Discussion Policy Skills and Practice REMIX

Taking Action P o l i c y Practice for S o c i a l Workers

C H A P T E R O U T L I N E

Engage Assess

Intervene Evaluate

Ethical Practice

Analytical Skill: Program Evaluation 268

Interactional Skills: Negotiation and Persuasion 273

Subprocesses of Negotiation Stages of Negotiation Strategy and Tactics i n Negotiation

Political Skills 281 B u i l d i n g Coalitions

Human Rlglits

S Justice

Information Dissemination Lobbying P o l i t i c a l A c t i o n for Candidate Election R u n n i n g for Office

Practice Test 289

X X x d ^ O N N E C T I N G C O R E C O M P E T E N C I E S in this chapter

^ X ^ ' P . o . . . o n . E . i c . a . . a , O i v e . . . H ^ H H u . a n ^ ^ c e ^ • Identity Practice Thspkinq in Pracnce Rights Based Betia.ioi Intervene

& Justice Practice Evaluate

267

268 Part III: The Framework Applied

T h e focus of this book, quite intentionally, has been on the development of of largely passive s k i l l s , those of the p o l i c y analyst. S o c i a l w o r k , however, ]\ action-oriented profession, and social workers are action-oriented people. I n I chapter, w e present a brief d i s c u s s i o n of w h a t w e consider to be the most i m j . tant s k i l l s that social w o r k e r s can develop to take the results of p o l i c y analysi; results that almost a l w a y s reveal that policies are deficient i n a number of w a y s , a n d translate them into action strategies to improve policies to better fit our v i s i o n of a just a n d equitable society. We w i s h to note, however, that although p o l i c y analysis i s a passive activity, it is a necessary prerequisite to any type of action strategy, and thus a necessary p o l i c y practice s k i l l . F o r a n action strategy to be effective, it is imperative that the people taking the action have a f i r m grasp on the problem they are dealing w i t h and on achievable goals. Y o u must do yoirr h o m e w o r k before taking action, a n d that h o m e w o r k is p o l i c y analysis. T h e s k i l l s discussed i n this chapter are a l l b u i l t on s o l i d p o l i c y analysis.

P o l i c y practice s k i l l s c a n be d i v i d e d into three groups, a n d w e w i l l d i s c u s s one major s k i l l from each. T h e first group is a n a l y t i c a l s k i l l s . T h e s e s k i l l s i n c l u d e p o l i c y a n a l y s i s , needs assessment, a n d program e v a l u a t i o n . We have devoted t h i s entire book to p o l i c y a n a l y s i s , so i n t h i s section w e w i l l d i s c u s s program e v a l u a t i o n i n some d e t a i l . T h e second group of s k i l l s is i n t e r a c t i o n a l s k i l l s . A t one t i m e , a p o p u l a r p o s i t i o n among s o c i a l w o r k theorists w a s that s o c i a l w o r k a d m i n i s t r a t i o n w a s just the a p p l i c a t i o n of c a s e w o r k [direct prac- tice i n t w e n t y - f i r s t - c e n t u r y terminology) s k i l l s to another setting. A l t h o u g h v e r y f e w people w o u l d make that argument today, it i s true that general s o c i a l w o r k practice s k i l l s p r o v i d e the basis for a l l other practice specialties, i n c l u d - ing p o l i c y practice. A good p o l i c y practitioner needs to u n d e r s t a n d a n d be s k i l l e d at p r o b l e m s o l v i n g , r e l a t i o n s h i p b u i l d i n g , c o m m u n i c a t i o n , i n t e r v i e w - ing, a n d a l l of the other basic i n t e r a c t i o n a l s k i l l s . B e y o n d t h i s , however, there are some s p e c i f i c i n t e r a c t i o n a l s k i l l s necessary for p o l i c y practice. I n t h i s chap- ter, w e w i l l d i s c u s s those w e believe to be the most i m p o r t a n t — p e r s u a s i o n a n d negotiation. T h e t h i r d group of s k i l l s is p o l i t i c a l s k i l l s . T h e p o l i t i c a l s k i l l s d i s - c u s s e d i n this chapter are b u i l d i n g c o a l i t i o n s , i n f o r m a t i o n d i s s e m i n a t i o n , lob- b y i n g , candidate support, a n d r u n n i n g for office.

It is probably obvious to the c a r e f u l reader that the s k i l l s w e are d i s c u s s i n g overlap. F o r e x a m p l e , lobbying (a p o l i t i c a l s k i l l ) depends on p o l i c y a n a l y s i s (an anal34ical s k i l l ) , a n d the lobbyist needs to be s k i l l e d at bargaining, negoti- ation, a n d p e r s u a s i o n ( i n t e r a c t i o n a l s k i l l s ) . We d i v i d e the s k i l l s into these groups not because of c o n c e p t u a l p r e c i s i o n , but rather because this d i v i s i o n i s c o n v e n i e n t a n d effective for e d u c a t i o n a l purposes.

A N A L Y T I C A L S K I L L : P R O G R A M E V A L U A T I O N

P o l i c i e s are translated into programs, a n d these programs cost large, sometimes staggering, s u m s of money. One of the first questions a s k e d of p o l i c y m a k e r s a n d those w h o i m p l e m e n t programs is " W h a t are w e getting for our m o n e y ? " To a n s w e r this question, p o l i c y professionals t u r n to the p o l i c y practice s k i l l of program e v a l u a t i o n .

Consider the following scenario: Y o u ' v e been w o r k i n g at the Greenville F a m - i l y Services Center for about a year. T h i s agency, funded by the U n i t e d Way, as w e l l as several s m a l l state contracts and client fees, provides counseling, parent educa- tion, and a variety of other services to c h i l d r e n and their families. T h e agency's clientele ranges from middle-class to lower-income families. S i x months ago the center began to implement a pilot community outreach project i n w h i c h it deliv- ers its services directly i n schools and several neighborhood community centers.

Chapter 12: Taking Action: Policy Practice for Social Workers 269

Programs such as Head Start have grown ever larger and more costly, resulting in demands for increasingly ngorous and thorough program evaluations to answer the question, "What are we getting for our money?"

Today, the center's director stopped y o u i n the h a l l . " I ' v e been t h i n k i n g , " she s a i d , "about a n e w project for y o u . Y o u ' r e pretty fresh out of s c h o o l , a n d so y o u r k n o w l e d g e about research a n d p o l i c y issues is probably more up-to-date t h a n that of a lot of the other staff. A n d y o u ' v e been here long enough to h a v e a feel for our p h i l o s o p h y a n d h o w w e operate. I ' d r e a l l y l i k e y o u to take on a n i n t e r i m program e v a l u a t i o n of h o w this n e w c o m m u n i t y project is going."

" W o w , " y o u answer, both flattered a n d i n w a r d l y t e r r i f i e d . " I k n o w w e ' v e t a l k e d about these things i n class, but I ' v e n e v e r a c t u a l l y done a n e v a l u a t i o n . B u t I guess I c a n t r y . "

" G o o d ! " she e x c l a i m s , " T h e n that's settled. Come into m y office on M o n - day a n d w e ' l l talk about h o w y o u ' l l p r o c e e d . "

S a t u r d a y r o l l s a r o u n d a n d y o u are sitting i n y o u r favorite coffeehouse w o n - dering w h a t y o u ' v e gotten y o u r s e l f into. B u t t h e n again, h o w h a r d c a n it be? Y o u ' v e saved texts a n d notes from y o u r classes. T h e r e are probably some straightforward steps i n the books on h o w to conduct a n e v a l u a t i o n .

A c t u a l l y , a text w i l l o n l y get y o u so far i n this process. It can describe some techniques to use. More important, it can orient y o u t o w a r d the sorts of questions y o u need to ask as y o u p l a n y o u r evaluation. E v e n p o l i c y a n a l y s i s texts l i k e this one—although they don't a i m to teach y o u specific macropractice or research s k i l l s — c a n s t i l l offer a frame of reference for approaching y o u r n e w task. (Note that Chapter 3 describes several types of p o l i c y a n d program evaluation.) T h e fol- l o w i n g are the basic components i n the program evaluation process and the ques- tions that can guide them. (See Figure 12.1 for a sample program evaluation.)

1 . Most important, y o u need to f i n d out the goals of the program, because achievement of these goals is w h a t y o u ' l l be evaluating. Was the agency tr3'ing to reach out to n e w clients? To make services convenient for existing clients? Or perhaps to make services more successful by locat- ing them i n the actual environment w h e r e clients may be experiencing their difficulties so that the w o r k e r can observe some of their d a i l y problems firsthand, w a t c h their interactions w i t h the environment, a n d

270 Part III: The Framework Applied

F i g u r e 12.1 An Outcome Evaluation Instrument for Residential Programs

The person who developed the following outcome evaluation instrument is a staff member in a state Office of Children's Services. At the time that she devised this set of outcome measures, she was also a social work student enrolled in a required course in Program and Practice Evaluation. She decided to meet the class assignment of presenting a sample program evalua- tion by creating an instrument that could actually be used by her agency

Problem: To develop an outcome instrument that would allow the state office to monitor and evaluate the work of a large variety of residential programs for troubled youth that contract with the state to provide services.

Solution: The following outcome data will be provided annually to the Office of Children's Services by the residential program:

How many youths are served in the facility, by age and sex? What is the average length of stay per child by each level of care (i.e., mild, moderate, or

controlled)? What is the number of children in this placement at least six months whose level of care at

the end of the review period was (1) less severe than at placement, (2) more severe than at placement, (3) the same as at placement?

What is the number of behavioral incidents reported, documented, or investigated internally by the program? (Behaviors to count include running away, abusing substances, becom-

ing pregnant, committing a crime, contracting an STD, and initiating sexual perpe- tration.)

How many children have exhibited (1) good or markedly improved school attendance, (2) good or markedly improved grades, (3) good or markedly improved school behavior?

How many children have learned an art, sport, or other skill not normally obtained from daily living experiences?

How many children have been discharged (1) because they successfully completed their treatment plan; (2) because of difficulty with their behaviors or emotional states and the provider did not feel they were appropriate for the facility; (3) because they were admitted to a psychiatric hospital, ran away, or were incarcerated; (4) because of other reasons beyond the control of the provider (e.g., court decision to return child to family)?

How many children have been discharged (1) to a less restrictive environment, such as a family setting; (2) to a more restrictive environment, such as a boot camp, psychiat- ric hospital, or other institution?

This response to the class assignment became the first draft of an outcome evaluation instru- ment that was adopted by the state office. It has been in operation for one year, and the stu- dent is helping to evaluate and refine it for further use.

Source: Adapted from an evaluation instrument developed by Sybil Willis. Used with her permission.

help them to practice n e w behaviors? A r e some goals manifest, or direct, and others latent, or not openly communicated? Perhaps the director wants staff to see a n d more f u l l y understand the actual c h a l - lenges—such as l o w incomes, c r o w d e d schools, and inadequate recre- ation facilities—that some clients face.

T h i s could be pretty easy, 3'ou t h i n k . A n d it m a y not be h a r d to f i n d out a l l the formal a n d some i n f o r m a l goals by t a l k i n g w i t h the director, board members, a n d key staff persons and by reading the offi- c i a l description of the project. Y o u m a y f i n d different goal expectations on the part of supervisors a n d direct service staff, a n d y o u s h o u l d take this into consideration as y o u t h i n k about h o w to structure y o u r e v a l u - ation. Another factor m a y further complicate y o u r l i f e : H u m a n " e x p e r i - m e n t s , " especially program experiments, are " m e s s y " ones. Y o u can't put a glass dome over the project to s h i e l d it from outside occurrences

Chapter 12: Taking Action: Policy Practice for Social Workers 271

a n d from staff a n d a d m i n i s t r a t i v e reactions. A s two s o c i a l scientists noted i n their description of a n e v a l u a t i o n of antipoverty programs i n the 1960s, goals for these programs often changed i n m i d s t r e a m a n d n e w approaches w e r e added. " A s soon as staff discovered a better w a y of serving [program participants] they adapted their procedures, meth- ods, a n d techniques accordingly. It w a s impossible to be i n v e n t i v e , f l e x i b l e , and e x p e d i e n t . . . a n d at the same time do c a r e f u l , s c i e n t i f i c , controlled research."^ T h u s , some compromises i n y o u r e v a l u a t i o n design w i l l become inevitable as y o u try to accommodate changes i n goals a n d services.

2. Y o u w i l l w a n t to describe the characteristics of the organization i n order to set the context for the n e w approach a n d to help y o u determine w h a t changes have occurred. T h i s i n c l u d e s a description of the types of clients i n v o l v e d i n the n e w program. T h e backgrounds a n d practice techniques a n d interventions of staff are also important pieces of infor- mation related to the services that are being carried out to meet project goals. T h e organizational structure of the agency a n d of the n e w project w i l l also be h e l p f u l i n understanding h o w the n e w services are d e l i v - ered and w h a t constraints might h i n d e r f u l l execution of the goals.

3. Y o u w i l l probably f i n d i t h e l p f u l to do some process evaluation, w h i c h i n v o l v e s e x a m i n i n g the w a y services are being c a r r i e d out i n the n e w program. F o r e x a m p l e , one program goal m a y be to treat c l i e n t s w i t h respect. Y o u w i l l n e e d to devise w a y s to f i n d out i f direct w o r k e r s , the receptionist, a n d other members of the staff are " d o i n g this r i g h t " — f o r e x a m p l e , by observing w h e t h e r they address clients b y their last names a n d r e s p o n d to t h e m i n a t i m e l y w a y w h e n they come i n for appointments or meetings.

I n both the process e v a l u a t i o n a n d the outcome e v a l u a t i o n w e describe later, it is c r u c i a l that y o u u n d e r s t a n d the demands that a program e v a l u a t i o n generally makes on the direct service w o r k e r s , secretaries, f i n a n c i a l officers, a n d s i m i l a r staff members. T h e s e are the people w h o w i l l be s u p p l y i n g y o u w i t h v a r i o u s k i n d s of i n f o r m a t i o n , s u c h as c l i e n t statistics, f i n a n c i a l reports, a n d responses to question- naires about c o u n s e l i n g outcomes. T h i s means a d d i t i o n a l w o r k for t h e m ; each i n t e r v i e w w i t h the evaluator, for e x a m p l e , cuts into time that a direct service w o r k e r might be spending w i t h a c l i e n t . I t w i l l be important, therefore, to b r i n g staff members on board a n d to h e l p t h e m see that the e v a l u a t i o n not only w i l l be u s e f u l to the agency but also c o u l d h e l p them c a r r y out their jobs. One good w a y of doing t h i s is to f i n d out w h a t the direct service a n d other staff members w o u l d l i k e to l e a r n f r o m this e v a l u a t i o n . W h a t a d d i t i o n a l i n f o r m a t i o n w o u l d they l i k e y o u to seek that w o u l d assist t h e m i n their w o r k ? T h i s gives y o u n e w questions to a d d to the study.

4. N e x t , y o u w i l l w a n t to define outcomes that c a n be m e a s u r e d to deter- m i n e w h e t h e r the projects' goals are being met. D e f i n i n g outcomes i s a basic step i n f i n d i n g out w h e t h e r a program a c h i e v e d w h a t it w a n t e d to. I n other w o r d s , y o u n e e d a f a i r l y concrete w a y to t h i n k about the program's goals, w h i c h w i l l give y o u something to observe a n d mea- sure. U s u a l l y , y o u w i l l i n v o l v e the agency director, key program staff, a n d anyone else w h o p l a y e d a major role i n setting the project's goals i n this endeavor. Together, y o u c a n decide h o w the goals c o u l d be operationalized into outcomes, s u c h as a n increase i n clients served by the agency, a change i n types of c l i e n t s being seen (maybe more

272 Part III: The Framework Applied

Is a financial assistance program sucti as SSI or TANF successful because it in some way improves the lives of recipients, or is it successful only if it makes recipients more self- sufficient (i.e. gets them off welfare)? This is the kind of question that is addressed by defining outcomes.

Engage Assess Intervene Evaluate

What do you think the major differences are between evaluating a gen- eral policy approach such as family preservation ser- vices described in Chapter 1 1 , and evaluat- ing a specific program such as the Greenville Family Services Center?

6.

l o w e r - i n c o m e f a m i l i e s or y o u t h , or more people from a p a r t i c u l a r neighborhood), a n d differences i n the " p r e - senting p r o b l e m s " or perhaps p s y c h i a t r i c diagnoses of the people being w o r k e d w i t h . Y o u m a y be t h i n k i n g , " B u t this i s n ' t f i n d i n g out about changes i n c l i e n t s ' sat- i s f a c t i o n w i t h the agency's services or about w h e t h e r people's problems are a l l e v i a t e d more q u i c k l y or effec- t i v e l y since the program began to be offered outside the agency." A n d y o u w o u l d be right. I n order to f i n d out about the success of m a n ) ' of the agencj^'s efforts, y o u w o u l d r e a l l y n e e d a baseline, or k n o w l e d g e of w h a t clients w e r e e x p e r i e n c i n g before the change w a s enacted. F o r e x a m p l e , w h a t w a s the l e v e l of c l i e n t sat- i s f a c t i o n w i t h services, a n d h o w q u i c k l y a n d effectively w e r e problems h a n d l e d i n the past? T h i s k i n d of infor- m a t i o n i s necessary for before-and-after comparisons. T h e outcome goals w e ' v e described are the sorts of things y o u r agency has probably kept records on, s u c h as n u m b e r of clients a n d f a m i l i e s served i n a g i v e n m o n t h . Y o u w i l l therefore be able to measure changes i n these p a r t i c u l a r outcomes. It m a y w e l l t u r n out that y o u r i n t e r i m e v a l u a t i o n w i l l i n c l u d e a design for a f u l l e r e v a l u a t i o n a n d s p e c i f y w h a t baseline d a t a — s u c h as c l i e n t satisfaction information—the agency s h o u l d n o w begin to gather.

5. Y o u w i l l need to measure the outcomes of the pro- gram. Here's w h e r e things get complex; there are m a n y

different k i n d s of measurement to use, some s i m p l e a n d some sophisti- cated (consultation w i t h a research methodologist; for example, a social w o r k faculty member w h o teaches program evaluation might be h e l p f u l here). T h e two major types of measurement are qualitative and quantita- tive. Studies can use one or combine both. One example of a qualitative approach w o u l d be to i n t e r v i e w clients about their l e v e l of satisfaction w i t h the n e w w a y of receiving services: W h a t do they l i k e or not l i k e about it a n d w h y ? Y o u c o u l d also ask about the usehilness of the com- munity-based intervention and, i f a client w a s served by the agency before the project w a s implemented, y o u c o u l d explore w h i c h of the two approaches seemed most h e l p f u l and w h y . Y o u c o u l d also observe c l i e n t - w o r k e r interactions i n both settings a n d look for differences i n s u c h measures as levels of relaxation and rapport. F i n a l t y , y o u c o u l d develop a set of i n t e r v i e w questions to use w i t h the agency w o r k e r s .

T h e quantitative approach means p r o d u c i n g data that c a n be sta- t i s t i c a l l y m a n i p u l a t e d . We have already d i s c u s s e d some s i m p l e ver- sions of this approach, s u c h as noting the n u m b e r of clients u s i n g agency services u n d e r the n e w program i n c o m p a r i s o n to the n u m b e r u s i n g services u n d e r the old one. Y o u might also use a w r i t t e n s u r v e y of c l i e n t satisfaction a n d a n a l y z e the responses i n a v a r i e t y of w a y s , s u c h as l o o k i n g at the different w a y s i n w h i c h p a r t i c u l a r variables (age, ethnicity, i n c o m e l e v e l ) seem to affect s p e c i f i c responses.

A t the e n d of a l l of t h i s , y o u w i l l n e e d to w r i t e a report or otherwise disseminate your f i n d i n g s . T h i s might i n c l u d e suggestions for change. T h e report or other presentation of the study s h o u l d be as clear a n d concise as possible. I n the p r a c t i c a l w o r l d of program e v a l u a t i o n , one

Chapter 12: Taking Action: Policy Practice for Social Workers 273

hopes that one's f i n d i n g s , both p o s i t i v e a n d negative, w i l l h e l p organi- zations further refine their programs. T h i s c o u l d i n v o l v e e x p a n d i n g t h e m , a d d i n g n e w elements, a n d abandoning approaches that don't seem to be meeting program goals. T h e report stage can be a delicate one. Y o u r i n t e r p e r s o n a l s k i l l s a n d y o u r awareness of the p o l i t i c a l ele- ments i n p o l i c y m a k i n g w i l l be c a l l e d o n , e s p e c i a l l y w h e n y o u need to e x p l a i n w h a t parts of the program aren't w o r k i n g w i t h o u t arousing defensiveness among a d m i n i s t r a t o r s a n d staff. Most important, y o u n e e d to w o r k to make sure that y o u r e v a l u a t i o n doesn't end u p on the s h e l f but i n s t e a d c o n t i n u e s to h e l p the agency as it moves f o r w a r d .

I N T E R A C T I O N A L S K I L L S : N E G O T I A T I O N A N D P E R S U A S I O N

T h e a n a l y t i c a l s k i l l s of p o l i c y a n a l y s i s , needs assessment, a n d program e v a l u - ation often r e s u l t i n findings that significant needs are not being met. T h e y also often r e v e a l steps to be taken to meet these needs. H o w e v e r , t y p i c a l l y , a l l of the stakeholders do not agree that these steps s h o u l d be taken or some m a y have a n alternate set of steps i n m i n d . W h e n these questions arise, negotiation a n d p e r s u a s i o n are c a l l e d for.

Let's imagine another scenario: Y o u have been w o r k i n g for several years as a s o c i a l w o r k e r for the West Side C o m m u n i t y Center ( W S C C ) . T h e W S C C i s an agency that grew out of a settlement house established prior to W o r l d W a r I . Over its c e n t u r j ' of operation, the center's staff has w i t n e s s e d the neighborhood change f r o m J e w i s h to I r i s h to I t a l i a n a n d to A f r i c a n A m e r i c a n to its current m i x of A f r i c a n A m e r i c a n , H i s p a n i c , A s i a n , a n d n o n - H i s p a n i c C a u c a s i a n . T h r o u g h - out a l l of these changes, the c o m m o n denominator of the p o p u l a t i o n is that i t has been h a r d w o r k i n g a n d poor. Often first-generation immigrant, generally poorly educated, c o m m u n i t y residents have been v u l n e r a b l e to both neglect a n d exploitation by those w i t h more privilege a n d power. Because of t h i s , the W S C C has devoted m u c h time a n d m a n y resources to a n a l y z i n g and i n t e r v e n i n g i n p o l i c i e s that affect the l i v e s of the residents. S i n c e beginning w o r k at the W S C C , y o u have been i n v o l v e d i n efforts to increase p u b l i c transportation services to the neighborhood, to establish a n e w p u b l i c h e a l t h c l i n i c , a n d to provide on-site day care for the c h i l d r e n of neighborhood h i g h school students.

Y o u r s u p e r v i s o r c a l l s y o u into her office a n d r e a l l y peaks y o u r interest w i t h her opening w o r d s , " I ' v e got a s t i c k y one for y o u . " She r e m i n d s y o u of the h o u s i n g study y o u d i d last year i n w h i c h y o u c o n c l u d e d that due to a n increase i n p o p u l a t i o n density i n the neighborhood, c o m b i n e d w i t h a r e d u c - t i o n i n h o u s i n g stock, p a r t i a l l y r e s u l t i n g from the h o u s i n g authority's d e c i s i o n to d e m o l i s h t w o large p u b l i c h o u s i n g c o m p l e x e s , a shortage of r e n t a l property w a s i m m i n e n t . T h e h o u s i n g authority w a s u s i n g the revenue from the property sale to p r o v i d e r e n t a l s u b s i d i e s for l o w - i n c o m e renters but, regardless of h o w w e l l intentioned t h i s move w a s , the r e d u c t i o n i n h o u s i n g stock has r e s u l t e d i n people h a v i n g to leave the neighborhood to f i n d h o u s i n g .

C o m m u n i t y residents have approached the W S C C requesting h e l p w i t h a p r o b l e m related to the shortage i n r e n t a l h o u s i n g . O n e of the c o m m u n i t y ' s largest l a n d l o r d s , a m a n w h o o w n s four apartment c o m p l e x e s w i t h a total of over 300 r e n t a l u n i t s , has begun to raise rents by 15 percent each time a lease comes u p for r e n e w a l . A f i e r y y o u n g resident of one of the c o m p l e x e s has orga- n i z e d a rent strike that n e a r l y a t h i r d of the residents h a v e j o i n e d . T h e strike has been going on for over a m o n t h , a n d the l a n d l o r d is threatening e v i c t i o n .

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further legal action, a n d i s w i t h h o l d i n g a l l m a i n t e n a n c e services. T h e tenants are r e s o l v e d to fight the rent increases ( m a n y r e a l l y have l i t t l e c h o i c e ] , but are frightened by w h a t the l a n d l o r d w i l l probably do i f the strike continues a n d they are a n x i o u s for some r e s o l u t i o n . M a n y of the residents k n o w the l a n d l o r d a n d believe that he is not a bad person a n d w i l l be amenable to negotiation i f the)' are represented by someone the l a n d l o r d v i e w s as reasonable. Because of its long-standing h i s t o r y i n the c o m m u n i t y , a n d its reputation as a p o s i t i v e force for change a n d as a n advocate for c o m m u n i t y residents, they believe that the West S i d e C o m m u n i t y Center s h o u l d f i l l t h i s role. T h e f o l l o w i n g section s u m m a r i z e s the basic concepts of negotiation that y o u w i l l n e e d to be f a m i l i a r w i t h i n order to negotiate effectively w i t h the l a n d l o r d . ^

Subprocesses of Negotiation

W a l t o n a n d M c K e r s i e c o n d u c t e d r e s e a r c h that r e v e a l e d f o u r sets of a c t i v i t i e s that t h e y assert a c c o u n t for a l m o s t a l l b e h a v i o r i n negotiations.^ T h e s e a c t i v - i t i e s , or subprocesses, are d i s t r i b u t i v e b a r g a i n i n g , i n t e g r a t i v e b a r g a i n i n g , a t t i t u d i n a l s t r u c t u r i n g , a n d i n t r a o r g a n i z a t i o n a l b a r g a i n i n g .

Distributive bargaining D i s t r i b u t i v e bargaining i s w h a t most people t h i n k of w h e n they refer to nego- tiation. It is the part of the negotiation process that i n v o l v e s the d i v i s i o n of resources. A s s u c h , d i s t r i b u t i v e bargaining is competitive a n d zero-sum. E a c h party i n a d i s t r i b u t i v e bargaining s i t u a t i o n has a subjective point b e y o n d w h i c h they are u n w i l l i n g to go i n order to r e a c h agreement. T h i s is referred to as their resistance point.

L e t u s r e v i s i t the s i t u a t i o n of the rent strikers. T h e tenants, a n d y o u as their negotiator, have l o o k e d at the r e n t a l market a n d have f o u n d that there is a r e n t a l h o u s i n g shortage that is d r i v i n g rents u p . T h e y r e a l i z e that they w i l l probably have to pay more rent, a n d that i f they have to m o v e they w i l l o n l y be able to f i n d properties that are either less desirable or more e x p e n s i v e . T h e a n a l y s i s of the r e n t a l h o u s i n g market indicates that for about 8 percent more rent t h a n the tenants are c u r r e n t l y p a y i n g they w i l l be able to f i n d equal or bet- ter h o u s i n g . Therefore, a n 8 percent rent increase i s the tenants' resistance point, because i f rents are i n c r e a s e d at a greater rate t h a n this they w i l l break off negotiations a n d pack u p a n d move elsewhere.

T h e l a n d l o r d is frightened by the rent strike a n d the prospect that a large n u m b e r of h i s tenants might move out en masse. H o w e v e r , h i s expenses h a v e i n c r e a s e d a n d he k n o w s that r e n t a l property is i n short s u p p l y , so he feels he needs a n d deserves at least some increase i n h i s r e v e n u e . H e has a n a l y z e d the s i t u a t i o n a n d believes that he m u s t increase rents by at least 6 percent for h i s b u s i n e s s to r e m a i n v i a b l e . I f the tenants w i l l not agree to at least a 6 percent increase he w i l l proceed w i t h e v i c t i o n s a n d look for n e w tenants. T h u s , a 6 percent increase is h i s resistance point.

T h e resistance points set the boundaries w i t h i n w h i c h a n agreement can be reached a n d are referred to as the bargaining range, i n this case b e t w e e n 6 a n d 8 percent. I f a n agreement is not reached, the parties r e t u r n to their status quo point, that i s , w h e r e they w e r e before the negotiation began.

I n a d d i t i o n to their resistance point, each party to a negotiation w i l l have w h a t W a l t o n a n d M c K e r s i e refer to as their " r e a l i s t i c l e v e l of a s p i r a t i o n . " T h i s is the agreement that the party hopes to reach. I n our example, the rent strikers hope that they can get the l a n d l o r d to agree to a 4 percent rent increase. Because he has only r a i s e d rents a n average of 3 percent a year for the past five years,

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stage.^ T h e first phase is estabUshing the negotiating range, "the stretch of terri- tory w i t h i n w h i c h the parties propose to move a r o u n d w h i l e they reach for con- sensus on a single settlement point."*' D u r i n g this phase, the parties make long speeches, stating impossible demands a n d e m p h a s i z i n g the intractability of their position. To the u n t r a i n e d observer it appears at this point that settlement is impossible. I n reality, however, the negotiators realize that a l l they are doing is setting the outer l i m i t s of the range w i t h i n w h i c h they w i l l reach a n agree- ment. Douglas e x p l a i n s that "Strength a n d vigor i n a party a n d a r i n g of c o n v i c - t i o n i n its presentation can h e l p s p e l l out an i m p r e s s i o n of intractability w h i c h becomes part of the accounting data of party A as it goes about determining h o w long it dares continue to press party B for concessions, i n l i e u of m o d i f y i n g its o w n position."^° T h i s phase i n v o l v e s intraorganizational bargaining, w h e r e b y the parties reach i n t e r n a l consensus on their u t i l i t y schedule, a n d a t t i t u d i n a l structuring, w h e r e b y they attempt to impress the opposition w i t h their resolve.

I n the second phase, reconnoitering the negotiating range, a t t i t u d i n a l struc- t u r i n g a n d intraorganizational bargaining continue, but d i s t r i b u t i v e bargaining occupies center stage. I n this phase, the parties look for areas that h o l d some promise of agreement. T h e parties probe each other, attempting to ascertain the other's resistance point w h i l e at the same time g i v i n g h i n t s as to their o w n aspiration l e v e l . D u r i n g this phase, the focus shifts f r o m promoting one's o w n p o s i t i o n to attacking the opponent's. T h r o u g h a long, c i r c u i t o u s process, the parties attempt to gain some idea of w h a t the other party w i l l agree to, w i t h o u t p u b l i c l j ' altering the p o s i t i o n taken d u r i n g the first phase.

I n the t h i r d and f i n a l phase of the conference stage, precipitating the decision- m a k i n g c r i s i s , the crisis is reached. T h e crisis either concludes w i t h a formal agreement or w i t h the parties going on record as h a v i n g reached an impasse. I n our example, the c r i s i s may be precipitated by the e v i c t i o n date being reached, by the l a n d l o r d facing bankruptcy unless he receives the w i t h h e l d rent, or s i m - p l y by one of the parties reaching their resistance point a n d i s s u i n g a f i n a l u l t i - m a t u m . Intraorganizational bargaining reaches a peak during this phase, as the negotiators clear the f i n a l offers w i t h those to w h o m they are responsible.

The postconference stage T h e f i n a l stage is the postconference stage. T h i s stage is dominated by distributive bargaining, w h i c h , because of its competitive nature, is not conducive to problem solving. T h u s , i n the postconference stage integrative bargaining dominates as the problems i n formalizing and implementing the agreement are w o r k e d out. T h e postconference stage consists of four activities: agreement elaboration, agreement approval, contract administration, a n d final contract closure.

Strategy and Tactics in Negotiation Strategy refeis to the o v e r a l l p l a n for a negotiation, whereas tactics refer to the m a n e u v e r s , techniques, a n d gambits u s e d to i m p l e m e n t the strategy. Some ele- ments of strategy a n d tactics, s u c h as concession behavior, have been s t u d i e d e m p i r i c a l l y ; some, for e x a m p l e preparation of goals, are c o m m o n sense; the majority have been developed by trial-and-error a n d w o u l d be c l a s s i f i e d as practice w i s d o m . I n the f o l l o w i n g d i s c u s s i o n , strategy a n d tactics are d i v i d e d according to the negotiation stage i n w h i c h they are most l i k e l y to be f o u n d .

Preconference strategies T h e preconference stage is a time for planning. During this stage, the overall nego- tiation strategj' is developed. T h e first step is to list the issues to be dealt w i t h .

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A n issue is defined as any information u p o n w h i c h there is disagreement. It is important that issues be stated as problems rather than as demands, because demands i n v o l v e only one solution. A s a problem is d i s c u s s e d , other solutions m a y become apparent.^^ I n our e x a m p l e , rather t h a n stating a d e m a n d that the rent increases be r o l l e d back, y o u w o u l d be better a d v i s e d to start w i t h the prob- l e m that many, i f not most, of the tenants w i l l not be able to afford a large rent increase a n d w i l l have to move out u n l e s s some other p l a n is offered.

T h e n e x t step is to study the opposition. I n order to negotiate effectively, it i s necessary to have as m u c h i n f o r m a t i o n as possible about the opposition. B y s t u d y i n g the l a n d l o r d ' s b u s i n e s s , y o u might f i n d that he is h a v i n g c a s h f l o w problems. I f he is not able to settle the rent strike q u i c k l y a n d begin to collect monej', he is at r i s k of going into bankruptcy. T h u s , y o u c a n infer that he w i l l be v e r y a n x i o u s to settle the rent strike. T h e importance of s t u d y i n g the oppo- s i t i o n i s i l l u s t r a t e d by a popular " h o w t o " book on labor negotiation that devotes almost one-half of the content to a detailed d e s c r i p t i o n of procedures for collecting a n d a n a l y z i n g data prior to entering a negotiation.^^

T h e t h i r d step i n preparing for a negotiation is to objectively assess the strengths a n d weaknesses of y o u r o w n p o s i t i o n . A s the representative of the rent s t r i k e r s , y o u w o u l d w a n t to have data about the a v a i l a b i l i t } ' of r e n t a l hous- i n g i n the area, w h a t alternative h o u s i n g w o u l d cost, w h a t l a w s a n d regulations exist regarding t e n a n t - l a n d l o r d relations, a n d so forth.

B a s e d on the issues l i s t e d , the a n a l y s i s of the opponent's p o s i t i o n , a n d the a n a l y s i s of y o u r group's strengths a n d w e a k n e s s e s , the n e x t step i s the p r e p a - r a t i o n of goals. Goals s h o u l d be grouped into categories of e s s e n t i a l , desirable, a n d tradable, a n d a l t e r n a t i v e goals s h o u l d be prepared i n case one of the essential goals cannot be achieved.^* Goals s h o u l d be q u a n t i f i e d , i f possible, to a l l o w for r a p i d a n d accurate a n a l y s i s of tradeoffs. F o r e x a m p l e , the l a n d - l o r d m a y h a v e c o m p u t e d that being able to be p a i d d i r e c t l y f r o m tenants' b a n k accounts e a c h m o n t h w o u l d be w o r t h 1 percent of the rent increase. S o , i f y o u offer h i m a 7 percent increase (remember, h i s resistance p o i n t i s 6 percent a n d h i s r e a l i s t i c l e v e l of a s p i r a t i o n is 9 p e r c e n t ] , he might come back w i t h a n offer of 7 percent to any tenant w h o agrees to p a y by automatic w i t h d r a w a l . T h e tenants group m a y h a v e c o m p u t e d that cable T V i s w o r t h 1 percent of the rent i n c r e a s e , so they might counter that they w i l l settle for 7 percent increase a n d p a y m e n t by automatic d e d u c t i o n , but the l a n d l o r d w i l l h a v e to negotiate a group rate w i t h the cable c o m p a n y a n d p r o v i d e free cable as part of the lease agreement.

A n o t h e r essential preconference strategy i s to develop a n agenda. Negotia- tors prepare s p e c i f i c agendas for their o w n use that list the issues to be dealt w i t h a n d the order of their presentation. T h e y m a y or m a y not prepare a gen- eral agenda to be g i v e n to the opposition. Presenting the other side w i t h an agenda has the advantage of putting them on the defensive, d e f i n i n g issues i n y o u r o w n w a y based on y o u r a s s u m p t i o n s , a n d a l l o w i n g you to decide w h e n v a r i o u s issues w i l l be r a i s e d . It has the disadvantages of r e v e a l i n g y o u r p o s i - t i o n i n advance a n d g i v i n g the opposition a n opportunit}' to prepare a reaction to the issues on the agenda.

T h e f i n a l issue for preconference strategy is to decide on a negotiation site. T h e r e are advantages to negotiating at y o u r headquarters, a n d there are a d v a n - tages to going to y o u r competitor's site. W h e n on y o u r o w n home territory, y o u are q u i c k l y able to obtain a p p r o v a l a n d c o n s u l t a t i o n w h e n needed; y o u c a n arrange for meeting i n t e r r u p t i o n s for strategic purposes; a n d y o u have the p s y - c h o l o g i c a l advantage that being at home p r o v i d e s . Going to y o u r opponent's l o c a t i o n has the advantages of a l l o w i n g y o u to devote y o u r f u l l attention to the

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a n d i n f l a t i o n has not increased, they feel that he might be h a p p y w i t h 1 percent more t h a n past increases. T h e l a n d l o r d , for h i s part, t h i n k s that the residents w i l l realize that h i s maintenance costs have increased as the b u i l d i n g s have aged, a n d that rental property i n the neighborhood has become scarcer a n d therefore more i n demand, a n d he hopes that based on these points the tenants m a y be amenable to a 9 percent increase. T h e closer each party to a negotiation comes to h i s or her realistic l e v e l of aspiration, the more satisfied they w i l l be w i t h the agreement.

T h e status quo p o i n t , resistance point, a n d r e a l i s t i c l e v e l of a s p i r a t i o n make u p each party's utility schedule. Generally, negotiators attempt to d i s - cover their opponent's u t i l i t y s c h e d u l e w i t h o u t r e v e a l i n g their o w n .

Integrative bargaining T h e second subprocess of negotiation is integrative bargaining. I n any negotia- t i o n , the potential exists for the development of solutions that result i n a gain for both parties. W a l t o n and M c K e r s i e refer to this as "integrative b a r g a i n i n g " a n d describe i t as b a s i c a l l y f o l l o w i n g the p r o b l e m - s o l v i n g m o d e l so f a m i l i a r to s o c i a l w o r k e r s . I n integrative bargaining, problems are defined, alternate s o l u - tions developed a n d a n a l y z e d , a n d one s o l u t i o n i s i m p l e m e n t e d . T h i s sub- process has been referred to as a " w i n - w i n " approach to negotiation.*

I n our e x a m p l e of negotiating the rent increase w i t h the l a n d l o r d , there are probably some opportunities for integrative bargaining. Perhaps the l a n d l o r d w o u l d agree to p r o v i d e flowers a n d gardening tools a n d s u p p l i e s to tenants w h o w i s h to i m p r o v e their b u i l d i n g ' s appearance; maybe he c o u l d donate a couple of extra office computers for a h o m e w o r k center i n the apartment c l u b - house. Or, perhaps the tenants w o u l d agree to form a neighborhood w a t c h pro- gram i n cooperation w i t h the l o c a l p o l i c e department, w h i c h w o u l d not o n l y increase the tenants' security, but might reduce the l a n d l o r d ' s i n s u r a n c e cost. T h e k e y is that integrative bargaining i n not z e r o - s u m . T h e solutions d e v e l o p e d r e s u l t i n a gain for one or both parties a n d i n a loss to neither.

Attitudinal structuring T h e t h i r d subprocess of negotiation is a t t i t u d i n a l structuring. I n negotiation, as i n a n y interpersonal interaction, the attitudes h e l d by the parties t o w a r d one another s i g n i f i c a n t l y affect the process and the outcome. Therefore, one of the subprocesses of negotiation i n v o l v e s attempting to m a n i p u l a t e the opponent's attitudes. I n certain instances, a cooperative attitude m a y be desired, because this leads to more integrative bargaining and to more expeditious h a n d l i n g of problems. I n other cases, p a r t i c u l a r l y i n v o l v i n g groups, a more competitive atti- tude m a y be fostered because this contributes to i n t e r n a l cohesion of the group.

A t t i t u d i n a l structuring interacts w i t h d i s t r i b u t i v e bargaining w h e n the par- ties i n v o l v e d attempt to i n f l u e n c e the other's attitude t o w a r d the object of the bargaining. One type of a t t i t u d i n a l structuring i n v o l v e s attempts to b u i l d u p the p e r c e i v e d v a l u e of the c o m m o d i t y being offered. I n our e x a m p l e , the l a n d - l o r d m a y try to b u i l d u p the v a l u e of h i s apartments by t a l k i n g about h o w the neighborhood has i m p r o v e d , attracting a more affluent p o p u l a t i o n , therefore m a k i n g higher rents obtainable. T h i s technique is referred to as demand cre- ation. T h e opposite occurs w h e n a party to a negotiation attempts to c o n v i n c e the other that he or she has less interest t h a n o r i g i n a l l j ' thought. I n our e x a m - p l e , the tenants might try to c o n v i n c e the l a n d l o r d that, after contemplating h a v i n g to move, the)' are f i n d i n g that there are n u m e r o u s apartments available i n more desirable c o m p l e x e s for l o w e r rents. T h i s technique i s referred to a motivational withdrawal^'

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Intraorganizational bargaining T h e f i n a l subprocess of negotiation is intraorganizational bargaining. It is rare for there to be total a n d immediate agreement w i t h i n collectivities being represented at a negotiation. T h u s , it is necessary to engage i n bargaining w i t h i n the organi- zation i n order to resolve conflict so that a u n i f i e d front can be presented at the bargaining table. I n our example, the l a n d l o r d has probably h a d to resolve a number of issues w i t h employees of h i s f i r m , w i t h h i s lawj'er, a n d w i t h h i s accountant. T h e tenants group probably has h a d even more areas to be resolved: D i d they w a n t to do the rent strike to begin w i t h ? W i l l non-rent-strikers provide some other form of support? H o w far are they w i l l i n g to p u s h the situation (i.e., are they ready to actually be evicted i f the l a n d l o r d is uncooperative)?

Stages of Negotiation A n o t h e r important d i m e n s i o n of negotiation is that of time. Karrass d i v i d e s nego- tiations into three broad stages: the preconference stage, the conference stage, a n d the postconference s t a g e . D o u g l a s has further d i v i d e d the conference stage into three stages: establishing the negotiating range, reconnoitering the negotiat- ing range, a n d precipitating the decision m a k i n g crisis.^ E a c h of the stages tends to be dominated by one or two of the subprocesses described by Walton a n d M c K e r s i e , although any of the subprocesses m a y occur during any of the stages.

The preconference stage T h e preconference stage i n c l u d e s a l l of the activities that occur prior to actually sitting d o w n at the negotiating table. It is h i g h i n integrative bargaining, attitu- d i n a l structuring, and intraorganizational bargaining. It i s also h i g h i n integra- tive bargaining, because there are a n u m b e r of problems to be r e s o l v e d prior to a negotiation that, i f resolved successfully, w i l l result i n some gain to each side. T h e first issue to resolve is w h e t h e r the negotiation s h o u l d occur at a l l .

A s the rent s t r i k e r s ' representative, the first t h i n g y o u w i l l need to do i s to persuade the l a n d l o r d that it i s i n h i s best interest to negotiate rather t h a n s i m - p l y h a v i n g h i s attorney f i l e e v i c t i o n orders. A f t e r t h i s , a n u m b e r of details w i l l need to be w o r k e d out, s u c h as w h e r e the negotiation w i l l take place, the n u m - ber of negotiators, w h o w i l l p r o v i d e s u p p l i e s , a n d so forth.

A t t i t u d i n a l s t r u c t u r i n g is h i g h i n the preconference stage because it i s i m p o r t a n t for p a r t i c i p a n t s to set the correct tone. T h e tenant group y o u repre- sent m a y w a n t the l a n d l o r d to see them as tough, or irreplaceable, or as a potential p u b l i c relations nightmare as the papers report on mothers of infants a n d elderly people being put out on the street by a greedy b u s i n e s s m a n .

Intraorganizational bargaining i s at its highest d u r i n g the preconference stage. It is generally agreed that it is disastrous for a group to begin bargaining w i t h o u t presenting a u n i f i e d front. I f the l a n d l o r d perceives that only a s m a l l fraction of the tenants are w i l l i n g to go a l l the w a y w i t h the rent strike, he might w e l l decide to take a h a r d l i n e a n d w a i t for the rent strike to collapse. H o w e v e r , i f he t h i n k s the rent strikers w i l l a l l h o l d out to the e n d , a n d that other tenants m a y w e l l j o i n them, he w i l l be m u c h more l i k e l y to be w i l l i n g to make concessions.

The conference stage T h e n e x t stage is the conference stage. T h e conference stage is the heart of the negotiation; i t is w h e n the parties a c t u a l l y meet a n d hammer out an agreement. B a s e d on an a n a l y s i s of a number of actual negotiations, Douglas i d e n t i f i e d three phases that s u c c e s s f u l negotiations m u s t go through d u r i n g the conference

Ethical Practice

What do you think are some of the ethical i s s u e s that might confront a social worker negotiating on behalf of his or her clients?

Chapter 12: Taking Action: Policy Practice for Social Workers 279

negotiation w i t h o u t i n t e r r u p t i o n , of enabhng y o u to s t a l l i f necessary by p l e a d - ing that i n f o r m a t i o n needed or group a p p r o v a l is not a v a i l a b l e , a n d of p l a c i n g the b u r d e n a n d d i s t r a c t i o n of hosting the meeting on y o u r opponent. T h e gen- eral consensus among negotiators, however, seems to be that being on home t u r f i s best.^^

Conference strategies T h e conference stage is the heart of the negotiation. It is h e a v i l y weighted t o w a r d distributive bargaining and is the stage where strategy a n d tactics become most evident. A long l i s t of " d i r t y t r i c k s " is available that can be used by negotiators during the conference stage. These are more talked about than actually used. Most negotiations, a n d certainly those i n w h i c h social workers are i n v o l v e d , are carried on i n a spirit of honesty and cooperation. T h i s type of "above the b o a r d " negotiation has been referred to as " p r i n c i p l e d negotiation."^^

T h e l i s t of legitimate strategies a n d tactics for use i n the conference stage is also long. K a r r a s s discusses sevent}?.^^ M a n y of the techniques are f a m i l i a r to s o c i a l w o r k e r s , s u c h as the use of silence a n d the art of questioning. Some of the major strategies are d i s c u s s e d below.

A n obvious question that must be addressed before the conference stage c a n begin is w h e r e people s h o u l d sit. A l t h o u g h this m a y at first seem s i l l y , the p e r c e i v e d importance of seating arrangements i n negotiations is i l l u s t r a t e d by the f a m i l i a r n e w s reports of i n t e r n a t i o n a l negotiations that go on for w e e k s before the shape of the table is agreed u p o n . S o c i a l w o r k e r s are f a m i l i a r w i t h the importance of seating arrangements i n c l i n i c a l practice. It is generally con- ceded that sitting at the head of the table d u r i n g negotiations puts one at an advantage, because w e tend to i m p u t e authority to the person i n this seat.

H o w the conference is opened i s another important strategy d e c i s i o n . T h e practice w i s d o m suggests several options. Generally, it is felt to be advanta- geous to take the l e a d , because this a l l o w s y o u to control d i s c u s s i o n a n d to introduce issues i n a m a n n e r a n d at a time b e n e f i c i a l to y o u . A s to h o w to open the meeting, one w a y i s to relate a h u m o r o u s story to r e l i e v e tension. A n o t h e r is to begin by stating the ground r u l e s to prevent m i s u n d e r s t a n d i n g s later. S t i l l another option i s to attempt to set a cooperative attitude by stressing the gains to be h a d by both sides i f the negotiation is brought to a s u c c e s s f u l c o n c l u s i o n .

R e s e a r c h on negotiation indicates that most conferences begin i n a some- w h a t different m a n n e r t h a n suggested hy the practice w i s d o m . Douglas f o u n d that negotiators often begin by m a k i n g l o n g - w i n d e d speeches i n w h i c h they state i m p o s s i b l e demands, emphasize the c o n f l i c t between the two parties, a n d " s t r i v e for a c o n v i n c i n g demonstration that they are i m p o s s i b l y at logger- heads."^'^ I n their r e v i e w of negotiation research from a c o m m u n i c a t i o n theory perspective, T e d e s c h i a n d R o s e n f e l d f o u n d the same behavior i n the laboratory that Douglas f o u n d i n the f i e l d .

T h e k e y to s u c c e s s f u l negotiation is t a c t i c a l concession behavior. T h e gen- eral pattern is for the two sides to make u n r e a l i s t i c i n i t i a l offers a n d then each to scale back demands i n a stepwise f a s h i o n u n t i l a n agreement i s reached. T h e t i m i n g a n d presentation of these concessions is v i t a l l y important. Because of its centrality, concession behavior has been more thoroughly s t u d i e d t h a n other aspects of the negotiation process. K a r r a s s has conducted extensive lab- oratory studies of negotiation a n d f o u n d that s u c c e s s f u l negotiators " a v o i d e d m a k i n g first concessions, conceded s l o w l y a n d a v o i d e d m a k i n g as m a n y large concessions as d i d their opponents."^° W a l t o n a n d M c K e r s i e have i d e n t i f i e d w h a t they c a l l the " c o n c e s s i o n d i l e m m a . " I f a negotiator makes a concession, he or she suffers " p o s i t i o n l o s s . " T h i s means that they have l o w e r e d their

280 Part III: The Framework Applied

demands a n d potential payoff. B u t , i f they refuse to make a concession, they suffer "image l o s s " a n d are seen as r i g i d a n d not bargaining i n good f a i t h . T h i s d i l e m m a gives r i s e to the general p r i n c i p l e of " n e v e r give a n y t h i n g a w a y ; a l w a y s receive some concession i n r e t u r n . "^^

One of the items i n the negotiator's u t i l i t y schedule is h i s or her l e v e l of a s p i r a t i o n , that i s , w h a t is the settlement r e a l i s t i c a l l y h o p e d for. R e s e a r c h by K a r r a s s indicates a strong correlation between a s p i r a t i o n l e v e l a n d f i n a l out- come. Negotiators w i t h a h i g h a s p i r a t i o n l e v e l obtained better settlements t h a n those w i t h a l o w l e v e l . H o w e v e r , the higher the a s p i r a t i o n l e v e l , the greater the l i k e l i h o o d of an u n s u c c e s s f u l end to the negotiation (the tenants being e v i c t e d ; the l a n d l o r d f i l i n g for b a n k r u p t c y ) . F i n d i n g s on a s p i r a t i o n l e v e l give rise to another general p r i n c i p l e of negotiating: Develop y o u r a s p i r a t i o n l e v e l based on the cost to y o u of negotiations breaking d o w n (leaving y o u at y o u r status quo p o i n t ) .

C o m m o n sense, as w e l l as most of the practice w i s d o m on negotiation, says not to r e v e a l y o u r u t i l i t y schedule. T h e r e are t w o basic reasons for t h i s . T h e first is that i f y o u r opposition k n o w s y o u r resistance point they w i l l settle for nothing else, a n d thus y o u e l i m i n a t e any chance of r e a c h i n g y o u r a s p i r a t i o n l e v e l . T h e other reason i s that i f y o u r e v e a l y o u r resistance point the opposi- t i o n probably w i l l not believe y o u a n d w i l l attempt to go b e l o w this point. Douglas asserts that r e v e a l i n g y o u r resistance point w i l l be h e a r d by the oppo- s i t i o n as "We offer this n o w , a n d y o u m a y legitimately figure that there is more to be h a d w h e r e t h i s came from."^'^

G o o d negotiation t e c h n i q u e i n v o l v e s k n o w i n g w h e n to r e v e a l y o u r true p o s i t i o n . I f y o u r e v e a l too e a r l j ' , y o u r o p p o s i t i o n m a y not take y o u s e r i o u s l y a n d w i l l press for a d d i t i o n a l c o n c e s s i o n s that cannot be m a d e . T h i s m a y cause the negotiation to break d o w n . I f y o u w a i t too long to r e v e a l y o u r p o s i - t i o n , y o u r i s k b e i n g v i e w e d as i n f l e x i b l e a n d u n r e a s o n a b l e , a n d y o u r oppo- n e n t m a y break off negotiations f e e l i n g a n agreement i s not p o s s i b l e . K n o w i n g w h e n to r e v e a l y o u r p o s i t i o n i s s o m e t h i n g that c a n o n l y be l e a r n e d b y e x p e r i e n c e .

A n o t h e r area of tactics i n the conference stage i n v o l v e s authorit}'. A fre- quent negotiation tactic is to w a i t u n t i l a deal appears to be c o n c l u d e d a n d then r e v e a l that f i n a l a p p r o v a l m u s t be obtained from a superior or s u p e r v i s o r y committee of some sort. T h e superior indicates that the deal is almost accept- able, but one f i n a l concession m u s t be made. F o r e x a m p l e , y o u might r e a c h a n agreement w i t h the l a n d l o r d that he w i l l settle for a 7 percent rent increase a n d w i l l p r o v i d e free cable T V . Y o u might then t e l l h i m that y o u need to r u n the offer by the tenants' c o u n c i l . Y o u then come back a n d say that they l i k e the deal, a n d w i l l sign i t , but only i f he agrees to w a i v e a l l late fees for the rent strikers a n d to not make any reports to the credit bureau. A general p r i n c i p l e of negotiating is to a l w a y s be clear at the outset w h a t authority the person y o u are dealing w i t h has. I f the person does not have the f i n a l authority, y o u c a n p l a n y o u r strategy accordingly.

A f i n a l conference stage tactic is referred to as final offer and threat of with- drawal. W h e n attempting to extract a concession that an opponent i s reluctant to m a k e , one tactic is to restate y o u r last offer, p i c k u p y o u r papers, a n d i n d i - cate that u n l e s s a concession is made there is no p o i n t i n c o n t i n u i n g . T h i s places the b u r d e n of w h e t h e r to continue on y o u r opponents, a n d y o u hope they w i l l make a concession. T h i s is o b v i o u s l y a r i s k y tactic. It leaves the com- m i t t e d bargainer i n a n i n f l e x i b l e p o s i t i o n . I f the opponent does not make a con- cession, the committed bargainer then has a choice of letting the negotiation break d o w n or of l o s i n g c r e d i t a b i l i t y by w i t h d r a w i n g the threat.

Chapter 12: Taking Action: Policy Practice for Social Workers 281

Postconference strategies Because the negotiating process i n the conference stage is imperfect a n d ends w i t h a general agreement w i t h m a n y details r e m a i n i n g , the postconference stage is necessary. T h i s stage i s h i g h i n integrative bargaining a n d i s straight- f o r w a r d , c a l l i n g for a m i n i m u m of strategy a n d tactics.

S k i l l at p r o b l e m s o l v i n g i s i m p e r a t i v e d u r i n g this stage. R e l a t i o n s h i p s k i l l s are e s p e c i a l l y important, because d u r i n g this phase not only i s cooperation c r u c i a l , but the smart negotiator is already l a y i n g the g r o m i d w o r k for the n e x t series of negotiations. I n our e x a m p l e , d u r i n g the postconference stage issues w i l l need to be r e s o l v e d s u c h as h o w the n e w leases w i l l be prepared a n d signed, h o w long tenants w i l l have to get their rent payments up-to-date, h o w maintenance that the l a n d l o r d deferred due to the strike w i l l be brought up-to- date, and other s u c h details.

P O L I T I C A L S K I L L S

A s has been e m p h a s i z e d throughout t h i s book, p o l i c i e s are n e a r l y a l w a y s the r e s u l t of p o l i t i c a l processes. Therefore, it s h o u l d come as no s u r p r i s e that the most important p o l i c y practice s k i l l s are p o l i t i c a l s k i l l s . B e l o w w e d i s c u s s w h a t w e see as being the essential p o l i t i c a l s k i l l s for a s o c i a l w o r k e r to possess. T h e s e are b u i l d i n g coalitions, i n f o r m a t i o n d i s s e m i n a t i o n , lobbying, p o l i t i c a l action for candidate election, a n d n m n i n g for office.

Building Coalitions Most s o c i a l w o r k students k n o w something about the v a l u e of coalitions. T h e n o t i o n of j o i n i n g w i t h others to make a change is probably a f a m i l i a r one. Y o u m a y have h e a r d more about this i n courses covering c o m m u n i t y organizing or s o c i a l action, however, t h a n i n p o l i c y courses. A l t h o u g h coalitions can serve a v a r i e t y of purposes, i n c l u d i n g large-scale p o l i t i c a l r e f o r m , w e w i l l talk here only about those that focus s p e c i f i c a l l y on f o r m u l a t i n g , promoting, changing, or opposing a policy.^* S u c h coalitions c o u l d focus on agency p o l i c i e s , court cases a n d legal decisions, c i t y a n d county ordinances, legislative r u l e s a n d reg- u l a t i o n s , r u l i n g s by government administrators, a n d state or federal legislation.

T h e t y p i c a l c o a l i t i o n d r a w s together representatives of a v a r i e t y of groups that have some interest or c o n c e r n regarding the p o l i c y i n question [the n o t i o n of stakeholder, w h i c h w e d i s c u s s e d i n Chapter 6, is u s e f u l here). Members agree to w o r k together on a p a r t i c u l a r p o l i c y i s s u e , a n d the c o a l i t i o n gains its p o w e r f r o m the c o m b i n e d efforts of its member organizations. T h e s e organiza- tions represent different constituencies w i t h a v a r i e t y of sources of i n f l u e n c e a n d power; w h e n the c o a l i t i o n speaks, it is not the n u m b e r of c o a l i t i o n m e m - bers that matters, but the n u m b e r a n d i n f l u e n c e of people a n d interests it rep- resents. A s B r u c e Jansson notes, this is p a r t i c u l a r l y important i n dealing w i t h issues related to those w i t h less p o w e r i n our society, s u c h as l o w - i n c o m e f a m - i l i e s , homeless people, a n d those w h o are institutionalized.^^

C o a l i t i o n s take shape i n v a r i o u s w a y s . T h e M e n t a l H e a l t h R e f o r m C o a l i t i o n i n L o u i s i a n a h a d its i n f o r m a l beginnings i n the cooperation between lobbyists a n d directors of s e v e r a l advocacy groups that o c c u p i e d the same office b u i l d - ing. Because organizations advocating w i t h a n d for those w i t h m e n t a l i l l n e s s a n d their f a m i l i e s are r e l a t i v e l y few i n n u m b e r i n L o u i s i a n a , it w a s not d i f f i - c u l t to i d e n t i f y a n d b r i n g i n other groups. Because these organizations h a d

282 Part III: The Framtn-vork Applied

somewhat different agendas, h o w e v e r , a certain amount of negotiating a n d r e a c h i n g consensus on c o m m o n goals h a d to take place before a l l agreed to j o i n . I n other situations, it might take more effort to f i n d potential c o a l i t i o n members. Sometimes, i n doing p r e l i m i n a r y research on a p o l i c y i s s u e for y o u r organization, y o u w i l l come u p w i t h the names of other l o c a l , state, or n a t i o n a l organizations that are w o r k i n g on the same issues. T h e s e c a n be contacted w i t h the i d e a of m a k i n g a c o m m o n cause. It's important to remember, also, that f a i r l y different groups m a y share a n interest i n one p a r t i c u l a r i s s u e , as w e w i l l see i n the e x a m p l e at the end of this section.^''

Once the representatives of different organizations have come together, they t y p i c a l l y engage i n negotiating goals a n d a n agenda a n d d e v i s i n g strategies for their w o r k . I n the case of the M e n t a l H e a l t h R e f o r m C o a l i t i o n , a l l the organiza- tions represented w e r e interested i n h a v i n g a greater impact on the f u n d i n g a n d service d e l i v e r y decisions of the state Office of M e n t a l H e a l t h a n d i n promoting a m e n t a l h e a l t h parity l a w i n L o u i s i a n a . H o w e v e r , the groups h a d to agree on goals a n d priorities i n these two areas. Negotiations regarding a n agenda to pro- mote w i t h the state office c a l l e d for some compromise between those groups v a l u i n g community-based m e n t a l h e a l t h services a n d those lamenting the clos- ing d o w n of s u c h i n s t i t u t i o n a l programs as a c h i l d r e n ' s mental health f a c i l i t y i n N e w Orleans. S i m i l a r l y , i n p l a n n i n g a lobbying campaign for a m e n t a l h e a l t h parity l a w , an agreement h a d to be reached that both c h i l d r e n ' s m e n t a l h e a l t h services a n d adult services w o u l d be covered i n the legislation.

T h e f o l l o w i n g scenario further illustrates the process of developing a c o a l i - t i o n . Suppose a large development corporation has proposed a major develop- ment project at the edge of a u n i v e r s i t y c a m p u s . T h e current area is home to several student bars, a bookstore, a b r a n c h of the G a p , a comfortable coffee- house, several fast-food restaurants, a great Vietnamese restaurant, a n old-time diner, a popular s a n d w i c h shop, a n d a m i d d l e - s i z e d grocery store c o n v e n i e n t for those f a m i l i e s l i v i n g i n u n i v e r s i t y h o u s i n g . T h e area targeted by the d e v e l - opers also i n c l u d e s several blocks of a l o w - i n c o m e , mostly A f r i c a n A m e r i c a n neighborhood. T h e development proposal i n c l u d e s p l a n s for a major confer- ence center hotel, i n d i v i d u a l office b u i l d i n g s , a n d a large m a l l w i t h spaces for u p s c a l e stores a n d restaurants. T h e design i s i n t e n d e d to c o n v e y a s o p h i s t i - cated c i t y atmosphere, but it w i l l i n c l u d e old-fashioned touches s u c h as gas street lights a n d balconies on m a n y of the b u i l d i n g s . Some of the e x i s t i n g restaurants a n d stores m a y relocate into the n e w m a l l , but not a l l w i l l be able to afford the rent. I n a d d i t i o n , the several blocks of the l o w - i n c o m e neighbor- hood on the project site w o u l d be r a z e d , w i t h compensation p a i d to h o m e o w n - ers a n d l a n d l o r d s . T h e w o m a n w h o heads the development corporation has been quoted as saying that tearing d o w n this area w o u l d be " n o great l o s s . "

T h e proposed project is attractive to some groups, i n c l u d i n g the city govern- ment and the Chamber of Commerce, w h i c h v i s u a l i z e business expansion a n d additional tax revenues. B u t an u n u s u a l collection of opposing bodies is beginning to emerge. T h e first, interestingly, is a faction w i t h i n the student government, w h i c h worries that s u c h a " g l i t z y " project w i l l change the funky, comfortable atmosphere of the existing commercial area and that the n e w stores and restaurants w i l l be too expensive for most students. Married students i n university housing, many of w h o m are international students w i t h no cars, are concerned that their closest grocery store w i l l disappear. Most faculty are not yet sure w h a t to make of the development proposal, although some echo student concerns about tlie loss of at least part of the existing campus restaurant and shopping area, and others w o r r y about increased parking problems. Those business owners w h o suspect they won't be able to relocate into the n e w project are clearer i n their opposition to it.

Chapter 12: Taking Action: Policy Practice for Social Workers 283

A c o m m u n i t y economic development group i n the A f r i c a n A m e r i c a n neighborhood, made u p largely of l o c a l businesspeople a n d clergy, has also r a i s e d concerns about the effects of the development on their neighborhood, e s p e c i a l l y the loss of three or four blocks of h o u s i n g . Interestingly, several departments i n the u n i v e r s i t y have created a u n i v e r s i t y - c o m m u n i t y partner- s h i p program through w h i c h u n i v e r s i t y f a c u l t y a n d students a n d the economic development group w o r k together on c o m m u n i t y i m p r o v e m e n t projects i n the neighborhood. T h e program i s c a r r i e d out w i t h the b l e s s i n g of u n i v e r s i t y administrators.

T h e u n i v e r s i t y - c o m m u n i t y partnership program h i r e d a recent s o c i a l w o r k graduate several years ago to staff the program. T h i s person has become the cat- alyst i n bringing the v a r i o u s interest groups together i n opposition to the n e w project, at least i n its present form. She has spoken i n d i v i d u a l l y w i t h the com- m u n i t y development group members, b u s i n e s s o w n e r s , leaders of the i n f o r m a l faction i n student government, members of the i n t e r n a t i o n a l student associa- t i o n , a n d members of the faculty senate. A s she proceeds, she is i d e n t i f y i n g c o m m o n goals a n d possible actions, i n c l u d i n g questioning the zoning regula- tions that a l l o w construction of s u c h a large development close to c a m p u s as w e l l as the destruction of several blocks of homes. T h e r e i s also some question w h e t h e r the c i t y s h o u l d be i s s u i n g b u i l d i n g permits for structures that might s t r a i n e x i s t i n g roads a n d u t i l i t i e s .

A s y o u c a n see, this is a p r o m i s i n g scenario for the creation of a u n i q u e a n d potentially strong c o a l i t i o n of a v a r i e t y of groups opposed to the development project. Its success w i l l depend i n part on the groups' a b i l i t y to w o r k together on a c o m m o n agenda, to gain support from presently u n c o m m i t t e d bodies s u c h as the u n i v e r s i t y a d m i n i s t r a t i o n , a n d to f a s h i o n s u c c e s s f u l strategies a i m e d at i n f l u e n c i n g p o l i c i e s on c o m m e r c i a l development.

Information Dissemination

A s H a y n e s a n d M i c k e l s o n point out, data on s o c i a l problems or needs are absolutely essential to any type of p o l i c y change strategy':

No matter w h a t form of intervention a social worker may u n d e r t a k e — community organization, casework, administration, or political a c t i v i t y — the resource most needed and used is information. Before any diagnosis can be reached or community organization strategy developed, informa- tion about the client's background and presenting problem or the com- m u n i t y ' s problem and demographics must first be obtained. Intervention i n the p o l i t i c a l arena has the same basic requirement because the same processes are used by the social worker i n the p o l i t i c a l arena as i n case or c o m m u n i t y work.^^

T h e first step i n i n f o r m a t i o n d i s s e m i n a t i o n is documentation. A s s o c i a l w o r k e r s , w e keep copious records a n d notes on a l l our cases, so w e are already i n possession of a great deal of documentation. P o l i c y m a k e r s h a v e a great deal of m a c r o l e v e l data available to them to h e l p i n their d e c i s i o n - m a k i n g process, a n d s o c i a l w o r k e r s are perfectly capable of adding to this data. Our profes- s i o n a l organizations, s u c h as the N a t i o n a l A s s o c i a t i o n of S o c i a l Workers a n d the C h i l d Welfare League of A m e r i c a , keep m a s s i v e databases, w h i c h are a v a i l - able to p o l i c y m a k e r s . H o w e v e r , t h i s i n f o r m a t i o n is a v a i l a b l e from a n u m b e r of sources a n d i s not the most v a l u a b l e c o n t r i b u t i o n s o c i a l w o r k e r s c a n m a k e . W h a t s o c i a l w o r k e r s are i n a u n i q u e p o s i t i o n to p r o v i d e is a h u m a n face to go w i t h the statistics.

284 Part III: The Framework Applied

One of the authors once s e r v e d on the budget committee of a large s o c i a l s e r v i c e f u n d i n g organization. One of the agencies that r e c e i v e d m u c h of its f u n d i n g from t h i s group p r o v i d e d r e h a b i l i t a t i o n services to people w h o w e r e a l c o h o l or drug dependent. T h e e x e c u t i v e director of the agency w a s a b r i l l i a n t , I v y League-trained p u b l i c administrator w h o came to the budget committee year after year w i t h beautifuU)' detailed a n d presented materials on needs, ser- v i c e s , trends, outcomes, and the h i s t o r i c d e c l i n e i n f u n d i n g to the agency. W h e n he began h i s presentation, the budget committee w o u l d l i s t e n atten- t i v e l y , albeit w i t h a somewhat glazed-over look, a n d w o u l d , i n the e n d , cut the agency's a p p r o p r i a t i o n . One year, h o w e v e r , he d i d something different. H e began h i s presentation by h a n d i n g out copies of a l l the charts, graphs, a n d tables on w h i c h he u s u a l l y based h i s presentation. H e then s a i d that he w a s going to do something different that year, a n d he i n t r o d u c e d a w o m a n w h o w a s the agency's senior c l i n i c a l s o c i a l worker. She took over the presentation a n d spent t w e n t y m i n u t e s describing a case she h a d w o r k e d w i t h for m a n y years. She described the c l i e n t , a w o m a n w h o came to the agency alone, crack addicted, a n d asked the agency to f i n d a home for her two grade-school-age c h i l d r e n because she c o u l d not take care of them a n d , i n any case, felt she w o u l d not l i v e m u c h longer. T h e s o c i a l w o r k e r described h o w she c o n v i n c e d the mother to try getting off drugs one more time; she p l a c e d the w o m a n a n d the c h i l d r e n i n the agency's shelter a n d got the mother into drug treatment, job t r a i n i n g , a n d i n t e n s i v e c o u n s e l i n g . T h e c h i l d r e n w e r e e n r o l l e d i n a tutoring program, support groups for c h i l d r e n of addicted persons, a n d recreation groups. A team w a s formed between the agency, the state department of s o c i a l s e r v i c e s , the county m e n t a l h e a l t h agency, a n d the c h i l d r e n ' s schools. E v e n t u - a l l y , h o u s i n g w a s f o u n d i n a safe neighborhood, the mother got her drug habit u n d e r control, a n d she f o u n d a job. A t the c o n c l u s i o n of the presentation, the s o c i a l w o r k e r passed a r o u n d pictures ( w i t h p e r m i s s i o n , of course) of the t w o c h i l d r e n w h o w e r e n o w young adults. One w a s w o r k i n g as a c e r t i f i e d auto m e c h a n i c a n d the other w a s a college student preparing to be a grade school teacher. F o l l o w i n g the presentation, the budget committee voted to give the agenc}' the largest budget increase i n its history. T h e reason w a s c l e a r l y that the s o c i a l w o r k e r h a d p r o v i d e d a type of documentation that made the e x e c u t i v e director's charts, graphs, a n d statistics come a l i v e a n d have r e a l m e a n i n g a n d import for the d e c i s i o n - m a k i n g committee.

T h e r e are a number of w a j ' s i n w h i c h s o c i a l w o r k e r s c a n p r o v i d e documen- tation to i n f l u e n c e the p o l i c y - m a k i n g process. One i s giving testimony. W h e n - ever legislative bodies consider a p o l i c y change, they h o l d a p u b l i c hearing i n w h i c h anyone c a n address the body. S o c i a l w o r k e r s c a n provide documentation based on their practice experience, w h i c h can lead to p a r t i c u l a r l y persuasive testimony. T h e N a t i o n a l A s s o c i a t i o n of S o c i a l Workers a n d several other profes- s i o n a l s o c i a l w o r k a n d social w o r k education organizations w o r k through A c t i o n N e t w o r k for S o c i a l W o r k E d u c a t i o n and Research ( A N S W E R ) to promote legislation that supports the profession a n d the people a n d c o m m u n i t i e s w i t h w h i c h i t w o r k s . I n the last several years, s o c i a l w o r k e r s have lobbied exten- s i v e t y to m a i n t a i n f u n d i n g for c h i l d welfare services i n the face of proposed cuts by the B u s h a d m i n i s t r a t i o n a n d a R e p u b l i c a n Congress. A d v o c a c y w o r k by A N S W E R a n d i n d i v i d u a l s o c i a l w o r k e r s i n S p r i n g 2006 h e l p e d defeat the H e a l t h Insurance Marketplace M o d e r n i z a t i o n a n d A f f o r d a b i l i t y A c t , w h i c h w o u l d have r o l l e d back state provider mandate l a w s a n d repealed state m e n t a l h e a l t h parity l a w s as w e l l as other m e n t a l h e a l t h coverage mandates. S o c i a l w o r k e r s have also fought for a fair, equitable, a n d comprehensive p l a n regard- ing the latest w a v e of i m m i g r a t i o n across the country's border w i t h M e x i c o .

Chapter 12: Taking Action: Policy Practice for Social Workers 285

N A S W ' s position i s that " i m m i g r a t i o n is the foundation a n d essence of A m e r i - can society. . . . A n y proposal that d i m i n i s h e s the w e l l being of i m m i g r a n t c i t i - zens and denies immigrant w o r k e r s basic protections i s detrimental to the ideals of this great n a t i o n . " N A S W has lobbied against b i l l s that d i s c r i m i n a t e against immigrants and w h i c h c r i m i n a l i z e those w h o w o u l d assist u n d o c u - mented immigrants i n need.^^

S o c i a l w o r k e r s c a n also act as expert w i t n e s s e s w h e n legislative c o m m i t - tees or a d m i n i s t r a t i v e bodies request testimony about a n issue. F o r e x a m p l e , a school board c o n s i d e r i n g establishing a program of after-school a c t i v i t i e s m a y request that a s o c i a l w o r k e r f r o m one of the c o m m u n i t i e s targeted p r o v i d e tes- t i m o n y on the activities of gangs i n the area a n d p r o v e d strategies for deflect- ing c h i l d r e n from gang m e m b e r s h i p . U n l i k e p r o v i d i n g testimony, w h i c h anyone c a n do s i m p l y by signing u p , s e r v i n g as a n expert w i t n e s s requires a n i n v i t a t i o n . I n order to be i n v i t e d to serve i n t h i s role, one m u s t be able to demonstrate that by some c o m b i n a t i o n of education a n d experience one i s i n d e e d a n " e x p e r t . "

T h e most accessible a n d p r a c t i c a l means of p r o v i d i n g documentation is w r i t t e n c o m m u n i c a t i o n . S o c i a l w o r k e r s s h o u l d r e g u l a r l y communicate w i t h their elected representatives regarding p e n d i n g legislation relevant to s o c i a l w e l f a r e . Contrary to popular o p i n i o n , legislators do pay attention to their m a i l , a n d a c o m m u n i c a t i o n from someone w h o c a n establish professional expertise regarding a n i s s u e c a n have a r e a l effect. A letter to the editor of a n e w s p a p e r or n e w s m a g a z i n e or, e v e n better, a n op-ed piece c a n h e l p s w a y p u b l i c a n d decision-maker o p i n i o n . Letters s h o u l d be neat a n d professional appearing. Y o u s h o u l d start by stating the subject a n d y o u r credentials for d i s c u s s i n g it, c l e a r l y state a n d back u p y o u r o p i n i o n , r e c o m m e n d s p e c i f i c action, a n d sign y o u r n a m e , address, a n d phone number.

Lobbying S u p p l y i n g documentation, testifying, acting as a n expert w i t n e s s , a n d engag- ing i n w r i t t e n c o m m u n i c a t i o n can be i d e n t i f i e d as i n d i v i d u a l components of the larger process of lobbying. L o b b y i n g is s i m p l y the p u r p o s i v e , goal-directed, p l a n n e d process of attempting to i n f l u e n c e the p o s i t i o n of a d e c i s i o n maker, u s u a l l y a n elected one. I n the past, m a n y s o c i a l w o r k e r s have tended to shy a w a y from f o r m a l lobbying, b e l i e v i n g that i t is a self-serving a c t i v i t y that has no place i n a n a l t r u i s t i c profession, that it requires a lot of money, a n d that it requires f o r m a l t r a i n i n g i n p o l i t i c s a n d the p o l i t i c a l process.

A l t h o u g h it is true that m u c h of lobbying is self-serving, not a l l i s . M a n y decisions regarding the welfare of oppressed and disadvantaged groups are made i n the p o l i c y arena of Washington, B . C . , state capitals, and city and county court- houses. If, as social w o r k e r s , w e are serious about i m p r o v i n g the l i v e s of these groups, w e need to actively attempt to influence decisions that affect their l i v e s . We s h o u l d also realize that being self-serving is not a l w a y s a bad thing. M a n y of the lobbjdng activities of professional social w o r k are i n regard to issues s u c h as l i c e n s i n g and Medicare reimbursement rates for social workers. These issues c o u l d be seen as self-serving, but they have w i d e r i m p l i c a t i o n s .

It i s also true that money p l a y s a part i n lobbying. H o w e v e r , great deals of money are not essential. T h e a c t i v i t i e s w e have described cost v e r y l i t t l e a n d c a n be v e r y effective.

F i n a l l y , s o c i a l w o r k e r s are already t r a i n e d i n most of the s k i l l s essential for effective lobbying. L o b b y i n g i s mostly a process of developing r e l a t i o n s h i p s a n d effective c o m m u n i c a t i o n , both s k i l l s central to s o c i a l w o r k t r a i n i n g . T h e

286 Part III: The Framework Applied

s p e c i f i c k n o w l e d g e needed for lobbying, s u c h as f a m i l i a r i t y w i t h the legislative process, correct forms of address for v a r i o u s o f f i c i a l s , a n d u n d e r s t a n d i n g the v a r i o u s roles of o f f i c i a l s , are e a s i l y obtainable from literature available f r o m groups s u c h as the League of W o m e n Voters.

T h e specifics of lobbying are b e y o n d the scope of this book, but w e do w a n t to make one essential point. A s o c i a l w o r k e r c o n s i d e r i n g lobbj'ing s h o u l d r e a l - ize that lobbyists, rather t h a n being p e r c e i v e d as a n u i s a n c e , are a n essential source of i n f o r m a t i o n , a n d e v e n a p e r s o n n e l resource, for legislators. E l e c t e d o f f i c i a l s are r e q u i r e d to deal w i t h a n i n c r e d i b l e range of c o m p l e x , t e c h n i c a l issues, most of them i n areas i n w h i c h they have no expertise. T h e s e o f f i c i a l s r e l y on lobbyists w h o have—either as i n d i v i d u a l s or as representatives of groups—the needed t e c h n i c a l k n o w l e d g e . A legislator w h o is t r a i n e d as a n engineer a n d is on a committee dealing w i t h a piece of c h i l d abuse legislation w i l l w e l c o m e i n p u t f r o m a group of s o c i a l w o r k e r s t r a i n e d a n d e x p e r i e n c e d i n c h i l d w e l f a r e . Moreover, m u c h of the legislation l a w m a k e r s introduce i s w r i t - ten for t h e m by lobbyists or by professionals acting as lobbyists. T h e vignette on c h i l d h o o d s e x u a l abuse legislation at the beginning of Chapter 6 is a good e x a m p l e of a professional's i n v o l v e m e n t i n this process.

S o c i a l w o r k e r s have been i n v o l v e d i n lobbying i n m a n y w a y s for m a n y years. I n the early years of the t w e n t i e t h century, s o c i a l w o r k e r C . C . Carstens, General Secretary of the Massachusetts Society for the P r e v e n t i o n of Cruelty to C h i l d r e n , h a d the Speaker of the'Massachusetts House of Representatives on h i s board of directors. E a c h year, Carstens w o u l d prepare an agenda of c h i l d r e n ' s issues, w h i c h the speaker w o u l d proceed to introduce to the House. D u r i n g the N e w D e a l , President Roosevelt's c h i e f of staff w a s s o c i a l w o r k e r H a r r y H o p k i n s , a n d s o c i a l w o r k e r s h a d substantial i n f l u e n c e on the development of the S o c i a l S e c u r i t y A c t . I n the 1950s, the profession became f o r m a l l y i n v o l v e d i n the leg- i s l a t i v e process through the establishment of a legislative office i n Washington by the N a t i o n a l A s s o c i a t i o n of S o c i a l Workers. Most N A S W state chapters n o w have a government relations director (a title that means, essentially, " l o b b y i s t " ) .

T h e National Association of Social Workers lobbies regarding a variety of social policy issues. For example, i n 2009, it's lobbying i n c l u d e d statements about the need to address the issue of inequities that w o m e n face i n s u c h areas as emplojmient, health, mental health, and education. T h e Association's stand on racism stresses its concern about racism i n a l l aspects of A m e r i c a n society, i n c l u d - ing education, employment, and housing. N A S W has taken a strong stand regard- ing lesbian, gay, and bisexual issues, stressing that people of same-sex gender orientation " s h o u l d be aftbrded the same respect and rights as other-gender sexual orientation." N A S W also adchesses the contentious topic of immigration by noting that i n "various times throughout its history, immigration policy i n the U n i t e d States has expressed protectionist, exclusionary, and humanitarian impulses. P o l i - cies have been liberalized, only to t u r n again towards exclusion. T h e profession of social w o r k is concerned w i t h immigration policies because they affect the lives of clients and the well-being of people w i t h i n and bej'ound our borders. N A S W sup- ports immigration and refugee policies that u p h o l d and support equity and h u m a n rights, w h i l e protecting national security;. . . . immigration policies must promote social justice and avoid racism and discrimination or profiling on the basis of race, religion, country of origin, gender, or other grounds."

Political Action for Candidate Election A n o t h e r important social p o l i c y action strategy for social workers is w o r k i n g to put people i n elected office w h o reflect v a l u e s and goals consistent w i t h those of

288 Part IIP. The Framework AppHed

N e w Y o r k , i n 1 9 0 5 ; T h o m a s Osborn, another penologist, w a s elected to the A u b u r n , N e w Y o r k , B o a r d of E d u c a t i o n i n 1 8 8 5 , w a s n o m i n a t e d for lieutenant governor i n 1 8 8 8 , a n d w a s elected m a y o r i n 1 9 0 3 . T h e first w o m a n elected to the U . S . House of Representatives w a s Jeanette R a n k i n , a s o c i a l w o r k e r a n d R e p u b l i c a n from M o n t a n a , i n 1 9 1 6 . More recently, R o n a l d D e l l u m s , a p s y c h i - atric s o c i a l w o r k e r , w a s elected to Congress i n 1 9 7 0 ; Barbara M i k u l s k i , another s o c i a l w o r k e r , w a s elected to the House a n d subsequently the Senate; a n d E d T o w n s w a s elected to the House from N e w Y o r k City.^^

W i t h the vast n u m b e r of elected offices on the n a t i o n a l , state, a n d l o c a l l e v e l , i t i s h a r d to f i x the exact n u m b e r of s o c i a l w o r k e r s c u r r e n t l y h o l d i n g office. H o w e v e r , i t is clear that i t is r a p i d l y i n c r e a s i n g . I n 2 0 0 8 , ten s o c i a l w o r k - ers s e r v e d i n Congress a n d seventy-one w e r e members of state legislatures. I n a d d i t i o n , 1 1 0 s o c i a l w o r k e r s h e l d l o c a l positions, s u c h as service on a c i t y c o u n c i l or membership on a S c h o o l Board.''^ T h i s represents a 9 percent increase over the n u m b e r of s o c i a l w o r k e r s i n elective office i n 2 0 0 5 . A p p a r - ently, the interest that N A S W has focused on electoral p o l i t i c s is t r i c k l i n g d o w n to the members, w h o are becoming i n v o l v e d on a n i n d i v i d u a l l e v e l .

T h e famous s o c i a l caseworker M a r y R i c h m o n d once spoke of s o c i a l w o r k as r e t a i l a n d w h o l e s a l e . Retail meant one-on-one s o c i a l w o r k w i t h i n d i v i d u a l c l i e n t s to solve i n d i v i d u a l problems. Wholesale meant s o c i a l action s o c i a l w o r k attempting to f i n d c o l l e c t i v e solutions to problems affecting thousands of people. We hope that the p o l i c y a n a l y s i s s k i l l s a n d the p o l i c y practice e x a m - ples that w e h a v e presented i n this book h a v e , at the v e r y least, s e n s i t i z e d y o u to the absolute necessity for w h o l e s a l e approaches to the problems w e as s o c i a l w o r k e r s address. A l l s o c i a l w o r k e r s l e a r n c o n v e n t i o n a l macropractice s k i l l s for i n t e r v e n t i o n i n large sj'stems. L e s s c o m m o n l y taught i s w h a t w e consider to be the ultimate macropractice approach: that of becoming i n v o l v e d i n the elec- toral process a n d , i d e a l l y , becoming a n elected o f f i c i a l .

Chapter 12: Taking Action: Policy Practice for Social Workers 287

social w o r k . S o c i a l w o r k e r s c a n , of course, w o r k i n d i v i d u a l l y for p o l i t i c a l candi- dates. Campaigns for p o l i t i c a l office rely h e a v i l y on volunteers to do everything from answering the phone, to stuffing envelopes, to going door to door to pro- mote the candidate, to helping raise money, to developing issue papers a n d cam- paign strategy. T h e p o l i t i c a l process i s , for better or worse, one of q u i d pro quo (you scratch m y back and T i l scratch yours), so one of the best w a y s of gaining influence w i t h a n elected official is to have a record of campaign participation. Those i n v o l v e d i n the early stages of a campaign, p a r t i c u l a r l y one waging an u p h i l l battle, w i l l earn particular gratitude from the candidate.

A n o t h e r strategy is to w o r k through a p o l i t i c a l action committee ( P A C ) . P A C s are organizations set u p to collect and disburse v o l u n t a r y contributions from members of special-interest groups for the purpose of furthering the polit- i c a l goals of the groups. I n 1976, the N a t i o n a l A s s o c i a t i o n of S o c i a l Workers established a P A C c a l l e d P o l i t i c a l A c t i o n for Candidate E l e c t i o n . T h i s w a s i n i - t i a l l y established to support candidates for n a t i o n a l - l e v e l offices. S i n c e 1976, a l l but four N A S W chapters have set up state-level P A C s . H a y n e s and M i c k e l s o n observe, "Poor people, s i c k people, the elderly, a n d c h i l d r e n do not make polit- i c a l campaign contributions, a n d indeed often don't or can't vote. T h u s , a s o c i a l w o r k e r s ' P A C is a necessary advocacy group, not for professional self-interest a n d protection, but for the disadvantaged a n d disenfranchised as w e l l . " " ^

Running for Office

Human Rights g Justice

Social workers advance human rights and economic j u s t i c e . In what ways could a social worker holding political office further this impor- tant competency?

C a l l s for s o c i a l w o r k e r s to become i n v o l v e d i n electoral p o l i t i c s are as o l d as the profession itself. I n 1896, James B . R e y n o l d s , speaking at the most presti- gious professional conference of the era, urged s o c i a l w o r k e r s to go into p o l i - t i c s . J e f f r e y Brackett, f o u n d i n g director of the B o s t o n S c h o o l for S o c i a l W o r k e r s , w a s elected to the B a l t i m o r e c i t } ' c o u n c i l i n 1900; Z e b u l o n B r o c k w a y , a progressive p r i s o n administrator a n d reformer, w a s elected m a y o r of E l m i r a ,

Senator Barbara Mikulski (D, MD) is only one example of the increasing number of social workers who have successfully sought public office.