-level goals (e.g. national development goals, PRSPs etc.) How might they
contribute in the future?

Group 2 International Level MDGs


Group 2 will follow the same steps as Group A except they will list the MDGs in column one on the chart. (See
Programme Level Feedback Sheet Exercise B Group 2 on the CD)

the assessment methodology

Exercise C: The Contribution of Volunteering to Development Goals


Group Feedback
What?
Feedback from group work 1 and group work 2.

Why?
To share findings, information and views.

How?
Presentation and discussion of charts, small buzz groups, plenary discussion.

Suggested steps in the process


Step 1: Give each group 15 minutes to present their chart and findings. Once the group has presented, allow five minutes
for participants to ask any questions for clarification.
Step 2: Once the groups have presented, ask participants to get into small buzz groups (three-five). Try to mix up the
participants so that they are not just sitting with the people they were with in the previous group work session. The buzz
groups will discuss the following questions:
Discuss:
1.
2.
3.

What are the similarities and differences in the way national versus international goals have been
addressed?
What do you consider to be the cumulative effect of volunteers over time?
Any other observations or reflections (about doing the exercise and/or the findings from the
exercise)?

Step 3: Get each buzz group to feed back the key points from their discussion. Start with one point per group per
question.
Step 4: The facilitator concludes the session with a quick summary of the key themes and points emerging from the
session. The key points from the discussion should be noted on the Programme Level Feedback Sheet C: Volunteering for
development and the contribution to National and International Goals (on the CD).

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Exercise D: The Volunteer as a Catalyst for Change

What?
Group work exploring the role of the volunteer.

Why?
Exercises B & C have looked at what volunteering does and what it achieves. This task looks at how it has been
achieved and the specific role and qualities of the volunteer as a catalyst for change.

How?
Participants split into three groups. A recorder in each group captures the key points on a flipchart for feedback.
As each group presents their key findings in plenary, other participants can add points, which should also be
recorded. Tasks can be written on a card for each group.

Suggested steps in the process


Step 1: Divide participants into three groups. Make sure each group has a good mix of volunteers, VIO representatives
and other stakeholders. Each group will address a specific set of questions. If necessary, participants can refer back
to the Placement Level Feedback Sheets (Exercise C, Outcomes) for specific examples and data to back up their points.
Each group will appoint a note taker to capture the key points onto a flipchart.
Questions for group work
These questions are based on the data and findings from the previous sessions.
Group 1:

What are the common underlying themes regarding the role of the volunteer in the achievements and change
processes identified? In what way do volunteers act as catalysts for change?

Would the achievements have happened without the volunteer involvement or happened differently? Explain your
analysis.

Any other observations/comments regarding the role and contribution of volunteers?
Group 2:

What types of volunteer activities have worked well/less well and why?

What have been some of the unexpected outcomes of the volunteer placement(s)? These might be positive or
negative outcomes.

Any other observations/comments regarding the role and contribution of volunteers?
Group 3:

What, if any, are the key differences in contribution between:
o
Female and male volunteers
o
Volunteers of different ages
o
National and international volunteers (as relevant to the project)
o
Mixed teams and non-mixed teams

Are there any other specific examples of diversity with regard to context and overall contribution?

Any other observations/comments regarding the role and contribution of volunteers?

Step 2: Each group will give feedback in plenary session. After each group presents their findings, other participants can
add points etc.
Step 3: The facilitator nominates or invites a volunteer to write up the key points on to the Programme Level Feedback
Sheet D (on the CD).

the assessment methodology

Exercise E: Factors supporting and hindering change

What?
Two exercises running concurrently that will explore and analyze supporting and hindering factors to change.

Why?
Having examined the what and how of volunteering, the workshop now moves on to look at the factors that facilitate
and constrain volunteering and how to overcome them. Factors can be internal or external to the VIO or employing
organization.

How?
Group 1 will brainstorm factors supporting and hindering change. They will draw on the findings from the SWOT
exercise E from the placement level assessment. Group 2 will do a stakeholder analysis to identify people, groups,
and institutions that influence volunteer initiatives (either positively or negatively). Each group will feed back their
highlights and key lessons in plenary session.

Suggested steps in the process


Step 1: Divide the participants into two groups. Provide each group with a flipchart. Write up the instructions for both
exercises to hand out to each group.
Group 1
Step 2: Draw a large matrix on a flipchart paper. (See the Programme Level Feedback Sheet E1 on the CD for the
template)

Step 3: First list all the key factors that have positively affected the outcomes and achievements. These might be internal
and external forces. Identify the most important factors and discuss how the programme/VIO organization might build on
these supporting forces. Remember to refer to the Placement Level SWOT Analysis Feedback Sheet Exercise E.
Step 4: Next, list all the key factors that have hindered or negatively affected the outcomes and achievements. These
might be internal and external forces. Identify the most important hindering factors and discuss solutions for addressing
these. Record the suggestions on the chart.
Step 5: Identify five key points/lessons to feed back in the plenary session.
Group 2
Step 2: Draw a large matrix on a flipchart paper. (See the Programme Level Feedback Sheet E2 on the CD for the
template) Column one is a list of the people, groups and institutions that influence your project/initiative (either positively
or negatively). Group members can add to this list.

Step 3: Review each stakeholder listed in column one. Assess how important are the stakeholders interests in the
success of the volunteer placement and project. Consider how they might have a positive role (specific interests) and how
they might have a negative role. Record these under the column Stakeholder Interests in Volunteering.
Step 4: The final step is to consider the kinds of things that you might do in the future to get stakeholder support and
reduce opposition or obstacles. Consider how you might approach each of the stakeholders. Think about other groups
or individuals who might also influence the stakeholder(s) to support your project. Record your suggestions in the last
column of the matrix.
Step 5: Identify five key points/lessons to feed back in plenary session.

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Exercise F: Key Lessons and Recommendations

What?
Drawing together key lessons and recommendations for the organization.

Why?
Provides results from the workshop that the organization can use in future strategic planning.

How?
In buzz groups and plenary feedback, drawing out recommendations from the data generated throughout the day.

Suggested steps in the process


Step 1: Ask participants to get into small buzz groups to discuss the following:
1.
2.

3.

What are the key lessons? How can we capitalize on our experience more strategically to influence
development interventions and approaches?
What is the profile of volunteers we have/want to have in the future? Think what we have learnt about the
different types of volunteers we have and how we might build these lessons into future recruitment policies and
procedures.
What is the profile of the placements that we have/want to have in the future? Think about the project
design; selection; response to requests; partners etc.

Step 2: Each buzz group agrees and records action points and ways forward for the organization
Step 3: Each group calls out a key lesson and the corresponding action point. The facilitator notes down the key lessons
and actions on a flipchart.
Step 4: Collate the feedback on to the Programme Level Feedback Sheet F (on the CD).

the assessment methodology

Inter-Organizational Workshop
The purpose of this assessment is to:





Exchange findings between VIOs


Strengthen relationships between different VIOs and different partners
Promote networking and collaboration between VIOs
Discuss mainstreaming volunteering into development programming
Discuss planning of volunteering and lesson learning from volunteering
Raise awareness about volunteering

The outputs of the assessment will be:



Completed Inter-Organizational Workshop Feedback Sheets


Action Plan for future harmonization and coordination

COMPARING DIFFERENT EXPERIENCES AMONGST


VOLUNTEER INVOLVING ORGANIZATIONS
National volunteer programmes in Niger and Liberia

The first national volunteers in Niger have been selected and will soon be fielded as part of the Volunteers for
National Development project launched by the Government of Niger with support from UNV.
The process started in early 2008 with the establishment of a
candidate database. Among the host institutions are 25 rural
municipalities, five national organizations and associations (a
farmers group, a womens group, a disabled peoples group,
an NGO and one association), one rural radio station and
one literacy centre.
Aiming to demonstrate how volunteerism is an empowering
force for development, the Liberian National Youth
Volunteering Service is open to citizens under 35. It places
them in the Liberian countryside to work with communities on
peace-building and development issues, bridging the divide
between the urban youth volunteers and rural people.

The Liberian NYVS sent 67 volunteers out to four


rural counties to improve education and health. The
scheme will expand further in phase 2. (UNV)

Speaking in October at a recognition event for 67 volunteers


who recently completed their six months service, Liberian
President Ellen Johnson-Sirleaf commended UNV, UNDP and the Ministry of Youth and Sports for supporting her
vision of engaging youth in productive voluntary service.

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Consider conducting such an inter-organizational workshop approximately every two years. It might be a small or large
scale workshop, e.g. Programme Managers with a small number of volunteers, or a high profile event including national
and international stakeholders.

Preparation for the workshop


Decide on a convenient date, location and venue. Planning will require gathering any necessary background information
and materials, arranging logistics, inviting participants, developing the overall schedule and sequence of exercises and
deciding what additional preparation work will need to be undertaken. Make sure the facilitator is well briefed and able to
conduct their assigned tasks. Key exercises and preparation work will need to be adapted to each situation.
Please use the Workshop Participation Form (template on CD) to record who has taken part in the
assessment.

Box 2.6: Suggested further reading and resources


On CD:

Part 3 on the CD: User Notes



Notes for the volunteer

Notes for Country Programme Coordinators

Notes for the Facilitator
Part 6.3 on the CD: Inter-Organizational Workshop

Workshop Participation Form

Example of Inter-organizational workshop Introduction (PPT) Botswana

the assessment methodology

Inter-Organizational Workshop
Example workshop schedule
The following is an example of a workshop schedule for a half-day or one day workshop programme.
Day

Day 1

Time

Morning

Session
1.
Introductions
2.
Workshop Objectives
3.
Exercise A: Sharing experiences, key findings and lessons
4. Exercise B: Group work identifying key themes and the distinctive
contribution of volunteering to development
Break
5.
6.

Exercise B: Group feedback & plenary


Exercise C: Stakeholder perceptions and interests in volunteering
Lunch

Afternoon

7.
8.

Exercise D: Key lessons and recommendations


Exercise E Final Plenary

List of Exercises
EXERCISE A: SHARING EXPERIENCES, KEY FINDINGS AND LESSONS..................................................................................44
EXERCISE B: GROUP DISCUSSION.........................................................................................................................................................45
EXERCISE C: STAKEHOLDER PERCEPTIONS AND INTERESTS IN VOLUNTEERING...........................................................46
EXERCISE D: KEY LESSONS AND RECOMMENDATIONS...............................................................................................................47

Box 2.7: Suggested further reading and resources


On CD:

Part 3 on the CD - Inter-organizational Level Feedback Sheets:



Inter-organisational Workshop Participation Form

Volunteer Organisation Information Form

Feedback Sheet: Exercise A Sharing experiences, key findings and lessons VIO presentations

Feedback Sheet: Exercise B Group 1 Similarities and differences in findings

Feedback Sheet: Exercise B Group 2 Distinctive contribution of volunteers

Feedback Sheet: Exercise C Stakeholder perceptions and interests in Volunteerism

Feedback Sheet: Exercise D Key lessons and recommendations

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Exercise A: Sharing experiences, key findings and lessons

What?
Exchange of information by participating VIOs.

Why?
To share findings of assessment exercises between organizations.

How?
Each VIO gives a short PowerPoint presentation or another method of presentation.

Tips
Back to back power point presentations can be tedious. Think about how you might make the sharing session more
interactive and engaging. E.g. by introducing energizers between presentations, breaking into Q&A sessions after
each presentation or buzz group discussions after every two presentations etc. Or perhaps a poster presentation.
Encourage VIOs to be creative in the way they present their findings.

Suggested steps in the process (see also tips in the box above)
Step 1: Ask each VIO to give their 10-15 minute presentation, which will highlight the key findings from their own review
processes. Each presentation will be followed by a five-minute question and answer session.
The presentations should include:
1.
2.
3.
4.
5.

A general introduction to the organization: how and where they work, in which sectors, how many volunteers
etc.
What contribution has the volunteering programme made to national development? What are the key
results?
How has volunteering achieved these results?
What have been some of the key challenges?
What are the key lessons?

Step 2: After each VIO has presented, ask participants if they have any further questions or reflections before moving on
to the next exercise.
Step 3: The facilitator collects each of the summaries from each participating VIO to attach to Inter-organizational
Feedback Sheet Exercise A.

the assessment methodology

Exercise B: Group discussion

What?
Analysis of presentations.

Why?
To compare findings of assessment exercises between organizations (Group 1); and to identify the specific
contribution of volunteering to development (Group 2).

How?
Participants work in two groups to address different sets of discussion questions (1 and 2).

Suggested steps in the process


Step 1: Divide participants into two groups. Provide each group with a flipchart. Each group will appoint a rapporteur to
note down the key points from their discussion on the flipchart.
Group 1: Similarities and differences in findings
Step 2: In your group discuss the following:
1.
2.
3.

What are the key similarities in findings between the VIOs?


What are the key differences in findings between the VIOs?
What do you think are the reasons for the differences in findings between the VIOs?

Group 2: Distinctive contribution of volunteers


1.
2.

What are possible key attributes of volunteers that make a difference, as opposed to other
development or peace-keeping workers?
How can we define the different contribution of volunteers, as opposed to other development or
peace-keeping workers?

Step 3: Group feedback: Ask each group to feedback the key highlights and points from their group discussion (five
minutes). This will be followed by a short plenary discussion.

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Exercise C: Stakeholder perceptions and interests in volunteering

What?
Analyze the interests and perceptions of different stakeholders about volunteering.

Why?
Having completed this activity at programme level, this is an opportunity to discuss with peer organizations the
strategic implications vis--vis key stakeholders.

How?
This exercise should build on the programme level stakeholder analysis exercise (see Exercise E on page 41). The
facilitator may want to split participants into smaller groups depending on the number of workshop participants.
Coloured cards or post-it notes should be used to record different perceptions.

Suggested steps in the process


Step 1: Draw a large matrix on a flipchart paper. (See Inter-organizational Feedback Sheet C on the CD for the template.)
In column one is a list of the people, groups and institutions that influence your project/initiative (either positively or
negatively). Group members can add to this list.
Step 2: Either individually or in groups, review the list of stakeholders in the columns. For each stakeholder, write on
a coloured card or post-it note how the stakeholder might have a positive role and/or a negative role with regards to
volunteering.
Step 3: The facilitator will go through each stakeholder and ask participants to call out one card with a positive role and
one card with a negative role.
Step 4: The next step is to consider the kinds of things that you might do in the future to get stakeholder support and
reduce opposition or obstacles. Consider how you might approach each of the stakeholders. Record these under the
column Suggestions.
Step 5: Ask participants to identify five key points from the discussion you would like to keep for sharing in the next
session (Exercise D).
Step 6: For the last part of the exercise, draw together the overall key lessons and recommendations. Use the chart for
Exercise D (on the CD) to write up two key lessons and two recommendations per level (local, national, international,
organizational).

the assessment methodology

Exercise D: Key Lessons and Recommendations

What?
Drawing together overall strategic lessons and recommendations for VIOs on how volunteering can be
mainstreamed into development planning.

Why?
Taking lessons learnt throughout the workshop forward into action points for future collaboration and advocacy for
volunteerism.

How?
Each group feeds back their highlights, lessons and recommendations from Exercise C. The facilitator maps out
key lessons and action on a flipchart. Followed by a final plenary session.

Suggested steps in the process


Step 1: Ask each group to give a quick highlight of the key points from their discussion during Exercise C.
Step 2: After the feedback invite the groups to pin their key lessons and recommendation cards onto a large version of
the matrix in plenary (see Inter-organizational Feedback Sheet Exercise D on the CD). Participants should cluster similar
cards. Ask participants to reflect on the lessons and recommendations, identifying similarities, contradictions etc. The
facilitator should identify and summarize the overall actions emerging.
Step 3: The last part of the final session will be a brief plenary discussion. Invite participants to share any additional
thoughts and reflections on the findings, lessons and actions from the workshop and any other comments they would like
to make.
Step 4: Ask Participants to fill in a workshop evaluation form. Make sure that one of the questions on the evaluation form
includes a question about key actions to be taken as a result of the workshop.
Step 5: Consolidate the cards for Exercise D onto one Feedback Sheet.

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SECTION THREE: ADDITIONAL


APPROACHES AND TOOLS
This section sets out some other suggestions for assessing the contribution of volunteering to development. These are
based on the exercises and tools used in the volunteerism for development results workshops undertaken by UNV in 2007.

About the results workshops


The results workshops were held by UNV between October and November 2007. They were part of an extensive
consultation process that UNV undertook to report to its Executive Board on the work and achievements of UNV and its
contribution to development objectives. Each workshop focused on a core theme of UNVs work where UNV believes
it has a critical mass of experience: post conflict environment, democratic governance, youth participation, disaster risk
reduction and volunteer infrastructure4.

The methodology and workshop design


The majority of the workshops took place over two and half days and involved volunteers from up to three countries in each
workshop working on a particular theme. Two of the workshops involved predominantly UNV partners and national level
UNV programme staff.
While the methodology described so far is useful for assessing the contribution of volunteering to development in a
general manner, the results workshops were designed specifically to understand the practical reality of UNVs work in
a particular area. External Resource People were invited to provide critical feedback and to peer review UNVs work,
therefore verifying or contradicting the achievements suggested by the UN Volunteers themselves. A final aspect of
the workshops was to enable the volunteers to locate their work within the framework of UNVs corporate Results
Framework.

HOW ONE INDIVIDUAL VOLUNTEER EXPERIENCE IS


VISUALLY DISPLAYED THROUGH A RESULTS TREE
Thushan Kapurusinghe worked with the Turtle Conservation Project (TCP)
in Sri Lanka in the wake of the 2004 Indian Ocean tsunami. His tree diagram
shows us ways in which he helped to change peoples lives the fruits
of improved community skills, the establishment of volunteer youth groups
etc. based on the branches of community capacity development, training,
mobilization, monitoring and evaluation activities.
It also notes how partnership with GEF and UNV was the basis of his
endeavours the trunk of the tree and how the roots of his personal
experience fed into creating the results. And he is not shy to bring to
our attention the challenges he faced, such as the broken branch of
unsatisfactory administration.
Effectively, the tree distils a four-page report into one simple and easy-toabsorb image.

Thushan Kapurusinghes results


tree portrays many complex
ideas at a glance. (UNV)

See Part 7 on the CD for more information on the Volunteerism for Development Results workshops.

additional approaches and tools

How to use this section


This section sets out a generic Workshop Schedule and suggested Tools adapted from the results workshop
methodology. Many of the Tools can be used for ongoing assessment purposes at all levels.

Box 3.1: Suggested further reading and resources


On CD:

Part 7 on the CD: Volunteerism for Development Results Workshop



Generic Methodology Guide


Example Results Tree (PPT)

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Volunteerism for Development Results Workshop

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Volunteerism for Development Results Workshop


Example workshop schedule
The following is an example of a workshop schedule for a two-day workshop programme.
Day
Day 1

Time
Morning

Session
1.
2.
3.

Introductions
Workshop Introduction & Objectives
Tool 3: Exploring our understanding of volunteerism for development
Break

4.

Tool 4: Results Tree exercise


Lunch

Afternoon
Day
Day 2

5.
Tool 5: Pulling together an analysis of overall key achievements, challenges
and lessons

Time
Morning

Session
6.
7.

Recap of Day 1
Tool 6: Distillation of progress against organizational/corporate goals
Break

8.
9.
10.

Tool 7: External Feedback


Tool 8: Developing a vision for the future
Tool 9: Key recommendations

List of Tools
TOOL 1: VOLUNTEER SELF REFLECTION...............................................................................................................................................57
TOOL 2: REFLECTION FOR PARTNERS ATTENDING A WORKSHOP.........................................................................................58
TOOL 3: EXPLORING OUR UNDERSTANDING OF VOLUNTEERISM FOR DEVELOPMENT................................................59
TOOL 4: THE RESULTS TREE.......................................................................................................................................................................60
TOOL 5: GROUP ANALYSIS OF KEY ACHIEVEMENTS, CHALLENGES AND LESSONS......................................................62
TOOL 6: ASSESSING THE VOLUNTEERS CONTRIBUTION TO ORGANIZATIONAL/CORPORATE GOALS................59
TOOL 7: RESULTS MATRIX............................................................................................................................................................................64
TOOL 8: EXTERNAL FEEDBACK.................................................................................................................................................................65
TOOL 9: DEVELOPING A VISION FOR OUR FUTURE WORK GENERATING RECOMMENDATIONS...........................67
TOOL 10: TIPS FOR WORKSHOP NOTE TAKERS...............................................................................................................................68

additional approaches and tools

Tool 1: Volunteer Self Reflection


This tool can be used by volunteers as preparation for a review/assessment workshop or meeting. It can also be used by
the VIO with their volunteers to monitor the progress of volunteers on an annual basis or towards the end of the volunteer
placement.

What is required?
All volunteers will prepare a three-four page reflection note prior to attending the workshop. In the preparation to the
reflection note, volunteers should to the extent possible consult with colleagues, peers and other partners to enrich the
information base and analysis. Once finalized, they should send it to the workshop facilitator and VIO project officer/
coordinator in their country three weeks in advance of the workshop.

Why a reflection note?


The reflection notes will be used as preparation material by the workshop facilitators and as source of information for the
workshop report, VIO annual report and for other learning purposes.

What it should include


The following elements should be included in the reflection note:
1. Basic data:

Name

Gender

International or national volunteer

How long you have been working as a Volunteer

What institution/organization are you working with

(other specific information required by the VIO)
2. Reflecting back on your work for (name of volunteer organization):

Describe how your work as a volunteer has contributed to xxx (This might be a thematic area of work e.g. youth
participation, governance etc., or more generally the VIOs own strategic goals in the country). You should focus
on your own experience, and on contributions that are attributable to yourself, rather than to the team or institution
you work with.

What have been your three main successes over the last (x) years or since you have been a volunteer? Please
give specific examples (and where relevant include numbers, key dates etc.)

How have these three successes contributed to:

Changes in peoples lives and/or

Changes in the effectiveness of the institution you are working with

Other significant changes (please be specific)

Please describe the challenges/issues you have faced in developing your work (please give specific examples).

What have you learned about how the VIO can most effectively contribute to development effectiveness in this
area (i.e. the area you are working in/focusing on)?

Gender dimensions: What are the most relevant gender issues related to your work? (Please include key
challenges and actions taken to try to overcome gender inequalities in your work).

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Tool 2: Reflection for partners attending a workshop

This tool can be used by VIOs as preparation for partners attending a review/assessment workshop. It is a useful tool for
monitoring and assessing the partnership relationship and how the VIO might best support the partner in the future.

What is required?
To make best use of the workshop time, the VIO invites the partners attending the workshop to prepare a case study and/
or spend some time to reflect on the contribution of the volunteer and VIO in support of the partners work. The case study
should be sent to the workshop facilitator and the VIO project officer/coordinator three weeks in advance of the workshop.

Why a case study?


The case studies will be used as preparation material by the workshop facilitators and as background material for
corporate reports. They should have a length of three-four pages and have the following contents:
1. Basic information:

When did the partnership with the VIO begin?

What type of support/input has the VIO given you?
o
Please be specific examples of support include seed funds (amount), training etc.
2.

3.

About your work:


Please briefly describe your organizations work (e.g. types of activities you are involved in, who you engage with
other partners, organizations, government etc.)
Key successes, challenges and lessons about your work:
What have been the two most important successes of your work with volunteers in the past two years, and
explain why?
What have been the key challenges you have faced in this work, and what has been done to try to address these?
Gender dimensions: what are the most relevant gender issues related to your work with volunteers? (Please
include key challenges and actions taken to try to overcome gender inequalities in your work)
What do you feel has been the VIOs contribution to your work and in promoting volunteerism for development in
your country?
What have you learnt about how VIO can most effectively contribute to volunteerism for development in the
future?
Any other comments or suggestions you would like to make about the partnership with the VIO.

additional approaches and tools

Tool 3: Exploring our understanding of volunteerism for development


This tool is a good introductory exercise for any workshop exploring the understanding of volunteerism for development.

Purpose:

To enable workshop participants to discuss and develop a common understanding of volunteerism and its key
characteristics.
To surface any tensions or questions that participants may have about volunteerism and its contribution to a
specific thematic area of work and/or development goals.

Materials: Coloured cards, flipchart paper and marker pens


Time: 45 minutes

Steps in the process


Step 1: Instruct each participant to spend five minutes on their own reflecting on the following questions:

What does volunteerism mean to you?


What is your question about volunteerism for development and its contribution to supporting (XXX theme/goal
etc?)

You may need to explain that the question might be something they are expecting the workshop will address, or it might be
an expectation, fear etc.
Step 2: Ask participants to form into small buzz groups for 10-15 minutes to share their reflections and key questions. Ask
each buzz group to distil their reflections on volunteerism and the key questions, and write these on cards to share back in
plenary.
Step 3: First ask each buzz group to provide one definition of volunteerism and one key question. Write these up on
a flipchart. Check to see if there are any additional definitions and questions and then open up the discussion. Ask
participants to share their thoughts and reflections on what has been shared. Look for common themes and questions
emerging.
Note: You may want to follow this exercise with a more formal presentation on the theme of the workshop. This might
include a brief summary of the VIOs understanding of volunteerism, their programme goals etc.

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Tool 4: The Results Tree

Images can be a very powerful tool for supporting critical reflection and learning. For example a tree is a universally
recognized symbol, which people can use to explore issues or processes from a new angle5. The Results Tree exercise
was developed to support volunteers in exploring their individual experience of volunteering. It was also adapted for
workshops with a wide participation of partners.

Purpose:

To provide space for volunteers to reflect on their experiences (achievements and challenges) in their placement/
project.
For the group to peer review the experience of the volunteer and further deepen an analysis of the findings and
results.

Materials: Flipchart paper, coloured pens or crayons


Time: This will depend on the number of volunteers. The whole exercise, including peer review, can take up a whole
morning.

Steps in the process


Step 1: Ask the volunteer to draw a picture of a tree that will represent their experience of working for the VIO over the
past (two) years. They can be as creative as they like but the tree has to include:

Roots: These are the experiences and skills you bring to your work as a volunteer. They include your values
and the reasons why you have chosen to become a volunteer. You dont have to put all of this down, but it does
connect to the theme of volunteerism as a development asset and the contribution that individuals make to
development through voluntary action.
Trunk: The institutions and organizations you are working with.
Branches: The key activities that you are directly involved in (and that contribute towards the theme of the
workshop).
Buds: These represent your key successes.
Fruits: These represent the results of your successes e.g. changes in peoples lives, changes in the
effectiveness of the institutions you are working with and/or other significant changes. You can indicate the
significance of the results by the size of the fruit. This is about the difference volunteers are making and how
that is contributing to positive changes in peoples lives - economically, socially, culturally, politically and
psychologically.

But we also want to hear about your key disappointments, missed opportunities and the challenges you face
in your work

Broken branches lying on the ground: These represent disappointments and/or missed opportunities.
Tree environment: This represents the factors that support and/or hinder your work and the results you are
striving to achieve. These may be internal factors or external factors.

Step 2: Ask the volunteers and participants to form into small groups.
Step 3: Each volunteer has 10 minutes to share his or her tree. After the 10 minutes there will be 15 minutes of
questions and further discussion of the experience with the other volunteers and participants. The purpose is to get a
better understanding of the key results and achievements that the volunteer has contributed to.
Step 4: Once all the volunteers have shared their trees you may open up the discussion and see if the group has any
further thoughts and questions regarding the volunteer experiences.
5

Ref: Communication and Power, Reflect Practical Resource Materials, 2003

additional approaches and tools

Step 5: At the end of the sharing sessions each volunteer has to choose two specific fruit examples (i.e. specific results
that they are working on and most proud of). Ask the volunteers to please write these examples on cards and keep them.
They will need the cards for another exercise exploring the overall contribution of volunteerism. (See Tool 7)

Notes

Group facilitator: Your role will be to ensure that the group keeps to the time frames allocated for the sharing
and feedback.
Participant observers: Your role is to both listen and make notes of any salient points that you would like to hear
more about or probe further, but you will not ask questions or make comments until the story telling process has
finished.
Note takers: Your role is to both listen and take notes of any salient points that arise from both the sharing
session and discussions that follow, e.g. key achievements and examples of good practices and approaches,
significant changes and results (people, institutions, practices etc.), how these results have been achieved, and
what UNVs role and contribution has been. Note also challenges and issues, and how these have been overcome
or not.

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Tool 5: Group analysis of key achievements, challenges and lessons

This tool can be used to support groups to collectively discuss and deepen their analysis and understanding of key
achievements, challenges and lessons. This exercise should build on previous group work where individual activities and
experiences have been shared and discussed. It could also follow on from a more formal presentation or feedback session
where findings have been presented.

Purpose

To pull together findings and to deepen the analysis from the previous sessions (See Tool 4)
To draw out overall key achievements, challenges and lessons

Materials: Flipchart paper, coloured cards and marker pens


Time: 1 hour and 30 minutes

Steps in the process


Step 1: Ask the participants to reconvene into their groups from the previous session. (If using this tool after a more
formal presentation, you can just divide participants into three-four groups of approximately six people per group). Each
group nominates a facilitator and a rapporteur.
Step 2: Ask each participant to reflect on the experiences and discussions with the volunteers during the previous
session.
Step 3: Individual: First spend 10 minutes individually writing on cards (ask participants to write each point onto a
separate card):
1.
2.
3.
4.

What key activities have worked well and contributed most to the theme/goal and why?
What are the three main key achievements/examples of work that have made the most significant difference to
peoples lives (be specific) and why?
What are the three main key challenges?
What are the three main key lessons?

It is useful to write the above questions on a flipchart so that participants can view them easily.
Step 4: Group work: The Group facilitator will go through each question in turn. Their role will be to prompt and ask
useful questions to support the group members in their analysis, and they will ask the group members to call out one or
two points from their cards. They will stick the cards onto the flipchart.
Step 5: Once each participant has shared one-two points, the facilitator will cluster the cards and pull out the overall key
themes. They should check back with the group that everyone agrees with this interpretation. They should then move onto
the next question. Once all questions have been covered the group will review the cards and pull out overall headlines and
key points for each question. This will then be shared in plenary session.
Step 6: Plenary: Please choose a rapporteur to report back to plenary (preferably a volunteer). They will have just 15
minutes to give a concise report back on the key points and highlights from the group discussion and analysis. This will be
followed by a 10-minute question and answer session.
Step 7: At the end of the feedback session the main facilitator may want to ask participants to share overall impressions
of themes emerging from the feedback session. The facilitator should also offer their own analysis of themes emerging
or invite another participant to do this, preferably an external stakeholder or someone from the VIO national office or
headquarters.

additional approaches and tools

Tool 6: Assessing the volunteers contribution to organizational/


corporate goals
This tool enables volunteers and their stakeholders to consolidate their analysis of achievements and results and locate
this analysis within the context of the organizations strategic framework. It enables a further iteration of the key results
identified by volunteers in the Results Tree exercise (Ref.: Tool 4).

Purpose

To triangulate and consolidate the analysis of the volunteers achievements and results
To assess how the work of the volunteers and volunteerism contributes to achieving the VIOs strategic goals
and/or broader development goals

Materials: Volunteers will need the two fruits they picked from their Results Tree (Tool 4), coloured cards, pens and
masking tape
Time: Up to 3 hours

Steps in the process


Step 1: Ask the volunteers to spend 5-10 minutes reviewing their two fruits from the Results Tree session. Volunteers
will put the name of the country on the cards and add any relevant information e.g. quantitative information, stakeholders,
approach, methods and areas of good practice, results (be specific) and any lessons.
Step 2: Divide the participants into three groups. Try and mix up the volunteers and participants so that they are not
working with the same group members as in previous sessions. Ensure the volunteers and external stakeholders are
spread evenly between the three groups.
Step 3: One hour will be spent reviewing the volunteer fruits and key results. Each volunteer will spend about five
minutes explaining his or her two fruits to the group. The group members can ask questions and probe further. The idea
is to deepen the groups understanding of the types of results volunteers are contributing to and what best practice and
lessons can be drawn from these achievements.
Step 4: After one hour the groups will have a short break. When the groups reconvene they will listen to a short
presentation on the overarching corporate framework in which to locate the analysis and contribution of the volunteers.
These might be programmatic goals or broader development goals. The groups are then asked to think about how the
specific achievements of the volunteers are contributing towards these goals. For the results workshops, a simple matrix
was used. A version of this matrix can be found on the next page.
Step 5: Each group will spend approx. 20 minutes exploring where they think their fruit/key result might fit under each
goal (the facilitator should have a handout of these). Participants shouldnt worry if they feel the examples cross into more
than one goal/category. The main thing is to explore further how their work is contributing to longer-term organizational/
corporate goals.
Step 6: The facilitator will have drawn a large matrix per group on the floor (using masking tape). Volunteers can then
place their cards on the goals that they feel their work contributes to the most. Once all the cards have been placed, ask
the participants to walk around to the other groups matrix to review their results.
Step 7: Ask participants to return to plenary. Invite any reflections or observations regarding the types of activities and
results and the goals that volunteers seem to be contributing most/least to and why. Nominate someone in each group to
capture the group discussion and results of the matrix session.

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Tool 7: Results Matrix

This tool can be used to support volunteers to think about their work and how it contributes to longer-term development
goals. The matrix can be used by the VIO to also explore how the work of the volunteer is contributing to the organizations
overall strategic framework. In the results workshops, Tool 7 was used together with Tool 6.

How to use the matrix


Use the first column to list the goals or areas of change that you are hoping to contribute to. Volunteers can place their
cards (fruit/key results) on the columns and goal that they feel best represents their achievement. The aim is not to talk up
ones work but to stimulate a further discussion on the areas of change that volunteers contribute towards.

Volunteers distinctive contribution scoring exercise


GOALS
(Areas of change)

Work just beginning,


new activities starting
up 6

Foundations in place,
concrete outputs
evident 7

Change has taken


place, results are clear
and evident 8

Significant results
& cumulative
contribution are
evident 9

- Goal 1
- Goal 2
- Goal 3
Etc.

6
These are new activities that volunteers/VIO programmes are directly involved in starting up.
7
These are the effects that are directly attributable to the volunteer or the project/programme, i.e. outputs that are directly
attributable to the volunteer or the project/programme.
8
These are the outcomes to which volunteers contribute through working with different stakeholders.
9
This is the cumulative contribution of the volunteer involvement to higher level goals, together with other stakeholders
(volunteering partnership).

additional approaches and tools

Tool 8: External Feedback


Involving external stakeholders in your assessment process is one way to support volunteers and the VIO to critically
review their achievements, lessons and challenges. External stakeholders might include partners, community
representatives, government and other key stakeholders. You might also involve peers from other VIOs and/or key
informants who can bring fresh perspectives and insights based on their areas of knowledge and expertise. The UNV
results workshops were designed so that external Resource People familiar with the work of UNV and specialists in the
thematic areas of work under review would provide critical feedback and peer review of UNVs work, therefore verifying or
contradicting the achievements suggested by the UN Volunteers themselves.
In the following, we provide some ideas on how you might involve a small number of Key Resource people in your
assessment workshop.

Purpose:


To draw out the volunteers achievements, challenges and lessons


To triangulate and/or get critical feedback on the VIOs work from an external perspective
To see how the work of the volunteers has contributed to the VIOs strategic goals

Step 1: You should decide at least 6-8 weeks before the workshop who to invite. Send an invitation letter explaining the
objectives of the workshop and the role the external resource person will play during the workshop. For example, the
external resource people for the results workshop were asked to take part in the two-day workshop and to give feedback
on the last day. UNV specifically asked for feedback on the following:


Feedback/validation/critique of UNVs analysis of their achievements, challenges and lessons, including gender
dimensions and issues related to UNVs work (to be drawn from day one of the workshop).
Their thoughts on how UNV could improve its contribution to development effectiveness in the subject area XXX.
Their own perspective on current debates and future trends in volunteerism for development and the subject area
XXXX, which helps to inform UNVs future work.

Step 2: Once the external resource person has accepted your invitation, be sure that you liaise with them regarding
transport, what youll be covering in terms of costs etc. It is a good idea to phone them at least a week before the
workshop starts to brief them again on their expected role.
Step 3: The external resource people will take part in all the group and plenary discussions. They will listen to the
experiences of the partners and volunteers and help to deepen their analysis by asking challenging and insightful
questions, and sharing their own insights and perspectives regarding the themes/areas of work under discussion.
Step 4: Towards the end of the workshop, the external resource people give their feedback and perspectives. For the
UNV results workshops, we did this through Panel Discussions. Each key resource person had 15 minutes to present
their critical reflections on the theme, followed by a 15 minutes question and answer session. At the end of the feedback
session there was a plenary discussion.
Step 5: Ask the external resource people for copies of their presentations or notes (if possible).
Step 6: And finally, dont forget to send a thank you letter or email to the resource people for their valuable support and
contribution soon after the end of the workshop, as well as, once finalized, the workshop summary report. We recommend
you also ask them for feedback on the draft workshop report prior to its finalization.

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Tool 9: Developing a vision for our future work generating


recommendations

At the end of an assessment workshop the group is usually at the point where they begin to formulate recommendations
and actions. A good way to give people a sense of something to move toward and to generate creative thinking and
encouragement is to conduct a short visioning exercise. You can follow this with a recommendations and actions session.

Purpose:


To generate a common goal, and a sense of working together to achieve that goal
To generate creative thinking and encouragement
To offer the possibility of fundamental change

Materials: Cards and pens


Time: 10-15 minutes

Steps in the process


Step 1: Ask participants to close their eyes. Get them to imagine they are seeing the VIO two years into the future. Ask
them:





What type of work will the VIO be doing?


Who will the VIO be working with?
What will be your approaches and ways of working? How will you be working?
How will the VIO be working with the volunteers? How will they be feeling?
What will you be known for? What might you hear others saying about your work (Your key stakeholders: the
government, partners, donors, beneficiaries) at the local, regional, national and international level?
What impact will the VIO have made?

Step 2: Explain to the participants that this is a personal reflection. They do not necessarily have to share it. Ask the
participants to individually reflect on the following question:

What does the VIO need to do to ensure they make the biggest contribution to development in the future?

Step 3: Ask each participant to spend five minutes writing three recommendations per question on a post-it note or card.
The questions are:
1.
2.
3.

What should the VIO start doing or do more of?


What should the VIO stop doing or do differently in the future?
Any other recommendations for the VIO?

Step 4: Write up each question on a separate flipchart paper. Get participants to put up their recommendations on the
flipchart paper. The facilitators should attempt to cluster the cards and consolidate the recommendations. Spend five
minutes reviewing each question.
Step 5: Invite someone from the VIO country office or VIO HQ (if present at the workshop) to respond to the
recommendations and explain what will happen next.
Step 6: Make sure someone writes up the consolidated key recommendations. These will be included in the workshop
report.

additional approaches and tools

Tool 10: Tips for workshop note takers


Capturing the key points and rich discussions that take place during a workshop is always challenging. Here are some tips
to make your note taking more useful and valuable to you.

Be clear why you are taking the notes: It is important to be clear why you are taking the notes in the first
place. It might be for the workshop report, to write up a case study or for record keeping purposes only. It helps
to have this in mind to guide you to take the right notes.
Capture specific examples: It is important to listen out for specific examples. The more information you can
pick up regarding the examples, the richer the report will be. E.g. in the Results Tree exercise you would want to
note down:
o
key outputs and good practices
o key achievements and how they have been achieved (most significant changes and outcomes in institutions, people, practices etc.)
o
key enabling factors (what supports/hinders the work of the volunteer)
o
key challenges and how they have been addressed (whether problems have or have not been solved)
o key ideas around the perspective of partners and volunteers on the roles and contributions of UNV to their
work and to the theme of the workshop
Capture quotes: A workshop report is always more interesting to read when there are quotes from participants
to illustrate a key point. It brings the workshop experience alive to the reader. Remember that when writing up your
note you do not need to attribute the quote to a name (issues of confidentiality are important).
Capture themes: It is important to listen carefully during feedback sessions to capture themes and ideas that
emerge. You may want to underline these points as you write.
Review and summarize: Take a few minutes to review your notes - adding any words or phrases that will
make them clearer. The review process will help you remember and make the notes more useful. Once you have
reviewed them, take a couple of minutes to note the most important points again.
Have a format for writing up your notes: It helps to organize your notes if you have a format to work with.
Notes need to be objective and clear, and they need to capture the essential points discussed, so they can be a
valuable input to the workshop report. When more than one note-taker is participating in the workshop, it is very
important to have the same format for the notes. An example is provided below.

Note takers report format - results workshop


The report must include the following points:



Name of the country


Participants in the group (identify whether they are partners or volunteers)
Good practices (at least two examples)
Key achievements and/or outcomes (areas of significant progress, changes in peoples lives, institutions
etc.) and how they have been achieved, e.g. what activities (outputs) led to these achievements
(outcomes) and what long term difference this has made (contribution to development goals). Please give
at least two detailed examples of how they have been achieved.
Most significant contributions by UNV to the country
Key challenges (including specific challenges as a result of UNV)
Key lessons learnt
Specific lessons for UNV
Any recommendations discussed

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APPENDICES

appendices

Appendix 1:
Guide to CD Materials
Guide to CD Materials
Part 1: The Handbook

The full text of the handbook PDF version


The full text of the handbook Word version

Part 2: The Pilot Study

The Pilot Study & The Bonn Workshop

Part 3: User Notes

Notes for the volunteers


Notes for the Country Programme Coordinators
Notes for facilitators

Part 4: Key Concepts

Looking at outputs
Looking at outcomes
Contribution to gender equality and critique regarding the consideration of women in the
MDGs

Part 5: The Broader


Context of Our Work

Part 6: The
Assessment
Workshops

National Development Goal Mali Example


National Development Goals pilot workshop examples
Example chart of the contribution of volunteering to Cambodias National Goals
Aggregation Chart from Kenya: Volunteering contribution to the MDGs
The value and principles of the Millennium Declaration
MDG summary table PDF
ODM Franais PDF
ODM Espaol PDF

Part 6.1: Placement Level Assessment Workshop


Placement Level Workshop Participation Form
Volunteer Information Form
Exercise A: Sharing Stories
Exercise B: Reviewing and ranking volunteers key activities and outputs
Exercise C: The outcomes of the contribution of volunteering
Exercise D: The volunteers overall contribution to development goals
Exercise E: SWOT analysis
Exercise F: Key lessons and recommendations
Example of Story: No More Sleeping! Assessment Level One Workshop, Indonesia
Example of Story: Communications and relationships, UN Volunteer, Vietnam
Part 6.2: Programme Level Assessment Workshop
Programme Level Workshop Participation Form
Volunteer Organization Information Form
Feedback Sheet: Exercise A Sharing key changes and lessons from the Placement Level
Workshops
Feedback Sheet: Exercise B Group 1 Contribution to National Development Goals
Feedback Sheet: Exercise B Group 2 Contribution to the MDGs
Feedback Sheet: Exercise C Group 3 The Contribution of Volunteerism to Development
Goals Summary of group feedback
Feedback Sheet: Exercise D The Volunteer as a Catalyst for Change
Feedback Sheet: Exercise E1 Group 1 - Factors Supporting and Hindering Change
Feedback Sheet: Exercise E2 Group 2 Factors Supporting and Hindering Change
Feedback Sheet: Exercise F Action Planning
Example of Story: Programa de jvenes con la participacin popular, Bolivia

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Guide to CD Materials
Part 6.3: Inter-Organizational Workshop
Placement Level Workshop Participation Form
Volunteer Information Form
Exercise A: Sharing Stories
Exercise B: Reviewing and ranking volunteers key activities and outputs
Exercise C: The outcomes of the contribution of volunteering
Exercise D: The volunteers overall contribution to development goals
Exercise E: SWOT analysis
Exercise F: Key lessons and recommendations
Example of Story: No More Sleeping! Assessment Level One Workshop, Indonesia
Example of Story: Communications and relationships, UN Volunteer, Vietnam
Part 6.4: International Headquarter workshop
Example Workshop Schedule
Agenda UNV Workshop, Bonn, Germany

Part 7: Volunteerism
for development
results workshop

UNV Generic methodology guide and process note


Example Results Tree (PPT)

Part 8: Additional
Reading

OECD Glossary of Key Terms in Evaluation and Results Based Management


Results-based management - Concept and Methodology (UNDP)

appendices

Appendix 2: Glossary
Activities

Actions required to achieve objectives

Buzz groups

Buzz groups are spontaneously formed teams with a task to be accomplished in a short time

Disaggregate

Analyze data according to different groupings to show differences between certain groups
(e.g. gender, age, ethnic group etc.)

Feedback

Presenting findings

Goal

The overall development objective to which a set of interventions will contribute. Goals are
statements of intended future changes in relation to the key problem or issue to be addressed.
The timeframe for achieving the goal will often be much longer than the intervention period.

Impact

The wider, significant changes that have accrued (positive and negative intended
and unintended) as a result of a given set of interventions.

Impact Assessment

Understanding the wider intended and unintended changes brought about as a


result of a given intervention and the different effects of these changes on women,
men, girls and boys. Impact Assessment also involves understanding how and to
what extent development interventions influence the socio-economic and political
situation of a society.

Inputs

Resources invested in an activity or process

Intervention

External or internal action intended to influence or change a situation

Logical Frameworks

Management tool used to improve the design of interventions, most often at the project level.
It involves identifying strategic elements (inputs, outputs, outcomes and impact) and their
causal relationships, indicators, and the assumptions and risks that may influence success
and failure. It thus facilitates planning, execution and evaluation of a development intervention.

Outcome

The effects or visible results of an activity or intervention

Objective

What we want to achieve; the desired outcome of an activity. They are a level down from a
goal. Objectives are statements that describe in clear terms the intended changes or steps
that the intervention will take towards achieving the overall goal.

Output

The immediate and specific results of the input this is typically (but not necessarily)
quantifiable.

Stakeholders

Literally the individuals, organizations or categories of people who have a stake or an interest
in the work. These include both internal and external stakeholders.

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Appendix 3: Acronyms
CBO
CSO
ECOSOC
HQ
INGO
LFA
MDG
NDG
NGO/INGO
OECD
PPT
PRSP
UNCT
UNDAF
UNDP
UNV
VIO
VSO

Community Based Organization


Civil Society Organization
Economic and Social Council
Headquarters
International Non-Governmental Organization
Logical Framework Analysis
Millennium Development Goal
National Development Goal
Non-Governmental Organization/ International Non-Governmental Organization
Organisation for Economic Co-operation and Development
PowerPoint presentation (Microsoft)
Poverty Reduction Strategy Paper
United Nations Country Team
United Nations Development Assistance Framework
United Nations Development Programme
United Nations Volunteers
Volunteer Involving Organization
Voluntary Service Overseas

appendices

Appendix 4:
Selected Bibliography
Australian Volunteers International (2005): Monitoring and Evaluation Framework Australian Volunteers International
CCI (2005) : Les visages du changement. Des partenariats qui transforment le monde, Rapport Annuel, Carrefour
Canadien International. Available at: www.cciorg.ca
CCI (2005) : Documents provisoires sur lvaluation de limpact
Coulibaly, Anna et Sidib Moussa (2003) : Analyse Sociologique du Volontariat pour la Promotion du Dveloppement
Durable au Mali. Cas du PNUD Mmoire de Matrise, Facult des Lettres, Langues, Arts et Sciences Humaines,
Universit de Bamako, Mali
DFID (2001): Partnership Programme Agreement between UK Department for International Development and Voluntary
Service Overseas
DED (2004): Appraisal (Planning), Monitoring and Evaluation (P, M&E) of Development Worker Placements, DEDHandbuch Band 1, Deutscher EntwicklungsDienst, Bonn
Erdenechimeg, Tserendorjiin et al (2005): Study of the Effects of the National United Nations Volunteers Program in
Mongolia. Research Report Centre for Social Development, Ulaanbaatar, Mongolia
Fofanah, James (2004): The Impact of UN volunteers in Promoting Reintegration and Reconciliation in Communities in
Sierra Leone, Dissertation for MSc in International Development and Training, CIDT, University of Wolverhampton
Davies, Rick & Dart, Jessica, (2005): Most Significant Change Guide, http://www.mande.co.uk/docs/MSCGuide.pdf
Gosling, Louise (1995): Toolkits: A practical Guide to Assessment, Monitoring, Review and Evaluation, Save the Children
Haynes, R. (2006): Impact Assessment in Skillshare International: A Conceptual Framework. Final Report for MSc
(Development Management) Programme, Open University
JICA / JOCV (2005): JICA Volunteer Program Evaluation
JICA / JOCV (2006): Evaluation on Volunteer Program (Japan Overseas Cooperation Volunteers): Cases of Malawi,
Vanuatu and Honduras
Pretty J, Guijt I, Thompson J and Scones I (1995): Participatory Learning and Action: A trainers guide, IIED
Kane,Thierno et al (2004): UNV Programme in Burkina Faso. Country Review
Mondesire, Alicia (2001): Support to Gender Mainstreaming. Report on Pilot Project. Project Document GLO/97/V03 for
UNV/UNDP/UNIFEM
Neighbourhood Initiatives Enterprises (1999): Planning For Real. A Users Guide
Randel, Judith et al (2004): International volunteering: trends, added value and social capital Development Initiatives for
Forum

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Returned Volunteer Action (1995): The Development and Volunteering Collection

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Returned Volunteer Action (1995): Skills Transfer: Myth or Mission


Returned Volunteer Action (1989-90): Evaluation Questionnaire Survey covering the Overseas Programme of VSO and
CIIR
Rieffel, Lex (2003): Reconsidering the Peace Corps Policy Brief 127, The Brookings Institution. Article available at: www.
brook.edu/comm/policybriefs/pb127.htm
Roche, C (1999): Impact Assessment for Development Agencies, Learning to Value Change, Oxfam Development
Guideline
Skillshare International (2005): Corporate Strategy 2005-2010
Slagman, Trine Olsen et al (2005): Change Agents for Development. A study of individual and social results of the FK
exchange program Kulturell Dialog for Fredskorpset, Oslo
Smutylo, Terry (2005): Outcome Mapping: A method for tracking behavioural changes in development programs, ILAC
Brief 7, August 2005, www.idrc.ca/evaluation
Start, Daniel and Hovland, Ingie (2004): Tools for Policy Impact: A Handbook for Researchers Overseas Development
Institute, London
Tabapssi, Timothe (2006) : Enqute en vue de la mesure de limpact du tourisme et des activits des volontaires des
Nations Unies Sangha en Pays Dogon, Mali, VNU / PNUD
UNDP Albania (2005): The Role of Civil Society and Volunteerism in Promoting the Pro-Poor and Pro-Women Agenda
Chapter 8, National Human Development Report, www.worldvolunteerweb.org/mdgs/
UNDP (2005): UNDP Draft Evaluation Policy
United Nations Evaluation Group (2005): Norms and Standards for Evaluation in the UN System
UNV (2001): Expert Working Group Meeting on Volunteering and Social Development, New York 29-30th November
1999
UNV (2001): Measuring Volunteering. A Practical Toolkit
UNV (2002): Volunteerism and Capacity Development
UNV (2003): Volunteers and the Millennium Development Goals, UNV, Civicus, IAVE
UNV (2005): Guidance note on the fundamental principles of participation in UNV, UNV Intranet
UNV (2006): Reports of the UNV Results Workshops for Bolivia, Cambodia and Mali
Volunteering Ireland (2006): Fact Sheet 20 Facts about volunteering in Ireland, www.volunteeringireland.ie

appendices

Appendix 5:
Acknowledgements
UNV Country Programme Coordinators:
Koen Acoleyn, Vietnam
Ruby Banez, Cambodia
Stefano Cordello, Syria
Fatou Ndiaye Diop, Kenya
Aidan Leavy, Guatemala
Hugh Salmon, Kyrzyg Republic

Gateane Scave, Bolivia


Sharmini Sherrard, Kosovo
Virginia Tumagole, Botswana
Abigail Wilmer, Mongolia
Paul Wilson, Indonesia
Salifou Yaye, Mali

Participants from pilot workshops (2006) in: Bolivia, Botswana, Cambodia, Guatemala, Indonesia,
Kenya, Kosovo, Kyrgyzstan, Mali, Mongolia, Syria, Vietnam:
UN Volunteers Representatives from Volunteer Involving Organizations
Representatives from Civil Society Organizations
Representatives from UNV, UNDP, other UN Agencies
Government Representatives

FORUM Representatives:
Anne Gardner, Canadian Crossroads International CCI
Rachel Haynes, Skillshare International SKI
Russell Hocking, Australian Volunteers International AVI
Jessica Lowe, FORUM Coordinator
Ryuichi Nasu, Japan Overseas Co-operation Volunteers JOCV
Doris Popp, German Development Agency DED
Peter Swain, Volunteer Service Abroad VSA

United Nations Staff:


Edmund Bengtsson, UNV Evaluation Unit
Mae Chao, Research & Development, UNV
Ana Cristina Guimaraes Matos, UNV Evaluation Unit
Caspar Merkle, UNV Evaluation Unit
Ruby Sandhu-Rojon, Africa Section, UNV
Robert To, UNV Evaluation Unit
Katrin von der Mosel, UNV Evaluation Unit
Sukai Prom-Jackson, Evaluation Office, UNDP
Joyce Yu, Deputy Executive Coordinator, UNV
Online Volunteer: Anum Murtaza

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This handbook describes a methodology to assess the contribution of volunteering


to development, and to support learning amongst volunteers and between Volunteer
Involving Organizations (VIOs). The methodology supports the analysis of the effects
of volunteering at different levels, while answering the following key questions:




What contribution does volunteering make to development, and how?


What factors help or hinder the volunteering contribution?
What is the added value of volunteering?
How is volunteering perceived by stakeholders and partner organizations?
What lessons can be learned and how can they be used to enhance
development planning?

These questions are asked in a series of participatory workshops that are designed to
systematically reflect on results achieved and to share learning and experiences.
The handbook and CD provide practical guidance, exercises and templates to allow
tailoring of the methodology to your own requirements.

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Assessing The
Contribution
Of Volunteering
To Development

Handbook for UN Volunteers, Programme Officers and Managers

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United Nations Volunteers
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inspiration in action
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August 2011

WE ARE ONE

Students Guide to
I AM A COMMUNITY ORGANIZER

Methods of

Community
Organization

Compiled by

S.Rengasamy

See also the related materials on page no.5

S.Rengasamy. Methods of Community Organization

Go to the People

Live among them


Love them

Lao Tsu

Learn from them

Start from where they are

Work with them

Build on what they have.

But of the best leaders,

When the task is accomplished,

The work completed,

The people all remark:

"We have done it ourselves"

S.Rengasamy. Methods of Community Organization

Contents
Fact Finding -What are the facts to be collected Model I .................................................................................. 12
Types of Community Need & its Identification ............................................................................................... 12
Analyzing Community Problems - Model I ......................................................................................................... 13
What is analyzing community problems all about? ......................................................................................... 13
Why should analyze a community problem? .................................................................................................. 13
When should analyze a community problem? ................................................................................................ 13
How should analyze a community problem?.................................................................................................. 13
Dia: Steps to analyze a community problem ................................................................................................. 14
Analysis helps to find out an effective solution. ............................................................................................. 14
Analyzing the facts / Problem identification Model II .................................................................................... 14
What is the problem? ................................................................................................................................. 14
Where does the problem exist? ................................................................................................................... 14
Who is affected by the problem? ................................................................................................................. 14
Why the problem occurred? ........................................................................................................................ 14
To what extent the problem is felt? ............................................................................................................. 14
What are the facts to be collected Model II ..................................................................................................... 15
Information requirement to understand a community ........................................................................................ 15
1.Basic community characteristics ................................................................................................................ 15
2.How the community functions to meet its needs ........................................................................................ 15
3. Unmet needs ......................................................................................................................................... 15
4. Community resources ............................................................................................................................. 15
5. Capacity for disposition towards purposeful change ................................................................................... 15
1. Basic community characteristics ................................................................................................................... 16
Population ................................................................................................................................................. 16
How the community functions? ........................................................................................................................ 16
2.1. Physical needs ......................................................................................................................................... 16
2.2. Social and emotional needs ....................................................................................................................... 16
2.3. Political needs ......................................................................................................................................... 16
2.4. Economic needs ....................................................................................................................................... 16
2.5. Educational and communication needs ....................................................................................................... 16
3. Assessing the communitys unmet needs ...................................................................................................... 16
4. Community resources.................................................................................................................................. 17
5. Capacity for change and disposition to change .............................................................................................. 17
How to find out what we need to know? ........................................................................................................... 17
Look for organizations that do at least one of the following things ...................................................................... 17
Guided personal discussions ............................................................................................................................ 18
Focus groups ................................................................................................................................................. 18
Surveys and questionnaires ............................................................................................................................. 18
Collecting list ................................................................................................................................................. 18
A check list that can be used to facilitate discussion to study/ understand a community ........................................ 18
Phases/ Methods /Outcome of Community Organization..................................................................................... 19
Understanding the Community by Understanding the Local Business ................................................................... 20
Community Business Survey ............................................................................................................................ 20
Understanding the Community by Understanding the Local Business ................................................................... 20
Collection of self explanatory diagrams on Steps /Stages in Community Organization ........................................... 21
Stages & Steps in Community Organization .................................................................................................. 22
Stages in Guiding / Organizing Communities ................................................................................................. 23
Some self explanatory diagrams on Problem Solving Process.......................................................................... 24
Phases in community organization learning................................................................................................... 25
Diagrams of Phases / Steps / Stages in Community Organization .................................................................... 26
Tools that can be used at different stages and for different purposes .............................................................. 27
PRA tools for many purposes to understand and organize the communities .................................................. 28
Diagram: Problem Analysis Model ................................................................................................................ 30
Diagrams: Models - Steps / Stages in Community Organization ...................................................................... 31
Comprehensive list of Community Organization / Engagement Tools ................................................................... 32
Levels of Community Engagement Its Objectives, Outcomes & Techniques used.............................................. 33

S.Rengasamy. Methods of Community Organization


Description of Tools.................................................................................................................................... 34
Methods of Group Decision Making and Co-Operative Action .............................................................................. 39
Groups in the context of Community Organization ............................................................................................. 39
Synopsis ........................................................................................................................................................ 39
Meaning of a Group: .................................................................................................................................. 40
Meaning of Decision Making ........................................................................................................................ 40
Meaning of Group Decision Making: ............................................................................................................. 40
Understanding the Groups ............................................................................................................................... 41
Stages in the development of a group. ............................................................................................................. 41
Napier and Gershenfled................................................................................................................................... 41
Forming Stage................................................................................................................................................ 41
Beginning Stage ............................................................................................................................................. 41
Storming Stage .............................................................................................................................................. 41
Movement toward Confrontation Stage ............................................................................................................. 41
Compromise and Harmony Stage ..................................................................................................................... 41
Performing Stage ........................................................................................................................................... 41
Reassessment Stage ....................................................................................................................................... 41
Adjourning Stage ............................................................................................................................................ 41
Resolution and recycling stage ......................................................................................................................... 41
Task Roles and Relationship Roles of a Group: .................................................................................................. 41
Structure of the Groups................................................................................................................................... 42
Pairs are useful for ......................................................................................................................................... 42
Group Decision Making ................................................................................................................................... 43
Involvement / Types of decision making ........................................................................................................... 44
Difficulties in decision-making: ......................................................................................................................... 45
Fear of Consequences: ............................................................................................................................... 45
Conflicting Loyalties: .................................................................................................................................. 45
Interpersonal Conflict: ................................................................................................................................ 45
Hidden agenda: ......................................................................................................................................... 45
Blundering Methods: .................................................................................................................................. 45
Inadequate Leadership: .............................................................................................................................. 46
Clash of Interest: ....................................................................................................................................... 46
Factors, which help in making good decisions: .................................................................................................. 46
Advantages & Disadvantages in group decision- making .................................................................................... 46
Different methods of group decision-making ..................................................................................................... 46
Meeting Practice: ............................................................................................................................................ 47
Merits and demerits of parliamentary procedure ................................................................................................ 47
Conference .................................................................................................................................................... 47
Characteristics: .............................................................................................................................................. 47
Committee Practice ......................................................................................................................................... 48
Characteristics of a Committee: ....................................................................................................................... 48
Functions of a Committee................................................................................................................................ 48
Guidelines for Organizing Committees .............................................................................................................. 48
Organization of a committee: .......................................................................................................................... 49
Chairman .................................................................................................................................................. 49
Members ................................................................................................................................................... 49
Committee Aide (Staff Assistance to committee) ........................................................................................... 49
Committee Procedures: ................................................................................................................................... 49
Agenda : ................................................................................................................................................... 49
Loophole Agenda & Hidden Agenda ............................................................................................................. 50
Minutes ..................................................................................................................................................... 50
Conflict and conflict Resolution in Community Organization ................................................................................ 51
Conflict- Meaning ........................................................................................................................................... 51
Competition Vs Conflict ................................................................................................................................... 52
Box: Community Conflict ................................................................................................................................. 52
Levels of Conflict ........................................................................................................................................ 52
Types of conflict......................................................................................................................................... 52
Economic Conflict:...................................................................................................................................... 52
Power Conflict: .......................................................................................................................................... 53

S.Rengasamy. Methods of Community Organization


Value Conflict: ........................................................................................................................................... 53
Other types of conflict: ............................................................................................................................... 53
Personality clashes: .................................................................................................................................... 53
Escalation of Conflict: ................................................................................................................................. 53
Table: Strengths and Limitations of various Approaches to Conflict Management .................................................. 54
Methods of Conflict Resolution: ........................................................................................................................ 54
Approaches to managing conflict: .................................................................................................................... 54
Two-dimensional model of conflict management: .............................................................................................. 54
Box: Levels of Conflict..................................................................................................................................... 55
Conflict Resolution Terminologies Defined......................................................................................................... 56
Box: Types of conflicts arising in Natural Resource Management ......................................................................... 57
Strategies of Community Organization .............................................................................................................. 58
Methods of Conflict Resolution ......................................................................................................................... 58
Table: Four approaches in conflict resolution .................................................................................................... 58
The major elements we need to understand before deciding a strategy ............................................................... 59
NEGOTIATION ............................................................................................................................................... 59
1. Supporting Survival Needs ................................................................................................................... 60
2. Demonstrating public support and sympathy: ........................................................................................ 60
4.
Conducting Behind The Scenes Discussions ....................................................................................... 60
5. Targeting pressure points:................................................................................................................... 60
6. Threatening: ...................................................................................................................................... 61
7. Waging campaigns against persons or institutions: ................................................................................ 61
Skills ............................................................................................................................................................. 61
Community Organizing Skills............................................................................................................................ 62
Community Organizing Skills............................................................................................................................ 62
I. Organizing and Planning Skills .................................................................................................................. 62
Leadership Skills for Community Organizers ...................................................................................................... 63
Skills for community Organizers ....................................................................................................................... 65
Information literacy .................................................................................................................................... 65
Research and inquiry .................................................................................................................................. 65
Ethical, social and professional understanding............................................................................................... 65
Communication and interpersonal ................................................................................................................ 65
Personal & intellectual ................................................................................................................................ 65
Autonomy ................................................................................................................................................. 65

S.Rengasamy. Methods of Community Organization

Well Run

Well Connected

Governance

Transport &
Connectivity

Active
Inclusive &
Safe

Well
Served
Social &
Cultural

Service

Geographical
Community
Well
designed &
built

Housing &
Built
Environment

Entertainment
Environmentally
Sensitive
Economy

Equity

Thriving

Fair for
everyone

S.Rengasamy. Methods of Community Organization


Unit III -Syllabus
Phases in community organization. Study, Analysis, Assessment, Decision Making, Organization, Action,
Evaluation, Modification and Continuation. Tools and techniques used in various phases. Methods of negotiation
and conflict resolution. Skills required to handle the community organization methods.

Phases in Community Organization


Phase/Steps/Stages are interrelated terminologies. These terms has been used informally. It
means a distinct time period in a sequence of events; a short unit of time, or an episode of
development or change, usually within the context of a longer period.
Study:
Application of the mind to the acquisition of knowledge, as by reading, investigation, or reflection:
Any personal effort to gain knowledge: to understand community; Something studied or to be
studied: research or a detailed examination and analysis of a subject, phenomenon, etc.
Analysis
Analysis (from Greek "a breaking up") is the process of breaking a complex topic or substance into
smaller parts to gain a better understanding of it.
Assessment
Classification of someone or something with respect to its worth; appraisal; the act of judging or
assessing a person or situation or event; judgment
Decision Making
The act of making up our mind about something, or a position or opinion or judgment reached after
consideration. Decision making means selecting the best course of action from two or more
alternatives
And when people ordinarily consider their own definition of decision making, it is typical that they
consider that somehow it is a thinking process, with lots of mental activity involved in choosing
between alternatives. Making a decision implies that there are alternative choices to be considered,
and in such a case we want not only to identify as many of these alternatives as possible but to
choose the one that (1) has the highest probability of success or effectiveness and (2) best fits with
our goals, desires, lifestyle, values, and so on.
Decision making is the process of sufficiently reducing uncertainty and doubt about alternatives to
allow a reasonable choice to be made from among them. This definition stresses the informationgathering function of decision making. It should be noted here that uncertainty is reduced rather than
eliminated. Very few decisions are made with absolute certainty because complete knowledge about
all the alternatives is seldom possible.
Every decision involves a certain amount of risk. But this doesn't include the way some people make
decisions for example You may have heard people saying I have a gut feeling; I know in my heart: I
feel it in my bones
Organization
Orderly arrangement of group effort; An organization is a social arrangement which pursues collective
goals, which controls its own performance, and which has a boundary separating it from its
environment. The word itself is derived from the Greek word (organon) meaning tool. The term is
used in both daily and scientific English in multiple ways.
Action
A process or condition of acting or moving, as opposed to rest; the doing of something; exertion of
power or force, as when one body acts on another; the effect of power exerted on one body by
another; agency; activity; operation; as, the action of heat; a man of action.
Modification
Partial or slight change in form; product of such a change; slight reduction; moderation;

S.Rengasamy. Methods of Community Organization

Phase/Steps/Stages are interrelated terminologies. These terms has been used


informally. It means a distinct time period in a sequence of events; a short unit of time, or
an episode of development or change, usually within the context of a longer period
The following diagram explains how Steps /Stages
are used as logical sequences to guide our actions in
our planned efforts

There are many ways to


present the steps / stages
visually Circular, Ladder
staircase, milestones etc

Community Organization Related Learning Material Compiled by


S.Rengasamy
http://www.scribd.com/doc/11787871/Introduction-to-Community-Organization
http://www.scribd.com/doc/13086532/Introduction-to-Community-OrganizationPhases-and-Methodshttp://www.scribd.com/doc/13988043/Role-of-a-Community-Organizer
http://www.scribd.com/doc/13287799/Understanding-Social-Action
http://www.scribd.com/doc/13828772/Advocacy-Lobbying
http://www.scribd.com/doc/24264150/Understanding-Public-Participation

S.Rengasamy. Methods of Community Organization

Arthur Dunhams Classification of CO Methods


1. Methods of Planning and Related Activities
1. Fact finding
2. Analysis
3. Evaluation 4. Planning
2. Methods of Group Decision Making and Co-operative Action:
5. Meeting practice 6. Conference 7. Committee practice 8. Negotiation
9. Organization including Mass organization
3. Methods of Communication:
10. Education
11. Consultation
12. Public Relations
13. Formal written Communication 14. Formal oral communication 15. The interview
4. Methods of Promotion and Social Action:
16. Promotion 17. Legislative promotion 18. Non Legislative procedural social action
19. Direct action
20. Exerting or invoking authoritative Action
5. Methods of Financing and Fund Raising:
21. Fund procurement by governmental agencies
22. Fund raising by voluntary agencies
23. Federated financial campaigning
24. Joint budgeting
6. Methods of Administration:
25. Administrative activities of agencies concerned with social planning.
26. Administration of common services or community organization
27. Recording.

Some Popular Trends in Community Organization

Participatory
Action Research

Deciding to work based on our understanding

This phase is generally understood as project implementation phase

Understanding the
Community

S.Rengasamy. Methods of Community Organization

Study:
Application of the mind to the acquisition of knowledge, as by reading, investigation, or
reflection: Any personal effort to gain knowledge: to understand community; something
studied or to be studied: research or a detailed examination and analysis of a subject,
phenomenon, etc.
Analysis
Analysis (from Greek "a breaking up") is the process of breaking a complex topic or
substance into smaller parts to gain a better understanding of it.
Assessment
Classification of someone or something with respect to its worth; appraisal; the act of
judging or assessing a person or situation or event; judgment
Decision Making
The act of making up our mind about something, or a position or opinion or judgment
reached after consideration. Decision making means selecting the best course of action
from two or more alternatives
And when people ordinarily consider their own definition of decision making, it is typical that
they consider that somehow it is a thinking process, with lots of mental activity involved in
choosing between alternatives. Making a decision implies that there are alternative choices
to be considered, and in such a case we want not only to identify as many of these
alternatives as possible but to choose the one that (1) has the highest probability of success
or effectiveness and (2) best fits with our goals, desires, lifestyle, values, and so on.
Decision making is the process of sufficiently reducing uncertainty and doubt about
alternatives to allow a reasonable choice to be made from among them. This def inition
stresses the information-gathering function of decision making. It should be noted here that
uncertainty is reduced rather than eliminated. Very few decisions are made with absolute
certainty because complete knowledge about all the alternatives is seldom possible.
Every decision involves a certain amount of risk. But this doesn't include the way some
people make decisions for example You may have heard people saying I have a gut feeling;
I know in my heart: I feel it in my bones
Organization
Orderly arrangement of group effort; An organization is a social arrangement which pursues
collective goals, which controls its own performance, and which has a boundary separating
it from its environment. The word itself is derived from the Greek word (organon) meaning
tool. The term is used in both daily and scientific English in multiple ways.
Action
A process or condition of acting or moving, as opposed to rest; the doing of something;
exertion of power or force, as when one body acts on another; the effect of power exerted
on one body by another; agency; activity; operation; a man of action.

Evaluation/ Modification /Replication


Evaluating ones action and based on that learning partial or slight change of our actions;
product of such a change; slight reduction; moderation; further improving our approach.
Replication means broadening our learning /actions if it is correct

10

S.Rengasamy. Methods of Community Organization

The first step in organizing the community is to understand it. Understanding the community
involves certain tasks. These tasks are variously outlined as Fact finding, Need assessment,
Problem identification depending upon the objectives of intervention
Fact- finding
Fact-finding includes activities designed to aid the discovery, ascertainment, assembling,
compilation and recording of facts.
Most community problems are sustained by a wide variety of factors, and some are more
influential than others. The challenge is to locate the major factors that have an effect on the
problem requiring correction. To meet this challenge effectively, it is essential to gather relevant
facts regarding the background of the problem.
In gathering information on the problem, the Community Organizer may be faced with two
difficulties: obtaining too much information that may prove to be irrelevant; identifying too little
information from normal sources. Good judgment must be used to distinguish noise
(meaningless data) from information that helps in analyzing a problem. Similarly when
information is not easily available, concerned individuals may be required to use ingenuity,
functioning like good investigative reporter by checking out leads. With the advice of the
knowledgeable researchers, special studies may need to be conducted as part of the fact-finding
process.
Why we need Community Organization
http://www.vcn.bc.ca/citizens-handbook/
We need more active citizens and CO is the way to do it
A way of tackling large public issues
Community Organization - A way of solving local problems
Community Organization - A way of improving liveability
Community Organization - A bridge to strong democracy
Community Organization is a recognized route to better health
Community Organization is a way of rekindling community

Following are the techniques


normally adopted for fact finding.
Documentation
(Recording
/
Compilation
of
information),
Formal Hearing (to find out how
representative citizens think on a
particular issue or proposal), Action
Research (Research combined with
some other type of action programs), Demonstration projects (to find out whether a certain
program will work or how effective a particular type of program) and keeping abreast of new
developments and new information in regard to certain subjects
Need assessment / Problem identification a crucial first step in program development is a
systematic verification of the existence, prevalence, location, and importance of a social problem
as it is expressed in needs for service.
Problem identification: Social programs are developed to address social problems. Obviously
community organizers have to study and document the existence of the social problem before
developing a program

11

S.Rengasamy. Methods of Community Organization

Fact Finding -What are the facts to be collected Model I


What are the facts to be collected?
1. External conditions and factors
Levels of socio-economic development and its relationship to the area Location advantages Govt
policies & Programs
2. Characteristics of the area
Land resources Soil & Water Human Resources Quantitative---Age, Sex, Religion, Education, Literacy
3. Social & Institutional Structure
Familial Corporate Units (Families-House) Associational Corporate Units (Caste) Territorial Corporate
Units (Panchayat Raj, Categoric Units (Religion)
4. Delivery System For Social & Economic Services
Economic i.e. Extension, Credit, Marketing Education, Health, Family Planning, Nutrition
5. Infrastructure Facilities for Production and Marketing
Road, Electricity, Irrigation, Telecommunication

Types of Community Need & its Identification


Principles of Organizing
Normative Need:
Experienced organizers know that the
It means a desirable standard---if the individual or process of organizing is seldom "tidy"
community falls short of this desirable standard then they it doesn't always happen in neat,
are being in need. Middle class standard ---A is in need predictable steps. It can be thought
of B and B is incompatible with the values held in of as a process guided by principles
that repeat in a cyclic, rather than
society C and therefore B should be changed.
linear, way:
Felt Need:
Equated with wants---Felt need is limited by the
perception of the people. People may ask for help
without really needing it. Exaggerate it or inflate it.
Comparative Need:
Relative Need--- this need can be assessed by studying
the characteristics of the people who are receiving a
particular service.
Community A is in receipt of
service, because it has the similar characteristics of AB;
Community B also has similar characteristics, but not
in receipt of that service. So Community B is in need.
Expressed Need:
Expressed need is demanded.
E.g. Phone Facilities: USA-450 per1000; Europe-380 per
1000; Singapore-100 per 1000(?); INDIA-- 4 per 1000 (?) (Highest number indicate normative
condition)
Comparative Need
My neighbor has a phone.
Felt Need
I am willing to be wait listed
Expressed Need
I paid deposit for getting phone connection

12

S.Rengasamy. Methods of Community Organization

Analyzing Community Problems - Model I


There's no official definition of a community problem; but
the criteria below should give you a start.
The problem occurs frequently. (Frequency)
The problem has lasted for a while. (Duration)
The problem affects many people. (Scope or range)
The problem is disturbing, and possibly intense. (Severity)
(It disrupts personal or community life.)
The problem deprives people of legal or moral rights.
(legality)
The problem is perceived as a problem. (Perception

What is analyzing community problems all about?


In a nutshel, analyzing community problems is a way of
thinking carefully about a problem or issue before acting on
a solution. It first involves looking for possible reasons
behind a problem, and checking out whether those reasons
are true. Then (and only then) does it involve identifying
possible solutions, and implementing the best ones.
The techniques for analyzing community problems are easy
to state. They require simple logic, and sometimes the
collection of evidence. But sometimes these techniques
elude us in practice.

Why should analyze a community problem?

Analysis:
Analysis is the application of the
six basic analytical questions i.e.
what, whom, where, when, why
and how?
What is the problem?
Where does it exist?
Who is affected by it?
When does it occur?
What degree it is felt?
Analysis lies midway between fact
finding and planning. It involves
collection of data, exploring the content
of the data, breaking up the content or
problem, examining the inter
relationships between the
constituencies. The purpose of analysis
is to gain insight, and understanding.
Planning can scarcely exist without
analysis. A sound plan normally implies
that the planner has the facts and that
the facts and the problem have been
analyzed as a basis for the formulation
of the plan.

* To better identify what the problem or issue


* To understand what is at the heart of a problem....
* To determine the barriers and resources associated with addressing the problem .
* To develop the best action steps for addressing the problem.

When should analyze a community problem?


Always. At least, almost always.
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:
1. When the community problem is not defined very clearly
2. When little is known about the community problem, or its possible consequences
3. When you want to find causes that may improve the chance of successfully addressing the problem
4. When people are jumping to solutions much too soon
5. When you need to identify actions to address the problem, and learn what persons or groups could
best collaborate in taking action.

How should analyze a community problem?


And of course, that is the heart of this section.
The answer is there's no one way to do it. There are many ways to understand the problem better
and to deal with it more effectively. These are the goals of any problem analysis. So the method you
choose should accomplish those goals for you
Steps to analyze a community problem
1. State the problem, in general terms
2. Give specific examples of the problem
3. Think of reasons for the problem
4. Find the most probable reason
5. Identify solutions
6. Choose the best one
7. Implement the solution
8. Evaluate the solution

13

S.Rengasamy. Methods of Community Organization

Dia: Steps to analyze a community problem


1

State the problem.


The room is dark.

Give some examples.


When I turn on the light switch, nothing happens.
.

Think of reasons.
(a) I might have blown a fuse.
(b) The switch could be defective.
(c) The light bulb might have blown.
Identify solutions.
(a) Replace the fuse.
(b) Replace the switch.
(c) Replace the bulb. .

Implement it.
I can change a bulb with
the best of them

Find the most probable


reason.
The fuse isn't blown.
The switch is new.
The bulb is old.
So it's probably the bulb

Choose the best one.


I'll try changing the bulb; it's simplest and
cheapest. (If the bulb has really blown, that's
probably the only solution there is.)
Evaluate it.
Good. I've got some light now

Community problems, it is true, are generally more complicated than changing light bulbs. But the same
type of analysis can apply to them as well, frequently with similarly -successful results.

Analysis helps to find out an effective solution.


How did you find the most probable reason? A likely answer is that you did some checking around. You
collected some facts about events in the past, and related those facts to the accident patterns now. In
other words, you collected some evidence. And then you used logic. In other words:
Analysis of community problems involves collecting evidence, and using logic to interpret
that evidence.

Analyzing the facts / Problem identification Model II


What is the problem?
Where does the problem exist?
Who is affected by the problem?

Deteriorating Public Health


In the sanitary division No. 36 of Madurai Corporation
More than 5000 families residing in the 36 division
{geographic} area
When does the problem occur?
For the last two years.
Why the problem occurred?
Poor drainage facilities; increase in the wastewater
cover.
To what extent the problem is
35% of the patients who attended the local
felt?
Medical practitioners are affected by malarial fever
Problem statement: In the past two years, the incidence of malarial fever increased 35% in
the sanitary division No.36 Madurai Corporation. 5000 families are affected due to this public
health deterioration.

Community Survey:
The term survey derived from two words i.e. SUR (to see a particular thing) and VOR
(From a high place) Community Survey is a method by which quantitative facts are collected
about the social aspect of a communitys position and activities.

14

S.Rengasamy. Methods of Community Organization

By survey method the Community Organizer can assess existing services and resources in an
area of need as well as gaps in service. Surveying both service agencies and community
residents, asking them how they perceive their unmet needs can identify potential demand for
service.
Steps in Community Survey:
Planning the survey
Executing the survey
What's a community?
In the physical world, communities are typically groups of people (a village, town) held together by
some common identity or interest. The same holds true for virtual or online communities in that
they, too, are comprised of people with shared identity or interests coming together for a shared
purpose.
This shared interest or intent offers a strong forum for members of the community to build
relationships and affiliations out of which they can learn from one another and make an impact on
the society or culture around them.
Coming from two Latin words meaning "with gifts," the term community suggests a general sense of
altruism, reciprocity, and beneficence that comes from working together. Communities help generate
a shared language, rituals and customers, and collective memory of those that join the group.
Encyclopedia Americana defines a community as, "A relatively small, isolated center with a stable
population, in which all economic and social services necessary to life can be maintained. The
community is one of the oldest forms on human social organizations... The ideal type of community
emerges as an intellectual concept when social change threatens to destroy a locality's isolation,
traditionalism, and solidarity.... [This] leads to a newer form -- including occupational and professional
groups, neighborhood groups, and ethnic and political groups -- becomes the functional equivalents of
the older, ecological, isolated community and they make it possible for their members to avoid the
problems of a multidimensional mass society. Their members can find a focus for their social relations,
loyalties, and interests."

What are the facts to be collected Model II


Information requirement to understand a community
1. Basic community characteristics
[Physical features and population particulars]
2. How the community functions to meet its needs
[Physical needs /Social and Emotional needs / Political needs / Economic needs / Educational
and communication needs]
3. Unmet needs
4. Community resources
[Natural/Tangible human made things / Systems of serving people / Social relationships/Major
institutions / Financial service /Human values / Skills and talents / Knowledge availability e
5. Capacity for disposition towards purposeful change

15

S.Rengasamy. Methods of Community Organization

1. Basic community characteristics


Size [small or big] * Common places * Landmarks * Look [dirty or clean] * Natural features
Population
Understanding a Communitys
Number*Demographic break down [male female /married /
Agriculture
unmarried/old/young/] * Population density * Nature of
Agricultures Role in the
families [joint/nuclear/male and female headed/family
Community
members]
1. Environmental Role
2. Economic Role
How the community functions?
3. Cultural Role
[Function means community attempt to meet its needs]
Laws that Protect Agriculture
2.1. Physical needs
Access to adequate needs * Affordable medical care * Understanding Specific Aspects of
Farming
Adequate and safe transport system * Adequate waste and 1. Timeliness and Seasonality of
drainage system * Clean environment * Routine Farming Practices
maintenance
2. Manure Management
3. Odors and Noise
2.2. Social and emotional needs
Safety and security * Pride in the community * Confident 4. Use of Roads
of their own and others abilities * Caring by others * 5. Use of Pesticides
6. Animals in Pastures
Groupings * Handling of deviants
7. Changing nature of farming
2.3. Political needs
Ability to work together * Participation in decision-making
* Formal/Informal process of making community decisions * Formal government structures and
leadership positions
* Recognizing community problems * Dominants [vocal] and passive [silent]
* Basis of community power * Carrying out decisions
2.4. Economic needs
Access to goods and services * Income and occupational levels * Opportunities available
[plenty/limited] * Earnings [inside/outside] * Production centers * Forces which influence
economic health
2.5. Educational and communication needs
Ways of learning about the things happening in the community /world * How people decide
about what is true? * Whom they listen and their credibility? * Schools and training programs *
Formal provider of news-their philosophical and editorial basis
Informal methods of providing news * Interest in communicating with one another
3. Assessing the communitys unmet needs
When a community cannot meet its goals or sustain it self, the community has unmet needs
Needs are often undiscovered, undeclared or considered unimportant by those who could do
something about them Recall *Normative need/Comparative need/Expressed need/Felt need
Symptoms of need and solution to need one should not mistake this as a need it self
E.g. Over crowded clients-inadequate chairs - Symptom
Putting adequate chairs
- Solution [Both may be wrong]
Timely service may be the solution

16

S.Rengasamy. Methods of Community Organization


4. Community resources
A need arises not because of the absence of resource. Allocation of resources and our inability to
recognize and develop resources may result in need. In order to meet the need, collect the
required information about the resources
available in a community.
Natural resources - Land, Water, Trees etc.
Tangible human made things --E.g. Libraries,
bridges, cars etc
Systems of serving people Local
government, grievance procedure, games, health
etc
Social relationships Family, friends,
business associations etc
Major institutions Temples, schools,
government departments etc
Financial services Money, barter etc
Human quality and values Honesty,
determination, passion etc
Skills and talents Carpentry, plumbing etc
Knowledge availability Science, history etc
Resources that can be used in multiple ways Temples, meeting places etc
Resources that can be combined to produce new resources Storage place that can be used
to collect used books
5. Capacity for change and disposition to
change
The desire for change often involves correcting
injustices, but it is not limited to this. It can also
involve providing new opportunities or
challenges, escaping the boredom of the routine
All communities have some capacity to change,
though some have more constraints than others.
E.g. Public employees legally limited to take
political action.
Each community also differs in its disposition
to change E.g. Some communities are happy
with the existing conditions

Six stages of effective community


organizing:
Assess the community
Create an action team
Develop an action plan
Mobilize to action
Implement
Evaluate

It's extremely important that one get to know the


community where one will be working in, and the
history of the issue one will address. Allow two to
three months to become familiar with the community,
its history, make-up, demographics, geography and
political leadership. Continue to learn about the
community by going door knocking and conducting
one-to-one discussions ". The organizer must learn
what community members concerns are and find out
what they identify as problems, not tell the
community what the problem is.

How to find out what we need to know?


Library/Census/City directory/Community profile/Publications/News paper files/Local
magazines/Year books/Resource directories / Impact or issue publications /Lists of local clubs
and organizations/Travel or tourism books/Economic profiles/Community trend profiles etc
Look for organizations that do at least one of the following things
Sell your community: Chamber of Commerce, Tourism organizations etc
Sell in or from your community: Provision stores, Retail estate associations, Business concerns

17

S.Rengasamy. Methods of Community Organization


Serve your community: Schools, Temples, Churches, Service providers
State a particular concern about your community: Environmental organizations, Police,
Transport
Qualities of a good Community Organizer
Study your community: Universities,
Community organizers think strategically about their work
Planning bureaus, consulting
while always keeping the final goal in mind and continually
companies.
making contributions to the goal. This is especially
Guided personal discussions
important in community organizing campaigns to enact or
Focus groups
change policies. Qualities include:
Surveys and questionnaires
Imagination Sense of Humor Blurred vision of a
better world An organized personality
Collecting list
Strong ego/sense of oneself A free, open mind, and
Membership lists *Donor lists *List of
political relativity
officers or board of directors
Ability to create the new out of the old
Officers of political parties *Creating
(Saul Alinsky, 1971)
our own lists
A check list that can be used to facilitate discussion to study/ understand a community
A check list that can be used to facilitate discussion. Adapt it to local conditions
For each of the following statements, please indicate your response using the following key:
Strongly agree -5, Agree- 4, Disagree 3, Strongly disagree 2, Dont know -1
1
This community feels like home to me
2.
I can get help from my friends when I need it.
3.
If I need information to make an important decision I know where to find that information.
4.
The community is able to respond to important issues
5.
I think of myself as similar to the people who live here
6.
People here are confident about the future of our community
7.
I am able to get the services I need in my community
8.
I shop locally whenever I can
9
The community has strong local leadership
10
There is a strong sense of cooperation and community pride
11
Our community is highly regarded in the region
12
I stop and chat with my neighbors
13
I feel my concerns and opinions about local issues can be heard
14
The local businesses support the community
15
I feel safe in my community
In the past 3 years
16
Have you ever joined a local community action to deal with an emergency?
17. Have you ever taken part in a community project?
18. Do you help out a local group as a volunteer?
19. Have you ever been part of a project to organize a service in your area?
20. Have you taken part in any education or training program?
21

What do you think are the three most important issues for this community?

22

Is there anyone else you think would be interested in doing this survey?

23
24

Is there anyone else you think would be interested in doing this survey?
Would you like to make any comments about your community?

18

5
5
5
5
5
5
5
5
5
5
5
5
5
5
5

4
4
4
4
4
4
4
4
4
4
4
4
4
4
4

3
3
3
3
3
3
3
3
3
3
3
3
3
3
3

2
2
2
2
2
2
2
2
2
2
2
2
2
2
2

1
1
1
1
1
1
1
1
1
1
1
1
1
1
1

YES/NO
YES/NO
YES/NO
YES/NO
YES/NO

S.Rengasamy. Methods of Community Organization


Phases/ Methods /Outcome of Community Organization
Based on the syllabus content

Methods

Professional management,
Scheduling & Monitoring
Evaluation tools, resource
mobilization, Financial Mgt,
Cooperative action

Co management
capacity, Visible
out puts. User
groups,

Phases /
Steps in
CO

Outcomes

Professional management, Scheduling


& Monitoring Evaluation tools,

Implementation Organization &


Action

4
Consensus on how to act &
mobilize, developed
indicators, visible outputs,

4
Planning & Decision
Making

6
Evaluation /
Modification / Replication
6
Developed regulations,
cooperation &
integration,

Community Organization
Phases
Methods
Tools &
Outcome

4
Project planning tools, Group
decision making, Negotiation,
conflict resolution, Appraisal

3
Base line
surveys,
Community
Profiling,
Observation,
PRA Tools,
Need
assessment,

Study

Analysis

Assessment

Understanding the Community / Issue / Problem


2
Field consultations, Focus group, Stakeholder workshops ,
Meeting, Conference, Committees, Problem & Need analysis
1

Negotiation,
consultation, PRA
Tools, Workshops,
Group decision
making, SWOT
Analysis,
Prioritization
matrix,

Understood problems & needs, assessed context, created databases, more awareness about
the problems & stakeholders, community assets,

19

S.Rengasamy. Methods of Community Organization

Understanding the Community by Understanding the Local Business


Community Business Survey

Understanding the Community by Understanding the Local Business


Community Business Survey (Adapt It to Local Conditions)
Category of Business.............
Number Employed:
Years Established . . . . .
Are you a member of any local business organization? YES NO
If YES which organization/s?
Which of the following best describes how you run your business? (One or more)
A. Provision of essential service to customers
B. Provision of competitive service and seek customers
Provision of competitive, quality services and
Provision of specialized services so customers seek us
have loyal customers
out
Provision of specialized service and people are referred to us
Trying new ways of winning business
Reaching customers through advertisements
Sponsoring one major local activity
Sponsoring several local activities
Employing trainees
Technology and your business: Is there a role in your business for information technology?
Which of the following best describes the technologies you use?
Manual bankcard/credit card facilities
Electronic banking for our business needs
Basic computing- word processing and spreadsheets
Commercial software packages
Software for stock and inventory control
Industry specific software
Internet address and website
Using industry specific technologies
About your potential business growth
Which of the following business strategies do you have in place at the moment?
Planning to grow our business
Having a working business plan
Having a marketing plan
Having a contingency plan for financial
emergencies
About the Business Community:
5. Yes, completely satisfactory 4. Yes, but not completely satisfactory 3. Somewhat, but
need attention to be satisfactory 2. No not at all. Not satisfactory 1. Dont know
How do you feel about each of the following issues in the business community?
The business sector works together well 5 4 3 2 1
We work to reduce that leakage 5 4 3 2 1
The community supports its local businesses
work together to promote the benefits of shopping
54321
locally 5 4 3 2 1
Businesses work together to maximize
The business sector is optimistic about the future
opportunities for the future 5 4 3 2 1
54321
The business sector promotes customer service
54321
Business, Council and the Community
A spirit of mutual assistance and cooperation in the There is a strong working relationship between the
community 5 4 3 2 1
Council and the business community 5 4 3 2 1
A high level of optimism in the community
There is a strong level of pride in the community
54321
54321
You as a member of the community
Are you involved in any community organizations
Do you undertake any voluntary work/ service in
outside work?
the community?
What you do and how many hours each week you are involved in community work ?

20

S.Rengasamy. Methods of Community Organization


Collection of self explanatory diagrams on Steps /Stages in Community Organization
A look at the series of diagrams given in the following pages will help to understand how the
steps and stages in community organization is differently described. This is not to confuse the
readers but enable them to appreciate the complexity associated with community organization
process.

4. Problem Census
with Individual
stakeholder groups

5. Consolidated
problem ranking
by facilitators

6. Plenary to
agree problems

8. Plenary Primary &


Secondary
Stakeholders
7. Solution & Impact
Analysis with Individual
Stakeholders

10. Develop
detailed plan of
action

3.Household
Census

11. Review &


agree mitigation

9. Development of
community organizations &
Institutions
2. Stakeholder
Analysis

1. Situation
Analysis

12. Implement action plan


including rules &
monitoring
13. Co management
formalized

Start

21

S.Rengasamy. Methods of Community Organization


Stages & Steps in Community Organization
Situation that need improvement

Available
Resources

Existing
opportunities

Evaluation

Areas of
improvement

What to do?

Situation
Assessmen
t

Learnings

Impact of
project

Success
stories

Decided to work

When to do it?

Planning

Where to do?
it?
Who will do it?

Suggestions
for the future

Implementatio
n

Analyze the issue or problem


What is the issue or problem?

Identify Stakeholders
Who is involved?

Know your target group


Whom you want to reach?

Determine objectives &


outcomes

STAGE 2

What you want to achieve?

Design your methods


What methods should you use?

Consider funding
How much will it cost & Wholl pay?

Make an action plan & implement


it
Specify Who,What,When,Where?

Monitor & Evaluate


How will you know if its been
successful?

22

Required
resources

S.Rengasamy. Methods of Community Organization


Stages in Guiding / Organizing Communities

23

S.Rengasamy. Methods of Community Organization

Some self explanatory diagrams on Problem Solving Process

Steps in Problem Solving

24

S.Rengasamy. Methods of Community Organization

Phases in community organization learning

Phases in
Community
Organization
Learning

25

S.Rengasamy. Methods of Community Organization

Diagrams of Phases / Steps / Stages in Community Organization

Steps /Phases in Community Organization

26

S.Rengasamy. Methods of Community Organization

Tools that can be used at different stages and for different purposes
Experience
Brain storming
Cause effect Diagrams
Mind Mapping
Social & Resource mapping

Action /Implementing
Deciding

Analyzing

Venn Diagrams

Action Planning

Historical Analysis

SWOT Analysis

Reflections

Experimentation

Exploring

Seasonal Diagrams
mapping
Semi structured Interviews

Visioning

Nominal Group Technique


Force Field Analysis

Card Technique
Interrelationship Diagrams

Matrix Analysis

Stakeholders Workshops

Priority Ranking
Wealth Ranking

Conceptualization

Major Phases / stages


1. Understanding the
Community
2. Project Planning

1. Study
2. Assessment
3, Diagnosis
4. Planning &
Decision Making

3. Resource mobilization,
Financial Management,
Monitoring & evaluation

5.Implementation
& Action

4. Evaluation,

6. Evaluation
Modification /
Replication

Appropriate tools
Social Map, resource Map, Seasonal Calendar, Wealth ranking, Venn diagrams,
Consultations, focus-group discussions, Community Profiling, , transect walk,
Demographic profiles, Asset mapping, Referring secondary sources
Focus group discussions, Stakeholders workshops & meetings Data-gathering tools
such as stakeholders' analysis, Problem ranking and prioritization, Project Appraisal &
Scheduling techniques, SWOT & Force Field Analysis, PERT & CPM, Professional
Management techniques relevant to Project administration, Logical Framework
Analysis (LFA)
Fund raising methods, Budgeting, Financial Management Techniques, Gantt chart,
Monitoring tools, Alternative technologies or methods like micro-finance, sustainable
agriculture, alternative medicine, co-operative, indigenous forest management,
appropriate technologies for livelihoods
Stakeholders workshops & meetings, community-based evaluation tools,

27

S.Rengasamy. Methods of Community Organization


PRA tools for many purposes to understand and organize the communities

PRA tools for many purposes to understand and organize the communities
Gaining ideas
Brainstorming can be applied to gain as
many ideas as possible without getting caught
up in detailed discussion.
Organizing and ranking ideas, factors,
issues
Cause and effect mapping can be used to
brainstorm on and organize causes for a
particular problem
Card techniques are an easy way to
cluster, organize and rank information.
The Delphi technique can be used to
categorize ideas, issues or questions with a
group
Mind mapping is a good exploring tool to
cluster similar ideas and see links.
Nominal group techniques enable a
group to quickly develop a ranked list of
problems, issues or actions
Collecting information
Focus groups discussions take place with
a small group of selected people to collect
information about an issue.
With historical narratives you can create
personal testimonies of past events and
conditions.
Questionnaires and surveys are a
structured way to gather quantitative
information.
By semi-structured interviewing we
mean guided conversations where broad
questions are asked and new questions are
allowed to arise as result of discussion.
Planning
Visioning is a nice tool to let people think
about and describe how they would like things
to be in the future Action plans are tables with
tasks, resources, due date and responsible
persons

Analyzing factors, steps, relationships


A conceptual model is a diagram of a set of
relationships between certain factors that are believed
to impact or lead to a target condition.
With flow diagrams you can map out steps that need
to be taken and the factors that need to be taken into
account
Force Field analysis is a tool for systematically
analyzing the driving and restraining forces in a situation
Interrelationship diagrams are used to examine if
factors are caused by or a cause of the other factor, and
to show relations between factors with arrows.
Issue analysis is identification of major issues that
have been raised from a range of other tools (focus
groups, semi-structured interviews) and grouping these
into major themes.
Matrix analysis can be used for ranking the value of
a particular activity or item according to a range of
criteria
SWOT is the identification of Strengths, Weaknesses,
Opportunities and Threats
Participatory learning tools
With historical analysis you create a table with dates
and topics which can be filled in with a group to create
understanding about history and background.
Locality mapping is drawing on the knowledge of
local people to develop a map of the local area.
A timeline is a widely used participatory tool to
understand a kind of history of a community
A time trend helps to understand and analyze the
fluctuation situation of development progress and their
reasons during a certain time interval.
An empowerment circle aims to generate
information from stakeholders about the progress of
their empowerment situation after project intervention.
With institutional linkage or Venn diagrams you can
visualize institutions and organizations and their
influence for example.
Rich picturing is a kind of group work (4-8 persons)
to visualize a situation on a large sheet of paper with
symbols, pictures and words.

28

S.Rengasamy. Methods of Community Organization

Phases /Steps in Community Organizing

29

S.Rengasamy. Methods of Community Organization

Diagram: Problem Analysis Model

Example of Problem Analysis

High Infant
Deaths

Too Young
Mothers
(<18 yrs)

Close spacing
of births
(<2 yrs)

Pregnancy

High risk birth


arrives too late
at hospital

Mothers are
living in far
flung areas

Intermittent
use of Family
Planning
Methods

due to rape

Children are
living on the
streets

Too many
Births
(>5)

Mothers dont
know their
pregnancy is
high risk

Short Breast
feeding
practice
Non use of
Family Planning
methods

Religious
belief forbids
use of Family
Planning

30

High incidence
of infection
(sepsis)

Midwives use
unhygienic
practices

S.Rengasamy. Methods of Community Organization

Diagrams: Models - Steps / Stages in Community Organization

Phases /Steps in Community Organizing

31

S.Rengasamy. Methods of Community Organization

Comprehensive list of Community Organization / Engagement Tools


It is a challenge to list out community organization/engagement - 1. steps/stages and
2.tools and techniques matched to each stage /phase. The choice of steps and techniques will
depend on a number of factors, including:
. The purpose of organization / engagement
. Legal requirements for organization / engagement
. Who is to be consulted?
. The environment in which engagement is being carried out (political, social, cultural normal,
conflict ridden, emergency)
. Money, time and skills available.
List of Community Organization /
Engagement Tools
Advisory committee
Background papers see Written information
Charette
Citizens jury
Citizens panel
Commission of inquiry see Public hearing
Community information and feedback session
Consultative committee see Advisory
committee
Design workshop see Charette
Discussion forums see Website
Discussion papers see Written information
Face-to-face interview see Meeting
Facilitation .
Feedback see Written information
Focus group
Inquiry by design see Charette
Meeting
Mediation meetings see Meeting
Newsletter see Written information
Open day see Community information and
feedback session
Planning focus meeting
Policy round table see Planning focus meeting
Precinct committee
Pre-lodgment meeting see Meeting
Post-determination meeting see Meeting.
Public forum see Public meeting .
Public hearing
Public meeting
Public notices
Research panel see Citizens panel
Questionnaire
Regional forum
Search conference
Threaded discussion groups see Website
Website
32
Workshop see Focus group
Written information

S.Rengasamy. Methods of Community Organization

Levels of Community Engagement Its Objectives, Outcomes & Techniques used

EMPOWER

COLLABORATE

INVOLVE

CONSULT

INFORM

Level

Objectives
To provide the public with
balanced and objective
information to assist them in
understanding the problem,
alternatives, or
solutions
To obtain public feedback on
analysis, alternatives, or
decisions

Promise to the public


We will keep you
informed

Major techniques
Meeting
Public notice
Written
Website

We will keep you informed,


listen to and acknowledge your
concerns, and provide
feedback on how public input
influenced the decision

To work directly with the public


throughout the process to
ensure that public and private
concerns are consistently
understood and considered

We will work with you to


ensure that your concerns and
issues are directly
reflected in the alternatives
developed and provide
feedback on how public input
influenced the decision
We will look to you for direct
advice and innovation in
formulating solutions and
incorporate your advice and
Recommendations into the
decisions to the maximum
extent possible

Citizens panel
Community information
and feedback session
Facilitation
Focus group
Meeting
Public hearing
Questionnaire
Facilitation
Planning focus meeting
Precinct committee

To partner with the public in


each aspect of the decision
including the development of
alternatives and the
identification of the preferred
solution
To place final decision making
in the hands of the public

To place final decision making


in the hands of the public

33

Advisory committee
Charette
Facilitation
Policy round table
Regional forum
Search conference
Citizens jury
Search conference

S.Rengasamy. Methods of Community Organization


Description of Tools
MEETINGS
This is a cost effective, relatively informal technique for information sharing that can be a good
alternative to public meetings
Description
Small or one-on-one meetings and interviews are a popular way to inform or consult with interested
parties and members of the community. Being less formal than large meetings, they are a way to engage
those who may be under-represented in public forums. They offer a more focused opportunity to discuss
a planning issue or project with an individual or group.
PUBLIC NOTICE
This is one of the least expensive information giving techniques, although costs will vary according to the
methods used.
Description
A public notice is a means of providing information to the public about a proposal or key community
engagement activity associated with a planning or development assessment process. A public notice
usually appears:
. in a local or national circulation newspaper . as a sign in a public place
. on land or buildings that may be affected by a planning or development
assessment process . on a public notice board.
A public notice describes the proposal or event, for example, local environmental planning process, public
hearing, exhibition. Its purpose and objectives are stated briefly, including:
. the name of the authority or organizers for an event . the place, time and date of the event
. the timeframe for the process.
It may also state that the public can make submissions during a specified submission period.
Public notices are mandatory for specified steps of some statutory planning and development assessment
processes. In some cases not only the contents, but the size of the notice is specified.
WRITTEN INFORMATION
The written word is a widely used and cost effective method of providing information and encouraging
input. Costs will vary depending on the nature of the written information.
Description
Written information is a widely used, traditional consultation method. When associated with consultation
on plan making and development proposals, it takes many forms. These include:
. discussion, issues and background papers . Reports on processes . records of meetings . questionnaires
. articles . advertisements . media releases
. brochures and newsletters publicizing planning proposals and associated community engagement
strategies.
Written material is used to:
. provide information about policies, strategies, services, plans, proposals and forthcoming events
. encourage broad discussion and response to policies, strategies, plans and proposals
. provide feedback to participants in the consultation process or the community generally

34

S.Rengasamy. Methods of Community Organization


CITIZENS PANEL
Although this technique is costly to establish in both time and money, it offers ongoing value as a resource
for a range of engagement techniques.
Description
Standing citizens panels, research panels, or similar techniques have been widely used. They are large
scale consultative groups (10002500 participants) weighted for gender, age, ethnic background and
occupation to be representative of the community. This technique provides a relatively permanent forum
that can be surveyed on a regular basis about issues or services. One advantage is that it provides a large
sample from which it is possible to gauge changes in attitudes, knowledge and behaviors over time.
Participants normally serve on a citizens panel for a period of two to four years.
A citizens panel is a 'deliberative' form of participation. Deliberative participation differs from normal public
consultation or public participation because it does not seek 'snapshot' answers on predefined questions
framed by policy makers. Instead the emphasis is on getting citizens to think about their experiences and
priorities, to look at the problems of providing public services, and to frame their own suggestions and
recommendations for policy makers to consider. In short, people are asked to deliberate, listen to
evidence, and get involved in a far more extensive way with the issues under consideration.
The motivation for establishing a citizens panel comes from several sources:
. the intelligence of the electorate should not be underestimated
. it is difficult for public officials to have as much information about citizens' situations as the citizens do
themselves
. the interconnections between problems from the citizens' point of view are often subtle
and yet very important for the way that policy decisions work or do not work.
COMMUNITY INFORMATION AND FEEDBACK SESSION
This technique itself takes little time yet requires significant expenditure of resources to prepare.
Description
A community information and feedback session is usually a day on site at a nominated venue where
participants will:
. view plans for a proposed development
. discuss issues with the sponsoring organization
. provide comments or written feedback about the project.
FACILITATION
This technique involves some additional expenditure of preparation time and money to cover the cost of
the facilitator but can deliver outcomes that would not be possible without facilitation.
Description
Facilitation is a technique used to enhance the effectiveness of other community engagement techniques.
It involves a neutral person, or facilitator, steering an event such as a forum, workshop or public meeting
to ensure that all views are voiced and heard and that the environment is conducive to the open
expression of needs and concerns. A facilitators role is also to lead participants towards identifying
common ground and mutually acceptable options. Facilitation is a vital tool when dealing with contested
issues or where there is potential conflict between parties over outcomes. This can occur in almost any
issue.
Cole-Edelstein (2001) has identified some of the fundamental principles of facilitation:
. trust and integrity . transparency and accountability . flexibility to reflect the directions of the process .
responsibility to process, not outcomes.
FOCUS GROUP
This technique can be relatively resource intensive, especially when a wide range of special interest
groups are targeted, however, it is an effective way to engage groups who may be under represented in
larger forums.
Description
Focus groups can help develop a program or consider a proposal by incorporating views from groups that
have a specific interest or concerns. Focus groups target members of a specific population or special
needs group.

35

S.Rengasamy. Methods of Community Organization


It is useful to seek advice from individuals or organizations with local expertise when selecting
appropriate groups. Because focus groups tend to involve small numbers, around eight to twelve, all
participants have a chance to contribute.
The advantages of focus groups are that they:
. allow for brainstorming ideas . can include those who may usually be excluded
. allow in depth discussion.
Weaknesses include:
. possible cost . lack of confidentiality . qualitative information only . difficulty in prioritising issues
PUBLIC HEARING
Description A public hearing is held in response to a submission for a hearing to discuss concerns about a
draft local environment plan. A council has the discretion as to whether or not to hold a public hearing.
The concerned authorities may arrange a public hearing to enable the community to comment on a
particular aspect, or on the entire draft of a planning policy.
Some advantages of a public hearing are:
. the public is allowed, by prior arrangement, to speak without rebuttal
. available evidence can to be worked through systematically
. comments are put on record.
Weaknesses include:
. it does not foster dialogue
. an adversarial mood can be created
. minority groups and those who do not like public speaking are not easily included
. people with the confidence or resources to make a case tend to be favoured.
QUESTIONNAIRE
This technique can be a valuable way to obtain information that will inform the engagement process
although it takes significant resources.
Description
A questionnaire or survey is a face-to-face, postal or electronic set of pre-determined questions designed
to obtain information, views and concerns associated with a planning or development process.
The advantages of a questionnaire include:
. those who might not attend meetings are engaged
. statistically valid results can be more acceptable to the public and decision makers.
Weaknesses include:
. resource intensive . low response rate . limited detail.
PLANNING FOCUS MEETING
This technique is a cost effective way of resolving issues at the pre-lodgment stage and involves relatively
few resources.
Description
The planning focus meeting includes one or more meetings between the development proponent and
authorities. It provides a forum for proponents to introduce projects and explain various components and
considerations. It also acts as a contact point for various government agencies including councils in those
areas the development will be, to identify key issues of concern. From this point, the authorities are able
to advise on which key issues the proponents should analyze and assess.
Planning focus meetings are valuable because they deal at an early stage with matters that might
otherwise hold up the assessment process. They help clarify the main standards, criteria and guidelines
that will be used by authorities in assessing and determining projects.
Their purpose is to establish a sound basis that ensures projects are adequately described and their
implications are properly identified and addressed. It is not a forum for making decisions about whether a
project can be approved or for setting conditions
ADVISORY COMMITTEE
This technique requires ongoing commitment and resource support.
Description
Advisory committees generally comprise members of community groups and government or nongovernment agencies with expertise in a specific field. They can be formed to monitor

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issues in relation to:
. various government programs
. planning processes place-based strategic planning or development of a specific local government area
. specific issues advising on Aboriginal peoples needs/concerns
. specific matters such as access for people with disabilities, and community safety.
In a consultation process, they can offer advice on appropriate changes to programs, policies or plans or
recommend the introduction of specific services. Advisory committees can help produce more appropriate
policy and reduce criticism from interest groups.
Although similar to task forces, advisory committees function as an ongoing structure while task forces
tend to be formed on a short term basis to focus specifically on the development of a particular proposal.
CHARETTE
This is a resource intensive technique that can deliver concrete outcomes very quickly and cost
effectively.
Description
A charette or inquiry by design workshop is an intensive workshop where stakeholders are brought
together to suggest solutions for complex planning issues. Such solutions include trying to balance
planning, economic and social factors as well as urban design and sustainability considerations. A
charette should include representatives from interest groups although it is not limited to these groups. It
involves a rapid and dynamic interchange of ideas between planning practitioners, stakeholders and the
general community. Concrete results are produced rapidly with meaningful and well placed involvement
of the community. It is a cost effective means of envisioning the outcomes at an early stage and
assessing the planning proposals at the final stage. It is important that both the consent authority and
the participants in the charette understand its role in decision-making.
REGIONAL FORUM
This technique is an important way of promoting cooperation and coordination in regional planning. It
requires ongoing commitment of resources and is an implicit component of planning.
Description
A regional forum promotes cooperative and coordinated regional planning and provides comprehensive
advice to the govt. It brings together key government and community based interests in a region and
coordinates preparation, maintenance and implementation of regional strategies. This task also includes:
. streaming information management
. developing consistent, whole-of-government guidance to local councils on implementing regional
strategies.
SEARCH CONFERENCE
This technique is a resource intensive, effective means of creating a partnership with the community. It
can be used for developing and gaining broad commitment in a strategic planning process. Its success
depends on a strong commitment to follow through with conference outcomes.
Description
Search conferences were pioneered in England in 1959. They are usually held early in a planning process
to develop a broad vision for a particular project or organization. Search conferences focus on first
identifying desirable futures and then concentrating on ways to achieve them. Search conferences are
intensive events, usually taking place over two days and two nights (Roulier 1997). Sometimes called
future search conferences, they involve a large group of people, selected because they have power or
information on the topic at hand or are affected by the outcomes. The ideal number is considered to be
64 people, as this breaks down into eight groups of eight. People from similar interest groups are usually
placed together for some or all of the conference to take part in a highly structured process covering five
stages:
1. Review the past
. Each participant writes key events in the history of themselves, the community and the world onto three
parallel time lines.
2. Explore the present
. A mind map is made of trends affecting the local community.
. Specific interest groups identify important trends and what they would like done about them.

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. Groups share what they are proud of and sorry about in their community.
3. Create ideal futures
. Mixed small groups develop visions.
. Barriers to the visions are identified.
. Each group acts out its vision to everyone else.
4. Identify common ground
. First the small groups, then the whole group, work out:
- the common ground or shared vision
- identify projects to achieve it
- identify any unresolved differences.
5. Make action plans
. Self selected action groups plan projects and publicly commit to their action.
CITIZENS JURY
A citizens jury is a time, labour and cost intensive exercise that requires expert facilitation.
Description
In a citizens jury, a randomly recruited and demographically representative panel of citizens meets for
three to five days to carefully examine an issue of public significance. The jury usually consists of 12 to
20 individuals, and serves as a microcosm of the community. Jurors are often paid a stipend for their
time. Childcare, specialist support and travel expenses should also be offered to jurors. They hear from a
variety of expert witnesses and are able to deliberate together on the issue. On the final day of their
moderated hearings, the members of the citizens jury present their recommendations to the public.
The charge is the task facing the jury. It typically takes the form of a question or series of questions that
the jurors address and answer during deliberations. A citizens jury is a transparent process that involves
experts, ordinary citizens, service providers, interest groups and the decision makers on a specific topic of
community concern.

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S.Rengasamy. Methods of Community Organization


Methods of Group Decision Making and Co-Operative Action
Groups in the context of Community Organization

The work of the organizations is largely the work of the groups. Most of the stuff of community
organization discussing, planning, and decision -making and camaraderie occurs in groups.
Building a successful organization
Synopsis
demands an understanding of the
Groups in the context of Community Organization
functioning of successful groups.
The importance of Groups
Meaning of a Group & Decision Making
Meaning of Decision Making
Meaning of Group Decision Making
Understanding the Groups
Stages of Group Formation
Johnson & Johnson / Napier & Greshenfeld
Task roles and Relationship roles
Improving the efficiency of the Groups
Providing proper learning climate
Deciding the size
Group Decision Making
Involvement / Types of decision making
Difficulties in decision-making
Making good decisions
Advantages & Disadvantages in group decision making
Forms of group decision-making
Meeting practice
Conference practice
Committee practice

Characteristics of good & bad decisions

Good decisions
Informed
Supported by best evidence
Compatible with patients values
Considers patients preferences
Weigh pros and cons
Practical
Poor decisions
Objective data inadequate
Too few options considered
Alternatives unclear
Values and preferences unexplored
Roles unclear
Communication is poor

Community organizers see group


methods
of
ensuring
authentic
participation as a means towards
transformation. Groups are seen as
preparing ground for participation. Trust
and dialogues are pre requisite for group
process.
Founded on love, humility and faith,
dialogue
becomes
a
horizontal
relationship of mutual trust. Trust is
established by dialogue; it cannot exist
unless the words of both parties coincide
with their actions.
Nor can dialogue exist without hope.
Hope is rooted in our human

Different Types
of Decisions
Irreversible
Reversible
Delayed
Quick decisions
Experimental
Trial and Error
Conditional
Decision
Making Styles
Authoritative
Facilitative
Consultative
Delegative

incompleteness, from which we move out in constant search, which can be carried out only in
communion with other people.
Group decisions require an intense faith in human beings; founded on love, humility and faith,
group decision-making process develops mutual trust. (It requires intense faith in human being;

39

S.Rengasamy. Methods of Community Organization


requires love and humility; requires hope, which is rooted in human incompleteness; involves
critical thinking)
Issues facing the people are often complex and no expert has all the answers. On the other hand
no body is totally ignorant. To discover valid solutions everyone needs to be both a learner and a
teacher. A may provide a fact; B may provide a premise; C may provide a value judgment;
D may provide a complete alternative; E may provide second alternative. This may lead to
valid solutions. To discover valid solutions, everyone needs to be both a learner and a teacher.
Groups provide an environment for mutual learning process.
Meaning of a Group:
Two or more people who interact with and influence each other towards a common purpose.
(Who interact with one another; psychologically aware of one another; who perceive themselves
in a group)
Meaning of Decision Making:
Selection of a preferred course of action from or more alternatives
Meaning of Group Decision Making:
When two or more people who interact and influence each other attempt to select a preferred
course of action from two or more alternatives.
Group decisions emerge from group meetings. These meetings may be called as conferences,
committees, staff meetings etc

An example of Personal Decision Making

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S.Rengasamy. Methods of Community Organization


Understanding the Groups
Stages in the development of a group.
The following stages are identified in the life cycle of a group.
Tuckmen and Jenson
1. Forming Stage
Members are unsure of themselves and the
group. They try to figure out where they fit
in with these new relationships

Napier and Gershenfled


1. Beginning Stage
This stage is a period of watching, waiting and testing
how to act

2. Storming Stage
It is characterized by rebellion as members
assert their individuality and resist
authority

2. Movement toward Confrontation Stage


After people have dropped their polite facades and begin
acting more like themselves. Questions arise over who
makes decision and how. Members try to firmly establish
their place in the group seeking prestige and influence.
This bound to cause some conflict
3. Compromise and Harmony Stage
The group starts reversing confrontative trend realizing
that if continues the group will disintegrate. This period of
goodwill, tolerance for different behaviors and more
acceptance of individuals. Collaboration is increased and
competitiveness is reduced. There is a pressure to
preserve the spirit of harmony
4. Reassessment Stage
The group starts feeling that the pressure to preserve
superficiality makes them to ignore the members personal
needs, suspicions and realize that it stands in the way of
accomplishing goals. The group realizes that survival
depends on increasing shared responsibility as well as
personal accountability. This in turn increases the trust
and individual risk taking
5. Resolution and recycling stage
The group realizes that periods of harmony are normal
and conflicts are handled easily and quickly.

3. Norming Stage.
Members establish procedure and a sense
of how they should act in the group

4. Performing Stage
The group concentrates on the tasks to be
achieved

5. Adjourning Stage
When the group completes its work, which
results in a change in the relationship
among its members

Task Roles and Relationship Roles of a Group:


TASKS AND RELATIONSHIP NEEDS IN ANY GROUP
In every group some one is needed to play each of the following roles if the group is to accomplish its
tasks and keep good relationships among its members. Any action that strengthens the task or
relationship level can be considered a leadership action.
Task Needs
Task Component: any action the group undertakes
to accomplish its purpose / goal. If task component
receives little attention, the group wont accomplish
very much.

41

Relationship Needs
Relationship or Maintenance Component:
Actions not directed at the working of the, but to
enhance the harmony among individuals and the
group. Maintenance component includes the
ability of the group members to work well
together, to effectively manage their conflicts and
to feel good about them. This necessary after a
sequence of intense task activities or otherwise
the group will probably fall apart

S.Rengasamy. Methods of Community Organization


1. Starting the discussion or helping the group
to begin a job.
2. Asking for information. Asking group
members what information they have and / or
where the information can be found on the topic
being discussed
3. Giving information. When group member do
not have particular facts that are relevant to the
topic.
4. Asking what people think. Getting group
members opinion is for good decision-making. It is
also important for people to be willing to share
what they think.
5. Explaining. Giving practical examples to make
a point clear.
6. Summing up. Repeating what has been said
clearly in few words.
7. Checking to see if everyone agrees
8. Analyzing the problems under discussion
9. Making creative suggestions to resolve the
problems
10. Having clear process for making each
decision
11. Evaluating. Looking at the strengths and
weaknesses of the groups work and seeing how it
can be improved

Decision Making Modes


Goal Ambiguity
/Conflict

High

Low

Low

Rationale Mode

Political Mode

Emotional Mode

Anarchy Mode

Technical
Uncertainty
High

To use groups as a tool for Community


transformation, Community Organizers
have to concentrate on the following aspects
1. Structure of the Groups
2. Improving the efficiency of the Groups
3. Providing proper learning climate
Structure of the Groups
Deciding the size:
Majority of people find it difficult to speak
in a big group of strangers. Also there is
usually not enough time for everyone to
speak. Therefore if everyone is to
participate actively, small groups are
essential.

1. Encouraging. Being friendly, responding to


and building suggestions made by others.
Showing acceptance and appreciation of others
and their ideas.
2. Giving every one a chance to speak
3. Asking what people feel. Sharing what one
fells and checking group feelings
4. Encouraging shy members, especially young
women or those who less formally schooled
5. Resolving arguments
6. Encouraging creativity in the group.
7. Sharing responsibilities
8. Developing the confidence and skills of all
members
9. Setting standards. E.g. shall we agree that
nobody speaks more than twice
10. Diagnosing difficulties E.g. may be some
of us are afraid of the consequences of this
decision
11. Relieving tension. By bringing it out into
the open, putting a problem in a wider context, or
making a well timed joke

Pairs are useful for


Interviews, intimate sharing, practicing
some skills, ti stir a passive sleepy group in to action.
3s are very useful for
Getting everyone thinking and participating actively
Testing out an idea one is hesitant to present to the big group. If two people think it is
worthwhile, one might risk saying it to the whole group

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S.Rengasamy. Methods of Community Organization


4s, 5s, 6s is useful for,
Good size for a planning team or discuss about more complex situations. The bigger the group
gets, the longer the discussion time needed and the longer it will take to make decisions.
6-12
This is a good size for sharing ideas and insights when the group has plenty of time. But the
group is bigger than this, it need an appointed animator or leader. All members should try to be
sensitive to the needs of the group (task and relationship needs)
30s
An ideal size to develop the sprit of a community. But it is also necessary with groups of this size
to break into smaller groups of different kinds for different purposes.
30 200 >
Useful to inform new ideas and policy. But these groups should be broken in to small groups and
animators or facilitators are needed to break the passivity.
Group Decision Making
Community organizers frequently use a number of small group process in decision-making /
problem solving process. The use of decision-making groups typically called Committees is
common in almost all community organization settings. Decision-making is defined as the
selection of a preferred course of action from two or more alternatives. Group decisionmaking has several advantages over individual decisions making. They are:
Greater knowledge
Greater number of approaches to the problem
Greater acceptance of the solution through participation and support
Better comprehension of the decision.

Steps,
Strategy, tools
& techniques

Community
is a great place
to work

Communities
can be
transformed,
made liveable

43

S.Rengasamy. Methods of Community Organization

Involvement / Types of decision making


It is neither possible nor desirable to involve everybody in every decision. One of the main skills in
democratic leadership is deciding who should be involved in making which decisions. The basic rule is
that the more deeply people are affected by a decision, the more important it is they should share in
making it.
If we analyze how many people were actively involved in making a decision, we will find they all fall
somewhere along the following line

Plop
Hand Clasp
One Person

Minority
Clique

Majority Vote
True Consensus
Silent Consensus

The plop:
Here the group makes a decision by not making a decision. Not to decide is to decide. Some one
makes a suggestion but drops like a stone into a pond and no one pays any attention to it all. If the
person who made the suggestion really felt enthusiastic about it, the fact that it was totally ignored
could make that person withdraw or resist later suggestions.
The one-person decision:
This is quickly made, but later when the decider depends on free or voluntary support from others to
implement it he /she may find himself / herself carrying it out alone.
The hand Clasp:
One person makes a suggestion. Another says, what a marvelous idea, and without further
discussion, the matter is decided. These decisions are more frequent than one thinks, and often
passed unnoticed at the time, but resentment comes to the surface later.
The Clique:
Decisions are made by a small group who plan beforehand to get their way, because they are better
organized than those who disagree. They are often successful on the immediate issue, but they bring
a spirit of rivalry rather than the co-operation in to the group. Sometimes groups of people who have
formerly been excluded or silent form a caucus in order to present a common agenda. This can be a
positive action and check-and- balance to a dominant group.
It is a healthy sign in a participatory democracy.
Minority: these decisions are not consciously organize as those of the clique, but a few powerful
personalities dominate the group, often unconsciously and later they wonder why the others are
apathetic.
Majority Vote:
In big groups this is often the most effective way to make a decision. However, one may lose the
interest or the loyalty of the minority who voted against a decision, especially if they feel that their
point of view was not heard.
Silent Consensus:
Some groups aims at unanimous decisions. These are good, if genuine, but they are rarely achieved
completely on certain issues. Unanimous agreement is some times assumed, when some members
have not felt free to disagree and kept silent.
Consensus
This as an agreement, often involving compromise or the combination of various possibilities, after all
opinions have been heard. Disagreements and minority viewpoints are discussed fully. It takes time
and care to build a climate in which all feel free to express themselves, but this method does build
unity, cooperation and commitment. It does not mean listening to people and then doing what we
were going to do in the first place. It means adapting to accommodate the concerns of all. It may
take longer to make a decision this way, but it will often be carried out more quickly and
wholeheartedly.

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S.Rengasamy. Methods of Community Organization


Difficulties in decision-making:
Every group, to achieve its goal is constantly involved in making decisions. These decisions may
be big, little, easy, hard, right or wrong.
Decision making forms a continuing pattern of relationships among members of a group: a
pattern in which every individual member has some influence. It is amazing to note that a bit of
information may change the mood of the group, a loud objection, an expression of approval or
hostility, envy or admiration, contempt or condescension, can have an impending decision.
So it is little wonder that group after group has difficulty making the decisions. Some become
paralyzed when confronted with a decision: some argue over a minor point: others rush into a
vote only to reverse their decision later on or fail to carry out the plan: others appoint a
committee to save them from having to decide.
Most of the difficulties encountered by a group in making decisions center around one or another
of the following factors.
Fear of Consequences:
In some groups the possible outcomes of an impending decision may bring divisions and
disagreements. Frank acknowledgement of these fears often suggests how they can be dealt with
effectively. E.g. being in a group, this is not liked by the superiors.
Conflicting Loyalties:
When one person is a member of number of groups, this frequently leads to divided loyalties
about decisions. An atmosphere in which it is possible for these conflicts to be brought out into
the open without the threat to the individual is a help in resolving them. E.g. I would like to help
this community project, but I hardly get any time to spend with my wife and children these days.
Interpersonal Conflict:
In group of any size personal differences occur which provoke feelings of affection or dislike
among members and which interfere with sound decision making. When two different people
each trying to get things done in their own way, struggle erupts. Often another member who is
not involved in the interpersonal conflict can bring the real problem into the open.
Hidden agenda:
One person may try to get the group to make certain decision, which he /she wants for reasons
which he / she will not share with the group.
Blundering Methods:
A group may be bound by rigid procedures (e.g. always addressing all remarks to the
chairperson) that there is little chance for free expression of differences. or a group may allow
itself to substitute personal opinion for adequate information. Or a group may approach the
decision making process without testing for consequences.

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S.Rengasamy. Methods of Community Organization


Inadequate Leadership:
A leader may hinder good decision making if he / she restricts the expression of opinion or
discussion on issues too soon. Leaders also may fail to provide assistance in selecting
appropriate methods for decision-making or be insensitive to the factors causing difficulty in the
group.
Clash of Interest:
Sometimes different group or individuals within an organization do have opposing interest (e.g.
workers wanting higher wages and owners wanting higher profits).
Factors, which help in making good decisions:
a. Clear goal
b. Clear understanding of who has responsibility for the decision.
c. Good means of stimulating and sharing ideals
d. Effective leadership and structures to deal with the size of the group.
e. Effective way of testing different suggestions offered.
f. Commitment of the leader to genuine group involvement in making the decision.
g. Agreement on the procedures on what procedures will be most appropriate. (e.g. consensus,
majority vote, secret ballot etc )
Advantages & Disadvantages in group decision- making
Advantages
Greater knowledge
Diversity of ideas
Diffuses the responsibility
Better comprehension
Participation hence acceptance
Greater number of solutions
Protects individuals from embarrassment
Intense pressure to go along with others.

Disadvantages
Slow and time consuming
Risky shift
Passing the buck
Strong vocal minority opinion overrides majority
opinion.
Group think [norm for consensus overrides the
Realistic appraisal of alternative of alternative
solution; hesitation to disagree with others]

Different methods of group decision-making


Meeting
Meeting may be defined as any
gathering, assembly or coming
together of two or more persons
for the transaction of some lawful
business of common concern

Properly convened [by formal


authority] Properly constituted
[quorum & chairmen] Proper
procedure [Agenda & minutes]
Just to discuss matters
When there is conflict of interest
To get majority idea

Conference
Conference means an
informal group discussion
by three or more persons,
with the object of carrying
out open minded
exploration and usually of
achieving consensus or
integration of thinking on
a subject or problem
DO
Face to face contact

Committee
Committee may be defined as a
group of persons, limited in
membership, by selective appointment,
usually appointed by some superior
authority and having joint
responsibility for inquiry, deliberation,
decision, action or related activities in
regard to matters assigned to them

Participation
To get consensus
To generate group idea
To explore the problem

Specialists in the subject matter


Both to decide & act
To take joint responsibility

46

DO

S.Rengasamy. Methods of Community Organization

Meeting Practice:
A meeting may be defined as any gathering, assembly or coming together of two or more
persons for the transaction of some lawful business of common concern.
The proper functioning of any association of persons, large or small requires that the members of
the association come together from time to time discuss matters of common concern and take
decisions by common consent by the majority.
Meeting may be classified as public meeting and private or business meeting. It is a statutory
requirement for a registered community organization to conduct regular and proper meetings to
transact its business. A registered organization has to conduct executive committee meeting,
annual general body meeting and extraordinary general body meeting.
These meetings should be properly convened (i.e. by proper authority, by proper notice)
properly constituted (i.e. quorum and chairman) and follow proper procedures (meeting
procedure, agenda).
The method of meeting practice usually adopts parliamentary procedure to make decisions.
Parliamentary procedure is based on the democratic principles of majority rule, which requires
that the minority abide by the will of the majority. In turn, the acceptance of the majority rule by
the minority is based on the willingness of the majority to permit the minority to express its
views before action is taken.
Merits and demerits of parliamentary procedure
Merits
It provides rules and regulations for the
orderly conduct of the business.
Decisions must be made in the fact of
conflicting interests among members
It increases the belief in the organization

Demerits
It is much too formal method
It decreases the losing factions commitment to the
decisions
It discourages exploration of innovative
ideas in a free and open manner because people
tend to take sides early in the discussion.

Conference
The term conference means informal group discussion by three or more persons, with the
object of carrying on open minded exploration and usually of achieving consensus or
integration of thinking on a subject or problem.
Consensus is a co-operative effort to find a sound solution acceptable to everyone. Consensus
occurs after all members have had an opportunity to voice their opinions and can then arrive at a
decision that almost everyone can support. It ensures that each individuals concerns are heard
and understood and then a sincere attempt is made to take them into consideration in searching
for a resolution. This resolution may not reflect the exact wishes of each member, but since does
not violate the deep concerns of anyone, it can be agreed upon by all.
Characteristics:
1) It is carried out by a group.

47

S.Rengasamy. Methods of Community Organization


2)
3)
4)
5)
6)
7)

Conference normally involves a face-to-face meeting of the group.


Conference implies general participation.
Conference uses informal group discussion.
Conference has some definite subject for discussion.
Several groups Committees Boards, study groups, use conference method.
Members should open-mindedly discuss the subject; they should also show interest in
reaching consensus.
8) Conference aims to create a group idea (Not majority idea), which will be better than any one
of the members ideas alone moreover which will be better than all the members idea added
together.
9) Conference method is not appropriate for large bodies.
Committee Practice
The committee is to community organization as the interview is to casework
1. A committee may be defined as two or more people associated for some purpose towards
which they function as an organizational entity.
2. A committee may be defined as a group of persons, limited in membership, by selective
appointment, usually appointed by some superior authority, and having joint responsibility
for inquiry, deliberation, decision, action, Sponsorship, or related activities in regard to
matters assigned to them.
Characteristics of a Committee:
1) A group with limited membership.
2) Membership is based on selection.
3) Appointed by some superior authority.
4) Joint responsibility.
5) Working on the matters referred to it
Functions of a Committee
Functions of the committee depend upon for what
purpose it is constituted. The most common
functions of committees are as follows.
1) Studying the problem. 2) Reporting information.
3) Coordinating work.
4) Distributing work.
5) Solving problem.
6) Making decisions.
5) Monitoring.
Guidelines for Organizing Committees
1) A clear statement of the objectives and functions of the committee.
2) There should be a written assignment or terms of reference.
3) There should be appropriate selection of members.
4) The committee should have competent leadership and adequate executive and clerical
service.
5) There should be appropriate arrangements for follow up after meetings of the committee.
6) There should be appropriate procedures at meetings.
7) There should be adequate preparation for follow up after meetings.
8) The committee should have adequate records.

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S.Rengasamy. Methods of Community Organization

Organization of a committee:
1. Chairman, 2. Members, 3. Committee Aide / Secretary.
Chairman
- Official head of the committee in both internal and external relationship.
- Decides when meetings should be held.
- Preside the meetings of the committee. As a president, he has to keep the committee on the
track; he has to preserve an atmosphere of freedom and vitality of participation.
- Officially presents the reports to the superior authority.
Members
- The members should be reasonably well equipped for the work of the committee or should be
willing to raise their level of competence.
- The membership should be interested and willing to serve and should have sufficient time,
health and strength.
- The committee membership should adequately represent the interest that needs to be
represented.
- The members should be able to work together as a group.
Committee Aide (Staff Assistance to committee)
Committee aide is a technical resource; he supplies professional assistance to the committee, he
helps the committee in the following ways:
Program Service
- He helps the committee to develop its programs.
Organizational Service - Provides the necessary manpower.
Administrative Service - Planning meetings and agendas in consultation with the chairman making physical arrangements for the meetings , sending notices, writing reports and handling
correspondence.
The basic task of committee aide involves working with and strengthening the position of the
chairman. He is to facilitate the work of the committee, to help or enable it to perform its task
effectively, but never to dictate or determine its course of action nor to usurp the functions of the
chairman.
Committee Procedures:
1. Agenda
2. Minutes.
Agenda :
A Committee meeting needs a written agenda. The world Agenda literally means things to be
done. It refers to the programme of Business to the transacted at a meeting. Agenda is essential
for the systematic transaction of the business of a meeting in the proper order of impotence. It is
customary for all organizations to send an agenda along with the notice of meeting to all
members. Usually routine items are placed first and controversial items later.
The business of the meeting must be conducted in the same order.
Items for agenda may be drawn from:
-

Unfinished business from the last meeting.


Items previously scheduled by the committee for consideration on this date.
Matters suggested by a member of the committee.

49

S.Rengasamy. Methods of Community Organization


-

Communications from outside the committee requiring consideration by the committee.


Matters which the chairman, committee aide or a member of the committee feels important to
be discussed by the committee.
Loophole Agenda & Hidden Agenda
It means any other business with the permission of the chair. This provides an opportunity for
the members to discuss on matters, which has not been specifically included in the agenda.
Minutes
Minutes may be defined as the permanent, official record of the proceedings of a meeting. It
serves as a reminder of the subjects previously dealt with and the conclusions reached. Once
approved and signed they are acceptable in a court of law as evidence of the proceedings.
The Minutes should begin by identifying the body that is meting; the date, hour and place; name
of the presiding officers, members absent. The Minutes should generally be chronological,
following the actual order of events.

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S.Rengasamy. Methods of Community Organization

Conflict and conflict Resolution in Community Organization

CONFLICT AND CONFLICT RESOLUTION

Synopsis
Conflict.
Competition
Aggression
Conflict theory
Conflict handling modes
Conflict resolution
Functional Vs Dysfunctional
Positive Vs Negative
Competition Vs Conflict
Basic properties incompatible goals, emotional hostility, antagonistic interaction
Levels of Conflict intra personal (approach, avoidance types), interpersonal, group conflict, organizational
conflict.
Types of conflict economic conflict, power conflict, value conflict
Conflict due to personality clashes, conflict due to different needs, roles, goals, interest.
Different needs,
Stages in conflict antecedent conditions, perceived / felt conflict; manifest behavior, conflict resolution or
suppression, resolution aftermath.
Escalation of conflict causes.
Methods of conflict resolution promoting pro-social behavior, approaches to manage conflict (win-win,
win-lose, lose-lose), withdrawing, smoothing, compromising, forcing, third party consultation (arbitration,
mediation)

Conflict- Meaning
The word conflict carries negative
Conflict is usually defined as a social situation in
connotations. It is often thought of as the
which incompatible goals and activities occur
opposite of co-operation and peace, and is
between two or more parties (individuals or groups)
most commonly associated with violence, the
threat of violence or disruptive (nonviolent)
who hold antagonistic feelings towards each other
disputes. This view of conflict as negative is
and attempt to control each other.
not always helpful. In non-violent settings it
Conflict exists whenever incompatible
can often be seen as a force for positive social
activities occur.
change, its presence being a visible
Conflict occurs when an individual is
demonstration of society adapting to a new
motivated to make two or more
political, economic or physical environment.
mutually incompatible responses.
Conflict is a tension between two or more entities (individuals, groups or larger
organizations), which arise from incompatibility of actual or larger responses.
Competition implies an opposition in the goals of the interdependent parties such that the
probability of goal attainment for one decreases as the probability of other increases.
Aggression is a form of behavior intended to inflict injury to a person or object.

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S.Rengasamy. Methods of Community Organization


Conflict Theory. A theory that views community and society as an arena in which various
groups compete to attain maximum gain for themselves.
Conflict (or alienation) approach. A theory of society, which argues that fundamental tensions
or built in contradictions exist between the powerful and the powerless and these problems, can
be resolved only through radical changes in society.
Conflict handling modes / conflict resolution. Settlement of disputes that are mutually
satisfactory and that receive a long-term commitment from both the parties.
If there is a possibility to enjoy social justice without recourse to physical violence in any society
then there will be less conflict in that society.
Systems that handle conflict openly and productively can maximize the benefits while reducing
the conflicts
One has to examine both the goals and the means of conflict in order to judge its acceptability.
Functional Vs Dysfunctional Conflict
Positive Vs Negative Conflict
Competition Vs Conflict
Competition
No direct action of one party to interfere with the ongoing
activities of another e.g. track and field events
Competition occurs within a set of agreed upon rules.
E.g.hockey

Conflict
Conflict interferes
There is no agreed upon rules. All
is fair in conflict

Box: Community Conflict

Basic properties of conflict:


Incompatible goals.
Emotional hostility
Antagonistic interaction

Community Conflict
The potential for community conflict exists whenever and
wherever people have contact. Communities faces increasing
community conflicts due to the cultural, linguistic and ethnic
diversity associated with its changing population. Communities
and government services are being redefined and, at the same
time, neighbors are facing unfamiliar lifestyles in their
neighborhoods. Stresses caused by economic or social change
can impact community resources, leaving groups feeling that
they are being denied government services at the expense of
other groups. Law enforcement, schools and local government
officials are increasingly affected by resulting tensions and need
to be prepared when serious conflict erupts.
Community conflict also can occur when individuals or groups
perceive or experience discriminatory behavior directed at them
by an agency or its representative, by members of another
group, or by members of their own group. For example, a highprofile case of police misconduct, an incident of violence on a
college campus, a hate crime or case of discrimination can
polarize a community. All of these events can produce stress on
community residents, often resulting in disagreements over what
should be done to solve these problems. This stress can even
lead to open conflict within the community.

Levels of Conflict
intra personal (approach,
avoidance types), interpersonal,
group conflict, organizational
conflict.
Types of conflict
economic conflict, power
conflict, value conflict
Conflict due to personality
clashes, conflict due to different
needs, roles, goals, interest.
different needs,
Economic Conflict:
It arises due to competing
motives to obtain scarce
resources. Each group wants to
maximize its gain at the cost of
other party. Economic conflict will not be resolved by improving communication, but by
difficult and detailed negotiations among the parties.

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S.Rengasamy. Methods of Community Organization


Power Conflict:
Power conflict arises when each party wishes to maximize the influence it has. This type of
conflict usually ends in a victory for one party and a defeat for another, or in a stand off that
involves a continuing state of tension. The crucial issue is not resource scarcity or differences in
basic values, but simply a question of control and related matters such as pride, recognition and
future material rewards that power may bring.
Value Conflict:
It involves incompatible principles and
practices that people believe in- their
ideology, religion, political system and
culture. E.g. Marxist Vs Capitalist, Religious
conversion etc.
Since the value conflicts lie at the very heart
of a person / peoples identity, they are
extremely difficult to resolve.
Most conflict involve a mixture of realistic
economic, power or value differences as well as unrealistic ingredient of misperception and
miscommunication. Usually a conflict may begin from one source but broaden to include other
elements.
Other types of conflict:
The more our lives overlap with others, the more likely it is that there will at times be conflicts.
So one can identify different types of conflicts.
Personality clashes:
It occurs when two people who have to see each other frequently cause negative feelings and
reactions in one another. Often these people share common goals, but they cannot get along. E.g.
he hurts me
Different needs:
Roles: Role expectation can cause conflict
Goals: lack of clarity or disagreement about the goals of the program
Conflict of interest: e.g. higher wages
Ways of dealing with conflict / opposition
Give in
Anger
Negative Feelings
Turn away
Counter anger
Attempt to hear other persons
Flight or run away
Negative Response
Involvement with other persons
Division/disunity
Increased anger
Understanding each other ideas

Escalation of Conflict:
Human beings behave in ways calculated to maximize their goals and minimize their loses. The
behavior of each party in conflict imposes constraints on the potential satisfaction of the other.
This tends to escalate conflict. Unless it resolved at an early stage, it become more intense and
hostile to proliferate more issues and involve stronger and more destructive attempts to control.

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S.Rengasamy. Methods of Community Organization


Escalation usually feeds on fear, defensiveness, selective and distorted perception, attributing
negative intentions on others
Table: Strengths and Limitations of various Approaches to Conflict Management
Strengths and Limitations of various Approaches to Conflict Management
Traditional & Customary
Legal
Alternative Conflict Management
Strengths
Limitations
Strengths
Limitations
Strengths
Limitations
Respect for Not all people WellTend to
Contributes to
May not be able
local values may have
defined
neglect
process of
to overcome
and
equal access to procedures indigenous
community selfpower
customs
the conflict
knowledge
reliance
differences
resolution
&empowerment
Provides
Courts have
Decisions
Inaccessible
Encourages
Decisions are
familiarity
supplanted
are legally to the
participation &
not legally
& past
local authority binding
marginal
respects local
binding
experience
&poor groups customs and
values
Methods of Conflict Resolution:
Promoting pro-social behavior:
Human beings have at least as much potential for caring, sharing and cooperating as they do for
aggression, competing and destroying. Pro social behaviors are activities that have positive social
consequences for others.
Approaches to managing conflict:
Ones approach to manage conflict differs as per ones assumptions 1) people, 2) about conflict, 3)
characteristic attitudes, 4) behaviors and typical outcomes.
The Win-Win approach is a conscious and systematic attempt to maximize the gains of both
parties through collaborative problem solving.
1. Forcing- an antagonistic, competitive approach that pushes for an all or nothing solution
Lose-Lose approach is characterized in many ways
1. Avoidance of conflict is preferred to open competition and half loaf is better than one loaf.
2. Withdrawing- avoiding conflict by retreating or remaining silent
3. Smoothing- playing down differences, emphasizing commonalities and avoiding discussions
on contentious issues
4. Compromising- a simple splitting of differences through negotiation
Two-dimensional model of conflict management:
This model states that assertiveness (to satisfy others concerns) and cooperativeness (to satisfy
others concerns) are both necessary to understand peoples approach and behavior towards
conflict. This model yields five conflict modes

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S.Rengasamy. Methods of Community Organization

Box: Levels of Conflict

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S.Rengasamy. Methods of Community Organization


Conflict Resolution Terminologies Defined
Conflict resolution is a range of processes aimed at alleviating or eliminating sources of conflict. The term "conflict
resolution" is sometimes used interchangeably with the term dispute resolution or alternative dispute resolution. Processes
of conflict resolution generally include negotiation, mediation and diplomacy. The processes of arbitration, litigation are
usually described with the term dispute resolution, although some refer to them as "conflict resolution." Processes of
mediation and arbitration are often referred to as alternative dispute resolution.
Conflict management refers to the long-term management of intractable conflicts. It is the label for the variety of ways by
which people handle grievances standing up for what they consider to be right and against what they consider to be
wrong. Those ways include such diverse phenomena as gossip, ridicule, lynching, terrorism, warfare, feuding, genocide, law,
mediation, and avoidance. Which forms of conflict management will be used in any given situation can be somewhat
predicted and explained by the social structure. Conflict management is often considered to be distinct from conflict
resolution
Negotiation is a dialogue intended to resolve disputes, to produce an agreement upon courses of action, to bargain for
individual or collective advantage, or to craft outcomes to satisfy various interests. It is the primary method of alternative
dispute resolution. Negotiation occurs in business, non-profit organizations, government branches, legal proceedings, among
nations and in personal situations such as marriage, divorce, parenting, and everyday life. The study of the subject is called
negotiation theory. Those who work in negotiation professionally are called negotiators. Professional negotiators are often
specialized, such as union negotiators, leverage buyout negotiators, peace negotiators, hostage negotiators or may work
under other titles, such as diplomats, legislators or brokers.
Mediation, a form of alternative dispute resolution (ADR) or "appropriate dispute resolution", aims to assist two (or more)
disputants in reaching an agreement. The parties themselves determine the conditions of any settlements reached rather
than accepting something imposed by a third party. The disputes may involve (as parties) states, organizations, communities,
individuals or other representatives with a vested interest in the outcome.
Advocacy is the pursuit of influencing outcomes including public-policy and resource allocation decisions within political,
economic, and social systems and institutions that directly affect peoples current lives.
Advocacy can be seen as a deliberate process of speaking out on issues of concern in order to exert some influence on behalf
of ideas or persons. Based on this definition, Cohen states that ideologues of all persuasions advocate to bring a change in
peoples lives. However, advocacy has many interpretations depending on the issue at stake, which can be different from this
initial value-neutral definition.
Diplomacy is the employment of tact to gain strategic advantage or to find mutually acceptable solutions to a common
challenge, one set of tools being the phrasing of statements in a non-confrontational or polite manner.
Activism, in a general sense, can be described as intentional action to bring about social or political change. This action is in
support of, or opposition to, one side of an often controversial argument.
The word "activism" is often used synonymously with protest or dissent, but activism can stem from any number of political
orientations and take a wide range of forms, from writing letters to newspapers or politicians, political campaigning,
economic activism (such as boycotts or preferentially patronizing preferred businesses), rallies, blogging and street marches,
strikes, both work stoppages and hunger strikes, or even guerrilla tactics.
In some cases, activism has nothing to do with protest or confrontation: for instance, some religious, feminist or
vegetarian/vegan activists try to persuade people to change their behavior directly, rather than persuade governments to
change laws. The cooperative movement seeks to build new institutions which conform to cooperative principles, and
generally does not lobby or protest politically.
Critical pedagogy is a teaching approach that attempts to help students question and challenge domination, and the beliefs
and practices that dominate. In other words, it is a theory and practice of helping students achieve critical consciousness.
Critical pedagogue Ira Shor defines critical pedagogy as "Habits of thought, reading, writing, and speaking which go beneath
surface meaning, first impressions, dominant myths, official pronouncements, traditional clichs, received wisdom, and mere
opinions, to understand the deep meaning, root causes, social context, ideology, and personal consequences of any action,
event, object, process, organization, experience, text, subject matter, policy, mass media, or discourse."

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S.Rengasamy. Methods of Community Organization


Box: Types of conflicts arising in Natural Resource Management.
Examples of Types of conflicts arising in Natural Resource Management.
Intra micromicro conflicts:
Disputes over land and resource ownership, e.g. between private and communal land owners;
Disputes over land boundaries between individuals or groups;
Latent family and relationship disputes;
Disputes due to natural resource projects being captured by lites and/or those who happen to own
Resources of a higher quality;
Breaking of CPR constitutional or operational rules, such as protection agreements for grazing areas,
fish net sizes, forests, or misappropriation of funds, etc.;
Disputes over the unfair distribution of work and profits.
Inter micromicro conflicts:
Conflict between land-owners and resource users;
Conflict between indigenous CPR groups, and more recent settlers;
Disputes generated by jealousy related to growing wealth disparities;
Lack of co-operation between different community groups;
Disputes over renewal arrangements for leased land;
Internal land ownership disputes ignited by the speculation activities of commercial companies;
Resentment built up due to lack of representation on village committees.
Micromacro conflicts:
Contradictory natural resource needs and values, e.g. between wildlife habitat protection and local livelihood
security;
Cultural conflicts between community groups and outsiders;
Disputes over project management between community groups and outside project-sponsors;
Disputes caused by political influence (national, provincial or local);
Disputes arising from differences between the aspirations of community groups and expectations of NGOs or
commercial companies;

Third
Party

Consultation:
Arbitration: Involves a third party judgment that is arrived at by considering the merits of the
opposing cases and their imposing a settlement.
Mediation: Involves a skilled third party who attempts to help clients reach a compromise on
specific issues that are amenable for negotiation

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S.Rengasamy. Methods of Community Organization

Strategies of Community Organization


Methods of Conflict Resolution
A strategy is the general framework of or orientation to the activities undertaken to achieve a
goal. It is not a particular action but rather a series of actions that take in to account, the
anticipated maneuvers of people. [Supporters as well as opponents]
A strategy is an orchestration of individual attempts that brings together and consciously blends
a variety of different components of action. A strategy takes in to account the actions and
reactions of key allies and adversaries as they bear upon achievement of the proposed goal.
There are four strategic approaches pursued in community organization
Table: Four approaches in conflict resolution
Confrontation

Negotiation

Co-operation

Co-optation

It involves bringing
the demands of one
party to the attention
of another and forcing
compliance

It is a process of
bringing parties with
different needs and
perspectives to an
agreement

It exists when parties


share resources to
accomplish a common
goal

It results when parties


share common beliefs
about matters and
when success or
failure of one party
produces similar
feelings

Situation for which a


Target refuses to
meet with us.
Target is
unresponsive.
Need to crystallize or
dramatize the issue.
Need to energize the
issue.
Need to attract the
allies.

particular strategy may be appropriate


Unable to sustain
The respondents have
confrontation
resources we need
effectively.
and from which we
Unable to neither
can benefit.
convince nor force the When we have
respondent into full
resources to offer.
compliance with our
Situation of mutual
demands.
benefit.
To see progress
Want to increase the
toward accomplishing
respondents
some gain.
dependence on us.
When the opponents
Respondent is O.K
have recognized the
and we want to work
legitimacy of the
together.
demands.
When both sides want
to gain or build
relationship.

Strengths of a Particular strategy


* Fighting with an
* Likely to end up
external opponent
more favorable
may strengthen group condition, even if you

58

*Combined resources
* More people to work
* More dependence of

Opposite group is
uncooperative and is
not a good target for
confrontation.
Key individuals in the
opposite group are
amenable to some
sort of affiliation.
Weakening the
opposite by putting
them in our agency
where their opinion is
silenced.

* Silencing a
potentially harmful
critic

S.Rengasamy. Methods of Community Organization


cohesion
dont get everything
* Winning provides
you want
tremendous emotional * Other sides ability
uplift
to gain some thing
* Mere threat of
makes them more
confrontation may be
accepting of your gain
sufficient to
* Positive relationship
accomplish our
may develop
purpose
Limitations of the strategy
* Loss can be
* Settle for to little
discouraging
that may weaken the
And may lead to
future demands
internal puckering
* Non cooperation
from the other side

others may alter the


balance of power

* Gain some insights


into the working of
the competition
* Gaining access to a
community that has
been closed to you

* More energy is
needed to maintain
the relationship
* Loss of autonomy
* Others may take
credit for the success

* Letting a fox in the


hen house
* Co-opted members
may manipulate your
transparency

The major elements we need to understand before deciding a strategy


Elements
Issues
Target
Your Troops
Other Resources

Things to know
Basic facts; causes and effects of problems; solutions applied in other places;
rights and obligation of parties
Probable reaction to specific tactic; principal decision makers; degree of
rationale for support or opposition; strengths and vulnerabilities; cohesion
Degree of commitment; numbers; probable reactions to opponents tactics;
cultural norms; strengths and vulnerabilities; cohesion
Awareness of needed additional resources; availability and location of
resources; steps required to gain additional resources

NEGOTIATION
In trying to solve certain problems, community Organizations often find it necessary to Negotiate
with other parties. Negotiation is an attempt to hold discussion with those who evidence
varying degrees of resistance, in the hope of ultimately arriving at an agreement. This is
the essence (i.e. arriving at an agreement through discussion) and the end point of the
negotiating process. In this context a negotiant is anyone whom the community organization is
trying to influence. A negotiant can be undecided, neutral or hostile.
E.g. Strike by the govt. staff. Activism against lock up deaths.
The common element in all these examples is that the community organization attempts to hold
discussions with those who evidence varying degrees of resistance in the hope of ultimately
arriving at an agreement. Thus negotiation implies a conflict and the promotion of a cause or
certain interests.

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S.Rengasamy. Methods of Community Organization


In successful negotiation both parties ideally perceive that they have given up something of
limited value to gain something of major value. If one party feels defeated then that party wont
show any interest in making the agreement stable and may be
provoked into laying plans for future retaliation.
Problems in Negotiation:

Many community organizations do not always heave within


their capacity the power to gain success to decision- makers.
Unlike in industrial negotiation, community groups lacking
power frequently find themselves prevented from the
negotiation process. So community organizations have to
develop their position and power that allows them to sit at the
negotiating table
To gain access to negotiations and enhance their bargaining
positions, community organizations use a variety of tactics.
Tactics to strengthen the
community organizations

Negotiating

power

of

the

1. Supporting Survival Needs


Eg.Helping politicians in their campaigns
Supporting local departments to get more budget
allocations.
Assisting in find raising campaigns.
2. Demonstrating public support and sympathy:
It means demonstrating the decision- makers that they espouse
a cause, which has widespread community support
Eg. Holding mass rallies.
Conducting letter-writing campaigns.
Circulating petitions.
Increasing membership.
Obtaining editorial support.
Organizing leading citizens to contact their legislators.
Signature campaigns.
3. Forming Alliances:
Alliances can be formed with other organizations whose members have similar values. Broader
the base of the alliance more power can be exerted in the negotiating process.
E.g. - Demands one NGO supported by other NGOs.
4. Conducting Behind The Scenes Discussions
In most of the political situations certain people bear major responsibility for what happens.
Through quite discussions with these persons, the key decision- makers can be convinced to
carryout a course of action promoted by the community organization. In fact these key leaders
sometimes become the crusaders of the cause, and the initiating community organization may
have to be satisfied with little credit even through their objective is achieved.
5. Targeting pressure points:
Selecting targets that are vulnerable to the special kinds of pressure a community organization
can bring to hear.
Eg. Road Blockade

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S.Rengasamy. Methods of Community Organization


Agitation during assembly session
Wearing Black Badge.
6. Threatening:
Negotiation often involves a degree of threat. The fact that rewards can be with held or
punishment inflicted constitutes a threat.
E.g. Threat of a Lawsuit.
Threats to withdraw support or boycott.
7. Waging campaigns against persons or institutions:
Direct action.

Visioning

Planning &
Problem Solving

Fund Raising

Communication

Group & Organizational


Development

Research & Analysis

Skills

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S.Rengasamy. Methods of Community Organization


Community Organizing Skills
Community Organizing Skills

Undergraduate C.O.D. Program at Hunter College

I. Organizing and Planning Skills


Ability to develop and engage people in groups
Capacity to organize and run a meeting
Ability to represent the organization
II. Interpersonal Skills
Capacity to work with different types of people
Capacity to understand how to motivate and involve people in change
Capacity to observe, listen, and hear
III. Analytical Skills
Capacity to understand the issues, philosophy, and styles of the organization
Capacity to gather and use data and information able to understand different types and models of
organizing and advocacy
IV. Administrative Skills
Capacity to keep records
Capacity to communicate verbally and in writing
Capacity to use time productively
V. Political Tactics and Strategies
Capacity to understand and analyze power structures
Capacity to understand and develop relevant tactics
Capacity to understand the impact of gender, race, ethnicity, sexual. orientation on organizing process
and outcomes
VI. Personal Characteristics and Professional Values
Capacity to take initiative and self-directed
Capacity to ask for help, support, guidance
Capacity to make responsible decisions
Capacity to demonstrate integrity
Capacity to identify with clients/community/constituency

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S.Rengasamy. Methods of Community Organization


Leadership Skills for Community Organizers
INDICATORS OF LEADERSHIP SKILLS IN COMMUNITY ORGANIZATIONS
http://www.povertycafe.org/pcweb/archives/December/training_on_basic_community_orga.htm

1. Problem Solving Skills


Leaders are able to:
- Identify group problems
- Analyze problems
- Set priorities
- Set general and specific objectives
- Set action strategies
- Implement action strategies
- Evaluate action strategies
2. Organization Skills
Leaders are able to:
- Prepare/organize meetings
- Prepare agenda/keep records
- Conduct meetings
- Create necessary committees
- Carry committee work effectively
- Communicate verbally to other members and residents on the importance of having viable
organizations, etc.
- Motivate members to attend meetings
- Formulate goals for the organization
3. Relationship Skills
Leaders are able to:
- Express positive and negative feelings about self and others
- Express positive and negative feedbacks to members
- Receive positive and negative feedbacks
- Express need for others
- Volunteer needed help to others
- Determine various ways of creating positive relationships amongst members
- Accept feelings of self and others
- Identify and analyze conflict situation clearly
- Demonstrate excellent interpersonal skills
- Self-discovery
- Self-disclosure
4. Community Management Skills
Leaders are able to:
- Assesses community needs, values, expectations
- Analyze constraints
- Formulate objectives
- Identify, sequence and scheduled activities/resources needed in implementing projects
- Set up a system/procedure in the implementation of identified projects

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S.Rengasamy. Methods of Community Organization

Skills

64

S.Rengasamy. Methods of Community Organization


Skills for community Organizers

Dissemination
Analysis

Information literacy

Information technology literacy


Information research

Personal & intellectual


Autonomy

Information literacy

Problem solving

Research and inquiry

Critical thinking

Self-management

Independent learning

Goal skills

Social
perspective
Oral communication
Written communication
Non-verbal communication

Leadership
Teamwork
Networking

65

Group& Organizational
Development

Professional perspective

Communication and interpersonal

Ethical perspective
understanding

Ethical, social and professional

General Skills Required for Community Organization


Leading
Change
Project Program effectiveness
Systems Thinking
Community Building

S.Rengasamy. Methods of Community Organization


What skills topics are covered?
A Popular Skill Development module for Community Organizers in USA covers a range of
skills which includes an introduction to direct action organizing which includes; power
analysis, strategic planning, public speaking, planning a variety of public events, fundraising
for justice, working with local media, becoming your own media, coalition-building, and
transforming conflicts.

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S.Rengasamy. Methods of Community Organization

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