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 Contentsvii

A Framework for Assessing Community and Organizational Problems 94

Task 1: Gather Information from Persons within the Community or Organization 95
core competency: Engagement 98
Task 2: Explore the Professional Knowledge Base on the ­Condition, Problem, Need, or
Opportunity 98
core competency: Research-informed Practice
(or Practice-informed Research) 106
Task 3: Frame the Problem and Develop Working Hypotheses 107
core competency: Intervention 110
Summary 113

5. Understanding Communities 116

Conceptualizing Community 116
core competency: Diversity and Difference in Practice 118
Defining Community 118
Dimensions of Communities 119
Community Functions 122
When Community Functions Fail 124
Community Theories 125
Systems Theories 125
Human, Population, or Social Ecology Theories 130
core competency: Engagement 131
Human Behavior Theories 133
Theories about Power, Politics, and Change 137
core competency: Policy Practice 139
Contemporary Perspectives 140
Strengths, Empowerment, and Resiliency Perspectives 141
Asset Mapping 143
Capacity Building 144
Community Practice Models 147
core competency: Intervention 149
Summary 151

6. Assessing Communities 153

Engaging Communities 153
Two Community Vignettes 154
Vignette 1: Canyon City 154
Encountering the Community 155
Narrowing the Focus 155
Mobilizing Resources 156
Vignette 2: Lakeside 156
Assessing Major Changes 156
Witnessing the Impact of Change 157
viii Contents

Implications of the Vignettes 157

core competency: Diversity and Difference in Practice 158
Framework for Community Assessment 159
Task 1: Identify Focal Community 160
core competency: Engagement 164
Task 2: Locate Data and Information on Community Needs,
Issues, and Problems 167
core competency: Research-Informed Practice
(or Practice-­Informed Research) 170
Task 3: Assess Community Social and Political Assets 171
core competency: Policy Practice 173
Task 4: Assess Community Structure and Capacity 177
Examine Service Delivery Units 177
Identify Patterns of Inf luence, Control, and Service Delivery 180
Determine Linkages between Units 181
Summary 184

7. Understanding Organizations 188

Conceptualizing organizations 188
Using Theories as Frames and Filters 189
Structural Theories and Perspectives 192
Bureaucratic Theory 192
Scientific and Universalistic Management 194
core competency: Research-Informed Practice
(or Practice-Informed Research) 197
Organizational Goals and the Natural-Systems
Perspective 197
Management by Objectives (MBO) 198
Organizations as Open Systems 200
Contingency Theory 201
core competency: Engagement 204
Human Resource Theories and Perspectives 205
Human Relations Theory 205
Theory X and Theory Y 207
Quality-Oriented Management 208
Political Theories and Perspectives 211
Decision-making Theory 211
Resource Dependency and Political-Economy Theories 212
Critical and Feminist Theories 214
Symbolic Theories and Perspectives 216
Organizational Culture Theory 217
core competency: Diversity and Difference in Practice 220
 Contentsix

Organizational Learning Theory 222

core competency: Ethical and Professional Behavior 223
Summary 224

8. Assessing Human Service Organizations 226

Engaging Human Service Organizations 226
Two Vignettes of Human Service Organizations 228
Vignette 1: Canyon County Department of
Child Welfare 228
Creating a Dynamic Organization 228
Dismantling a Dynamic Organization 229
Involvement of the County Board 229
core competency: Ethical and Professional Behavior 229
Vignette 2: Lakeside Family Services 230
Historical Development 230
Major Changes Occur 230
The Search for Strategies 230
Implications of the Vignettes 231
Framework for Organizational Assessment 232
Task 1: Identify Focal Organization 232
core competency: Assessment 235
core competency: Human Rights and Justice 236
Task 2: Assess the Organization’s Environmental Relationships 238
Task 3: Assess Internal Organizational Capacity 246
Task 4: Assess the Cultural Competency of this Organization 259
core competency: Diversity and Difference in Practice 261
Summary 263

9. Building Support for the Proposed Change 267

Designing the Intervention 267
Task 1: Develop the Intervention Hypothesis 268
core competency: Research-informed Practice
(or Practice-informed Research). 272
Building Support 272
Task 2: Define Participants 273
core competency: Engagement 284
Examining System Capacity for Change 286
Task 3: Determine Openness and Commitment to Change 287
Task 4: Strengthen Collective Identity 288
core competency: Assessment 290
Task 5: Identify Outside Opposition to Change 292
core competency: Intervention 293
Summary 296
x Contents

10. Selecting Appropriate Strategies and Tactics 299

Assessing the Political and Economic Context 299
Task 1: Assess Political and Economic Feasibility 301
core competency: Human Rights and Justice 303
Selecting Approaches to Change 304
Task 2: Select a Change Approach 305
core competency: Policy Practice 305
core competency: Ethical and Professional Behavior 307
Selecting Strategies and Tactics 309
Task 3: Select Strategies and Tactics 309
core competency: Intervention 318
Summary 326

11. Planning and Implementing the Intervention 329

Understanding the Logic Model 329
core competency: Research-informed Practice
(or Practice-informed Research) 330
Applying the Logic Model to a Case Example 331
A Framework for Planning the Details of the Intervention 333
Task 1: Revisit the Working Hypothesis of Intervention 335
core competency: Assessment 336
Task 2: Set a Goal for the Intervention 336
Task 3: Write Outcome and Process Objectives 336
core competency: Intervention 343
Task 4: List Activities for Process Objectives 343
Task 5: Initiate the Action Plan 346
core competency: Intervention 347
Summary 350

12. Monitoring and Evaluating the Intervention 358

The Importance of Monitoring and Evaluation 358
Types of Evaluation 359
core competency: Evaluation 359
How Changes Can Go Wrong 360
A Framework for Evaluating The Change Effort 361
Task 1: Conduct a Process Evaluation 362
Task 2: Conduct an Outcome Evaluation 368
core competency: Evaluation 369
core competency: Evaluation 375
core competency: Evaluation 379
Summary 381

References 383
Glossary 398
Index 405
Preface

Twenty-five years ago, three colleagues at Arizona State University School of Social Work decided to write a book
to use in two courses in the foundation macro practice sequence in which we were teaching. At that point, we
were using “course packs” comprised of readings from professional journals and book chapters, and we needed a
textbook that integrated a growing conceptual and empirically based literature on organizational and community
change. Through multiple revisions we continued our collaboration, in 2012 adding a fourth author to our team.
Much has changed in 25 years, but our commitment to our original goal remains steadfast. From the beginning,
we wanted to recapture a broader definition of social work practice that recognizes that all social workers must be
able to engage, assess, and intervene with individuals, families, groups, organizations, and communities. In short,
we believed (and continue to believe) that active involvement in community and organizational change represents
one of the richest and proudest traditions of social work practice over the last century.

New to This Edition

It is our intent in this edition to bring readers abreast of the changes within the field. We have worked to make the
sixth edition more practice oriented, integrating more field-based vignettes and examples throughout and elab-
orating the planned change model originally introduced in earlier editions. We have incorporated more material
on international and global content in order to prepare future practitioners for encountering both domestic and
international social problems. We have paid special attention to the use of technology such as social media and
electronic advocacy, in addition to video links and media asset recommendations. We have reinforced the role of
advocacy in all aspects of social work practice. Structurally, we have rearranged chapters, added a new chapter, de-
leted dated material, added new material, and integrated the most up-to-date conceptual and empirical scholarship
into all chapters. Across all chapters, at least one-third of all references are new to this edition. In all changes in
this edition, we have tried to be as conscientiously attentive and responsive to reviewers’ feedback as possible while
­ensuring consistency with current professional literature on macro practice.
Specific changes follow:
• Framing Macro Social Work in an International Context. In Chapters 1–2, we have framed macro
­practice within an international context, adding references from international journals and information on
international codes of ethics, referring to differences in social work education across multiple countries,
adding a case example on international social work, and writing a new section entitled “Global Perspectives
on Social Work.”
• Adding Content on Diverse Populations. Chapters 3 and 4 have been reversed, placing the chapter on
­populations before the chapter on problems. In Chapter 3, we lead with a new section on “Advancing
­Human Rights and Social and Economic Justice,” including new content on cultural humility, cultural
­competency, whiteness studies, and critical race theory. Another new section, “Developing Strategies
for A
­ uthentic Engagement” in Chapter 3, includes new material on working with groups, community
­organizing, and community engagement.

xi
xii Preface

• Including Alternative Theories. New theoretical content has been added as

follows: Critical Race Theory, and Identity Theory (Chapters 3 and 9); Framing
Theory (Chapter 4); Assets Mapping, Field Interactional Theory, and Power De-
pendency Theory (Chapter 5); and Organizational Culture, Feminist, and Critical
Theories (Chapters 7 and 8). Chapter 7 was entirely restructured to tighten up the
content on classical theories in order to focus more on contemporary approaches
reorganized within four schools of thought.
• Updating Practice Frameworks. All frameworks have been revised, rearranged,
and updated in Chapters 3, 4, 6, 8, 9, 10, 11, and 12. New tasks within the frame-
works have been renamed to be more congruent with EPAS competencies and
graphical representations of each framework are now included. A new task and
set of activities on “Identify Focal Community” leads the framework in Chapter
6. A new task on “Assessing the Cultural Competency of an Organization” is
now featured in Chapter 8. New material has been added to Chapters 11 and 12
on the logic model in an attempt to strengthen the student’s understanding of
the relationship between this model and the macro practice procedures we are
proposing.
• Adding Content on Technology. Chapters 1 and 2 feature updated information
on the wise use of technology. In Chapter 9, a new section called “Strengthen
Collective Identity” focuses on how use of the Internet, social-networking sites,
and mobile technology can be used to facilitate communication among action
system members. This is reinforced by a section on the use of technology in ad-
vocating for change in Chapter 10.
• Adding New Chapter on Evaluation. Our original Chapter 11 has been divided
into new Chapters 11 and 12. Each chapter has been expanded in light of review-
ers’ concerns that more material on the planning, implementing, monitoring,
and evaluating aspects of planned change needed more depth. The new Chapter
11 now introduces and focuses on understanding the logic model, illustrated by a
series of new figures that demonstrate the model’s use. Chapter 12 is almost com-
pletely new, focusing in detail on monitoring and evaluating.
• Chapter Reviews at the end of each chapter allow students to evaluate mastery
of skills and competencies learned.
• Marginal media assets are included so that students can search the Internet for
relevant content.

Connecting Core Competencies Series

The sixth edition of this text is now a part of Pearson Education’s Connecting Core Com-
petencies series, which consists of foundation-level texts that make it easier than ever to
ensure students’ success in learning the nine core competencies as revised in 2015 by the
Council on Social Work Education (CSWE). This text contains:
• Core Competency Icons throughout the chapters, directly linking the CSWE
core competencies to the content of the text. Critical thinking questions are
also included to further students’ mastery of the CSWE standards. For easy refer-
ence, a chart in the front pages of the book displays which competencies are used
in each chapter.
 xiii
Preface 

Interactive Enhanced Pearson eText

The sixth edition Enhanced eText, produced by Pearson, contains new digital elements
to enhance student learning and user experiences:
• Assess Your Understanding Quizzes appear at the end of each major section
within each chapter, with multiple-choice questions to test students’ knowledge
of the chapter content.
• Chapter Review Quizzes appear at the end of each chapter, with essay questions
to test student’s understanding of major concepts in the chapter.
• Video links are provided throughout the chapters to encourage students to
­access relevant video content.

Instructor Supplements
An Instructor’s Manual, Test Bank, and PowerPoint slides are available to accompany
this text. They can be downloaded at www.pearsonhighered.com/educator.

The Importance of Macro Practice

We contend that social workers who see clients every day and encounter the same prob-
lems over and over are the ones who are most aware of the need for macro-level change,
and even if they are not in a position to take the lead in initiating change they need
to understand the process and be supportive of others who are involved in m ­ acro-level
­efforts. Macro practice, understood within this context, defines the uniqueness of ­social
work practice. Many disciplines claim expertise in working with individuals, groups,
and families, but social work has long stood alone in its focus on the ­organizational,
­community, and policy contexts within which its clients function. The concept of
person-in-­environment is not simply a slogan that makes social workers aware of en-
vironmental inf luences. It means that social workers recognize that sometimes it is
the environment and not the person that needs to change. Mullaly (2007) states that so-
cial workers are not simply called to be direct practitioners, but are equally called to be
change agents particularly in situations that place service users’ best interests first. Our
book is designed to prepare social workers to be agents of change for the purpose of
improving people’s quality of life.
We are aware that the history of social work as a profession has been marked by
shifts in and tensions between intervention with individuals and intervention with and
within larger systems. Early perspectives on the latter tended to focus primarily on
­policy-level involvements (especially legislative processes). As the need for content on so-
cial work administration and management, and community practice was recognized and
incorporated into the curriculum of many schools of social work, these topics were also
embraced as an area of concentration for those who wanted to work with and within
larger systems. In order to manage oversubscribed curricula, students have often been
forced to concentrate in either macro or micro areas, creating a false dichotomy, when
social work of all professions is uniquely positioned to integrate both.
Therefore, over the years as we taught required foundation-level courses on com-
munity and organizational change, and as we worked with students and professionals in
the field, we became aware of the changing dynamics of practice and expectations for
practitioners. Both students and practitioners were working with populations such as
xiv Preface

homeless persons, members of teen street gangs, victims of domestic violence, chroni-
cally unemployed persons, frail older adults, and other disenfranchised groups. Although
social workers will always need casework and clinical skills to help people in need on a
one-to-one basis, it was becoming increasingly evident to many in the profession that
they were also expected to intervene at the community level. Typical activities included
promoting the development of shelters, developing neighborhood alternatives to gang
membership and juvenile incarceration, addressing chronic unemployment, and navigat-
ing the complexity of long-term care services as a community problem. It was becoming
more and more evident that social workers must be contextual thinkers.
These activities are not new; many closely mirror the work of settlement-house
workers in the early days of the profession. Yet, many social work students have tra-
ditionally seen themselves as preparing strictly for interventions at the individual or
­domestic level. It is unexpected and disconcerting when they find themselves being asked
to initiate actions and design interventions that will affect large numbers of people and
take on problems at the community or organizational level if they are not prepared to
undertake and support these kinds of professional activities. When social work practice
with macro systems is seen as solely the realm of administrators, community organizers,
program planners, and others, a vital linkage to millions of people who struggle daily
with environmental constraints has been severed. Macro-level change may, but does not
necessarily always, involve large-scale, costly reforms at the national and state levels or
the election of candidates more sympathetic to the poor, neglected, and underserved
members of society. Sometimes useful macro-level change can involve organizing a local
neighborhood to deal with deterioration and blight; sometimes it may mean initiating a
self-help group and stepping back so that members will assume leadership roles. Thus,
the focus of this book is on enabling social work practitioners to undertake whatever
types of macro-level interventions are needed in an informed, analytical way and with a
sense of confidence that they can do a competent job and achieve positive results.
As this sixth edition goes to press, schools of social work and professional
­associations are continuing the ongoing debate about the role of macro social work
practice in o ­ versubscribed curricula; and making choices about what content to
cover, and which courses to offer and methods to use (e.g., classroom, hybrid, and
online), in ­d elivering that content. Reports on the state of macro practice social
work have been issued, and a Special Commission to Advance Macro-Practice in So-
cial Work is engaged in a m ­ ultipronged strategic approach to deal with imbalances
between micro and macro, the marginality of macro practitioners and educators,
and the lack of support for macro practice (Rothman & Mizrahi, 2014). Challenges
to professional macro practitioners’ identity, recognition of tensions among social
work educators, and concerns about state licensing that privilege clinical roles all
promise to fuel a continuing dialogue among i­ndividuals and groups committed to
the field (Hill, Ferguson, & Erickson, 2010).
Amid these debates and challenges about social work as a profession is an increasing
recognition that skilled macro practitioners are needed more than ever within a global
context (Santiago, Soska, & Gutierrez, 2014). So much has happened in the last 25 years
that could not have been predicted. The editors of a special issue of the Journal of Commu-
nity Practice name a few: “global and domestic terrorism, economic adjustments, natural
disasters, migration and immigration, new and emerging technologies, g­ lobalization …
not unique to the United States and … mirrored around the globe” (Gutierrez, Gant, &
 xv
Preface 

Richards-Schuster, 2014, p. 1). Within this international context, we believe it is critical

to reiterate our original goal—to recapture a broader definition of social work practice
that recognizes that all social workers must be able to engage, assess, and intervene with
individuals, families, groups, organizations, and communities. Across the world, macro
practice skills are needed more than we ever imagined 25 years ago when we started
this endeavor. It is our hope that we may contribute to preparing the next generation of
­social workers to embrace their calling.

References
Gutierrez, L., Gant, L. M., & Richards-Schuster, K. (2014). Community organization in
the twenty-first century: Scholarship and practice directions for the future. Journal of
Community Practice, 22(1–2), 1–9.
Hill, K. M., Ferguson, S. M., & Erickson, C. (2010). Sustaining and strengthening a
macro identity: The Association of Macro Practice Social Work. Journal of Community
P­ ractice, 18(4), 513–527.
Mullaly, B. (2007). The new structural social work (3rd ed.). Don Mills, Canada: Oxford
U­ niversity Press.
Rothman, J., & Mizrahi, T. (2014). Balancing micro and macro practice: A challenge for
social work. Social Work, 59(1), 1–3.
Santiago, A. M., Soska, T., & Gutierrez, L. (2014). Responding to community crises: The
emerging role of community practice. Journal of Community Practice, 22(3), 275–280.

Acknowledgments
As we finish this sixth edition, much has changed since our original 1993 publication. We
are now scattered in four different geographical locations: Virginia, Arizona, W ­ isconsin,
and North Carolina. We are indebted to our colleagues and students at the four uni-
versities where we have worked who have given us constructive and helpful feedback
throughout the years. We want to thank colleagues who provided feedback as they used
our text at other universities. We appreciate as well the efforts of a number of reviewers
who provided careful and thoughtful assessments of earlier drafts. For this sixth edition,
these individuals are Donna M. Aguiniga, University of Alaska Anchorage; ­K athleen
­Arban, Salisbury University; Iran Barrera, California State University, Fresno; Mark
­Cameron, Southern Connecticut State University; Adrianne M. Fletcher, University of
Wisconsin, Green Bay; and Angela Kaiser, Oakland University.
To our editor, Julie Peters, we express our sincere appreciation for her oversight,
patience, interest, and assistance as we began the revision of our text. To Janet Portisch
and Megan Moffo at Pearson we thank you for working so hard to facilitate the many
transitions we made during this edition. To our project managers at Lumina Datamatics,
Doug Bell, Prathiba Naveenkumar, and Murugesh Rajkumar Namasivayam, we extend a
round of applause for their diligent oversight about details, constant enthusiasm for the
process, and unconditional support. Most of all, we thank those students and practition-
ers who, often in the face of seemingly insurmountable barriers, continue to practice
social work the way it was intended. This book is dedicated to them. They intervene at
whatever level is needed. They persist with what may appear to be intractable problems
and work with clients who have lost hope until hope can be rediscovered and pursued.
Their spirit and dedication continually inspire us in our efforts to provide whatever guid-
ance we can for the next generation of social workers.
This page intentionally left blank
 1
An Introduction to L ea r n i n g O u tc o m e s
• Define macro practice and its

Macro Practice in ­relationship to micro practice.

• Explain the theoretical and values

Social Work foundation of macro practice.

• Discuss case examples used to
­illustrate macro practice.
• Discuss methods used to survive
practice challenges.

C h a p t er O u t l i ne

What Is Macro Practice? 1

The Interrelationship of Micro and
© e+/getty images

Macro Social Work Practice

Macro-Level Change
Macro-Practice Arenas and Roles
A Systematic Approach to Macro
Social Work Practice
The Foundation of Macro
Practice 9
What Is Macro Practice? The Importance of Terminology
Theories, Models, and Approaches
This book is intended for all social workers, regardless of whether Values and Ethics
they specialize or concentrate in micro or macro tracks within
schools of social work (Rothman & Mizrahi, 2014). Because we be- Four Case Examples 19
lieve that all social workers are professional change agents, we use Case Example 1: Child Protective
the terms social worker, professional, and change agent interchangeably Services
throughout this book. Case Example 2: Case Management
This book is also designed to be an introduction to macro prac- with Older Adults and Disabled
tice as a set of professional activities in which all social workers are Persons
involved. Although some practitioners will concentrate their efforts Case Example 3: Advocacy and
primarily in one arena more than another, all social workers en- Organizing with Immigrant Youth
counter situations in which macro-level interventions are the appro- Case Example 4: Chronic
priate response to a need or a problem. Therefore, we define macro Homelessness
practice as professionally guided intervention(s) designed to bring about Surviving in Professional
change in organizational, community, and/or policy arenas. Practice 26
Professional identity is a relational concept in that one iden-
tifies with a community of colleagues who share a common value Summary 27
base and whose joint efforts work toward “a way of life with public

1
2 Chapter 1: An Introduction to Macro Practice in Social Work

value” (Sullivan, 2005, p. 39). Professions “exist to meet the needs of others” within the
larger community (Gustafson, 1982, p. 508). This characteristic has led a number of
­writers to refer to professions as callings because they literally call members to contrib-
ute to the civic good. Professions are therefore client oriented and conform to a set of
values that encapsulate the community good that is to be served. In many ways, it is this
­commitment to the understanding and changing of larger systems that defines social
work. Sullivan (2005) argues that the very nature of professionalism implies a responsi-
bility to the larger society and to the common good.
In his classic book, Social Work as Cause and Function, Porter Lee (1937) described the
dual calling of social work—to address systemic social problems and to provide for the
needs of individuals and families. Lee acknowledged the inherent tension in trying to do
both. In planning for social change while simultaneously responding to immediate need,
social work finds its unique “both-and” contribution (Gates, 2014).
This book is based on the assumption that professional social workers will always
experience tension as long as they recognize the importance of both providing direct
services and addressing organizational and community problems. Social workers must
see themselves as problem solvers and do both in order to truly be doing social work.
The only other option is to ignore recurring problems. Thus, macro practice is not an
option but is an integral part of being a professional social worker. All social workers will
engage in some form of macro practice.

The Interrelationship of Micro and Macro Social Work Practice

A broad focus on arenas for change is a feature that makes social work unique among
helping professions. When the arena for change is limited solely to casework with in-
dividuals and families, an assumption is being made. The assumption is that causal fac-
tors associated with the problem or need can be found only in some deficit in the micro
system—the client, couple, or family coming for help—or in their abilities to access
needed resources. Broadening the problem analysis to include organizations and com-
munities recognizes the possibility or likelihood that, in some situations, the pathology
or causal factors may be identified in the policies and/or practices of macro systems—­
communities and their various institutions. For example, an organization may fail to pro-
vide relevant and needed services, or may provide them in a narrow and discriminatory
manner. Or some members of a community may find themselves excluded from partici-
pation in decisions that affect them.
It is not unusual for direct practitioners to have clients ask for help with problems
that at first appear to be individual or interpersonal, but, after further examination, turn
out to be macro-level problems. A family that loses its primary source of income, under-
goes eviction, and finds that there is no affordable housing and a three-month waiting list
to get into a homeless shelter represents a symptom of a community problem. Clearly,
the family’s immediate shelter problem must be resolved, but just as obviously, the com-
munitywide lack of affordable housing and emergency alternatives must be addressed.
A veteran may report having difficulty getting an appointment to see a specialist at
the Veterans Administration and is put on a waiting list. This may seem like an isolated
incident until the social worker begins to see a pattern developing among his clients who
are service members or veterans. When he watches the news one night to learn that this
 Chapter 1: An Introduction to Macro Practice in Social Work  3

delay is keeping thousands of veterans from getting health care services and that policies
surrounding how waiting lists are handled need to change, what seemed like an individ-
ual’s problem is quickly seen as a macro problem in the veterans’ health care system.
Collecting data, advocating at the local level, and joining others around the country to
advocate for system reform become necessary if his clients are to receive what they need.
A mother may describe the pressures put on her son to join a gang and become
involved in the drug trade. The immediate need of this family can perhaps be met by
building a support system for the boy designed to keep him in school, in a part-time job,
and in constructive activities. However, this individual/family approach alone would not
solve the problem for the many other families who must live daily with the same threats.
In yet another example, a social worker employed by a community-based agency
on an American Indian reservation talks about the importance of her work, as she con-
stantly has to ask indigenous people for advice so that she does not make assumptions
about the people with whom she works. The concept of community and what it means
to this tribe, even the value of the land as a part of their tradition, is so crucial. It is much
more complex than she had assumed when she was in school. In her position, this social
worker has come to appreciate the false dichotomy between micro and macro social
work. Although she works directly with tribal members, she is constantly assessing their
environment, asking for advice, and recognizing the cultural context in which all her
actions are embedded.
In instances like these, micro-level interventions alone may be inefficient (and often
ineffective) ways to address macro-level problems, and they also run the risk of dealing
only with symptoms. In some ways, using micro-level interventions to address a mac-
ro-level problem is similar to treating individuals who are suffering from a new f lu strain
one at a time rather than vaccinating the whole population before they contract the dis-
ease. In short, it is as important for social workers to understand the nature of individual
and group interventions as it is to understand the nature of organizational, community,
and policy change.

Macro-Level Change
Intervention in organizations or communities is referred to as macro-level change.
­Managing macro-level change requires a good deal of professional knowledge and
skill. Poor management and f lawed decision making in the change process can result
in serious setbacks that can make things worse for those already in need. On the other
hand, many positive changes in organizations and communities have been orchestrated
by social workers and others who have carefully planned, designed, and carried out the
change process.
Social work students often express the concern that they came into the profession
because of an interest in working with individuals and families, not with communities
and organizations. This can sometimes present an ethical dilemma, because at times
what a client or family most needs in the long run is macro-level change. This does not
mean that the immediate need is not addressed. It also does not mean that the social
worker is left alone to bring about community or organizational change. Macro practice
is a collaborative effort, and change will rarely be immediate. But ignoring the need for
change should not be considered a viable option.
4 Chapter 1: An Introduction to Macro Practice in Social Work

Given the complexity of macro interventions, practitioners may begin to feel over-
whelmed. Is it not enough to perform good direct practice or clinical work? Is it not
enough to listen to a client and offer options? Our answer is that professional practice
focusing only on an individual’s intrapsychic concerns does not fit the definition of social
work. Being a social worker requires seeing the client as part of multiple, overlapping
systems that comprise the person’s social and physical environment. The profession of
social work is committed to seeking social and economic justice in concert with vulnera-
ble and underserved populations, and macro-practice skills are necessary in confronting
these inequalities. For example, consider a woman reported for child neglect who lives
in a run-down home with structural problems her landlord refuses to fix. A clinical in-
tervention designed to strengthen her emotional coping skills might be useful, but that
intervention alone would ignore the context of the problem facing her and other women
living in similar conditions. Social workers engaging only in working with their individual
cases and ignoring larger scale problems may be doing so to the detriment of their clients.
Similarly, social workers who carry out episodes of macro practice must understand what
is involved in the provision of direct services to clients at the individual, domestic unit, or
group level. Without this understanding, macro practice may occur without an adequate
grounding in understanding client problems and needs. One example might be a social
worker who conducts a community crime prevention campaign to combat high rates of
petty theft in a neighborhood, unaware that most such acts are the work of a relatively
small number of residents desperately in need of drug-abuse intervention. The intercon-
nectedness of micro and macro roles is the heart of social work practice.

Macro-Practice Arenas and Roles

This book is not designed to prepare practitioners for full-time agency administration,
program planning, community organizing, or policy analysis positions. Social workers
who assume full-time macro roles will need a more advanced understanding than this
text provides. Nor is this a book on how to specialize in macro practice. Instead, it is
designed to provide basic knowledge and skills on aspects of macro practice in which
competent social work practitioners will need to engage. We also want to raise aware-
ness about how versatile social work is as a profession and about the potential one has to
engage at the macro level.
There are different ways to conceptualize the arenas in which macro social work
practice occurs. Rothman, Erlich, and Tropman (2008) identify three arenas of inter-
vention: communities, organizations, and small groups. We have selected communities
and organizations as the arenas on which the majority of this text will focus, folding
small-group work in as a critical part of most interventions in both communities and
­organizations. Small groups are seen as collections of people who collaborate on tasks
that move toward agreed-upon changes. Small groups are often the nucleus around
which change strategies are developed in both communities and organizations, and they
are therefore more logically conceptualized as part of the strategy or medium for change
rather than the focus of change.
Other writers focus on the policy context in which macro intervention occurs
­(Gilbert & Terrell, 2013; Jansson, 2014; Karger & Stoesz, 2013). The policy arena is
well articulated in other social work textbooks that complement the content here
(e.g., Cummins, Byers, & Pedrick, 2011). Organizational and community arenas are
 Chapter 1: An Introduction to Macro Practice in Social Work  5

deeply embedded in political systems, which are typically the

Policy Practice
starting points for development of social policies. Although the
creation and analysis of these policies are not our main focus, Practice Behavior: Assess how social welfare and
an understanding of how ideologies and values are manifested economic policies impact the delivery of and access to
in local, state, national, and international politics is fundamen- social services.
tal to macro change. Critical Thinking Question: In your field or work
The majority of social workers deal with change directly with experience, what policies have influenced how you prac-
clients, usually working with individuals one on one, or with fami- tice? How have these policies benefitted or constrained
lies or small groups. Some practitioners focus on communitywide your work?
problems. Others work in the areas of planning, management, and
administration of organizations. Regardless of the professional so-
cial worker’s primary practice orientation, it is crucial that all social work practitioners sup-
port the position that although some problems can be resolved at an ­individual or family
level, others will require intervention that takes on a broader scope, including the need to
effect changes in organizations and communities. Social workers are constantly identify-
ing changes needed to make systems more responsive or sensitive to ­target ­populations.
Other professionals may also see themselves as change agents, and it is important for the
contemporary social work practitioner to collaborate and partner with those from other
professions so that the knowledge of diverse fields can be used in planning effective change.
Macro changes are typically too complex for one to address alone.
It is not uncommon to have social workers describe themselves as psychiatric social
workers, geriatric specialists, child welfare workers, and so on. These specialties denote the
target populations with whom these practitioners work. Just as common are terms such
as medical social worker and behavioral health specialist, indicating a setting in which these
professionals are employed. Within all of these specialities or settings, there are multiple
roles one can play as a social worker (Kerson & McCoyd, 2013).
Watch the video on
Terms such as planner, community organizer, case manager, and group worker
collaborating with
describe actual functions performed by social workers. In addition, social colleagues and clients
workers plan, develop, and coordinate programs; as well as administer, man- for effective policy action in
age, and supervise staff in human service organizations. Social workers de- community organization. What
velop and organize communities around the world. They advocate for policy change arena do the community
change and work as policy analysts in local, regional, national, and even inter- members focus on in the
meeting?
national arenas.
Social work practice is broadly defined and allows for both micro (individual, do-
mestic unit, or group) and macro interventions (organization, community, or policy).
See Box 1.1. Social workers who undertake macro interventions will often be engaged
in what is called “policy practice” ( Jansson, 2014) because policy change is so integral
to what happens in organizations and communities. Given this division of labor, some
professional roles require that the social worker be involved full-time in macro prac-
tice. These professional roles are often referred to by such titles as planner, policy ana-
lyst, program coordinator, community organizer, manager, and administrator.
The micro service worker or clinical social worker also bears responsibility for ini-
tiating change in organizations and communities. Workers in micro-level roles are often
the first to recognize patterns indicating the need for change. If one or two persons pres-
ent a particular problem, a logical response is to deal with them as individuals. However,
as more individuals present the same situation, it may become evident that something
is awry in the systems with which these clients are interacting. The social worker must
6 Chapter 1: An Introduction to Macro Practice in Social Work

Box 1.1 Focus of Intervention

Level Primary Focus of Examples of Roles

Intervention

Micro Individuals Clinician

Care Coordinator
Micro Domestic Unit Family Counselor
Case Manager
Micro and Macro Small Groups Group Worker
Supervisor
Macro Organizations Human Service Administrator
Midlevel Manager
Program Coordinator
Supervisor
Macro Communities Community Developer
Community Organizer
Community Planner
Social Activist
Macro Policy Legislative Advocate
Policy Analyst

then assume the responsibility for identifying the system(s) in need of change and
the type of change needed. The nature of the system(s) in need of change and the type
of change needed may lead to communitywide intervention or intervention in a single
organization.
Suppose, for example, the staff in a senior center discover that a number of older
persons in the community are possibly malnourished because of self-neglect and social
isolation. A caseworker could follow up on each person, one at a time, in an attempt
to provide outreach and needed services. But this could take a long time and produce
hit-or-miss results. An alternative would be to deal with the problem from a macro per-
spective—to invest time in organizing agency and community resources to identify older
people who need the senior center’s services and to ensure that services are provided
through a combination of staff and volunteer efforts.
Or assume that a social worker begins seeing more and more mixed-status families,
composed of members with varying legal status. Parents are fearful of being targeted by
deportation laws that could cause them to be forced to leave the country without their
citizen-children. Choices are having to be made every day as some parents choose to leave
their children in hopes that they will have a better life, whereas others choose to take their
children with them even though this will mean taking them into exile. The social worker
recognizes how untenable this position is for parents who have to make a choice between
orphaning their children or exiling them to an unknown fate (Zayas & Bradlee, 2014).
This social worker decides to document these cases, and asks her colleagues to do the
same thing, so that they can join forces in advocating for immigration reform.
 Chapter 1: An Introduction to Macro Practice in Social Work  7

This may seem like a complex undertaking for someone who came into social work
expecting to work with people one at a time. Yet, these social workers know that they
have valuable practice experience that can be used to advocate for change . . . and, as a
social worker, they are committed to being a voice for those who are unheard.
Although it is true that macro-level interventions can be complicated, we will offer
a somewhat systematic approach that attempts to make such efforts more manageable.
Remember, too, that these interventions are typically accomplished with the help of
­others, not alone.

A Systematic Approach to Macro Social Work Practice

Social workers find themselves drawn into episodes of macro practice through a num-
ber of different avenues, which we will refer to as (1) population, (2) problem, and
(3) arena. The three overlapping circles in Figure 1.1 illustrate the focal points of the
social worker’s efforts in undertaking a macro-level change episode. As the intervention
becomes more clearly conceptualized and defined, political and policy contexts must
also be taken into consideration. Figure 1.1 illustrates an approach that can be used by
social workers to identify, study, and analyze the need for change and to begin formu-
lating solutions.
Initial awareness that a problem exists may occur in a variety of ways. It might be
brought to a social worker’s attention by a client. A group of residents within a neighbor-
hood may present issues and concerns that need to be addressed. Issues in the workplace,
such as the quality of service to clients, may surface and require organized intervention.
Community problems may be so glaring that the need for change comes f rom many
different directions. Social problems may be broadcast around the world, illustrating that
multiple societies are struggling with some of the same challenges that one has iden-
tified in a local arena. Regardless of how social workers identify change opportunities,
they function in a political environment that cannot be ignored.

Problem Population

Arena
(Communities and
Organizations)

Po
lit ical xt
& Policy Conte

Figure1.1
Macro Practice Conceptual Framework: Understanding Problem, Population, and Arena
8 Chapter 1: An Introduction to Macro Practice in Social Work

More will be said about these interacting factors later in this book, as the analytical
and intervention phases of macro-level change are described. The following examples
will illustrate these different points of entry into an episode of change.
• A social worker working with a senior center discovers that assisted-living
­resources in the community are limited for low-income seniors. In this instance,
the worker’s point of entry into the episode of change may be through the
­population of low-income older adults, helping them organize and approach the
city council or the state legislature about the need for more options for low-in-
come seniors who can no longer live alone.
• A social worker with a neighborhood service center may discover that among
the many families served by the center are five or six single parents who have
recently moved from welfare to work but are unable to find affordable child
care. ­Working with this group’s problem or need (children who need to be cared
for while the parent is at work) as his or her point of entry into the episode of
change, the social worker and others develop a plan for child care for the children
of these single parents.
• A social worker at a community center learns that many apartments in the
­neighborhood are being used as drop points for undocumented ­immigrants,
where they wait until they are sent to various communities across the ­country.
Concerns are expressed about sanitation, safety, and exploitation. In this
­instance, the worker’s point of entry into the episode of change may be the
­community or neighborhood, perhaps by sponsoring some communitywide
­meetings to ­discuss the impact, involving the appropriate community leaders
and ­authorities, and working toward a resolution. This represents entry through
the community arena.
In the course of engaging with and assessing populations, problems, and arenas,
the social worker will inevitably focus on the areas of overlap depicted in Figure 1.1. To
engage in macro practice to help a client who is addicted to alcohol, for example, the
social worker must understand the problem (alcoholism), the background of the person
addicted (e.g., older, retired males), and the arena (community or organization) within
which the problem occurs. It would be important to review literature on the t­ arget
­population, theory about how alcohol addiction develops, and reports from studies test-
ing various interventions. As the change agent builds a body of knowledge about the
population and problem, it becomes especially important to focus on the overlap be-
tween the two areas: alcoholism and its unique impact on retired males.
It is likewise important to understand how the phenomenon of alcoholism affects
the local community (the overlap between problem and arena), and to what extent the
needs of the population of retired males are understood and addressed in the local com-
munity (overlap between population and arena). Ultimately, in an episode of macro prac-
tice, the objective is to work toward an understanding of the area where all three circles
overlap (alcoholism and its impact on retired males in a given neighborhood or town).
As the social worker and other change agents assess the situation, they will gain
at least some level of understanding of (1) retired males, (2) basic concepts and is-
sues surrounding alcoholism, (3) the local community and/or relevant organiza-
tions, (4) ­alcoholism as it affects retired males, (5) alcoholism and how it is addressed
Another Random Scribd Document
with Unrelated Content
 THE PRESIDENT: Will you please continue your examination.
HERR BABEL: Witness, you have said, if I understood you
correctly, that you lost 15 kilograms weight.
VAN DER ESSEN: Yes, indeed.
HERR BABEL: What conclusion did you draw from that fact? I
could not quite understand what you said.
VAN DER ESSEN: I simply meant to say that I lost these 15 kilos
as a result of the mental suffering which we underwent during the
occupation, and it was an answer to a question of M. Faure on
whether I considered this occupation compatible with the dignity of
a free man. I wanted to answer “no,” giving the proof that as a
result of this occupation we suffered much anguish, and I think the
loss of weight is sufficient proof of this.
HERR BABEL: During the war, I also, without having been ill, lost
35 kilos. What conclusion could be drawn from that, in your opinion?
[Laughter.]
THE PRESIDENT: Go on, Dr. Babel, we are not interested in your
experiences.
HERR BABEL: Thank you, Sir. That was my last question.
THE PRESIDENT: Does any other Counsel wish to ask any
questions? [There was no response.] M. Faure?
M. FAURE: I have no questions.
THE PRESIDENT: The witness may retire.
[The witness left the stand.]
M. FAURE: I ask the Tribunal kindly to take the presentation file
and the document book constituting the end of the section on the
seizure of sovereignty, which bears the title “France.”
France, like Belgium, was placed under the regime of the military
occupation administration. There was, moreover, in France a
diplomatic representation. Finally, it must be noted that the police
administration always played an important role there. It became
increasingly important and was extended, particularly during the
period which followed the appointment of General Oberg in 1942.
As regards this last part of my section on the seizure of
sovereignty, I should like to limit myself to mentioning a few special
features of these usurpations in France and certain original methods
employed by the Germans in this country, for this question has
already been extensively dealt with, and will be further dealt with by
me under the heading of consequences of German activities in
France.
I wish to draw the attention of the Tribunal to four
considerations. First, the German authorities in France, at the very
beginning, got hold of a special key to sovereignty. I speak of the
splitting up of the country into five different zones. This splitting up
of the country by the Germans compensated to a certain extent for
the special situation which the existence of unoccupied French
territories created for them.
I have already indicated that the Armistice Convention of 22
June, which has already been deposited with the Tribunal, provided
for the establishment of a line of demarcation between the occupied
zone and the so-called unoccupied zone. It might have been thought
at that time that this demarcation between the occupied and the
unoccupied zone was chiefly drawn to meet the necessity of military
movements in the occupied zone. It might also have been concluded
that the separation of the zones would be manifested only through
the exercise in the occupied zone of the ordinary rights of an armed
force occupation. I have already had occasion to quote to the
Tribunal a document, the testimony of M. Léon Noël, which
contained the verbal assurances given in this respect by General
Keitel and by General Jodl, who are now the defendants before you
bearing these names.
Now, in fact, this demarcation of zones was interpreted and
applied with extreme rigor and in a manner that was wholly
unforeseen. We have already seen the far reaching consequences of
this from the point of view of the economic life of the country. There
were also serious consequences from the point of view of local
administration, which was continually hampered in its tasks, and
from the point of view of the life of the population, which could
move from one part of French territory to another only with great
difficulty. In this way the Germans acquired a first means of pressure
on the French authorities. This means of pressure was all the more
effective as it could be used at any time and was very elastic. At
times the Germans could relax the rules of separation of the zones,
at others they could apply them with the greatest severity.
By way of example, I quote an extract from a document, which I
present in evidence under the Document Number RF-1051.
This document is a letter of 20 December 1941 addressed by
Schleier of the German Embassy to the French Delegate De Brinon,
a letter concerning passes to German civilians wishing to enter the
unoccupied zone. The French authorities of the de facto government
had protested against the fact that the Germans obliged the French
authorities to allow any person provided with German passes to
enter the unoccupied zone where they could take on any kind of
work, particularly spying, as one may imagine.
The letter which I quote is in answer to this French protest, and I
wish to mention only the last paragraph which is the second
paragraph on page 2 of this Document Number 1051.
“In case the French Government should create difficulties
concerning requests for passes presented with the German
approval, it will no longer be possible to exercise that same
generosity as shown hitherto when granting passes to
French nationals.”
But what I have just said is only a first point concerning the
division of the country. This first division had as basis an instrument
which was the Armistice Convention, although this basis was
exceeded and was contestable. On the other hand, the other
divisions which I am going to mention were simply imposed by the
Germans without warning of any kind, and without the enunciation
of any plausible pretext.
I must recall that a first supplementary division was that which
separated the annexed Departments of the Haut-Rhin, the Bas-Rhin,
and the Moselle from the rest of France; and in this connection I
have already proved that they had been really annexed.
A second division affected the Departments of Nord and the Pas-
de-Calais. These departments were in fact attached to the German
Military Administration of Belgium. This fact is shown by the
headings of the German Military Command decrees, which are
submitted to the Tribunal in the Belgian Official Gazette. Not only did
this separation exist from the point of view of the German Military
Command Administration, but it also existed from the point of view
of the French Administration. This last mentioned administration was
not excluded in the departments under consideration, but its
communications with the central services were extremely difficult.
As I do not wish to develop this point at length, I should like
simply to quote a document which will serve as an example, and
which I submit as Document Number RF-1052. This is a letter from
the military commander under the date of 17 September 1941,
which communicates his refusal to re-establish telegraphic and
telephonic communications with the rest of France. I quote the
single sentence of this letter:
“Upon decision of the High Command of the Army it is so
far not yet possible to concede the application for granting
direct telegraphic service between the Vichy Government
and the two departments of the North.”
A third division consisted in the creation within the unoccupied
zone of a so-called forbidden zone. The conception of this forbidden
zone certainly corresponded to the future projects of the Germans as
to the annexation of larger portions of France. In this connection I
produced documents at the beginning of my presentation. This
forbidden zone did not have any special rules of administration, but
special authorization was required to enter or to leave it. The return
to this zone of persons who had left it in order to seek refuge in
other regions was possible only in stages, and with great difficulty.
Administrative relations, the same as economic relations between
the forbidden zone and the other zones were constantly hampered.
This fact is well known. Nevertheless, I wish to quote a document
also as an example, and I submit this document, Number RF-1053.
It is a letter from the military commander, dated 22 November 1941,
addressed to the French Delegation. I shall simply summarize this
document by saying that the German Command agreed to allow a
minister of the de facto government to go into the occupied zone,
but refused to allow him to go into the forbidden zone.
 In order that the Tribunal may realize the situation of these five
zones which I have just mentioned, I have attached to the document
book a map of France indicating these separations. This map of
France was numbered RF-1054, but I think it is not necessary for me
to produce it as a document properly speaking. It is intended to
enable the Tribunal to follow this extreme partitioning by looking,
first at the annexed departments, and then at Nord and the Pas-de-
Calais, the boundaries of these departments being indicated on the
map, then at the forbidden unoccupied zone, which is indicated by a
first line; and, finally, the line of demarcation with the unoccupied
zone. This is, by the way, a reproduction of the map which was
published and sold in Paris during the occupation by Publishers
Girard and Barère.
To conclude this question of the division I should like to remind
the Tribunal that on 11 November 1942 the German Army forces
invaded the so-called unoccupied zone. The German authorities
declared at that time that they did not intend to establish a military
occupation of this zone, and that there would simply be what was
called a zone of operations.
The German authorities did not respect this juridical conception
that they had thought out any more than they had respected the
rules of the law of the occupation; and the proof of this violation of
law in the so-called operational zone has already been brought in a
number of circumstances and will be brought again later in the final
parts of this presentation.
Apart from this division, the inconveniences of which can well be
imagined for a country which is not very extensive and whose life is
highly centralized, I shall mention the second seizure of sovereignty,
which consisted in the control by the Germans of the legislative acts
of the French de facto government.
Naturally, the German military administration, in conformity with
its doctrine, constantly exercised by its own decrees, a real
legislative power in regard to the French. On the other hand—and it
is this fact which I am dealing with now—in respect to the French
power the sovereignty of which the Germans pretended still to
recognize, they exercised a veritable legislative censorship. I shall
produce several documents by way of example and proof of this
fact.
The first, which I submit as Document Number RF-1055, is a
letter from the Commander-in-Chief of the Military Forces in France
to the French Delegate General; the letter is dated 29 December
1941. We see that the signature on this letter is that of Dr. Best, of
whom I spoke this morning in connection with Denmark, where he
went subsequently and where he was given both diplomatic and
police functions. I think it is not necessary for me to read the text of
this letter. I shall read simply the heading: “Subject: Bill Concerning
the French Budget of 1942, and the New French Finance Law.”
The German authorities considered that they had the power to
take part in the drawing up of the French de facto government’s
budget, although this bore no relation to the necessities of their
military occupation. Not only did the Germans check the contents of
the laws prepared by the de facto government, but they made
peremptory suggestions. I shall not quote any document on this
point at the moment, as I shall be producing two: One in connection
with propaganda and the other in connection with the regime
imposed upon the Jews.
The third seizure of sovereignty which the Germans exercised
consisted in their intervention in the appointment and assignment of
officials. According to the method which I have already followed, I
submit, on this question, documents by way of example. First I
submit a document which will be Document Number RF-1056, a
letter of 23 September 1941, from the Commander-in-Chief Von
Stülpnagel to De Brinon. This letter puts forth various considerations,
which it is not necessary to read, on the sabotage of harvests and
the difficulties of food supplies. I read the last paragraph of
Document RF-1056.
“I must, therefore, peremptorily demand a speedy and
unified direction of the measures necessary for assuring the
food supplies for the population. A possibility of achieving
this aim I can see only by uniting both ministries in the
hands of one single and energetic expert.”
 It was, therefore, a case of interference on the very plane of the
composition of a ministry, of an authority supposedly governmental.
As regards the control of appointments, I produce Document
Number RF-1057, which is a letter from the Military Command of 29
November 1941. I shall simply summarize this document by
indicating that the German authorities objected to the appointment
of the President of the Liaison Committee for the Manufacture of
Beet Sugar. You see, therefore, how little this has to do with military
necessities.
I next produce Document Number RF-1058, which is likewise a
letter from the Military Command. It is brief and I shall read it by
way of example:
“I beg you to take the necessary measures in order that the
Subprefect of St. Quentin, M. Planacassagne, be relieved of
his functions and replaced as soon as possible by a
competent official. M. Planacassagne is not capable of
carrying out his duties.”
I shall now quote a text of a more general scope. I produce
Document Number RF-1059, which is a secret circular of 10 May
1942, addressed by the Military Command Administrative Staff to all
the chief town majors. Here again we find the signature of Dr. Best.
“Control of French policy as regards personnel in the
occupied territories.
“The remodelling of the French Government presents
certain possibilities for exercising a positive influence on
French police in the occupied territories as regards
personnel. I, therefore, ask you to designate those French
officials, who, from the German point of view, appear
particularly usable and whose names could be submitted to
the French Government when the question of appointing
holders for important posts arises.”
Thus we see in the process of formation this general network of
German control and German usurpation. I now produce Document
Number RF-1060. This document is an interrogation of Otto Abetz,
who had the function of German ambassador in France. This
interrogation took place on 17 November 1945 before the
Commissioners Berge and Saulas at the General Information Bureau
in Paris. This document confirms German interferences in French
administration and likewise gives details about the duplications of
these controls by the military commander and the Gestapo. I quote:
“The Military Commander in France, basing himself on the
various conventions of international law”—this is Otto Abetz
who is speaking and it is not necessary to say that we in no
way accept his conception of international law—“considered
himself responsible and supreme judge for the maintenance
of order and public security in the occupied zone. This
being so, he claimed the right to give his approval for the
appointment or the retaining of all French officials
nominated to occupy posts in the occupied zone. As
regards officials residing in the free zone who were obliged
by reason of their functions to exercise them subsequently
in the occupied zone, the Military Commander also stressed
the necessity for his approval of their nomination. In
practice the Military Commander made use of the right thus
claimed only when the officials were nominated and solely
in the sense of a right to veto, that is to say, he did not
intervene in the choice of officials to be nominated and
contented himself with making observations on certain
names proposed. These observations were based on
information which the Military Commander received from
his regional and local commanders, from his various
administrative and economic departments in Paris, and
from the police and the Gestapo, which at that time were
still under the authority of the Military Commander.
“From 11 November 1942 on, this state of things changed
because of the occupation of the free zone. The German
military authorities settled in this zone demanded that they
should give their opinion in regard to the nomination of
 officials in all cases where the security of the German Army
might be affected. The Gestapo for its part acquired in the
two zones a de facto independence with regard to the
regional and local military chiefs and with regard to the
Military Commander. It claimed the right to intervene in
connection with any appointment which might affect the
carrying out of their police tasks.
“Having been recalled to Germany from November 1942 to
December 1943, I did not myself witness the conflicts
which resulted from this state of things and which could not
fail to compromise in the highest degree the so-called
sovereignty of the Vichy Government. When I returned to
France the situation was considerably worse because the
Gestapo claimed, in the occupied as well as in the
unoccupied zone, the right to make the nomination of
prefects subject to its consent. It even went so far as to
propose itself the officials to be nominated by the French
Government. Seconded by me, the Military Commander
took up again the struggle against these abusive demands
and succeeded in part in restoring the situation to what it
was before November 1942 . . . .”
The document which I have just read constitutes a transition to
the fourth consideration which I should like to submit to the
Tribunal. In putting this consideration I should like to stress the
juxtaposition and the collaboration of the various agents of
usurpation, that is to say, the military command, the embassy, and
the police. As regards the latter I shall deal at greater length with its
role in the last part of my brief.
With regard to the setting up of the German Embassy in France,
I produce before the Tribunal Exhibit Number RF-1061. This
document was in my file as a judicial translation of a judicial
document in the file concerning Otto Abetz in Paris. On the other
hand, it is also contained in the American documentation and bears
the Document Number 3614-PS. It has not, however, as yet been
submitted to the Tribunal. It deals with the official appointment of
Otto Abetz as ambassador. I should like to read this Document RF-
1061.
“Ministry of Foreign Affairs, 3 August 1940.
“In answer to a question of the General Quartermaster,
addressed to the High Command of the Armed Forces and
transmitted by the latter to the Ministry of Foreign Affairs,
the Führer had appointed Abetz, up to now minister, as
ambassador and upon my report has decreed the following:
“I. Ambassador Abetz has the following functions in France:
“1. To advise the military agencies on political matters.
“2. To maintain permanent contact with the Vichy
Government and its representatives in the occupied zone.
“3. To influence the important political personalities in the
occupied zone and in the unoccupied zone in a way
favorable to our intentions.
“4. To guide from the political point of view the press, the
radio, and the propaganda in the occupied zone and to
influence the responsive elements engaged in the molding
of public opinion in the unoccupied zone.
“5. To take care of the German, French, and Belgian
citizens returning from internment camps.
“6. To advise the secret military police and the Gestapo on
the seizure of politically important documents.
“7. To seize and secure all public art treasures and private
art treasures, and particularly art treasures belonging to
Jews, on the basis of special instructions relating thereto.
“II. The Führer has expressly ordered that only Ambassador
Abetz shall be responsible for all political questions in
Occupied and Unoccupied France. Insofar as military
interests are involved by his duties, Ambassador Abetz shall
act only in agreement with the Military Command in France.
 “III. Ambassador Abetz will be attached to the Military
Commander in France as his delegate. His domicile shall
continue to be in Paris as hitherto. He will receive from me
instructions for the accomplishment of his tasks and will be
responsible solely to me. I shall greatly appreciate it if the
High Command of the Armed Forces (the OKW) will give
the necessary orders to the military agencies concerned as
quickly as possible.
“Signed: Ribbentrop.”
This document shows the close collaboration that existed
between the military administration and the administration of foreign
affairs, a collaboration which, as I have already said on several
occasions, is one of the determining elements for establishing
responsibility in this Trial, a collaboration of which I shall later on
give examples of a criminal character.
I now wish to mention to the Tribunal that I eliminate the
production of the next document which was numbered RF-1062.
Although I am personally certain of the value of this document which
comes from a French judicial file, I have not the original German
text. This being so, the translation might create difficulties, and it is
naturally essential that each document produced should present
incontestable guarantees. I shall therefore pass directly to the last
document, which I wish to put in and which I submit as Document
Number RF-1063. This is a detail, if I may call it such, concerning
this problem of the collaboration of the German administrations, but
sometimes formal documents concerning details may present some
interest. It is a note taken from the German archives in Paris, a note
dated 5 November 1943, which gives the distribution of the
numbering of the files in the German Embassy. I shall read simply
the first three lines of this note: “In accordance with the method
adopted by the military administration in France, the files are divided
into 10 chief groups.” There follows the enumeration of these
methods and groups used for the classification of the files. I wish
simply to point out that under their system of close collaboration the
German Embassy, a civil service department of the foreign office,
and the Military Command had adopted filing systems under which
all records and all files could be kept in the same way.
I have now concluded my second section which was devoted to
the general examination of this seizure of sovereignty in the
occupied territories, and I should like to point out that these files
have been established with the collaboration of my assistant, M.
Monneray, a collaboration which also included the whole brief which
I present to the Tribunal.
I shall now ask the Tribunal to take the files relative to Section 3,
devoted to the ideological Germanization, and to propaganda.
When I had occasion to speak to the Tribunal about forced labor
and economic pillage I said that the Germans had taken all available
manpower, goods, and raw materials from the occupied countries.
They drained these countries of their reserves. The Germans acted
in exactly the same manner with regard to the intellectual and moral
resources. They wished to seize and eliminate the spiritual reserves.
This expression “spiritual reserves,” which is extremely significant,
was not invented by the Prosecution. I have borrowed it from the
Germans themselves. I have quoted to the Tribunal another extract
from a work which was submitted as a document under Number RF-
5 of the French documentation. This was a book published in Berlin
by the Nazi Party. The author was Dr. Friedrich Didier. This work has
a preface by the Defendant Sauckel and is entitled Working For
Europe. The quotation which I should like to make appears in the
document book under 1100, which is simply the order of sequence,
as the book itself has already been presented and submitted. The
book includes a chapter entitled “Ideological Guidance and Social
Assistance.” The author is concerned with the ideological guidance of
the foreign workers who were taken away by millions to the Reich by
force. This preoccupation with the ideological guidance of such an
important element of the population of the occupied countries is
already remarkable in itself; but it is, on the other hand, quite
evident that this preoccupation is general with regard to all the
inhabitants of the occupied countries, and the author in this case
has simply confined himself to his subject. I have chosen this
quotation to begin my section because its wording seemed to me to
be particularly felicitous to enable us to get an idea of the German
plans in regard to propaganda.
Page 69 of the book that has been put in evidence reads:
“The problem of ideological guidance of the foreign worker
is not as simple as in the case of the German fellow worker.
In employing foreigners far more importance must be paid
to the removal of psychological reservations. The foreigner
must get accustomed to unfamiliar surroundings. His
ideological scruples must be dispersed, if he has any. The
mental attitude of the nationals of former enemy states
must be just as effectively refuted as the consequences of
foreign ideologies.”
In the occupied countries the Germans undertook to eliminate
the mental reserves and to expurgate the ideology of each man in
order to substitute for them the Nazi conception. Such was the
object of the propaganda. This propaganda had already been
introduced in Germany and it was carried on there unceasingly. We
have seen from the article just quoted that there was also a
preoccupation with the ideological guidance of the German worker,
although the problem was considered there to be more simple.
When we speak today of Nazi propaganda we are often tempted to
underestimate the importance of this propaganda. There are
grounds for underestimating it, but they are false grounds. On the
one hand, when we consider the works and the themes of
propaganda, we are often struck by their crudeness, their obviously
mendacious character, their intellectual or artistic poverty. But we
must not forget that the Nazi propaganda utilized all means, the
most crude as well as the more subtle and often skillful methods.
From another point of view the crudest affirmations are those that
carry most weight with some simple minds.
Finally, we must not forget that if the Germans had won the war,
these writings, these films, which we find ridiculous, would have
constituted in the future our principal and soon our sole spiritual
food.
 Another remark that is often heard is that German propaganda
achieved only very poor results. Indeed, these results are quite
insignificant, especially if one takes into account the means which
this propaganda had at its disposal. The enslaved peoples did not
listen to the news and to the exhortations of the Germans. They
threw themselves into the resistance. But here again we must
consider that the war continued, that the broadcasts from the
countries which had remained free gave out magnificent counter
propaganda, and that finally the Germans after a time suffered
military reverses.
If events had been different perhaps this propaganda would, in
the long run, have brought about an acquiescence on the part of the
more important elements of the populations which would have been
worse than the oppression itself. It is fortunate that only a very small
minority in the different countries were corrupted by the Nazi
propaganda, but however small this minority may have been, it is for
us a cause for sadness and of just complaint.
The slogans of Nazi propaganda appear to us less childish and
less ridiculous when we consider the few wretches who, influenced
by it, enrolled in a legion or in the Waffen SS to fight against their
countries and against humanity. By their death in this dishonorable
combat or after their condemnation some of these men have
expiated their crimes. But Nazi propaganda is responsible for the
death of each one of them and for each one of these crimes.
Finally, we are not sure that we know today exactly the real
effect of Nazi propaganda. We are not sure that we are able to
measure all the harm which it has done to us. The nations count
their visible wounds, but propaganda is a poison which dissolves in
the mental organism and leaves traces that cannot be discerned.
There are still men in the world who, because of the propaganda to
which they have been subjected, believe, perhaps obscurely, that
they have the right to despise or to eliminate another man because
he is a Jew or because he is a Communist. The men who believe this
still remain accomplices and, at the same time, are victims of
Nazism.
 One of my colleagues has shown that while the physical health of
the occupied peoples was severely undermined, their moral health
appears more robust; but it must still be anxiously watched for a
certain time in the future.
For these reasons, the French Prosecution has considered that
there was room in this accusation for the section on spiritual
Germanization and propaganda. This propaganda is a criminal
enterprise in itself. It is an onslaught against the spiritual condition,
according to the definition of M. de Menthon, but it is also a means
and an aggravating circumstance of the whole of the criminal
methods of the Nazis, since it prepared their success and since it
was to maintain their success. It was considered by the Germans
themselves, as numerous quotations show, as one of the most
reliable weapons of total war. It is more particularly a means and an
aspect of the Germanization which we are studying at this moment.
I should add that German propaganda has been constantly
developed for many years and over considerable areas. It assumed
very diverse forms. We have therefore only to define some of its
principal features and to quote merely a few characteristic
documents, chiefly from the point of view of the responsibility of
certain persons or of certain organizations.
Over a long period of time the Reich had developed official
propaganda services in a ministerial department created as early as
1933 under the name of Ministry of Public Enlightenment and
Propaganda, with Goebbels at the head and the Defendant Fritzsche
performing important functions. But this ministry and its department
were not the only ones responsible for questions of propaganda. We
shall show that the responsibility of the Minister and of the Ministry
of Foreign Affairs is equally involved. We shall likewise show that the
Party took an active part in propaganda.
Finally, I mention here that in the occupied countries the military
commands constituted organs of propaganda and were very active.
This fact must be added to all those which show that the German
military command exercised powers wholly different from what are
normally considered to be military powers. By this abnormal
extension of their activities, apart from the crimes committed within
the framework of their direct competence, the military chiefs and the
High Command have furnished justification for the allegation of joint
responsibility.
The German propaganda always presents two complementary
aspects, a negative aspect and a positive aspect: A negative or, in a
sense, a destructive aspect, that of forbidding or of limiting certain
liberties, certain intellectual possibilities which existed before; a
positive aspect, that of creating documents or instruments of
propaganda, of spreading this propaganda, of imposing it on the
eyes, on the ears, and on the mind. An authority has already said
that there are two different voices: The voice that refuses truth and
the voice that tells lies. This duality of restrictive propaganda and of
constructive propaganda exists in the different realms of the
expression of thought.
I shall mention now, in my first paragraph, the measures taken
by the Germans as regards meetings and associations. The German
authorities have always taken measures to suppress the right of
assembly and association in the occupied countries. We are here
concerned both with the question of political rights and of thought.
In France, a decree of 21 August 1940, which appeared in the
Official Gazette of German Decrees of 16 September 1940, forbade
any meeting or association without the authorization of the German
military administration.
It must not be thought that the Germans utilized their powers in
this matter only in regard to associations and groups which were
hostile to them, or even those whose object was political. They were
anxious to avoid any spreading of an intellectual or moral influence
which would not be directly subordinated to them. In this connection
I present to the Tribunal, merely by way of example, Document
Number RF-1101, which is a letter from the Military Commander
dated 13 December 1941, addressed to the General Delegate of the
French Government. This deals with the youth groups. Even with
regard to associations or groups which should have a general public
character, the German authorities gave their authorization only on
condition that they would be able to exercise not only their control
over these organizations, but a real influence by means of these
organizations.
I shall read the first paragraph of this Document Number RF-
1101.
“The General Secretariat of Youth has informed us by letter
of 11 November 1941 of its intention to establish so-called
social youth centers whose aim shall be to give to youth a
civic education and to safeguard it from the moral
degeneracy which threatens it. The creation of these social
youth centers, as well the establishment of youth camps,
must be sanctioned by the Commander-in-Chief of the
Military Forces in France. Before being able to make a final
decision as to the creation of these social centers, it
appears indispensable that greater details should be
furnished, particularly about the persons responsible for
these centers in the various communes, the points of view
which will prevail when selecting the leaders of these
centers, the principal categories of youth to be recruited
and detailed plans for the intended instruction and
education of these young people.”
I shall now produce Document Number RF-1102. This document
is a note, dealing with . . .
THE PRESIDENT: [Interposing] M. Faure, could you tell us how
long you think you will be on this subject of propaganda?
M. FAURE: I expect to speak for about two hours, or two and a
half hours.
THE PRESIDENT: What is the program after you have done with
this subject of propaganda?
M. FAURE: Mr. President, as I indicated at the beginning of my
presentation, it includes four sections. The propaganda section,
about which I am speaking now, constitutes Section 3. The fourth
section is devoted to the administrative organization of the criminal
action. It corresponds, more exactly, to the second heading under
Count Four of the Indictment relative to the persecution of the Jews
in the occupied countries of the West. After this section I shall have
completed my presentation. Does the Tribunal likewise Pg571 wish
me to indicate what will follow in the program of the French
Prosecution?
THE PRESIDENT: Yes, we would like to know.
M. FAURE: M. Mounier will deal with the analytical brief and the
recapitulation of the individual accusations of the Prosecution. Then
I think M. Gerthoffer is to speak rather briefly about the pillage of art
treasures which has not been dealt with; it appears now that it
would be suitable to deal with it within the framework of the
presentation.
THE PRESIDENT: Then we will adjourn now.
M. FAURE: Mr. President, I should like to ask the Tribunal if it is
convenient for it to see tomorrow, in the course of my propaganda
section, a few projections on the screen of documents which relate
to this chapter.
THE PRESIDENT: Yes, I think so. Certainly.
HERR BABEL: Regarding the questions which I asked the witness,
there is something I did not understand. I did not want, in any case,
to speak about the resistance or about its methods which were
animated by patriotism. I did not want to judge, or even think
anything derogatory about it. I wanted only to prove that deeds
which are said to have been committed by the German troops were
in many cases caused by the attitude of the civilian population and
that actions against Germans which were contrary to international
law have not been judged in the same way as lapses laid to the
charge of members of the German Wehrmacht. I am of the opinion
that the Indictment of the organizations . . .
THE PRESIDENT: Dr. Babel, will you forgive me for a moment.
You concluded your cross-examination some time ago, and the
Tribunal doesn’t desire . . .
HERR BABEL: Yes, Mr. President, but I thought that by this
statement I could clarify it for the Tribunal.
THE PRESIDENT: We don’t need any clarification at all. We quite
understand the point of your cross-examination and we shall hear
you when the time comes, very fully in all probability, in support of
the arguments which you desire to present.
 HERR BABEL: I did so because I thought that you . . .
THE PRESIDENT: You must give the Tribunal credit for
understanding your cross-examination. We really cannot continue to
have interruptions of this sort. We have some twenty defendants
and some twenty counsels, and if they are all going to get up in the
way that you do and make protests, we shall never get to the end of
this Trial.
[The Tribunal adjourned until 5 February 1946 at 1000 hours.]

TRANSCRIBER NOTES

Punctuation and spelling have been maintained except where

obvious printer errors have occurred such as missing periods or
commas for periods. English and American spellings occur
throughout the document; however, American spellings are the rule,
hence, ‘Defense’ versus ‘Defence’. Unlike prior Blue Series volumes I
and II, all French, German and eastern European names and terms
include accents and umlauts: hence Führer and Göring, etc.
throughout.
Although some sentences may appear to have incorrect spellings
or verb tenses, the original text has been maintained as it represents
what the tribunal read into the record and reflects the actual
translations between the German, English, Russian and French
documents presented in the trial.
An attempt has been made to produce this eBook in a format as
close as possible to the original document presentation and layout.
[The end of Trial of the Major War Criminals Before the International
Military Tribunal Nuremberg 14 November 1945-1 October 1946 (Vol.
6), by Various.]
 *** END OF THE PROJECT GUTENBERG EBOOK TRIAL OF THE
MAJOR WAR CRIMINALS BEFORE THE INTERNATIONAL MILITARY
TRIBUNAL, NUREMBURG, 14 NOVEMBER 1945-1 OCTOBER 1946,
VOLUME 06 ***

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