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2 Seven theories for seven

community developers1
Ronald J. Hustedde

Community developers need theories to help guide and frame the complexity of their work. However,
the field is girded with so many theories from various disciplines that it is difficult for practitioners to
sort through them. Although many undergraduate and graduate community development programs
have emerged in North America and throughout the world, there is no fixed theoretical canon in the
discipline. This chapter focuses on the purpose of theory and the seven theories essential to community
development practice.
Why seven theories? In Western cultures, seven implies a sense of near-completeness. There are seven
days in a week, seven seas, seven climate zones, and seven ancient and modern wonders of the world.
Rome was built on seven hills. While seven may or may not be a lucky number, seven theories are
offered as a theoretical core for those who approach community development from at least seven contex-
tual perspectives: organizations; power relationships; shared meanings; relationship building; choice
making; conflicts; and integration of the paradoxes that pervade the field. Hence the chapter’s title:
“Seven theories for seven community developers.”

Introduction: why theory? or increasing solidarity and agency. He asserts that


solidarity is about building a deep sense of shared
Theories are explanations that can provide help in identity and a code of conduct for community devel-
understanding people’s behavior and a framework opers. The developers need that solidarity as they sort
from which community developers can explain and through conflicting visions and definitions of prob-
comprehend events. A good theory may be stated in lems among ethnically and ideologically plural popu-
abstract terms and help create strategies and tools for lations. It may occur in the context of a “community
effective practice. Whether community developers of place” such as a neighborhood, city, or town. It may
want others to conduct relevant research or they also occur in the context of a “community of interest”
want to participate in the research themselves, it is such as a breast cancer survivors’ group, an environ-
important that they have theoretical grounding. mental organization, or any group that wants to
Theory is the major guide to understanding the address a particular issue. Bhattacharyya contends that
complexity of community life and social and eco- creating agency gives people the capacity to order
nomic change (Collins 1998; Ritzer 1996). their world. According to Giddens, agency is “the
The starting point is to offer a definition of capacity to intervene in the world, or to refrain from
community development that is both distinctive and intervention, with the effect of influencing a process
universal and may be applied to all types of societies or the state of affairs” (Giddens 1984: 14). There are
from postindustrial to preindustrial. Bhattacharyya complex forces that work against agency. However,
(2004) met these conditions when he defined community development is intended to build capac-
community development as the process of creating ity, which makes it different from other helping pro-
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 21

fessions. Community developers build the capacity of knowledge, or those who have greater access to those
a people when they encourage or teach others to create resources than others. Since community development
their own dreams, to learn new skills and knowledge. is about building the capacity for social and eco-
Agency or capacity building occurs when practitioners nomic change, the concept of power is essential.
assist or initiate community reflection on the lessons Shared meaning refers to social meaning, especially
its members have learned through their actions. symbols, that people give to a place, physical things,
Agency is about building the capacity to understand, behavior, events, or action. In essence, solidarity
create and act, and reflect. must be built within a cultural context. Individuals
and groups give different meanings to objects, deeds,
and matters. For example, one community might see
Seven key concerns in the the construction of an industrial plant as an excellent
community development field way to bring prosperity to their town, while another
community might see a similar construction as the
Following this definition of community development, destruction of their quality of life. Community
there are seven major concerns involving solidarity developers need to pay attention to these meanings if
and agency building: (1) relationships, (2) structure, they wish to build a sense of solidarity in a particular
(3) power, (4) shared meaning, (5) communication for community or between communities.
change, (6) motivations for decision making, and (7) Communication for change is linked to the
integration of these disparate concerns and paradoxes concept of full participation, a consistent value in the
within the field. Horton (1992) shared similar con- community development literature. Within a frame-
cerns about African-American approaches to work often dominated by technicians, the corporate
community development. He emphasized historic sector, or national political constraints, practitioners
power differences and the influence of culture and raise questions about how the voice of citizens can be
black community institutions in his black community heard at all. Motivation can influence many aspects of
development model. Chaskin et al. (2001) focused on community development. It helps us understand
neighborhood and other structures and networks in whether people will or will not become involved in a
their work on capacity building. Littrell and Littrell community initiative. It also affects making difficult
(2006), Green and Haines (2002), and Pigg (2002) all public choices, a process which usually involves think-
wove concerns about relationships, communicating for ing through all the policies to decide which will max-
change, full participation, rational decision making, imize individual and collective needs. Who is more
and integrating micro and macro forces into their likely to win or lose if a public policy is implemented?
community development insights. What are the potential consequences on other aspects
Relationships are linked to a sense of solidarity. of life if the policy is carried out? Essentially, the
How critical are trust and reciprocity in the process of making rational choices can be nurtured as
community development process? What is essential a form of capacity building. The integration of
to know about relationship building? Structure paradox and disparate macro and micro concerns are
refers to social practices, organizations, or groups part of community development practice. How does
that play a role in solidarity and capacity building. It one reconcile concerns about relationships, power,
also refers to the relationships among them. Some of structure, shared meaning, communication for
these social practices and organizations may have a change, and motivational decision making? Is there a
limited role. Therefore, to establish solidarity, new theory that ties some of these economic, political, and
organizations may need to be built and/or existing sociological concerns together?
ones could expand their missions. These seven concerns form the basis for essential
Power refers to relationships with those who community development theory: social capital
control resources, such as land, labor, capital, and theory, functionalism, conflict theory, symbolic
22 RONALD J. HUSTEDDE

■ Table 2.1 Concerns and related theories

Concern: Related theory

1 Relationships Social capital theory


2 Structure Functionalism
3 Power Conflict theory
4 Shared meaning Symbolic interactionism
5 Communication for change Communicative action
6 Motivations for decision making Rational choice theory
7 Integration of disparate concerns/paradoxes Giddens’ structuration

interactionism, communicative action theory, ratio- the common good. Equality is considered to be an
nal choice theory, and Giddens’s structuration important cultural norm that is high in social capital
theory. Table 2.1 lists these concerns and theories. because it reaches across political, economic, and cul-
Each of these seven theoretical perspectives will be tural divisions. Reciprocity is another cultural norm
examined and considered as to how they may be that is viewed as part of social capital. It should not
applied to community development practice. be confused with a quid pro quo economic transaction;
it is much broader than the concept of “I’ll scratch
your back if you’ll scratch mine.” When individuals,
1 Concerns about organizations, or communities provide food banks,
relationships: social scholarship funds, low-cost homes – or other forms
capital theory of self-help, mutual aid, or emotional support – it
stimulates a climate of reciprocity in which the
Community developers know inherently that the recipients are more likely to give back to the
quality of social relationships is essential for solid- community in some form. A culture with high levels
arity building and successful community initiatives. of reciprocity encourages more pluralistic politics
Friendships, trust, and the willingness to share some and compromise which can make it easier for
resources are integral to collective action. Commun- community development initiatives to emerge.
ity developers build intuitively on these relation- Putnam (1993, 2000) has argued that social
ships. Social scientists view these relationships as a capital has declined in the United States since the
form of capital. Social capital is that set of resources 1990s. Social capital indicators have included voter
intrinsic to social relations and includes trust, turnout, participation in local organizations, concert
norms, and networks. It is often correlated with con- attendance, or hosting others for dinner at one’s
fidence in public institutions, civic engagement, self- home. Suburban sprawl, increased mobility,
reliant economic development, and overall increased participation of women in the labor force,
community well-being and happiness. and television are among the reasons given for this
Trust is part of everyday relationships. Most decline. Some critics claim the indicators are linked
people trust that banks will not steal their accounts too closely with “communities of place” because
or that when they purchase a pound of meat from the memberships in organizations such as the Sierra
grocer, it will not actually weigh less. Life can be Club and other groups have increased significantly.
richer if there is trust among neighbors and others in They have also asserted that communities with
the public and private sectors. Think of settings strong social capital can also breed intolerance and
where corruption, indifference, and open distrust smugness. They have distinguished between
might inhibit common transactions and the sense of “bonding social capital” and “bridging social
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 23

capital.” They contend a mafia group or the Klu capital was built through the mutual support of
Klux Klan may have strong bonding social capital, multi-county mini-grant ventures consisting of
but it does not build any new bridges that can international and domestic travel seminars in which
expand horizons, provide new ideas, or generate participants shared rooms, buses, seminars, and pro-
wealth. They suggest to focus more on “bridging grams. These activities led to new forms of bonding
social capital” – the formation of new social ties and and bridging social capital which stimulated not
relationships to expand networks and to provide a only entrepreneurship but an entrepreneurial
broader set of new leaders with fresh ideas and culture.
information. For example, some communities have
created stronger links between African-American
and Caucasian faith-based communities or estab- 2 Concerns about
lished leadership programs that nurture emerging structure: functionalism
and diverse groups of leaders. These activities both
create new community linkages to broader resource Second, it is important to look at structure, which
bases and build new levels of trust, reciprocity, and underlies organizational and group capacity to bring
other shared norms. about or stop change. In essence, structure is related
to Giddens’s concept of agency or capacity building.
The theoretical concept concerned with structure is
How can social capital theory serve as a
known as structural functionalism. It is also called
guide for community development
systems theory, equilibrium theory, or simply functional-
practice?
ism. According to this theoretical framework, soci-
Community developers can integrate social capital eties contain certain interdependent structures, each
theory into their initiatives. In some cases, they will of which performs certain functions for societal
find communities which have relatively low levels of maintenance. Structures refer to organizations and
social capital. In such cases, they may have to begin institutions such as health care, educational entities,
by nurturing “bonding social capital” through business and nonprofits, or informal groups. Func-
sharing food and drink, celebrations, storytelling, tions refer to their purposes, missions, and what they
dance, or public art. They will have to create do in society. These structures form the basis of a
opportunities for people to get to know each other social system. Talcott Parsons and Robert K. Merton
and build new levels of trust through shared inter- are the specialists most often associated with this
ests including music, book clubs, games, or other theory. According to Merton (1968), social systems
pursuits. have manifest and latent functions. Manifest func-
In other cases, communities may have strong tions are intentional and recognized. In contrast,
bonding social capital but really need “bridging latent functions may be unintentional and unrecog-
social capital” if they are going to prosper and nized. For example, it could be argued that the man-
increase their quality of life. Take the case of ifest function of urban planning is to assure
tobacco-dependent counties in rural Kentucky that well-organized and efficiently functioning cities,
have limited communications with sister counties to whereas the latent function is to allocate advantages
build new regional initiatives such as agricultural to certain interests such as those involved with the
and ecological tourism. The Kentucky Entrepreneur- growth machine or real estate developers.
ial Coaches Institute was created to build a new team Functionalists such as Parsons argue that struc-
of entrepreneurial leaders through a mutually sup- tures often contribute to their own maintenance, not
portive network and linkages with the “best and particularly to a greater societal good. Concern for
brightest in rural entrepreneurship” from around the order and stability also leads functionalists to focus
world, nation, and region (Hustedde 2006). Social on social change and its sources. They view conflict
24 RONALD J. HUSTEDDE

and stability as two sides of the same coin. If a development builds capacity, concerns about power
community development practitioner wants to build are pivotal. Insights into power tend to be found in
community capacity, he or she will have to pay political science or political sociology. More
attention to the organizational capacity for stimulat- contemporary theorists have added to the richness of
ing or inhibiting change. Structural functionalism the literature. In his later writings, Foucault (1985)
helps one to understand how the status quo is main- argued that where there is power there is resistance.
tained. Some critics claim that the theory fails to He examines the struggles against the power of men
offer much insight into change, social dynamics, or over women, administration over the ways people
existing structures (Collins 1988; Ritzer 1996; live, and of psychiatry over the mentally ill. He sees
Turner 1998). power as a feature of all human relations (Foucault
1965, 1975, 1979, 1980, 1985; Nash 2000). Power
has fluidity in the sense that it can be reversed and
How can structural functionalism guide
exists in different degrees. Beyond conventional
community development practice?
politics at the state level, Foucault’s focus extends to
Structural functionalism is a useful tool for practition- the organizations and institutions of civil society and
ers. Looking at the case of an inner city neighborhood to interpersonal relations.
that is struggling to create a micro-enterprise business Wallerstein (1984) applied Marxist theory to
that will benefit local people, if one applied structural understand the expansion of capitalism to a global-
functionalism to community development practice, ized system which needs to continually expand its
one would help the community analyze which organi- boundaries. “Political states,” such as Japan, the UK,
zations are committed to training, nurturing, and the European Union and the U.S., are among the
financing micro-enterprise development and what core developed states based on higher level skills and
their latent or hidden functions might be. A capitalization. These states dominate the peripheral
functionalist-oriented practitioner is more likely to areas such that weak states are economically depen-
notice dysfunctions in organizations. If existing orga- dent on the “core.” The low-technology states form a
nizations are not meeting local needs in this area, the buffer zone to prevent outright conflict between the
functionalist would build community capacity by core and the periphery. Some have applied Waller-
transforming an existing organization to meet the stein’s world system theory to regional economics,
same concerns. A functionalist would also want to with places like Appalachia serving as a “periphery”
build links with broader social systems, such as exter- to global market forces. Mills (1959), one of the ear-
nal organizations, that could help the community’s liest American conflict theorists, examined some of
micro-entrepreneurs to flourish. In essence, a function- the key themes in post-World War II American
alist would see structures as important components of politics. He argued that a small handful of indi-
capacity building. While structural functionalism is viduals from major corporations, federal govern-
an important tool for community development, it is ment, and the military were influencing major
limited because it does not fully explore the issue of decisions. He believed this triumvirate shared
power that may be found in other theories. similar interests and often acted in unison. Mills’
research on power and authority still influences theo-
ries on power and politics today. However, Mills also
3 Concerns about power: had critics such as Dahl (1971), who believed that
conflict theory power was more diffused among contending interest
groups. Galbraith (1971) asserted that technical
Power is the third key issue for community develop- bureaucrats behind the scenes had more power than
ment. Power is control or access to resources (land, those in official positions. Neo-Marxists argued that
labor, capital, and knowledge). Since community Mills and Dahl focused too much on the role of indi-
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 25

vidual actors. They believed that institutions permit opment occurs. Take the case of an Appalachian
the exploitation of one class by another. They also community near a major state forest. The state
posited that the state intervenes to correct the flaws Department of Transportation (DOT) wanted to
of capitalism and preserve the status quo, both of build a highway through the state forest. They
which are in the institutions’ interests. claimed it would lead to more jobs and economic
In summary, conflict theory suggests that conflict development. A group of local citizens questioned
is an integral part of social life. There are conflicts this assumption. They believed the highway would
between economic classes, ethnic groups, young and pull businesses away from the prosperous downtown
old, male and female, or among races. There are con- area to the edge of town, lead to sprawling develop-
flicts among developed “core” countries and regions ment that would detract from the quality of life,
and those that are less developed. It is argued that destroy a popular fishing hole, and harm the
these conflicts result because power, wealth, and integrity of the forest. The DOT refused to converse
prestige are not available to everyone. Some groups with the community; they claimed the proposed
are excluded from dominant discourse. It is assumed highway’s economic benefits were irrefutable.
that those who hold or control desirable goods and Conflict theory served as a reference point for
services or who dominate culture will protect their moving the community’s interests further. At first
own interests at the expense of others. Conflict theo- glance, it appeared that the DOT was in charge of
rists such as Coser (1956), Dahrendorf (1959), and making the major decisions about the highway.
Simmel (cited in Schellenberg 1996) have looked at However, the community developer put conflict
the integrative aspects of conflict and its value as a theory into practice. Community residents were
contributing force to order and stability. Conflict can encouraged to analyze the power of the DOT as well
be constructive when it forces people with common as their own political, technical, economic, and social
interests to make gains to benefit them all. Racial power. Through its analysis, the group was expanded
inequalities or other social problems would never be to include downtown businesspeople, hunters,
resolved to any degree without conflict to disturb the environmental, and religious groups. In this particu-
status quo. Simmel discusses how conflict can be lar case, the community decided it needed more
resolved in a variety of ways including disappearance technical power. They were able to secure the ser-
of the conflict, victory for one of the parties, compro- vices of university researchers, such as economists,
mise, conciliation, and irreconcilability (Schellen- foresters, sociologists, and planners, who had the cre-
berg 1996). dentials to write an alternative impact assessment of
This theoretical framework that underlies both the proposed highway. This report was widely circu-
the power of one party over another and the poten- lated by the community to the media and prominent
tial for conflict is not intended to be exhaustive. state legislators. Gradually, external support (power)
Instead, it points to some of the major concerns that emerged to help the community and the DOT
can guide community development practice. decided to postpone the project.
In a similar situation, the use of conflict theory
took another twist. The opponents of a DOT-
How can conflict theory serve as a guide
proposed road sought a mediator/facilitator to help
for community development practice?
them negotiate with the DOT and other stakehold-
Community organizers tend to more readily embrace ers. They believed a neutral third party could create
conflict theory as a pivotal component of their work. a safe climate for discussion, and that during such
However, it may be argued that community devel- discussions power differences would be minimized.
opers also need conflict theory if their goal is to In this particular case, their use of conflict theory
build capacity. Power differences are a reality of paid off because the dispute was settled to everyone’s
community life and need to be considered as devel- satisfaction.
26 RONALD J. HUSTEDDE

In summary, community developers need conflict bolic interactionists, the meaning of a situation is
theory because it helps them gain insight into why not fixed but is constructed by participants as they
specific differences and competition have developed anticipate the responses of others. Mead (1992)
among groups and organizations in a community. It explored the importance of symbols, especially
can help them to understand why some people are language, in shaping the meaning of the one
silent or have internalized the values of elites even to who makes the gesture as well as the one who
their own disadvantage. Practitioners and researchers receives it.
can use Simmel’s theory to see how people resolve Goffman (1959) argued that individuals “give”
their differences. Alternately, they can borrow from and “give off” signs that provide information to
Marx and the neo-Marxists to consider the sharp dif- others on how to respond. There may be a “front”
ferences between and among class economic inter- such as social status, clothing, gestures, or a phys-
ests, gender, race, and other concerns. ical setting. Individuals may conceal elements of
Conflict theory can help communities understand themselves that contradict general social values and
the kind and extent of competing interests among present themselves to exemplify accredited values.
groups. It also can shed light on the distribution of Such encounters may be viewed as a form of drama
power, whether concentrated in the hands of a few or in which the “audience” and “team players” inter-
more broadly distributed. Communities can also act. In his last work, Goffman (1986) examined
explore the use of conflict to upset the status quo – how individuals frame or interpret events. His
whether through protests, economic boycotts, premise involves group or individual rules about
peaceful resistance, or other ranges of possibilities – what should be “pictured in the frame” and what
especially if competing groups or institutions refuse should be excluded. For example, a community
to change positions or negotiate. developer’s framework of a community event may
While conflict theory is an essential tool for exclude ideas such as “citizens are apathetic.” It
capacity building, it should be noted that critics will probably include shared “rules” such as “par-
claim it is limited because it ignores the less contro- ticipation is important.” The emphasis is on the
versial and more orderly parts of society and does not active, interpretive, and constructive capacities of
help in understanding the role of symbols in build- individuals in the creation of social reality. It
ing solidarity (Collins 1998; Ritzer 1996; Turner assumes that social life is possible because people
1998). This leads to another theoretical framework communicate through symbols. For example, when
about shared meaning. the traffic light is red, it means stop; when the
thumb is up, it means everything is fine. Flora,
Flora and Tapp (2000) investigated how two oppos-
4 Concerns about shared ing community narratives moved through the
meaning: symbolic stages of frustration, confrontation, negotiation,
interactionism and reconciliation. Their case study could be
viewed as the employment of social interactionism.
Shared meaning is the fourth key concern in They concluded that, among the symbols that
community development. If the field is committed humans use, language seems to be the most import-
to building or strengthening solidarity, then prac- ant because it allows people to communicate and
titioners must be concerned about the meaning construct their version of reality. Symbolic interac-
people give to places, people and events. Herbert tionists contend that people interpret the world
Blumer (1969) named the theory “symbolic inter- through symbols but stand back and think of
actionism” because it emphasizes the symbolic themselves as objects.
nature of human interaction rather than a mechani- For example, a group of Native Americans view a
cal pattern of stimulus and interaction. For sym- mountain as a sacred place for prayer and healing,
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 27

and react negatively when someone tries to develop that deviate from the dominant meaning of some-
or alter access to it. Developers, foresters, tourism thing and would engage them with other groups in
leaders, and others are likely to have other meanings order to move the community toward solidarity.
for the mountain. Different individuals or groups Symbolic interactionists would also use symbols to
attach a different meaning to a particular event. build capacity. For example, a community might
These interpretations are likely to be viewed by choose to preserve a historic structure because they
others as a form of deviance which may be accepted, believed it was beautiful, or explain its importance
rejected, or fought over. Social interactionists argue in a labor, class, racial, or gender struggle or some
that one way people build meaning is by observing other interests. A community developer could
what other people do, by imitating them, and augment their meaning with data about the histor-
following their guidance. ical and architectural significance that external
agents see in the structure. Community capacity
could be built in other ways such as providing
How can symbolic interactionism serve
information about tax credits for historic structures
as a tool for community development
or how to locate grants for preservation. Increas-
practice?
ingly, community development researchers and prac-
Symbolic interactionism is essential for community titioners are asked to help citizens reflect and
development because it provides insight into the understand the meaning of their work. The symbolic
ways people develop a sense of shared meaning, an interactionist concepts may be used to aid in collect-
essential ingredient for solidarity. When a ive evaluations. Essentially, it all boils down to what
community developer helps a community develop a it means and who gives it meaning.
shared vision of their future, she is helping them Symbolic interactionists probe into the factors
build a sense of unity. A community-owned vision that help people understand what they say and do by
comes about through the interaction of people and looking at the origins of symbolic meanings and how
is related through pictorial, verbal, or musical meanings persist. Symbolic interactionists are inter-
symbols. A symbolic interactionist would be keen ested in the circumstances in which people question,
on bringing people together to develop a shared challenge, criticize, or reconstruct meanings. Critics
understanding. argue that symbolic interactionists do not have an
For example, take a case where some citizens established systematic framework for predicting
have expressed an interest in preserving the farm- which meanings will be generated, for determining
land adjacent to the city and have asked a commun- how meanings persist or understanding how they
ity developer for assistance. If one employed a change. For example, say a group of Mexican workers
symbolic interactionist perspective, one would ask and a poultry processing firm move into a poor rural
them what the presence of farmland means to them. community that was historically dominated by
One would link them with farmers and others to Anglo-Saxon Protestants. The events may trigger
see if there were a different or competing meaning. cooperation, goodwill, ambivalence, anger, fear, or
Participants would be asked how they developed defensiveness. The cast of characters involved in
their meaning of farmland. A symbolic interaction- these events may be endless. What has really hap-
ist would not ignore the concept of power. pened and whose interpretation captures the reality
Participants would be asked questions as to whose of the situation? Symbolic interactionists have
concept of farmland dominates public policy. limited methodologies for answering such questions.
Through the employment of symbolic interaction In spite of these limitations, it is hoped that a strong
theory, a sense of solidarity could be gradually case has been made as to why symbolic interaction-
established in a community. ism is an essential theory for community develop-
A symbolic interactionist would identify groups ment practice.
28 RONALD J. HUSTEDDE

5 Communication for Habermas is concerned about the domination and


change: communicative rationalization of the lifeworld, in which science and
action theory technology are the modi operandi to address complex
public issues. He believes that science and techno-
It is safe to assume that community development logy maintain the illusion of being value-free and
occurs within the context of democracy that is delib- inherently rational. In practical terms, citizens find
erative and participatory. Public talk is not simply it difficult to engage in dialogue with “more ratio-
talk; it is essential for democratic participation. It is nal” scientists, engineers, or political and corporate
about thinking through public policy choices. elites. The problem is compounded when there is
Deliberation occurs when the public examines the technical arrogance or limited receptivity to local
impacts of potential choices and tries them on, just voices. For example, many local newspapers and tele-
as one might try on clothing in a department store vision stations are corporately owned. It is therefore
before making a choice. In such settings, public talk difficult to hear local voices since they are filtered
involves rich discussions among a variety of net- through more dominant perspectives. Habermas is
works. From the community development perspec- concerned about the colonization of the lifeworld of
tive, participation occurs in a setting where a culture and language, a colonization that reduces
diversity of voices are heard in order to explore prob- people to the status of things. He also argues that
lems, test solutions, and make changes to policies technical knowledge is not sufficient for democratic
when the community finds flaws. Communities with settings in which community developers work. It
robust democratic networks may be viewed as com- must be balanced by hermeneutic knowledge which
municatively integrated (Friedland 2001). This type of he calls “practical interests.” Hermeneutics deals
integration involves the communicative activities with the interpretation of technical knowledge and
that link individuals, networks, and institutions into what it means for an individual, his or her family, or
a community of place or interest. community. It is action oriented and involves
Habermas argues that communicative action is mutual self-understanding.
shaped at the seam of a system and lifeworld. Systems The third dimension of knowledge is emancipa-
involve macro-economic and political forces that tory. It regards the liberation of the self-conscious
shape housing, employment, racial, and class divi- and transcends and synthesizes the other two dimen-
sions in a particular community. Local politics are sions of knowledge. While science and technology
also influenced by federal and state laws, national may help liberation, they can also suffocate it. Eman-
party politics, and regulations. Although the system cipatory knowledge incorporates both technical and
is embedded in language, it is self-producing. Power hermeneutic knowledge into a fresh perspective and
and markets can be relatively detached from outlook that leads to action.
community, family, and group values. At the same In essence, Habermas’s theory of communicative
time, there is the world of everyday life or the life- action is that it builds a linkage between the “ratio-
world. Habermas views the lifeworld as constituted nal” system and the lifeworld. His communicative
of language and culture: action theory and political objective are based on
free, open, and unlimited communication. It should
The lifeworld, is, so to speak, the transcendental be noted that Habermas grew up in Nazi Germany
site where speaker and hearer meet, where they and his focus on reason could be viewed as a response
reciprocally raise claim that their utterances fit to the unreason of Holocaust. At the same time,
the world . . . and where they can criticize and unlimited public talk could be seen as reaction to
confirm those validity claims, settle their dis- the curtailment of intellectual freedom and public
agreements and arrive at agreements. dialogue during the Hitler years. Habermas’s
(Habermas 1987: 126) insights about communicative action theory, and his
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 29

emphasis on reason and unrestrained public talk are Combined, they can lead to a new kind of “emanci-
viewed by some critics as utopian liberal ideals in patory knowledge” that offers fresh ideas and action.
which people talk their ideas to death. Others assert There are many ways for community developers
that universal principles of justice and democracy to carry out Habermas’s communicative action
have been replaced by relativistic and egocentric per- theory. For example, the National Issues Forums are
spectives. They assert that “reason” is a rationale for held in many communities wherein individuals, net-
the powerful to suppress others. While Habermas works, and groups explore public issues through the
emphasizes the potential to reach common ground, perspective of several public policy choices. Rather
his detractors claim that common ground is not pos- than choose sides, these forums are designed for the
sible and that there is nothing wrong with competi- participants to examine the applicability, strengths,
tion between groups. They say he is merely limitations, and values of each choice. National
moralizing and that communicative action theory is Issues Forums are conscious acts of deliberation that
a hotchpotch of ideas gathered from the Enlighten- make it easier for the system and the lifeworld to
ment, Karl Marx, Max Weber, and others. interact.
On the other hand, it should also be asserted that In another community development case, an
Habermas is continually expanding his perceptions Appalachian Cancer Network was developed by
and that, in spite of these criticisms, he is one of the homemakers and health care professionals to deal
world’s leading public intellectuals. He has been a with high rates of breast and cervical cancer in that
powerful influence on the formation of social demo- region. The health care leaders were tempted to tell
cracies in Germany and the rest of Europe. “Commu- the homemakers what to do. However, the commun-
nicative action” describes the seam where monetary ity developers who guided this initiative did not
and bureaucratic structures meet the lifeworld. This begin with technical knowledge. They started with
emphasis on reason, unfettered public discussion, storytelling in which technical and lay participants
and the potential for common ground provides an responded to the questions: Have you or a family
essential theory for community development practice member ever been touched by cancer or another serious
in its concern for process. illness? If so, what happened? The stories that emerged
told of triumph, heartache, loss, and anger. The next
set of questions was: What do our stories have in
How can communicative action theory
common? What should we do, if anything, about our
guide community development practice?
common issues?
By its very nature, community development involves Eventually, the community development prin-
the participation of networks, groups, and indi- ciples of full participation were carried out. The
viduals whose voices are part of the lifeworld. While network acted in ways that brought out technical,
this lifeworld operates within the context of techni- practical, and emancipatory knowledge. That is, new
cal, political, and market realities, it should be noted ideas and action emerged from this initiative that
that the principles of community development entail would have been impossible if technicians or lay
participation of citizens in defining their own prob- leaders had acted independently.
lems and dreams. If technicians or political and
corporate interests dominate discussions, citizen
involvement and participation becomes a mere after- 6 Motivation for decision
thought. If technical knowledge is discarded or min- making: rational choice
imized, community development efforts may not be theory
successful. Habermas’s communicative action theory
is guided by the intersection of technical and corpor- The rational economic man model was proposed by
ate knowledge with local and practical knowledge. Alfred Marshall (1895). He believed that humans
30 RONALD J. HUSTEDDE

were interested in maximizing their utility, happi- Critics of rational choice theory have argued that
ness, or profits. The rational man would investigate actors do not have equal access to information or that
each alternative and choose that which would best information is distorted. Others assert that many
suit his individual needs. While Marshall recognized people’s choices are limited by social, political, and
that irrational decisions were made, he believed that economic interests and values, which limits their
the overwhelming number of decision makers would participation in rational choice making.
operate in a maximizing fashion and cancel out irra-
tional actions. Marshall assumed all the relevant
How can rational choice theory serve as
information was available to the economic man and
a guide for community development
that he could understand the consequences of his
practice?
choices. The focus was on the individual rather than
the collective. Rational choice theory has several Community developers know that while people may
embellishments and spinoffs from various social sci- have altruistic concerns, they also have their own
entists. For example, Mancur Olson (1965) explored needs and make choices about how to invest their
whether rational calculation would lead a few indi- time. There have been many creative responses to
viduals to pursue collective action as a way to obtain rational choice theory. For example, the Cooperative
public goods because they could pursue these goods Extension Service Master Gardener Program offers
whether they were active or not. He believed that free horticultural training but participants must vol-
collective behavior could be expected under two con- unteer hours back to the community in order to
ditions: (1) selective incentives – such as increased receive the training. Leadership programs have
stature in the community, tax breaks, or other bene- popped up in many communities where participants
fits – could increase the rewards of those engaging in gain the advantage of expanding their network and
collective action, and (2) the threat of sanctions knowledge bases. Their positive experience in
against those who fail to participate. meeting and working with others in collective set-
In recent years, social scientists have explored tings leads to a greater openness and involvement.
how four structural factors relate to individual par- When applied to community development, ratio-
ticipation in collective activities. One is prior nal choice theory is concerned with finding appropri-
contact with a group member because it is easier to ate rewards and minimizing risks to individuals who
recruit through interpersonal channels. A second is become involved in community initiatives. Such
prior membership in organizations due to the likeli- rewards might be as simple as free babysitting ser-
hood that those who are already active may join vices or an awards and recognition banquet. Both
other groups and, conversely, isolated individuals examples would facilitate people’s choices to invest
may perceive joining as a type of risk. The second is their time or money in community development
a history of prior activism because those with previ- efforts. In other situations, there is a tendency
ous experience are more likely to reinforce their toward misinformation, misunderstanding, compet-
identity through new forms of activism. The fourth ing sets of data, or different interpretations of the
factor is biographical availability, which pulls people same data. Any or all of these make it difficult to
toward and away from social movements. For reach common ground and establish solidarity. In
example, full-time employment, marriage, and such cases, community developers can find new ways
family responsibilities may increase the risks and to gather data, interpret information, or glean new
costs of becoming involved. Conversely, those who information from mutually respected third party
are free of personal constraints may be more likely to sources. It should be asserted that in many settings
join. There is some empirical evidence that students universities are no longer viewed as neutral or objec-
and autonomous professionals may be more likely to tive. They may be perceived as instruments of the
join social movements (McAdam 1988). state, the corporate sector, or a particular political or
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 31

economic interest. One of the limitations of rational process-oriented. He introduces a third dimension,
choice theory is that it can be implemented by tech- or an “in-between” level of analysis, which is neither
nicians, the corporate sector, and bureaucracies in macro nor micro. It has to do with the cultural tradi-
ways that can overwhelm and silence citizens who tions, beliefs, societal norms, and how actors draw
may not understand such knowledge. Habermas’s upon those in their behavior (Collins 1988: 399). For
theory of communicative action can provide a coun- Giddens, those normative patterns of society exist
terbalance to such shortcomings. “outside of time and space” (Collins 1988:
398–399), meaning they are neither properties of the
empirical social system nor of the individual actors.
7 Integration of disparate Their actuality consists in the moments when indi-
concerns and paradigms: viduals’ behaviors rise to that level of society’s tradi-
Giddens’s structuration tions and norms. People also draw and act upon
theory thought patterns or cultural “molds”; for example,
the classical notion of reciprocity – getting one thing
The classical theories of structural functionalism, in return for something else. Cultural traditions and
conflict theory, and rational choice theory are essen- patterns become modalities by virtue of placing
tial concepts for building community capacity. The them on Giddens’s analytical scheme. They represent
fluid contemporary theories of social capital, com- a third level, that between individualistic behavior
municative action, and the classical theory of sym- and the macro-structures. Even though the reality of
bolic interactionism are important for creating or modalities may be only momentary, when people
strengthening solidarity. There are obvious tensions actually rise to them in their behavior, then the
inherent in these theories. The dualism of macro social process and the role of culture and normative
versus micro characterizes much of the theoretical patterns can be better visualized. “Actors draw upon
thinking in sociology. Sharing the same goal of pic- the modalities of structuration in reproduction of
turing social reality, these schools choose to proceed systems of interaction” (Giddens 1984: 28). Social
from opposite directions. The macro-thinkers structure is upheld and existing divisions of society
attempt to draw a holistic picture and lay down the carry on through these “mental molds.”
works of society, whereas the micro-theorists hope to The laying out of society on the six above-
arrive at the same results by scrutinizing what mentioned levels – social capital theory, functional-
happens “in” and “between” individual people. ism, conflict, symbolic interactionism, communicative
Neither approach is entirely successful in producing action theory, and rational choice theory – reflects a
a complete and exhaustive picture for community fluid process in which all levels interact. Individuals
development practice. In a more recent development, represent the agency whereby interaction among
efforts have been made at a “micro-translation,” levels takes place. Coming back to the community
which seeks to visualize social reality as composed of development profession and its key concerns,
individuals interacting with one another to form Giddens’s model is perhaps best suited to grasp how
“larger interaction ritual chains” (Collins 1988). social agency is exercised and solidarity established
However, recent theory also recognizes that social amid and often against the existing structural divi-
agency itself, pointed out above as a key concern for sions of society. Behavior is neither haphazard nor
community development, needs to be theoretically merely a reflection of the existing social structure and
addressed. This must be done in a way that tran- its divisions. Modalities represent the levels at which
scends both the established orientations in modern people establish solidarity by following the symbolic
social theory and the whole macro–micro split. In norms and patterns of their cultures and traditions.
his structuration theory, Anthony Giddens (1984, Similarly, new rules of behavior also occur
1989) offers a perspective that is more fluid and through the medium of modalities, in this instance
32 RONALD J. HUSTEDDE

their creative redefinition. This is how the existing solidarity emerged in Poland. She saw the working
divisions can be overcome and new bonds between class under the communist regime as a unified bloc,
people forged. For this to take place, genuine social both in a positive hegemonic way and negatively, as
creativity is necessary. This means that people come subject to the party’s control and manipulation.
up with solutions and ideas that simultaneously Solidarity and its charismatic leader Lech Walesa
draw on the common reference point of their cultural transformed these modalities with references to
traditions, and transcend those traditions to establish workers’ common identity, as opposed to their iden-
new bonds and patterns of solidarity. Modalities tity with the Communist Party apparatus. To further
serve not only as the rules for the reproduction of the create a sense of solidarity and unity in opposition to
social system, but for its transformation (Turner the Communist Party and the system, Walesa incor-
1998: 494). Giddens’s concept of modalities is the porated Polish workers’ strong Christian identifica-
link between macro- and micro-theories. Modalities tion into helping define their new self-understanding
are part of the analytical scheme in a particular place. and self-image. In her work on the change in
For example, individualism in the United States is a workers’ collective identity, Staniszkis’s consistent
strong modality and can keep citizens from united attention to symbolic meanings and their interplay
action. The notion of the common good is another with the social structure aptly demonstrates how
American modality which may be used to transform modalities can be transformed.
a divided community into one with a greater sense of Analytically, Giddens’s structuration theory
solidarity. Modalities may be used to influence the stands as a middle ground between the micro- and
macro- or micro-level of social change. There are the macro-theories as well as the issue of agency and
several substantive analyses looking at cultural pat- solidarity. Giddens’s structuration theory suggests
terns and systems of ideas and how they mediate the that the micro-theories associated with symbolic
social process. In these analyses, social processing interactionism can influence cultural and traditional
and the dynamics of social transformation are at least norms and patterns (modalities) and vice versa.
partly carried out on the level of modalities. Gaventa While the symbolic interactionists tend to ignore
(1980) examines the modalities of Appalachia with a structure, Giddens’ mid-level theory about modali-
focus on rebellion and quiescence. He analyzes how ties is a crucial link among symbolic interactionism,
power is used in the region to prevent or implement rational choice theory, social capital, the
decisions. The use of force and threat of sanctions are micro–macro conflict, communicative action, and
discussed along with less intrusive aspects such as structural functionalist theories (Giddens 1984).
attitudes that are infused into the dominant culture Max Weber’s social action theory was originally
by elites and internalized by non-elites. For example, cast at an “in-between level.” If his theory was not
there are perspectives such as “you can’t change any- explicit, his intentions were at least implicit. Weber
thing around here” or “you don’t have to be poor if attempted to view society as a fluid process, dissect-
you want to really work.” Gaventa argues that there ing it into various components for analytical pur-
are other modalities in which Appalachian culture poses (Turner 1998: 17) much like Giddens did.
has resisted the penetration of dominant social Although Weber never attempted an analytical
values. Those with less power can develop their own model of society along micro-theoretical lines, some
resources for analyzing issues and can explore their observers have categorized Weber as a micro-theorist
grievances openly. He views the “myth of American because of his subjective interpretation of behavior
democracy” as another modality that can set the and its meaning to the actor. Others argue that
stage for greater openness and transparency in local Weber is a strong macro-theorist since his intentions
government. may lie closer to Giddens’ perspective. This was
Staniszkis (1984) provides further insights about especially obvious in his attempts to explain the rise
modalities through her ideas about how workers’ of modern capitalism through the interplay of social
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 33

structural conditions and the religious beliefs of such as social capital, rational choice, and symbols or
Protestantism. He followed similar analyses for non- symbolic interactionism. Giddens’s concept of
Western societies in his volumes on the sociology of modalities is essential for community development
religion. What Giddens delineated in theory Weber practice.
actually performed in his works, bridging the macro Revisiting the case of the Appalachian commun-
and the micro dimensions in his attention to ity group that opposed the construction of a road
society’s traditions and norms. He observed how through a nearby state forest, as addressed under the
people, independent of the macro-structural forces of heading, “How Can Conflict Theory Serve as a Guide
society, transform these traditions and norms by for Community Development Practice?,” the group
interpreting and reinterpreting them. Similarly, believed they were overpowered by the Department
Gaventa and Staniszkis demonstrated how one can of Transportation (DOT) that wanted to build the
connect communities or groups to structure them in road. The community found it difficult to argue
a way that is not fixed or mechanical. against the DOT report, which contained sophistic-
In contrast to debates on whether structure shapes ated economic, social, and natural resource informa-
action to determine social phenomena or the reverse, tion. Here is what the community development
Giddens believes that structure exists in and through practitioner did. First, the practitioner asked
the activities of human agents. He views it as a form community residents to identify the strengths of
of “dualism” in which neither can exist without the their local traditions – particularly storytelling and
other. When humans express themselves as actors the arts – as a venue for building solidarity regard-
and monitor the ongoing flow of activities, they con- ing the integrity of the forest. Together, the
tribute to structure and their own agency. He con- community and the practitioner examined the
tends that social systems are often the results of modalities of storytelling and the arts to see if they
human action’s unanticipated outcome. Giddens could use the media to make an impact on the public
views time and space as crucial variables. Many and local legislators. The community’s strong
interactions are face-to-face, and hence are rooted in respect for the local Cooperative Extension Service
the same space and time. However, with the advent was identified as another modality to mobilize the
of new technologies, there can be interaction across broader information resources of the land grant uni-
different times and spaces. Community developers versity. Without spending much money, the
are likely to feel some kinship with Giddens because community developer was able to draw upon the ser-
he has a dynamic rather than static concept of the vices of professional economists, sociologists,
world. He recognizes the interplay of humans and foresters, and others. These professionals developed
structure in shaping and being shaped. Critics are an alternative to the DOT report that was widely
likely to argue that he has oversubscribed to the disseminated. Storytelling, the local arts, and links
concept of the power of human agency. The space of with the local Extension Service influenced broader
this chapter limits a response to those critiques and a structures and led to fewer power imbalances. Even-
fuller exploration of Giddens’s theoretical insights. tually, the DOT decided to permanently “postpone”
the development of the road. Because the commun-
ity developer understood the power of modalities
How can Giddens’s structuration theory
(local cultural traditions and patterns), the commun-
guide community development practice?
ity was able to develop a sense of shared meaning.
Structuration theory provides many theoretical This led to greater influence on structure and
insights (Ritzer 1996: 433) for those engaged in resolved the conflict.
community development because it links disparate How do Giddens’s structuration theory and the
macro-theories about structure and conflict with concept of modalities relate to some of the theories
micro-theories about individual and group behavior discussed earlier, particularly the classical theories of
34 RONALD J. HUSTEDDE

structural functionalism, conflict theory, rational Conclusion


choice theory, and symbolic interactionism?
When one looks at functionalism through a Community development is often thought of as
Giddens lens, one sees how structures shape and can intention to build solidarity and agency (capacity
be shaped by modalities. From a Giddens perspec- building). Theory is essential for community devel-
tive, community change agents are not powerless opment practice because it provides explanations of
when faced with powerful structures. Cultural pat- individual and group behavior. It also provides
terns can be transformed to influence or break down frameworks so that community developers may com-
structural constraints that inhibit solidarity and prehend and explain events. There are seven theories
capacity building. Giddens’s structuration theory that should be part of a community development
illuminates conflict theory because it suggests that canon, or knowledge: (1) social capital; (2) structural
communities can influence power imbalances functionalism; (3) conflict; (4) symbolic interaction-
through cultural norms and patterns. It also suggests ism; (5) communicative action; (6) rational choice;
that external power can shape behavior. and (7) structuration theory. Each theory should be
Based on a Giddens perspective, the micro- explored along with its limitations and applicability
theories associated with symbolic interactionism and for community development practice.
making rational choices can influence cultural and This chapter is about reaching across the concep-
traditional norms and patterns (modalities) and vice tual divide between theory and action. It should
versa. While the symbolic interactions and rational stimulate dialogue and further discussion on essen-
choice theorists tend to ignore structure, Giddens’s tial theory for community development practice.
mid-level theory about modalities is a crucial link The classical theories of structural functionalism,
among symbolic interactionism, rational choice conflict, symbolic interactionism, and rational choice
making, the macro “conflict” theory, and structural can be balanced by the more fluid and synthesizing
functionalism. The fluid theories associated with theories of social capital, communicative action, and
Habermas’s communicative action and social capital structuration. These theoretical camps may be linked
may be viewed as mid-level theories, as part of struc- in novel ways to help community developers become
turation theory. They also address the intersection of more effective.
modalities and structure.
However, there are several limitations to
Giddens’s theories. His writing is analytical and Note
abstract to the point of being vague and imprecise.
He rarely gives concrete examples, which can be 1 This chapter is an expansion of the article: Hustedde,
frustrating to those community developers who are R.J. and Ganowicz, J. (2002) “The Basics: What’s
Essential about Theory for Community Development
more empirically grounded. Giddens’s analysis is Practice?,” Journal of the Community Development Society,
also difficult because it involves constant movement 33(1): 1–19. The editor of the journal granted
among the levels of modalities, societal institutions, permission to duplicate and integrate parts of the article
and the actions of individuals. In spite of these into this chapter.
limitations, structuration theory is especially useful
for community developers because of the potent role
of symbolic norms and cultural patterns (modalities) Keywords
in creating new structures, influencing power differ-
ences, and infusing individual behavior with a sense Solidarity, agency building, structure, power, shared
of solidarity. meaning, social capital theory, structural functional-
ism, conflict theory.
SEVEN THEORIES FOR SEVEN COMMUNITY DEVELOPERS 35

CASE STUDY: COMMUNITY DEVELOPMENT AND INTERNATIONAL CONFLICT


RESOLUTION
Arguably the most pressing international issue of this and future generations is the relationship
between Islamic and Western countries, as evidenced by the wars in Iraq and Afghanistan and
the ongoing conflict between the Israelis and Palestinians. One scholar believes that community
development could serve as a valuable tool to improve Islamic–Western relations and help ease
conflicts across the globe. In a series of articles, Jason Ben-Meir states his belief that participa-
tory, grass-roots community development in conflict areas will empower local residents and
encourage them to reject religious extremism, engage in community and nation building, and
appreciate the foreign aid efforts of Western countries. Ben-Meir is President of the High Atlas
Foundation, a U.S. nonprofit organization that assists community development in Morocco.
According to Ben-Meir, the billions spent on foreign aid reconstruction in Iraq and
Afghanistan typically channeled through third party contractors and national governments
often fosters resentment toward Western countries because input from the communities where
the projects take place is not obtained and local residents feel they are not in control of
rebuilding their own economic and social life. Ben-Meir argues that sustained development
and genuine reconstruction require funding local projects designed by the entire community.
The community’s priorities would be established by facilitated interactive dialogue where all
local residents have a right to express their opinions and collective priorities are developed in
a true inclusive and participatory community development process. He believes this will encour-
age community residents to actively support local rebuilding and economic development
efforts. As they feel empowered, develop hope for the future, and see tangible signs of
progress of their own design, they will be less likely to embrace extremism born of frustration
and alienation. Ben-Meir also believes that successful community and economic development
outcomes fostered by this approach will engender goodwill toward Western countries funding
these local projects and helping with the community development capacity-building process.
Furthermore, progress will be sustainable, since citizens in communities throughout turbulent
regions will have learned community- and nation-building skills and local infrastructure will be
improved.
In the case of Iraq, Ben-Meir believes the national government should:

• Train local schoolteachers and other community members in group facilitation methods
and begin the community development process in all communities with inclusive, participa-
tory meetings to establish local priorities.
• Create community reconstruction planning and training centers in all communities to help
implement local priorities and redevelopment projects. The centers would also provide
further training in facilitation, conflict management, modern agricultural techniques, health
care, and other development topics.

Encouraging community development and funding local priority projects will also help alleviate
the Israeli–Palestinian conflict, according to Ben-Meir. He points out that the Palestinian
economy is almost totally dependent on Israel’s, and when political tensions rise, economic
links and flows of people and goods are severely restricted, causing huge hardship for the
Palestinians. He argues that Israel and the West can generate tremendous goodwill and help
make the Palestinian people economically self-reliant by promoting the community development
process and investing in projects designed and managed by local residents.
36 RONALD J. HUSTEDDE

Whether or not the community development can help achieve these lofty goals is an open
question, but there is no doubt that its principles of conflict resolution, group decision making,
inclusiveness, and fairness are certainly relevant to international affairs and foreign policy.
Community development is germane to countries all over the world and its principles transcend
geo-political boundaries.
The Editors

Sources
Ben-Meir, J. (2005) “Iraq’s Reconstruction: A Community Responsibility,” The Humanist, 65(3): 6.
Ben-Meir, J. (2004) “Create a New Era of Islamic–Western Relations by Supporting Community Develop-
ment,” The International Journal of Sociology and Social Policy, 24(12): 25–41.

Review questions Dahrendorf, R. (1959) Class and Class Conflict in Industrial


Society, Stanford, CA: Stanford University Press.
1 What are the seven concerns of community devel- Flora, C.B., Flora, J.L. and Tapp, R.J. (2000) “Meat, Meth
opment discussed? and Mexicans: Community Responses to Increasing
2 What are the seven theories of community devel- Ethnic Diversity,” Journal of the Community Development
Society, 31(2): 277–299.
opment related to the concerns?
Foucault, M. (1965) Madness and Civilization: A History of
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—— (1979) Discipline and Punish: The Birth of Prison, New
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—— (1985) The History of Sexuality, Volume 2, The Use of
Bhattacharyya, J. (2004) “Theorizing Community Devel- Pleasure, New York: Pantheon.
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