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vi Contents
The Value of Integrity 63 Multiple Uses of Empathic Communication 111

The Value of Competence 63 Teaching Clients to Respond Empathically 116
Challenges in Embracing the Profession’s Values 64 Authenticity 117
Ethics 67 Types of Self-Disclosure 118
The Intersection of Laws and Ethics 67 Timing and Intensity of Self-Disclosure 118
Key Ethical Principles 69 A Paradigm for Responding Authentically 119
What Are the Limits on Confidentiality? 75 Guidelines for Responding Authentically 119
Confidentiality in Various Types of Recording 77 Cues for Authentic Responding 123
The Ethics of Practice with Minors 78 Positive Feedback: A Form of Authentic
Responding 127
Understanding and Resolving Ethical Dilemmas 79
Steps in Ethical Decision Making 80 Relating Assertively to Clients 128
Applying the Ethical Decision-Making Model 81 Making Requests and Giving Directives 129
Maintaining Focus and Managing Interruptions 129
Summary 83
Interrupting Problematic Processes 129
Competency Notes 83 “Leaning Into” Clients’ Anger 130
Skill Development Exercises in Operationalizing Saying No and Setting Limits 131
Cardinal Values 84 Summary 132
Client Statements 85
Competency Notes 132
Modeled Social Worker Responses 85
Skill Development Exercises in Empathic
Skill Development Exercises in Managing Ethical
Communication 132
Dilemmas 86
PART 2 Skill Development Exercises in Responding Authentically
EXPLORING, ASSESSING, AND PLANNING . . 89 and Assertively 135
CHAPTER 5
Answers to Exercise in Identifying Surface and
Building Blocks of Communication: Conveying Underlying Feelings 136
Empathy and Authenticity . .. . . . . . . . . . . . . . . . . 91 Answers to Exercises to Discriminate Levels of Empathic
Roles of the Participants 92 Responding 137
Determine Your Client’s Expectations 92
Emphasize Client Responsibility 94
Emphasize Difficulties Inherent in Process 95 CHAPTER 6
Clarify Your Own Role 95 Verbal Following, Exploring, and Focusing
Children as Participants 96 Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .138
Communicating about Informed Consent, Confidentiality,
Maintaining Psychological Contact with Clients
and Agency Policies 96
and Exploring Their Problems 139
Facilitative Conditions 97
Verbal Following Skills 140
Empathic Communication 97
Furthering Responses 140
Developing Perceptiveness to Feelings 99 Minimal Prompts 140
Affective Words and Phrases 100 Accent Responses 140
Using the Lists of Affective Words and Phrases 101 Reflection Responses 140
Exercises in Identifying Surface and Underlying Reflections of Content 140
Feelings 103 Exercises in Reflection of Content 141
Accurately Conveying Empathy 104 Reflections of Affect 141
Empathic Communication Scale 104 Exercises with Reflections of Affect 143
Exercises in Discriminating Levels of Empathic Closed- and Open-Ended Responses 143
Responding 108 Exercises in Identifying Closed- and Open-Ended
Responding with Reciprocal Empathy 109 Responses 144
Constructing Reciprocal Responses 110 Discriminant Use of Closed- and Open-Ended
Employing Empathic Responding 111 Responses 145
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Contents vii
Seeking Concreteness 147 Trying to Convince Clients about the Right Point
Types of Responses That Facilitate Specificity of of View through Logic, Lecturing, Instructing,
Expression by Clients 148 or Arguing 176
Specificity of Expression by Social Workers 153 Analyzing, Diagnosing, or Making Glib or Dogmatic
Exercises in Seeking Concreteness 154 Interpretations 177
Providing and Maintaining Focusing 154 Threatening, Warning, or Counterattacking 178
Selecting Topics for Exploration 155 Stacking Questions and Using Double-Barreled
Exploring Topics in Depth 156 Questions 179
Managing Obstacles to Focusing 160 Asking Leading Questions 179
Interrupting Inappropriately or Excessively 179
Summarizing Responses 161
Dominating the Interaction 180
Highlighting Key Aspects of Problems, Strengths, and
Keeping Discussions Focused on Safe Topics 180
Resources 162
Responding Infrequently 181
Summarizing Lengthy Messages 163
Parroting or Overusing Certain Phrases or Clichés 181
Reviewing Focal Points of a Session 163
Dwelling on the Remote Past 182
Providing Focus and Continuity 164
Going on Fishing Expeditions (Tangential Exploration)
Analyzing Your Verbal Following Skills 164
182
Summary 166 Failing to Be Aware of Cognitive Bias 183
Competency Notes 166 Gauging the Effectiveness of Your Responses 183
Modeled Social Worker Responses to Exercises in The Challenge of Learning New Skills 184
Reflection of Content 166
Summary 186
Modeled Social Worker Responses to Exercises with
Reflection of Affect 166
Note 186
Answers to Exercises in Identifying Closed- and
Open-Ended Responses 166
CHAPTER 8
Modeled Social Worker Responses to Exercises in
Assessment: Exploring and Understanding
Identifying Closed- and Open-Ended Responses 167
Problems and Strengths . . . . . . . . . . . . . . . . . . . . .187
Modeled Social Worker Responses to Exercises in Seeking
Concreteness 167 The Multidimensionality of Assessment 188
Note 167 Defining Assessment: Process and Product 188
Assessment: Focus and Timing 189
Priorities in Assessments 190
CHAPTER 7
Assessment and Diagnosis 190
Eliminating Counterproductive Communication The Diagnostic and Statistical Manual (DSM-5) 191
Patterns and Substituting Positive
Culturally Competent Assessment 192
Alternatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .168
The Person-in-Environment 193
Impacts of Counterproductive Communication
Emphasizing Strengths in Assessments 194
Patterns 169
The Role of Knowledge in Assessments 195
Identifying and Improving Nonverbal Barriers to Effective
Communication 169 The Role of Theory in Assessments 196
Physical Attending 169 Caveats about Using Knowledge and Theories 197
Cultural Nuances of Nonverbal Cues 169 Sources of Information for Assessments 197
Other Nonverbal Behaviors 170 Enactment 198
Taking Inventory of Nonverbal Patterns of Client Self-Monitoring 198
Responding 171 Collateral Contacts 199
Eliminating Verbal Barriers to Communication 172 Assessment Instruments 199
Reassuring, Sympathizing, Consoling, Social Worker’s Personal Experience 200
or Excusing 173 Questions to Answer in Problem Assessment 201
Advising and Giving Suggestions or Solutions Getting Started 201
Prematurely 174 Identifying the Problem, Its Expressions, and Other
Using Sarcasm or Employing Humor Critical Concerns 202
Inappropriately 175 The Interaction of Other People or Systems 203
Judging, Criticizing, or Placing Blame 175 Assessing Needs and Wants 204
viii Contents
Typical Wants Involved in Presenting Problems 204 Assessing Behavioral Functioning 234
Stresses Associated with Life Transitions 205 Risk of Aggression 236
Cultural, Societal, and Social Class Factors 206 Assessing Motivation 237
Severity of the Problem 206
Assessing Environmental Systems 237
Meanings That Clients Ascribe to Problems 206
Physical Environment 238
Sites of Problematic Behaviors 207
Social Support Systems 239
Temporal Context of Problematic Behaviors 207
Frequency of Problematic Behaviors 208 Spirituality and Affiliation with a Faith
Duration of the Problem 208 Community 241
Other Issues Affecting Client Functioning 208 Written Assessments 241
Emotional Reactions 209 Biopsychosocial Assessments 242
Coping Efforts and Needed Skills 209
Support Systems 210 Case Notes 246
Resources Needed 210 Summary 248
Assessing Children and Older Adults 211 Competency Notes 249
Data Sources and Interviewing Techniques 211 Skill Development Exercises in Assessment 250
Maltreatment 213
Notes 250
Summary 214
Competency Notes 214 CHAPTER 10
Skill Development Exercises in Exploring Strengths Assessing Family Functioning in Diverse
and Problems 215 Family and Cultural Contexts . .. . . . . . . . . . . . . .251
Note 215 Defining Family and Family Functions 252
Self-Awareness in Family Assessment 253
The Family Systems Framework 254
CHAPTER 9 Homeostasis 255
Assessment: Intrapersonal, Interpersonal, and Boundaries and Boundary Maintenance 256
Environmental Factors . . . . . . . . . . . . . . . . . . . . . .216 Family Decision Making, Hierarchy, and Power 257
The Interaction of Multiple Systems in Human Family Roles 259
Problems 216 Communication Styles of Family Members 260
Family Life Cycle 264
Intrapersonal Systems 217
Family Rules 265
Assessing Biophysical Functioning 218 Social Environment 267
Physical Characteristics and Presentation 218 Family Adaptive Capacity 267
Physical Health 218
Assessment Skills and Strategies 270
Assessing Use and Abuse of Medications, Alcohol,
Observing Patterns of Interaction 270
and Drugs 219
Interviewing Skills and Circular Questioning 272
Assessing Cognitive/Perceptual Functioning 224 Genograms 274
Intellectual Functioning 224 Standardized Scales 276
Judgment 225
Summary 277
Reality Testing 225
Coherence 226 Competency Notes 277
Cognitive Flexibility 226 Skill Development Exercises in Assessing Families 278
Values 226
Beliefs 227 CHAPTER 11
Self-Concept 227 Forming and Assessing Social Work Groups . .. . .279
Assessing Affective Functioning 228
Classification of Groups 280
Emotional Control 229
Treatment Group Subtypes 280
Range of Emotions 229
Self-Help Groups 281
Appropriateness of Affect 230
Task Group Subtypes 282
Suicidal Risk 230
Depression and Suicidal Risk with Children The Evidence Base for Groups 282
and Adolescents 231 Formation of Treatment Groups 283
Depression and Suicidal Risk with Older Adults 233 Identifying the Need for the Group 283
Contents ix
Establishing the Group Purpose 283 Goals Should Be Commensurate with the Knowledge
Deciding on Leadership 285 and Skills of the Practitioner 329
Determining Group Composition 285 Goals Should Be Stated in Positive Terms That Emphasize
Choosing an Open or Closed Group 286 Growth 329
Determining Group Size and Location 287 Avoid Agreeing to Goals about Which You Have Major
Setting the Frequency and Duration of Meetings 288 Reservations 330
Conducting Preliminary Interviews 288 Goals Should Be Consistent with the Functions
Determining the Group Structure 289 of the Agency 332
Formulating Preliminary Group Guidelines 290 Applying Goal Selection and Development Guidelines
Assessing Group Processes 293 with Minors 332
A Systems Framework for Assessing Groups 294 Eliciting Minors’ Understanding of the Goal and Point
Assessing Individuals’ Patterned Behaviors 294 of View of the Problem and Using This Information
Identifying Roles of Group Members 295 to Assist Them to Develop Goals 333
Assessing Individuals’ Cognitions and Behaviors 296 Is the Minor Voluntary or Involuntary? 334
Assessing the Group’s Patterned Behaviors 297 Definition and Specifications of the Behavior to Be
Assessing Group Alliances 297 Changed 334
Assessing Group Norms 299 The Process of Negotiating Goals 337
Assessing Group Cohesion 301 Determine Clients’ Readiness for Goal Negotiation 337
Single-Session Groups 301 Explain the Purpose and Function of Goals 339
Formation of Task Groups 303 Jointly Select Appropriate Goals 339
Task Group Purpose 303 Define Goals Explicitly and Specify Level of Change 339
Task Group Membership and Planning 303 Determine Potential Barriers to Goal Attainment and
Beginning the Task Group 304 Discuss Benefits and Risks 340
Assist Clients in Making a Clear Choice about
Cultural Considerations in Forming and Assessing Task
Committing Themselves to Specific Goals 341
or Treatment Groups 305
Rank Goals According to Client Priorities 342
Ethics in Practice with Task or Treatment Groups 306
Monitoring Progress and Evaluation 342
Informed Consent, Confidentiality,
Methods of Monitoring and Evaluating
and Self-Determination 306
Progress 343
Competence 309
Quantitative Measurements 344
Nondiscrimination 309
Qualitative Measurements 348
Summary 309 Combining Methods for Measuring and
Competency Notes 310 Evaluating 350
Skill Development Exercises in Planning Groups 311 Evaluating Your Practice 351
Contracts 352
CHAPTER 12 The Rationale for Contracts 352
Developing Goals and Formulating Formal and Informal Contracts 352
Developing Contracts 353
a Contract . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .312
Sample Contracts 358
Goals 312
Summary 360
The Purpose and Function of Goals 313
Linking Goals to Target Concerns 313 Competency Notes 360
Distinguishing Program Objectives and Client Skill Development Exercises in Developing Goals 361
Goals 314 Notes 361
Factors Influencing Goal Development 315
Types of Goals 319
Guidelines for Selecting and Defining Goals 319 PART 3
Goals Must Relate to the Desired Results Sought by THE CHANGE-ORIENTED PHASE . . . . . . . . . 363
Voluntary Clients 320
Goals for Involuntary Clients Should Include
CHAPTER 13
Motivational Congruence 321
Goals Should Be Defined in Explicit and Measurable
Planning and Implementing Change-Oriented
Terms 324 Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364
Goals Must Be Feasible 327 Change-Oriented Approaches 364
x Contents
Planning Goal Attainment Strategies 365 Procedures of Cognitive Restructuring 397

Is the Approach Appropriate for Addressing the Problem Strengths, Limitations, and Cautions of the
and the Service Goals? 365 Approach 403
What Empirical or Conceptual Evidence Supports the Solution-Focused Brief Treatment Model 403
Effectiveness of the Approach? 366 Tenets of the Solution-Focused Brief Treatment
Is the Approach Compatible with Basic Values and Ethics Model 403
of Social Work? 367 Theoretical Framework 404
Am I Sufficiently Knowledgeable and Skilled Enough in Empirical Evidence and Uses of Solution-Focused
This Approach to Use It with Others? 368 Strategies 404
Models and Techniques of Practice 369 Utilization with Minors 404
The Task-Centered Model 369 Application of Solution-Focused Approach with Diverse
Tenets of the Task-Centered Approach 369 Groups 405
Theoretical Framework of the Task-Centered Solution-Focused Procedures and Techniques 405
Model 369 Strengths and Limitations of the Approach 407
Evidence Base and Use of the Task-Centered Case Management 410
Model 370 Tenets of Case Management 411
Utilization of the Task-Centered Model with Standards of Case Management Practice 411
Minors 370 Empirical Evidence of Case Management 412
Application of the Task-Centered Model with Diverse Case Management Functions 412
Groups 370 Case Managers 413
Procedures of the Task-Centered Model 371 Strengths and Limitations 415
Developing General Tasks 371 Trauma-Informed Care: An Overview of Concepts,
Developing Specific Tasks 372 Principles, and Resources 416
Task Implementation Sequence 374 Defining Trauma 416
Failure to Complete Tasks 379 The Effects of Trauma 416
Monitoring Progress 381 Prevalence of Trauma: What Is Known 417
Strengths and Limitations of the Task-Centered Trauma-Informed Care 417
Model 381 Six Key Principles of a Trauma-Informed Approach and
The Crisis Intervention Model 382 Trauma-Informed Care 418
Tenets of the Crisis Intervention Equilibrium The Need for a Trauma-Informed Service
Model 382 Approach 418
Definition of Crisis 382 Evidence of the Approach 419
Crisis Reactions and Stages 383 Implications for Social Work Practice 419
Duration of Contact and Focus 384 Trauma-Informed Resources 420
Intervening with Minors 384 Summary 420
Benefits of a Crisis 385 Competency Notes 420
Theoretical Framework of Crisis Intervention 385 Skill Development Exercises in Planning and Implementing
Evidence Base and Use of Crisis Intervention 386 Change-Oriented Strategies 421
Application of Crisis Intervention with Diverse
Groups 386 Note 422
Procedures of Crisis Intervention 387
Strengths and Limitations of the Strategy 391 CHAPTER 14
Cognitive Restructuring 391 Developing Resources, Advocacy, and Organizing
Theoretical Framework 391 as Intervention Strategies . .. . . . . . . . . . . . . . . . . .423
Tenets of Cognitive Behavioral Therapy and Cognitive Social Work’s Commitment 424
Restructuring 392 Defining Macro Practice 424
Cognitive Distortions 392
Cognitive Schemas 394 Linking Micro and Macro Practice 424
Empirical Evidence and Uses of Cognitive Macro Practice Intervention Strategies 425
Restructuring 395 Theories and Perspectives 426
Using Cognitive Restructuring with Minors 395 Empowerment and Strengths 427
Applying Cognitive Restructuring with Diverse Selecting a Strategy 427
Groups 396 General Assessment Questions 427
Contents xi
Developing and Mobilizing Resources 431 Modifying Communication Patterns 473

Determining and Documenting Needs 432 Modifying Family Rules 475
Developing Resources with Diverse Groups 433 Modifying Family Alignments and Hierarchy 477
Mobilizing Community Resources 433 Summary 483
Engaging in Advocacy and Social Action 434 Competency Notes 483
Case and Cause Advocacy 435
Skill Development Exercises in Enhancing Family
Advocacy and Social Action Defined 435
Functioning and Relationships 483
Indications for Advocacy or Social Action 435
Competence and Skills for Social Action 436
Ethical Principles for Social Action and
Advocacy 436 CHAPTER 16
Techniques and Steps of Advocacy and Social Intervening in Social Work Groups . . . . . . . . . . . . .484
Action 437
Stages of Group Development 485
Improving the Organizational Environment 438
Stage 1. Preaffiliation: Approach and Avoidance
Organizational Policies or Practices and Staff
Behavior 485
Behavior That Fail to Promote Client Dignity
Stage 2. Power and Control: A Time of Transition 486
and Worth 440
Stage 3. Intimacy: Developing a Familial Frame of
Promoting Dignity and Worth 442
Reference 487
Institutionalized Racism and Discrimination 443
Stage 4. Differentiation: Developing Group Identity and
Cultural Competence at the Organizational Level 444
an Internal Frame of Reference 488
Engaging in Community Organization 446 Stage 5. Separation: Breaking Away 489
Models and Strategies of Community Intervention 447
The Leader’s Role Throughout the Group 490
Steps and Skills of Community Intervention 449
Ethical Issues in Community Organizing 450 Interventions Throughout the Life of the Group 491
Social Media as a Resource for Social Advocacy and Fostering Cohesion 491
Community Organizing 451 Addressing Group Norms 491
Intervening with Members’ Roles 492
Macro Practice Evaluation 451
Attending to Subgroup Structure 493
Summary 452 Using the Leadership Role Purposefully 493
Competency Notes 452 Attending to Group and Individual Processes 494
Skill Development Exercises in Developing Resources, Stage-Specific Interventions 494
Advocacy, and Organizing as Intervention Interventions in the Preaffiliation Stage 495
Strategies 454 Interventions in the Power and Control Stage 498
Interventions in the Intimacy and Differentiation
Stages 502
CHAPTER 15 Interventions in the Termination Stage 503
Enhancing Family Functioning and Errors in Group Interventions 505
Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .455 Variations in Social Work with Groups 506
Single-Session Groups 506
Intervention Approaches with Families 456
Technology-Mediated Groups 507
Family Engagement 456
Interventions with Task Groups 508
Who Should Participate? 457
Preaffiliation 508
Cultural Perspectives on Engagement 458
Power and Control 509
Orchestrating the Initial Family or Couple Session 461 Working Phase 509
Family Interventions 466 Termination Phase 510
First-Order Change Strategies 467 Summary 510
Problem-Solving Approaches 467 Competency Notes 510
Skills Training 469
Skill Development Exercises in Group Interventions 511
Contingency Contracting 470
Second-Order Change Strategies 471
Modifying Misconceptions and Distorted Modeled Social Worker Responses 511
Cognitions 471 Note 511
xii Contents
CHAPTER 17 Motivating Change 556

Additive Empathy, Interpretation, and Overcoming Resistance 556
Confrontation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .512 Reactance Theory 557
Change Strategies 558
The Meaning and Significance of Client
Motivational Interviewing 558
Self-Awareness 512
Guiding Principles of Motivational Interviewing 559
Additive Empathy and Interpretation 513 Positive Connotation 561
Deeper Feelings 515 Redefining Problems as Opportunities for Growth 561
Underlying Meanings of Feelings, Thoughts, Therapeutic Binds 562
and Behavior 516
Summary 563
Wants and Goals 517
Hidden Purposes of Behavior 517 Competency Notes 563
Challenging Beliefs Stated as Facts 517 Skill Development Exercises in Managing Relational
Unrealized Strengths and Potentialities 518 Dynamics 564
Guidelines for Employing Interpretation and Additive Skill Development Exercises in Managing Relational
Empathy 519 Reactions and Opposition 565
Confrontation 520
Self-Confrontation 524
Assertive Confrontation 524
PART 4
Guidelines for Employing Confrontation 525 THE TERMINATION PHASE . . . . . . . . . . . . . 567
Indications for Assertive Confrontation 527
CHAPTER 19
Summary 529
The Final Phase: Evaluation and Termination . . . .568
Evaluation 568
Skill Development Exercises in Additive Empathy and
Outcomes 569
Interpretation 529
Process 570
Skill Development Exercises in Confrontation 531 Satisfaction 571
Note 534 Hybrid Models 572
Termination 572
CHAPTER 18 Types of Termination 573
Managing Barriers to Change . . . . . . . . . . . . . . . . . .535 Understanding and Responding to Clients’ Termination
Reactions 577
Barriers to Change 535 Social Workers’ Reactions to Termination 580
Relational Dynamics 536 Consolidating Gains and Planning Maintenance
The Importance of Reciprocal Positive Feelings 536 Strategies 580
Steps to Take to Reduce the Risk of Negative Relational Follow-Up Sessions 581
Dynamics 537 Ending Rituals 582
Under- and Overinvolvement of Social Workers with
Summary 583
Clients 538
Burnout, Compassion Fatigue, and Vicarious Competency Notes 583
Trauma 542 Skill Development Exercises in Evaluation and
Reactions of Clients: Assessing Potential Barriers and Termination 584
Intervening 543 Notes 584
Pathological or Inept Social Workers 544
Cross-Racial and Cross-Cultural Barriers 545
Difficulties in Establishing Trust 549 Bibliography . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .585
Transference Reactions 550 Author Index . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .625
Managing Countertransference Reactions 554 Subject Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .637
Realistic Practitioner Reactions 555
Sexual Attraction toward Clients 556
Preface
When we, your authors, teach BSW and MSW stu- As in previous editions, the text and supporting
dents, we are often confronted with the question materials explicitly integrate the related video content,
“What should I do if … ?” The easy (and usually cor- allowing instructors to use the video materials for in-
rect) answer is “It depends.” How a social worker class or homework activities. Adjustments in design
responds in any given situation depends on a variety and content clearly link the text to student skill develop-
of factors: the setting in which he or she is working, ment and core competencies specified by CSWE and
the client, the nature of the helping relationship that EPAS (2015). We describe how to construct SOAP
has developed, the advantages and disadvantages of notes to assist quality planning and recording of prac-
any given action or choice, and so on. tice. Students and practitioners have been confused
We wrote this book to help answer the “it about the use of various terms to describe responses
depends”—to equip you with the knowledge and criti- that are sensitive to client content and emotion. Sensi-
cal thinking to weigh the factors involved in decisions tive to the current widespread use of the term “reflec-
throughout the helping process, both as a student social tion,” we now use “reflection of emotion” to describe the
worker and as a professional. At first, that process can previous term and “paraphrasing” and “reflection of
seem cumbersome. It can be difficult to digest all this content” to add dimension to the previous global term
new information and recall it as needed during client “reflection.” Additional content has been added on inti-
interactions. This learning process involves becoming mate partner violence and work with military families.
acquainted with the concepts in this book, understand- Practice guidelines are now designed to be less adult-
ing the pros and cons of various choices, becoming centric and include more appropriate guidance for inter-
familiar with the different variables that affect practice, viewing children and adolescents. We continue to seek
and using this knowledge and these skills in supervi- guidelines for practices that are responsive to diversity.
sion, in work with colleagues and classmates, and in
practice with clients.
As social workers ourselves, we have the utmost
THE STRUCTURE OF THE TEXT
respect for the complexity of the work, the power that The book has four parts. Part 1 introduces the reader to
professionals hold, and the grave situations in which the social work profession and direct practice and pro-
we are entrusted to help others. In this text, we have vides an overview of the helping process, including core
tried to provide you with a foundation to practice competencies, the role of evidence-based practice, the
with excellence and integrity in this vital profession. domains and roles of social work, and the elements of
We write this in a context in which many clients of ethical practice.
color are fearful about the values and motives of Part 2 presents the beginning phase of the helping
authorities, whether they be police or social service process, and each chapter includes examples from the
workers. Skills taught in the text include ways to listen videotapes developed for the text. It addresses strategies
effectively, share power, and pursue social justice. and skills for building relationships, providing direc-
An additional context is practice with clients that is tion and focus in interviews, avoiding common com-
trauma informed, and we consider contemporary munication errors, and substituting better options.
services to LGBTQ clients, military families, and Subsequent chapters in this section address problem
emerging immigrant populations, among others. The and strengths exploration, theories and techniques for
book also includes the context of the Affordable individual, family, and group assessment, and the pro-
Care Act. cesses involved in goal setting.
xiii
xiv Preface
Part 3 presents the middle, or goal attainment, established by the Council on Social Work Education
phase of the helping process. It describes change- (CSWE). Our intent is to facilitate programs’ ability to
oriented strategies, including updated material on link content provided in this textbook with expecta-
task-centered, crisis intervention, cognitive restructur- tions for student learning and accomplishment. As is
ing, and solution-focused approaches to practice, large- true in almost all learning, students must acquire
systems change, advocacy, case management, family knowledge before they are expected to apply it to prac-
practice, and group work. Readers learn advanced com- tice situations.
munication and intervention techniques and common CSWE has identified nine core compe-
social worker and client barriers to change. tencies that are critical for professional
Part 4 deals with the final phase of the helping practice (CSWE, 2015). For clarity, we
process, incorporating material on evaluating and ter- have alphabetized in lowercase the practice
minating social work relationships in an array of behaviors under each competency. “Help-
circumstances. ing Hands” Icons located within paragraphs clearly
show the linkage between content in the textbook and
ALTERNATIVE CHAPTER ORDER specific practice behaviors and competencies. Each icon
is labeled with the specific competency that relates
This book has been structured around phases of prac- directly to the content conveyed in the paragraph. For
tice at systems levels ranging from individual to family example, an icon might be labeled EP [Educational
to group to macro practice. Some instructors prefer to Policy] 1, which is the competency “Demonstrate ethi-
teach all content about a particular mode of practice in cal and professional behavior” (CSWE, 2015). Accre-
one block. In particular, those instructors whose courses dited social work programs are required to demonstrate
emphasize individual contacts may choose to present that students have mastered all practice behaviors for
chapters in a different order than we have organized competence as specified in the EPAS. (Please refer to
them (see Table 1). They may teach content in Chapters www.cswe.org for the EPAS document.)
5–9, skip ahead to Chapters 12 and 13, and then delve Corresponding to each icon, “Competency Notes”
into Chapters 17 and 18. Similarly, family content can at the end of each chapter explain the relationship
be grouped by using Chapters 10 and 15 together, and between chapter content and CSWE’s competencies.
group content by using Chapters 11 and 16 together. A summary chart of the icons’ locations in all chapters
We have presented the chapters in the book in the cur- and their respective competency or practice behavior is
rent order because we think that presentation of inter- placed in the front matter of the book.
vention by phases fits a systems perspective better than A new Practice Behaviors Workbook is available to
beginning with a choice of intervention mode. instructors and students through MindTap. This work-
book includes exercises that provide students with
TABLE 1 Organization of Chapters opportunities to develop the practice behaviors in class
by Mode of Practice or as part of their homework, facilitating their mastery
over practical aspects of social work and minimizing the
MODE OF PRACTICE
need for programs to develop additional assessments.
Across levels Chapters 1–4, 19
Individual Chapters 5–9, 12, 13, 17, 18
Family Chapters 10, 15
Group Chapters 11, 16
NEW FEATURES AND RESOURCES
Macro Chapter 14 FOR THE 10TH EDITION
The 10th edition continues to integrate many videos,
demonstrating cross-cultural practice, engagement with
The Empowerment Series: Relationship an adolescent, sessions from the middle of the helping
with the Educational Policy Statement process, and motivational interviewing.
and Accreditation Standards (EPAS), and
Professional Competencies Chapter 1
This book is part of the Cengage Learning Empower- In this chapter we included an updated presentation of
ment Series and addresses accreditation standards evidence-based practice, reframed the presentation of
Preface xv
social work challenges to opportunities, revised the discuss self-awareness and self-correction when errors
values section, and presented the case study more are noticed. We added double-barreled questions and
quickly in the chapter. We included a link to a George cognitive bias to the list of counterproductive patterns
Will article commenting on an earlier version of the text. of communication.
Chapter 2 Chapter 8
We included more details to explain the social work Chapter 8 has been updated to include a more compre-
practice framework. A brief discussion of the micro, hensive section addressing the treatment of children
mezzo, and macro systems is included, and we added and adolescents as well as a section highlighting impor-
a comment on technology in social work. We added to tant changes from DSM-4 to DSM-5.
the definition of clinical social work practice and direct
social work practice and added more detail to the dis- Chapter 9
cussions of social work roles.
Chapter 9 now includes greater detail regarding the col-
lection of data for developmental assessments as well as
Chapter 3 additional examples of assessments and documentation.
Concepts were added pertaining to cultural compe- In addition, the issue of elder misuse of drugs is addressed
tence throughout the chapter. For example, interior and changes from DSM-4 to DSM-5 are discussed.
decorations that are sensitive to diverse populations
are discussed in the section on physical conditions of Chapter 10
the interview. Chapter 10 has been reorganized and adds new content
that will help social work students integrate family
Chapter 4 systems assessments into their practice. It includes
This chapter features extra attention to the mainte- expanded attention to self-awareness and practice with
nance of professional boundaries in online contexts diverse families and a detailed articulation of a family
and the importance of professional self-awareness and systems framework for assessment of family strengths
self-regulation. Ethics in cases of interpersonal violence and adaptive capacity. The chapter closes with a descrip-
and other challenging venues have been added. tion of three assessment strategies, including the use of
circular questions, genograms, and standardized assess-
ment scales.
Chapter 5
The empathy scale was revised to reflect a bottom level Chapter 11
for “no empathy demonstrated.” The list of affective
words was modified to make it more contemporary. This edition features expanded examples of group types
Recent theory and research on empathy was included, and a deeper discussion of task groups. A new section
and guidelines for self-disclosure were revised. has been added to address single-session groups. Other
sections have been streamlined, and contemporary
issues, such as the use of devices in sessions and online
Chapter 6 contact outside of group, have been included.
Use of the term “reflection” was expanded to include
both reflection of emotion and reflection of content, Chapter 12
replacing the former term “paraphrasing.” There is
more content aimed at interviewing children and ado- Chapter 12 discusses the purpose and function of goals
lescents. Guidelines for interviewing include expanded and the process involved in goal development with vol-
attention to strengths and resources. untary clients, involuntary clients, and minors. General
and specific tasks or objectives are discussed as instru-
mental strategies for goal attainment. Revisions include
Chapter 7 the use of video and case examples to demonstrate the
This chapter now includes a short discussion on the process of developing goals. Each example demon-
importance of putting away cell phones in the section strates the link between goals and a target, and the
on nonverbal behaviors. Throughout the chapter we subsequent development of general and specific tasks.
xvi Preface
Sample contracts are provided, and methods for moni- groups, and more detailed coverage of technology and
toring and measuring the progress and outcome of groups.
goals are discussed.
Chapter 17
Chapter 13
This chapter links to earlier coverage of empathy and
Chapter 13 provides students with comprehensive includes a review of new research on empathy. It adds
knowledge and skills of evidence-based intervention cultural bias as a barrier to interpretation. Many exam-
strategies and procedures. Case and video case examples ples have been revised and adapted, including new skill
illustrate the application of each strategy. Trauma- development examples. The decision about when inter-
informed care and its principles and importance in pretation is appropriate has been clarified.
work with clients is introduced in this edition. The fit
between trauma-informed care and the values and prin-
Chapter 18
ciples of social work practice is discussed. Resources
intended to further knowledge and understanding of Chapter 18 makes use of case examples to identify and
the prevalence of client trauma are presented at the resolve relations dynamics between the social worker
end of the chapter. and clients. A video case example demonstrates moti-
vational interviewing as a strategy to assist clients in
Chapter 14 the change effort.
Chapter 14 provides a condensed foundation for under-
standing macro practice. Micro to macro assessment Chapter 19
questions and problem-solving strategies are empha- This chapter has new sections on avoiding treatment
sized, as is the connection between micro and macro dropouts, endings in short-term therapy such as crisis
concerns. Case examples illustrate the shift from case and single-session services, and the effects of endings
to cause in social work practice with diverse clients on students. There is also information on practical,
and target problems. A social justice lens is adopted in hybrid models of evaluation that can be adopted in
this chapter as a framework for understanding social an array of agency settings.
work advocacy efforts. New content in this chapter con-
siders the social worker’s role as a policy advocate, in
which the macro-level change effort focuses on organi- INSTRUCTOR ANCILLARIES
zation practices and policies that influence the environ- MindTap
ment experienced by clients.
MindTap for Direct Social Work Practice: Theory and
Skills engages and empowers students to produce their
Chapter 15
best work—consistently. By seamlessly integrating
Chapter 15 was revised to conceptualize social work with course material with videos, activities, apps, and
families in the diverse settings in which social workers much more, MindTap creates a unique learning path
routinely encounter families, in addition to traditional that fosters increased comprehension and efficiency.
family therapy settings and programs. Moreover, the For students:
chapter presents intervention skills that are at the heart
of most contemporary evidence-based approaches to ● MindTap delivers real-world relevance with activi-
social work with families. Interventions are organized ties and assignments that help students build criti-
into first- and second-order change strategies, and new cal thinking and analytic skills that will transfer to
content was included to support skill-training interven- other courses and their professional lives.
tions, as well as to emphasize the continuity between ● MindTap helps students stay organized and effi-
intervention strategies presented in earlier chapters and cient with a single destination that reflects what’s
their application to social work with families. important to the instructor, along with the tools
students need to master the content.
Chapter 16 ● MindTap empowers and motivates students with
This chapter has been more closely integrated with information that shows where they stand at all
Chapter 11. It has an expanded and reorganized section times—both individually and compared to the
on task groups, a new section on single-session highest performers in class.
Preface xvii
Additionally, for instructors, MindTap allows Online PowerPoint

® ®
you to:
These vibrant Microsoft PowerPoint lecture slides
for each chapter assist you with your lecture by provid-
● Control what content students see and when they
ing concept coverage using images, figures, and tables
see it with a learning path that can be used as is or
directly from the textbook.
matched to your syllabus exactly.
● Create a unique learning path of relevant readings,
multimedia, and activities that move students up
the learning taxonomy from basic knowledge and ACKNOWLEDGMENTS
comprehension to analysis, application, and criti- We want to express our thanks and admiration for
cal thinking. Dean Hepworth, a social work educator and the first
● Integrate your own content into the MindTap author of this text, for his inspiration and example in
Reader using your own documents or pulling developing a text that would help students become
from sources like RSS feeds, YouTube videos, web- more effective practitioners.
sites, Google Docs, and more. In addition, we want to thank the following collea-
● Use powerful analytics and reports that provide a gues for their help in providing useful comments and
snapshot of class progress, time in course, engage- suggestions. We have been supported by members of
ment, and completion. our writers’ groups, including Laurel Bidwell, Mike
Chovanec, Elena Izaksonas, Kari Fletcher, Catherine
In addition to the benefits of the platform, Mind- Marrs Fuchsel, Lance Peterson, Pa Der Vang, and
Tap for Direct Social Work Practice: Theory and Skills Nancy Rodenborg. Research assistants Aileen Aylward
includes: and Alyssa Ventimiglia Elliott conducted comprehen-
sive literature reviews, tracked bibliographic changes,
● Helper Studio, an interactive video case in which and reviewed drafts with keen eyes. We also want to
students respond as if they were the social worker. thank Miriam Itzkowitz, Richard Coleman, Mary Vang
● Video examples demonstrating skills and concepts Her, Michele Gricus, and Hugh Armstrong for their
presented in the text. roles in creating new videos for the textbook. Finally,
● Case studies to help students apply chapter we are grateful to our students—the users of this text—
content. and social workers in the field for their suggestions,
case examples, and encouragement.
Online Instructor’s Manual This edition could not have been completed with-
The Instructor’s Manual (IM) contains a variety of out the support, inspiration, and challenge of our col-
resources to aid instructors in preparing and presenting leagues, friends, and families, including George
text material in a manner that meets their personal Gottfried, Lola Dewberry, and Chris Rooney. We
preferences and course needs. It presents chapter- want to remember in this edition Louis DuBary,
by-chapter suggestions and resources to enhance and Glenda’s brother, a social worker who spent his career
facilitate learning. as an advocate for youth both as a professional and as a
volunteer.
Online Test Bank Finally, we want to express special appreciation to
For assessment support, the updated test bank includes Julie Martinez, Shannon LeMay-Finn, Jitendra Kumar,
true/false, multiple-choice, matching, short answer, and and the rest of the team from Cengage for their respon-
essay questions for each chapter. siveness, support, expertise, and patience.
About the Authors
Dean H. Hepworth is Professor Emeritus at the School of Social

Work, Arizona State University, Tempe Arizona, and the University
of Utah. Dean has extensive practice experience in individual psycho-
therapy and marriage and family therapy. Dean was the lead author
and active in the production of the first four editions, and he is
the co-author of Improving Therapeutic Communication. He is now
retired and lives in Phoenix, Arizona.
Ronald H. Rooney is a Professor at the School of Social Work, Uni-

versity of Minnesota. Dr. Rooney is also the author of Strategies for
Work with Involuntary Clients. His experience includes practice, con-
sultation, and training in child welfare and work with involuntary
clients. He has made international presentations in Canada, Great
Britain, Holland, Korea, Taiwan, and Australia.
Glenda Dewberry Rooney is a Professor Emeritus, Department of

Social Work, Augsburg College, Minneapolis, Minnesota. She taught
undergraduate and graduate direct practice courses, ethics, research,
and organization and administration. Her practice experience
includes child welfare, mental health, and work with families and chil-
dren. In addition to her practice experience, she has been involved
with agencies concerned with children, youth, and families as a
trainer and as clinical, program, and management consultant, and in
community-based research projects. Active in retirement, Dr. Rooney continues as an
advocate for child welfare policies and practices that strengthen and support children and
families. She was one of the statewide leaders involved with the education efforts and
enrollment periods of the Affordable Care Act.
Dr. Kim Strom-Gottfried is the Smith P. Theimann Jr. Distinguished

Professor of Ethics and Professional Practice at the UNC–Chapel Hill
School of Social Work. Dr. Strom-Gottfried teaches in the areas of
direct practice, higher education, and management. Her scholarly
interests involve ethics, moral courage, and social work education.
She is the author of Straight Talk about Professional Ethics, The Ethics
of Practice with Minors, and the forthcoming book Cultivating Cour-
age. Dr. Strom-Gottfried is also the coauthor of the texts Best of
Boards and Teaching Social Work Values and Ethics: A Curriculum Resource.
xix
xx About the Authors
Craig Schwalbe, MSW, PhD, is an Associate Professor and Associate

Dean for Academic Affairs at the Columbia University School of
Social Work. Dr. Schwalbe began his career with more than 10
years of direct practice in child welfare and mental health agency set-
tings. His current scholarship focuses on the development of
evidence-based strategies to foster successful juvenile justice interven-
tions on behalf of court-involved youths. He was the recipient of the
William T. Grant Scholars award in 2009, which funded a study of
success and failure on probation, and co-led a UNICEF-funded international development
effort to design and implement juvenile diversion programs for delinquent youths in
Jordan. His current scholarship promotes community-based alternatives to detention and
incarceration for adolescent juvenile offenders.
Pa Der Vang, PhD, is an Assistant Professor in the St. Catherine
University/St. Thomas University School of Social Work in St. Paul,
Minnesota. She earned her master’s and PhD in Social Work from the
University of Minnesota–Twin Cities. Her area of research involves
refugees and immigrants. Her area of teaching is primarily direct
practice with individuals, families, and groups.
Caroline B. R. Evans is a Research Associate at the University of

North Carolina at Chapel Hill. She is currently working on a federally
funded youth violence prevention initiative. Her practice experience
includes extensive work with the Latino/Hispanic population in a hos-
pital setting and in various outpatient community mental health set-
tings. She has also worked with children and adolescents involved
with the juvenile court system.
PART 1
Introduction
1 The Challenges and Opportunities of Social Work
2 Direct Practice: Domain, Philosophy, and Roles
3 Overview of the Helping Process
4 Operationalizing the Cardinal Social Work Values
Part 1 of this book provides you with a background of concepts, values, historical
perspectives, and information about systems. This information will, in turn, prepare
you to learn the specific direct practice skills described in Part 2.
Chapter 1 introduces you to the social work profession; explains its context, mis-
sion, purposes, and values; and describes how systems perspectives can guide you in
conceptualizing your work.
Chapter 2 elaborates on the roles played by social workers, including the distinc-
tions made between clinical and direct social work practice, and presents a philosophy
of direct practice.
Chapter 3 offers an overview of the helping process, including exploration, imple-
mentation, and termination.
Finally, Chapter 4 introduces the cardinal values and ethical concerns underlying
social work.
CHAPTER
1
The Challenges and
Opportunities of Social Work
Chapter Overview outcome performance (CSWE, 2014). The goal of

aligning social work education to such competencies
This chapter presents a context for social work is that social workers will be self-reflective, value
practice. After completing this chapter, you will be guided, and able to think critically while utilizing
able to: knowledge and skills. The following are the
● Understand the context, mission, and purposes competencies we cover in this chapter:
and opportunities of social work services. ● Competency 1: Demonstrate Ethical and
● Identify the value perspectives that guide social Professional Behavior
workers. ● Competency 2: Engage Diversity and Difference
● Appreciate the role of systems and ecological in Practice
concepts for understanding the interaction of ● Competency 3: Advance Human Rights and Social,
individuals and families with their environments. Economic, and Environmental Justice
● Describe competencies that you will be expected ● Competency 4: Engage in Practice-Informed
to achieve in your academic career. Research and Research-Informed Practice
● Reflect on our perspective on diversity that will ● Competency 5: Engage in Policy Practice
guide how we present issues.
● Competency 6: Engage with Individuals, Families,
Groups, Organizations, and Communities
EPAS Competencies in Chapter 1 ● Competency 7: Assess Individuals, Families,
This chapter will provide you with the information Groups, Organizations, and Communities
you need to meet several Educational Policy and ● Competency 8: Intervene with Individuals, Families,
Accreditation Standards (EPAS) competencies—a set Groups, Organizations, and Communities
of nine standards or competencies centered on an ● Competency 9: Evaluate Practice with Individuals,
educational format that prescribes attention to Families, Groups, Organizations, and Communities
C H A P T E R 1 / The Challenges and Opportunities of Social Work 3
THE CONTEXT OF SOCIAL WORK with a case example that highlights several aspects of
social work practice and provides the context for con-
Let’s start our discussion of social work by examining cepts we will introduce in the chapter.
the context of the profession. Social work seeks to pro- Many social workers practice in set-
mote human and community well-being, enhance tings, such as schools, where they perform
quality of life, and promote social and economic justice dual roles, protecting both the community
and the elimination of poverty (EPAS, 2015). Toward at large and vulnerable individuals, in addi-
these objectives, social work practice includes both tion to playing other supportive roles EP 2, 3, 6, 7,
opportunities and challenges for assisting individuals, (Trotter, 2006). No matter where they are and 8
families, groups, organizations, and communities. employed, social workers are influenced
These opportunities and challenges exist in a context by the social work value of self-determination for their
that has been relatively stable over time but has also clients. For this reason, in addition to exploring school
changed in the recent past. For example, many social attendance issues with Mrs. Ramirez and her children,
workers continue to practice with clients at the lower Tobias addressed Mrs. Ramirez’s other concerns.
levels of the social economic ladder, although those cli- Of course, social workers are not the only helping
ents now have access to the Patient Care and Afford- professionals who provide direct services to clients in
able Care Act (PCACA), commonly known as need. They have a special interest, however, in helping
Obamacare. Meanwhile, long-lasting concerns among empower members of oppressed groups (Parsons,
African Americans about whether police act more to 2002). Indeed, as a profession, social workers are com-
serve them or harass them now exist in a context in mitted to the pursuit of social justice for poor, disad-
which FBI Director James Comey has acknowledged a vantaged, disenfranchised, and oppressed people
legacy of poor treatment of African Americans by (Carniol, 1992; Finn & Jacobson, 2003; Marsh, 2005;
police and unconscious bias, recognizing that poverty Pelton, 2001; Van Wormer, 2002). In this case, in addi-
and educational gaps often bring that community and tion to seeing his client, Mrs. Ramirez, as a parent
police together in dangerous circumstances (Comey, struggling with school attendance issues, Tobias also
2015). In addition, differences of opinion remain saw her as a client experiencing challenges possibly
regarding same-sex marriage, while at the same time related to issues in the United States surrounding
more and more states made it legal within their bor- undocumented immigrants (Cleaveland, 2010; Padilla
ders, and the Supreme Court has now established it as a et al., 2008). Interestingly, a law passed by the U.S.
right in all states. A national resolution of a debate House of Representatives in 2005, but not in the Sen-
about the proper role of immigration has still not ate, would have made it a crime for service providers
occurred, creating challenges for social workers who such as Tobias to assist undocumented immigrants.
provide services to people who are undocumented. However, according to the National Association of
Meanwhile, social work practice continues to be Social Workers (NASW) Immigration Toolkit
provided in organizational and resource settings that (NASW, 2006, p. 4), “the plight of refugees and immi-
are fraught with limitations. In addition, social workers grants must be considered on the basis of human
work in many different settings—governmental agen- values and needs rather than on the basis of an ideo-
cies, schools, health care centers, family and child logical struggle related to foreign policy.” The contrast
welfare agencies, mental health centers, business and between these two positions suggests that social work-
industry, correctional settings, and private practices, to ers grapple with issues of social justice in their everyday
name a few. Social workers also work with people of all practice. As a social worker, Tobias obviously could not
ages, races, ethnic groups, socioeconomic levels, reli- personally resolve the uncertain situation of undocu-
gions, sexual orientations, and abilities. Social workers mented immigrants. However, he could work with
themselves variously describe their work as rewarding, Mrs. Ramirez and local health institutions to explore
frustrating, satisfying, discouraging, stressful, and, most possible solutions to her problems.
of all, challenging (Pooler, Wolfer, & Freeman, 2014). Note that in this case example, Mrs. Ramirez did
Clearly, the context of social work presents both not seek assistance herself. Rather, she was referred by
challenges and opportunities. This book will assist school staff because of her children’s poor school atten-
you in developing practice skills, values, and knowledge dance. She would therefore be referred to as a legally
so that you can be helpful to individuals, families, and mandated client who receives services under the threat
groups in any social work setting. This chapter begins of a court order. Those clients who themselves apply for
4 PART 1 / Introduction
CASE EXAMPLE
Marta Ramirez was referred to child welfare services perspective on school attendance. He explained
because her two elementary-school-age children that child welfare workers are called on to assist fam-
had more than seven days of unexcused absences ilies in having their children educated. He also asked
from school during the term, the standard for edu- about how things were going for Mrs. Ramirez and
cational neglect in her state. When Tobias, a child her family in their community. In doing so, Tobias
welfare social worker, met with Mrs. Ramirez, he explained his dual roles of (1) responding to the
found that the children had missed similar amounts law violation by statute and (2) helping families
of time when they had lived in another state. There address issues of concern to them.
had not been earlier investigations, however, as Mrs. Ramirez acknowledged that her children’s
legal standards for educational neglect were differ- school attendance had been sporadic. She attrib-
ent in the previous state. Mrs. Ramirez noted that uted this to their illnesses, their feeling unwelcome
her children had been frequently ill with “flu and in the school, and her own health difficulties that
asthma.” She also said that the children did not feel inhibited her in getting the children ready for
comfortable at the school, and they felt that the school.
teachers were mean to them because they were Tobias asked Mrs. Ramirez if she would like
Hispanic. In addition, Mrs. Ramirez had sustained a to receive assistance in problem solving, both
work-related back injury that limited her ability to about how to get her children to school and
get out of bed some mornings. As an undocu- how to help them have a better educational expe-
mented immigrant, Mrs. Ramirez was ineligible for rience there. In addition, although health issues
the surgery she needed. Finally, she acknowledged were not served directly by his child welfare
experiencing depression and anxiety. agency, Tobias offered to explore linkages with
Tobias shared with Mrs. Ramirez the reason the medical field to address Mrs. Ramirez’s health
for the referral under statute and asked for her and depression concerns.
services are referred to as voluntary clients. Many Such assessments also seek to reveal strengths and
potential clients, including those like Mrs. Ramirez, potential resources. For example, Mrs. Ramirez’s
become more voluntary if their own concerns are potential strengths and resources include her determi-
explicitly addressed as part of the social work assess- nation that her children have a better life than their
ment. Many potential clients fall between the two parents, as well as other community and spiritual sup-
extremes of legally mandated and voluntary clients, as port systems, both locally and in her home country of
they are neither legally coerced nor seeking a service Mexico. Those potential resources must be assessed in
themselves (Trotter, 2006). These potential clients, the context of challenges, both internal and external,
who often experience nonlegal pressures from family such as the lack of a health care safety net for undocu-
members, teachers, and referral sources, are known as mented immigrants and Mrs. Ramirez’s own medical
nonvoluntary clients (R. H. Rooney, 2009). and psychological concerns.
With each type of client (legally man-
dated, voluntary, and nonvoluntary), social
work assessments include three facets:
THE MISSION OF SOCIAL WORK
EP 7 1. Exploration of multiple concerns The perspectives taken by social workers in their pro-
expressed by potential clients fessional roles will influence how their clients’ concerns
2. Circumstances that might involve legally man- are conceptualized and addressed. According to the
dated intervention or concerns about health or NASW, “the primary mission of the social work pro-
safely fession is to enhance human well-being and help meet
3. Other potential problems that emerge from the the basic human needs of all people with particular
assessment attention to the needs and empowerment of people
who are vulnerable, oppressed, and living in poverty” In 2007, the columnist George Will and a group of
(NASW, 2008a). The International Federation of Social conservative scholars charged that the NASW social
Workers (IFSW) defines the purpose of social work as work Code of Ethics, as well as the authors of a previ-
including the promotion of social change and the ous edition of this book, prescribed political orthodoxy
empowerment and liberation of people to enhance in violation of freedom of speech and in opposition to
well-being (IFSW, 2000, p. 1). Comparisons of the mis- critical thinking (NASW, 2007; Will, 2007). While sup-
sion of social work in the United States to the interna- port for social and economic justice as national priori-
tional definition note the shared focus on marginalized ties ebbs and flows in the U.S. political landscape, the
peoples and empowerment but add an emphasis on social work profession supports these goals at all times
global and cultural sensitivity (Bidgood, Holosko, & as part of its core mission. It is not relevant to the
Taylor, 2003). profession whether the political majority in such
In this book, we will delineate the core elements times label themselves as liberal, conservative, green,
that lie at the heart of social work wherever it is prac- independent, or otherwise. Social workers ally with
ticed. These core elements can be classified into two those political groups that benefit the oppressed groups
dimensions: purposes of the profession and core com- who form their core constituencies. Social workers
petencies, where core competencies include character- therefore seek to promote social and economic justice
istic knowledge, values, and practice behaviors (CSWE, for both Americans and immigrants with or without
2015, p. 1). Let’s now turn to the purposes of social documentation. As such, in our case example, the pre-
work and the nine core competencies. vention of conditions that limit human rights and qual-
ity of life guides Tobias to take seriously the allegation
that Mrs. Ramirez and her family have not been made
THE PURPOSES OF SOCIAL to feel welcome at the school. Indeed, with national
priorities of raising testing scores for reading and writ-
WORK ing, attention to the needs of those who speak English
Social work practitioners help clients move toward as a second language may be in conflict with the goal of
specific objectives. The means of accomplishing those increasing test scores.
objectives, however, vary based on the unique circum- The purposes outlined also suggest that Tobias
stances of each client. Even so, all social workers share might assist Mrs. Ramirez and her family in a variety
common goals that constitute the purpose and objec- of other ways to meet their needs. Those ways include
tives of the profession. These goals unify the profession the creation of policies to find solutions to the health
and help members avoid developing narrow perspec- needs of immigrants without documents. Social work-
tives that are limited to particular practice settings. ers perform preventive, restorative, and remedial func-
To best serve their clients, social workers must be will- tions in pursuit of this purpose:
ing to assume responsibilities and engage in actions
that expand upon the functions of specific social agen- ● Prevention involves the timely provision of ser-
cies and their designated individual roles as staff mem- vices to vulnerable persons, promoting social func-
bers. For example, Tobias, the child welfare social tioning before problems develop. It includes
worker who met with Mrs. Ramirez, assessed her issues programs and activities such as family planning,
and concerns and went beyond the child protection well-baby clinics, parent education, premarital
mission of the child welfare setting. and preretirement counseling, and marital enrich-
According to the Council on Social ment programs (Pomeroy & Steiker, 2012).
Work Education (CSWE), a key compe- ● Restoration seeks to restore functioning that has
tency of the social work profession is to been impaired by physical or mental difficulties.
advance human rights and social and eco- Included in this group of clients are persons with
EP 3
nomic justice. Social justice refers to the varying degrees of paralysis caused by severe spinal
creation of social institutions that support injury, individuals afflicted with chronic mental ill-
the welfare of individuals and groups (Center for Eco- ness, persons with developmental disabilities, per-
nomic and Social Justice, n.d.). Economic justice refers sons with deficient educational backgrounds, and
to those aspects of social justice that relate to economic individuals with many other types of disability.
well-being, such as a livable wage, pay equity, nondis- ● Remediation entails the elimination or ameliora-
crimination in employment, and social security. tion of existing social problems. Many potential
clients in this category are similar to Mrs. Ramirez The values of the social work profession also
in that they are referred by others, such as the reflect strongly held beliefs about the rights of people
school system, family members, neighbors, or doc- to free choice and opportunity. They recognize the pre-
tors, who have perceived a need. ferred conditions of life that enhance people’s welfare,
ways that members of the profession should view and
In addition, the Educational Policy and Accreditation treat people, preferred goals for people, and ways in
Standards (EPAS) affirm the commitment of social which those goals should be reached. We next consider
programs to the core values of the profession: service, five values and purposes that guide social work educa-
social justice, dignity and worth of the person, impor- tion. These five values are italicized, and the content
tance of human relationships, integrity, competence, that follows each is our commentary.
human rights, and scientific inquiry (CSWE, 2015;
NASW, 2008a). 1. Social workers’ professional relationships are built
on regard for individual worth and dignity and
are advanced by mutual participation, acceptance,
confidentiality, honesty, and responsible handling of
SOCIAL WORK VALUES conflict. This value is reflected in several parts of
All professions have value preferences that the NASW Code of Ethics. The code states: “Social
give purpose and direction to their practi- workers’ primary goal is to help people in need”
tioners. Indeed, the purpose and objectives (NASW, 2008a). That is, service to others is ele-
of social work and other professions come vated above self-interest; social workers should
EP 1 from their respective value systems. Profes- therefore use their knowledge, values, and skills
sional values, however, are not separate to help people in need and to address social pro-
from societal values. Rather, professions espouse blems. The code also states that social workers
selected societal values. Society, in turn, sanctions the should “respect the inherent dignity and worth of
activities of professions through supportive legisla- the person.” Every person is unique and has inher-
tion, funding, delegation of responsibility for certain ent worth; therefore, social workers’ interactions
societal functions, and mechanisms for ensuring that with people as they pursue and utilize resources
those functions are adequately discharged. Because a should enhance their dignity and individuality,
profession is linked to certain societal values, it tends enlarge their competence, and increase their
to serve as society’s conscience with respect to those problem-solving and coping abilities.
particular values. People who receive social work services are often
Values represent strongly held beliefs about how overwhelmed by their circumstances and have
the world should be, about how people should nor- exhausted their coping resources. Many feel stressed
mally behave, and about what the preferred conditions by a multitude of problems. In addition to helping
of life are. Broad societal values in the United States are clients reduce their stress level, social workers aid
reflected in the Declaration of Independence, the Con- clients in many other ways: They help them view
stitution, and the laws of the land, which declare and their difficulties from a fresh perspective, consider
ensure certain rights of the people. In addition, societal various remedial alternatives, foster awareness
values are reflected in governmental entities and pro- of strengths, mobilize both active and latent
grams designed to safeguard the rights of people and to coping resources, enhance self-awareness, and teach
promote the common good. Interpretations of values problem-solving strategies and interpersonal skills.
and rights, however, are not always uniform. Consider, Social workers perform these functions while
for example, the heated national debates over the right recognizing “the central importance of human
of women to have abortions; the controversy over the relationships” (NASW, 2008a). Social workers
rights of gays and lesbians to enjoy the benefits of mar- therefore engage clients as partners in purposeful
riage; and conflicts between advocates of gun control efforts to promote, restore, maintain, and enhance
and those espousing individual rights. These debates the clients’ well-being. This value is reflected in yet
continue despite the fact that same-sex marriage has another Code of Ethics principle: “Social workers
now been legalized, for example. Similarly, national behave in a trustworthy manner.” This principle
concern over gun control and safety contends with suggests that social workers practice consistently
concerns over constitutional protections. with the profession’s mission, values, and ethical
standards, and that they promote ethical practices such efforts include working with citizens and
in the organizations with which they are affiliated public officials to arrange transportation to health
(NASW, 2008a). care agencies for the elderly, persons with disabil-
2. Social workers respect the individual’s right to make ities, and indigent people; developing neigh-
independent decisions and to participate actively in borhood organizations to campaign for better
the helping process. People have a right to freedom as educational and recreational programs; organizing
long as they do not infringe on the rights of others. tenants to assert their rights to landlords and
Therefore, transactions with people who are seeking housing authorities for improved housing and
and utilizing resources should enhance their inde- sanitation; and organizing support groups, skill
pendence and self-determination. Too often in the development groups, and self-help groups to assist
past, social workers and other helping professionals people in coping with difficult problems of living.
focused on “deficit, disease, and dysfunction” Social workers also frequently perform the
(Cowger, 1992). The attention currently devoted role of facilitator or enabler to enhance access to
by social workers to client empowerment and resources. For example, they may enhance com-
strengths means that social workers assist clients in munication among family members; coordinate
increasing their personal potential and political efforts of teachers, school counselors, and social
power such that clients can improve their life situa- workers in assisting troubled students; help groups
tion (Krogsrud, Miley, O’Melia, & Dubois, 2013; provide maximal support to their members; open
Parsons, 2002; Saleebey, 2006). Consistent with channels of communication between coworkers;
this value, this book incorporates an empowerment include patients or inmates in the governance of
and strength-oriented perspective for working with institutions; facilitate teamwork among members
clients. Chapter 13 focuses on skills designed to of different disciplines in hospitals and mental
enhance empowerment and capacity for indepen- health centers; and provide for consumer input
dent action. into agency policy-making boards.
3. Social workers are committed to assisting clients to 4. Social workers strive to make social institutions
obtain needed resources. The social worker’s com- more humane and responsive to human needs.
mitment to client self-determination and empow- Although many social workers primarily provide
erment is hollow if clients lack access to the direct service, they also have a responsibility to
resources necessary to overcome their problems work toward improving clients’ quality of life by
and achieve their goals (Hartman, 1993). Because promoting policies and legislation that enhance
people such as Mrs. Ramirez from our case exam- their clients’ physical and social environments.
ple often know little about available resources, For example, the problems of individuals, families,
social workers must act as brokers by referring groups, and neighborhoods can often be prevented
people to resource systems such as public legal ser- (or at least ameliorated) by implementing laws and
vices, health care agencies, child welfare divisions, policies that prohibit contamination of the physi-
mental health centers, centers for elderly persons, cal environment and enrich both physical and
and family counseling agencies. Some individual social environments. Therefore, social workers
clients or families may require goods and services should not limit themselves to remedial activities
from many different providers and may lack the but rather should seek out causes of problems and
language facility, physical or mental capacity, sponsor or support efforts aimed at improving
experience, or skills needed to avail themselves of their clients’ environments.
these goods and services. Social workers then may 5. Social workers engage diversity and dif-
assume the role of case managers; that is, they may ference in practices. Social workers per-
not only provide direct services but also assume form their services with populations
responsibility for connecting the client to diverse that are characterized by great diversity,
resources and ensuring that the client receives including the intersection of dimen- EP 2
needed services in a timely fashion. sions such as “age, class, culture, dis-
Clients sometimes need resource systems that ability, ethnicity, gender, gender identity and
are not available. In these cases, social workers expression, immigration status, political ideology,
must act as program developers by creating and race, religion, sex and sexual orientation, religion,
organizing new resource systems. Examples of physical or mental ability, and national origin”
(CSWE, 2015). NASW’s Code of Ethics requires how diversity and difference shape human experience
social workers to have a knowledge base about and form human identity. Among those factors are
and recognize strengths of their clients’ cultures gender identity and sexual orientation. Hence the
and deliver services that are sensitive to those personal value that some social workers might hold
cultures (NASW, 2008a). Social workers must regarding sexual orientation must be superseded by
therefore be informed about and respectful of dif- the professional commitment to understanding diver-
ferences. Social workers must also continually sity and difference.
update their knowledge about the strengths and Conflicts between the personal and/or profes-
resources associated with individuals from diverse sional values of the social worker and the personal
groups to increase the sensitivity and effectiveness values of a client or group sometimes arise. Not infre-
of the services they provide to those clients. An quently, students (and even seasoned social workers)
increasing number of social workers are themselves experience conflicts over value-laden, problematic
members of these diverse populations. They face the situations such as incest, infidelity, rape, child neglect
challenge of working effectively with both clients or abuse, spousal abuse, and criminal behavior.
and agency staff from the majority culture as well Because social workers encounter these and other pro-
as persons from their own groups. blems typically viewed by the public as appalling, and
because personal values inevitably shape the social
Turning the five values just described into worker’s attitudes, perceptions, feelings, and responses
reality should be the mutual responsibility to clients, it is vital that social workers remain flexible
of individual citizens and of society. Society and nonjudgmental in their work. It is therefore vital
should foster conditions and provide that you be aware of your own values, recognize how
EP 1
opportunities for citizens to participate in they fit with the profession’s values, and assess how
policy-making processes. Citizens, in turn, they may affect clients whose values differ from your
should fulfill their responsibilities to society by actively own or whose behavior offends you. It is particularly
participating in those processes. important that you become aware of your own values
Considered individually, these five values are not because social workers often have opportunities and
unique to social work. Their unique combination, how- power that many clients do not possess and may there-
ever, differentiates social work from other professions. fore inadvertently impose their own values on their
Considered in their entirety, these values make it clear clients.
that social work’s identity derives from its connection
with the institution of social welfare. According to
Gilbert (1977), social welfare represents a special help-
ing mechanism devised to aid those who suffer from
EPAS COMPETENCIES
the variety of ills found in industrial society: “When- In this chapter, we will introduce the nine competen-
ever other major institutions, be they familial, religious, cies of EPAS and state them in terms of what social
economic, or educational in nature, fall short in their work graduates should be able to do when they have
helping and resource providing functions, social wel- completed their course of study. Please don’t feel
fare spans the gap” (p. 402). apprehensive about whether you are capable of per-
For example, the ideal social work practitioner is a forming these competencies now. It will be your task
warm, caring, open, and responsible person who safe- and that of your educational program to prepare you to
guards the confidentiality of information disclosed by reach these competencies by the time you graduate.
clients. Because you, the reader, have chosen to enter While each of these competencies will be covered in
the field of social work, most of your personal values greater detail in later chapters, the following sections
probably coincide with the cardinal values espoused by summarize the main points of each competency.
the majority of social work practitioners.
However, your personal values may conflict with
professional values. For example, some social workers EPAS Competency 1
have personal and/or religious beliefs that homosexual- This competency requires that social work-
ity is an unhealthy choice, not a natural, perhaps ers understand the value base and ethical
genetic, circumstance. In EPAS Competency 2, the standards of the profession, as well as rele-
competent social worker is expected to understand vant laws and regulations that may affect EP 1
social work practice at various levels. In addition, this dimensions of diversity as the intersection of multiple
competency requires that social workers understand factors, including, but not limited to, age, class, color,
frameworks of ethical decision making and how to culture, ethnicity, gender, gender identity and expres-
apply principles of critical thinking to those frame- sion, immigration status, marital status, physical and
works in practice, research, and policy. Social workers mental ability, political ideology, race, religion/spiritu-
must also recognize their own personal values, the dis- ality, sex, sexual orientation, and tribal sovereign status.
tinction between personal and professional values, and For example, Tobias, the social worker in our case
how their personal experiences and reactions influence example, would try to understand Mrs. Ramirez from
their professional judgment and behavior. For example, many perspectives, including her immigration status,
if Tobias from our case example had any personal gender, ethnicity, and other perspectives relevant to
values that might impede his work with Mrs. Ramirez her situation. This competency guides social workers
and her children, he would take care that his profes- to understand that, as a consequence of difference, a
sional values supersede those personal values. person’s life experiences may include oppression, pov-
Note that this competency requires that ethical erty, marginalization, and alienation as well as privilege,
and professional behavior be understood in the context power, and acclaim. Social workers also understand the
of the profession’s history, its mission, and the roles forms and mechanisms of oppression and discrimina-
and responsibilities of social workers. It is understood tion and recognize the extent to which a culture’s struc-
that learning continues after graduation through life- tures and values, including social, economic, political,
long learning, in which social workers are committed and cultural exclusions, may oppress, marginalize,
to continually updating their skills to ensure they are alienate, or create privilege and power. Social workers
relevant and effective. According to this competency, are aware of privilege and act mindful of it.
social workers also must understand emerging forms This competency also contains the recommenda-
of technology and the ethical use of technology in tion that social workers use reflection to manage their
social work practice. Hence, social workers must use personal values. For example, early in his working with
technology such as voice messages, emails, and texts Mrs. Ramirez, Tobias wrote in his case notes that he
mindfully and responsibly in ways that protect client suspected that her children were not attending school
confidentiality. in part because she and other undocumented immi-
Social workers engage in a variety of practice beha- grants did not value education as much as their fellow
viors to fulfill this competency. For example, they make students and families in their new community in the
ethical decisions by applying the standards of the United States. In fact, there is evidence to suggest that
NASW Code of Ethics and relevant laws and regula- Mexican immigrants value education highly (Valencia
tions and by utilizing the models for ethical decision & Black, 2002). Tobias’s statement might be seen as a
making, ethical conduct of research, and additional belief, a hypothesis, or a possible bias that could have
codes of ethics as appropriate to context. Social work- profound implications for his work with Mrs. Ramirez.
ers also employ reflection and self-regulation to man- If he acted on his belief that her children were not
age their personal values and maintain professionalism attending primarily because she and other Mexican
in practice situations. They demonstrate professional immigrants were not motivated about education, he
demeanor in their behavior, appearance, and oral, might not explore other community- or school-based
written, and electronic communication. Social workers barriers to their attendance, such as their perception
use technology ethically and appropriately to facilitate that the children were not welcome. Holding members
practice outcomes. Finally, they use supervision and of oppressed groups personally responsible for all
consultation to guide professional judgment and aspects of their condition is an unfortunate value pred-
behavior. icated on the Horatio Alger myth that all successful
people lift themselves up by their own bootstraps.
This competency therefore requires sensitivity to struc-
EPAS Competency 2 tures that may act to oppress.
Social workers are guided in this compe- This competency also guides social workers to
tency to understand how diversity and dif- consider the importance of their commitment to diver-
ference characterize and shape the human sity as we consider the Eurocentric assumptions that
experience and are critical to the forma- undergird many practice models (Sue & Sue, 2012).
EP 2
tion of identity. They understand the We take the position that some factors are universal.
For example, pathology occurs across cultures, EPAS Competency 3

although the forms may vary (Sue & Sue, 2012). On
This competency requires that social work-
the other hand, much of social work practice relates
ers advance human rights and social justice
to specific cultural manifestations of both difficulties
and asserts that each person in society has
and solutions.
basic human rights, such as freedom, safety,
We believe that cultural competence requires con-
privacy, an adequate standard of living,
tinual upgrading and lifelong learning over the course EP 3
health care, and education. This compe-
of a social worker’s career. Just as your clinical or direct
tency is also reflected in the NASW Code of Ethics:
practice skills should continue to grow, so should your
“Social workers challenge social injustice” (2008a).
level of cultural competence. To do this, you will need
To meet this competency, social workers should
to engage in continual education about the culture and
be aware of the global implications of oppression, be
experiences of client groups with whom you work. This
knowledgeable about theories of justice and strategies
also means that you must approach each client as an
to promote human and civil rights, and strive to incor-
individual whose experience is in many ways unique.
porate social justice practices into organizations,
That is, clients bear unique combinations of personality
institutions, and society. Social workers should also
characteristics, family dynamics, and experiences with
understand the mechanisms of oppression and dis-
acculturation and assimilation. Social workers must
crimination in society and advocate for and engage in
therefore learn as much as they can about the cultural
practices that advance human rights and social and
frames that are significant for their clients before they
economic justice. This competency clearly specifies
can be open to learning the uniqueness of those clients
that advocating for human rights and social and eco-
(Dean, 2001; Johnson & Munch, 2009). Hence, when
nomic justice is a professional expectation.
we report some cultural characteristics as commonly
Following this competency, Tobias from our case
represented in some groups, it is shared in the sense
example would attempt to understand the issue of chil-
of background information that must be assessed with
dren’s school attendance in a broader framework of
each individual. For example, although some Asian
understanding why Mrs. Ramirez and her children
American clients may expect the social worker to take
had moved to his locality. Awareness of the economic
an expert role and advise them, many will not, based
incentive of seeking a better income as an influence on
on their individual experiences and personalities (Fong,
immigration would be appropriate. For example, in
2007). Further, Asian American as a category can sub-
addition to working directly with Mrs. Ramirez, Tobias
sume great variation, including Pacific Islanders and
or other social workers might approach the circum-
mainland Asians, whose cultural heritages are very dis-
stance of undocumented immigrants in their commu-
tinct from each other.
nity from the standpoint of community organization
and advocacy, working to promote the interests of the
group rather than solely those of the individual. While
VIDEO CASE EXAMPLE this book focuses primarily on direct social work inter-
vention, other courses and texts provide additional
In the video “Working with Yan Ping,” Kim sources of information for pursuing this goal.
Strom-Gottfried interviews Yan Ping, an
exchange student from the Republic of China.
EPAS Competency 4
Kim cannot assume that she and Yan Ping
share assumptions about help seeking, so Kim This competency requires that social work-
carefully explores expectations and explains ers engage in practice-informed research
what she can offer as a social worker. In this and research-informed practice. To fulfill
way, she guards against applying stereotypic this competency, social workers use their
assumptions about how Yan Ping views her practice experience to inform research, EP 4
concerns and what is possible in seeking help. employ evidence-based interventions, eval-
Together, Kim and Yan Ping explore goals and uate their own practice, and use research findings to
ways of working together, as well as whether a improve practice, policy, and social service delivery.
referral to a social worker more familiar with Yan This competency requires that social workers be knowl-
Ping’s culture could be helpful. edgeable about quantitative and qualitative research,
understand scientific and ethical approaches to building
knowledge, and use their practice experience to inform work as a helping profession is the understanding
scientific inquiry and use research evidence to inform that all direct practice occurs in a policy context.
their practice. Hence, social workers need to know about the history
Some proponents suggest that employing of and current structures for policies and services. In
evidence-based intervention entails being able to pursuit of this competency, social workers analyze, for-
explain an evidence-based approach to clients; creating mulate, and advocate for policies that advance the
a useful, realistic evaluation format; refining such inter- social well-being of their clients. They also collaborate
vention and evaluation formats based on knowledge with colleagues and clients for effective policy action.
of the client; understanding the relevant elements of While some social workers provide direct services to
evidence-based techniques; incorporating evidence clients, others act indirectly to influence the environ-
from use of the intervention; and being critical consu- ments supporting their clients, thereby developing and
mers of evidence in practice situations (Pollio, 2006; maintaining the social infrastructure that assists clients
Thyer, 2013). Others suggest the need to use knowledge in meeting their needs. Many social work programs
of the context in formulating such interventions and to contain one or more required courses in policy and
consider the theoretical base in selecting interventions practice as well as an advanced practice curriculum in
(Adams, Matto, & Le Croy, 2009; Gitterman & Knight this area. In our case example, Tobias’s interaction with
2013; Payne, 2005; Walsh, 2006). More recently there Mrs. Ramirez must be considered in the context of
have been calls to integrate attention to common fac- policies related to school attendance and policies
tors and common elements with attention to evidence- related to health care access.
based practice (Barth et al., 2012).
Given the range of evidence available in different EPAS Competency 6
fields of practice, we agree that evidence-based practice This competency focuses on engagement
should be a highly valued source of information in the with individuals, families, groups, organiza-
context of planning an intervention. Following this prin-
tions, and communities. Social workers
ciple, in our case example, Tobias and his agency would apply their knowledge of human behavior
be advised to be mindful of evidence-basedinterventions in the social environment and the practice
that assist families with the problem of low school atten- EP 6
context to engage with clients and consti-
dance. He and his agency would be wise to become tuencies. They also use empathy, reflection, and inter-
familiar with programs that promote personal relation- personal skills to effectively engage diverse clients and
ships between school personnel and families around
constituencies. In our case example, Tobias would seek
attendance issues, such as the evidence-based program to use empathy in his interactions with Mrs. Ramirez
Check & Connect (checkandconnect.umn.edu). They and use his interpersonal skills to help her to the great-
would also need to integrate this knowledge with infor-
est extent possible.
mation about the environmental context and relevant
interventions. For example, assisting Mrs. Ramirez in
getting her children ready for transportation to school EPAS Competencies 7 and 8
might be one part of the intervention, as well as working These competencies focus on engaging
with the school to construct a more welcoming environ- with, assessing, intervening with, and
ment for the children. Part of this context is also evaluating individuals, families, groups,
Mrs. Ramirez’s physical and emotional health. She may organizations, and communities. These
be more likely to have her children ready for school if she competencies get at the heart of social EP 7 and 8
is linked to health care providers who can assist her with work intervention and reflect the knowl-
her need for surgery and her depression. edge and skills that this book is designed to address.
In order to meet these competencies, social workers
prepare for action with individuals, families, groups,
EPAS Competency 5 organizations, and communities both substantively
This competency requires that social work- and emotionally. They do this by using empathy and
ers engage in policy practice to advance other interpersonal skills, developing a mutually
social and economic well-being and to agreed-upon focus of work, and identifying desired out-
deliver effective social work services. One comes. Utilizing these skills, Tobias in our case example
EP 5 of the distinguishing features of social would attempt to personally engage Mrs. Ramirez and
her family. We recognize that the success of such designed to change the systems that directly affect
engagement efforts depends in part on sensitivity to clients, such as the family, peer group, or classroom.
cultural norms and hence also includes attention to ● Macro-level practice. Still further removed from
the competency related to diversity. face-to-face delivery of services, macro-level social
These competencies also include attention focused work practice involves the processes of social plan-
on assessment and refer to the knowledge and ning and community organization. On this level,
skills required to collect, organize, and interpret client social workers serve as professional change agents
data. In this context, social workers must have skills in who assist community action systems composed of
assessing both a client’s strengths and limitations. individuals, groups, or organizations in dealing
They must be able to develop mutually agreed-upon with social problems. For example, social workers
intervention goals and objectives and be able to select may work with citizen groups or with private,
appropriate intervention strategies. public, or governmental organizations. Activities
of practitioners at this level include (1) develop-
EPAS Competency 9 ment of and work with community groups and
organizations; (2) program planning and develop-
This competency requires knowledge and ment; and (3) implementation, administration,
skills in evaluation. To meet this compe- and evaluation of programs (Meenaghan, 1987).
tency, social workers must be able to cri-
tically analyze, monitor, and evaluate Effective practice requires knowledge related to all
EP 9 interventions. Following this competency, three levels of practice. Nevertheless, schools of social
Tobias from our case example would estab- work often offer “concentrations” in either micro or
lish goals with Mrs. Ramirez and regularly assess prog- macro practice and require less preparation in the
ress with her. This competency requires that social other levels. Concentrations are often designated
workers select appropriate means of evaluation, criti- around an area of direct practice in particular popula-
cally analyze efforts to evaluate and monitor programs, tions or settings, such as adult mental health, child wel-
and apply evaluation data to improve service delivery. fare, family practice, group work, school social work,
aging, and work with children and adolescents. Such
concentrations may emphasize micro practice or incor-
LEVELS OF PRACTICE porate mezzo and macro practice. Some schools have
Social workers address the competencies we have just generalist practice curricula, which require students to
discussed at multiple levels of practice: achieve balanced preparation in all three levels of prac-
tice. Undergraduate programs and the first year of
● Micro-level practice. The population served by graduate programs typically feature generalist practice
social workers at this level of practice includes curricula, which aim to prepare students for working
individuals, couples, and families. Practice at the with all levels of client systems.
micro level is designated as direct practice because Macro concentrationsoften refer to practice in com-
practitioners deliver services directly to clients in munity organization, planning, management, and advo-
face-to-face situations. Direct practice, however, is cacy. Administration entails playing a leadership role in
by no means limited to such face-to-face contact. human service organizations that seek to effectively
● Mezzo-level practice. The second level of social deliver services in accordance with the values and laws
work practice is defined as “interpersonal relations of society. It includes the processes involved in policy
that are less intimate than those associated with formulation and subsequent translation of that policy
family life; more meaningful than among organiza- into operational goals, program design and implementa-
tional and institutional representatives; [including] tion, funding and resource allocation, management of
relationships between individuals in a self-help or internal and interorganizational operation, personnel
therapy group, among peers at school or work or direction and supervision, organizational representation
among neighbors” (Sheafor, Horejsi, & Horejsi, and public relations, community education, monitoring,
1994, pp. 9–10). Mezzo events are “the interface evaluation, and innovation to improve organizational
where the individual and those most immediate productivity (Sarri, 1987, pp. 29–30).
and important to him/her meet” (Zastrow & Kirst- Direct practitioners are necessarily involved to
Ashman, 1990, p. 11). Mezzo intervention is hence some degree in administrative activities. In addition,
many direct practitioners who hold master’s degrees systems model is understood as a way to examine
become supervisors or administrators later in their pro- strengths and weaknesses in transactions between per-
fessional careers. Knowledge of administration, there- sons, families, cultures, and communities as systems.
fore, is vital to direct practitioners at the master’s This emphasis, which resulted from the prominence
degree level, and courses in administration are fre- and wide acceptance of Freud’s theories in the 1920s and
quently part of the required master’s degree curriculum 1930s, reached its zenith in the 1940s and 1950s. With
in social work. Although many direct practitioners the emergence of ego psychology, systems theory, theo-
engage in little or no macro-level practice, those who ries of family therapy, expanded awareness of the impor-
work in rural areas where practitioners are few and tance of ethnocultural factors, and emphasis on
specialists in social planning are not available may ecological factors in the 1960s and 1970s, increasing
work in concert with concerned citizens and commu- importance was accorded to environmental factors and
nity leaders in planning and developing resources to to understanding the ways in which people interact with
prevent or combat social problems. their environments. Systems models were first created in
the natural sciences, and ecological theory developed
from the environmentalmovement in biology; ecological
ORIENTING FRAMEWORKS systems theory in social work adapted concepts from
both of these models.
TO ACHIEVE COMPETENCIES
Practitioners and beginning students need orienting Habitats and Niche
frameworks to ground their work in achieving the com- Two concepts of ecological theory that are especially rel-
petencies just described. There is ever-increasing infor- evant to social workers are habitat and niche. Habitat
mation from the social sciences, social work, and allied refers to the places where organisms live and, in the
disciplines that point to specific interventionsfor specific case of humans, consists of the physical and social set-
problem situations. Successful use of such interventions tings within particular cultural contexts. When habitats
represents formidable challenges because available are rich in the resources required for growth and devel-
knowledge is often fragmented. Further, because social opment, people tend to thrive. When habitats are defi-
work often takes place in agency settings with clients cient in vital resources, physical, social, and emotional
whose concerns cut across psychological and environ- development and ongoing functioning may be adversely
mental needs, an orienting perspective is needed to affected. For example, a substantial body of research
address these levels of concerns and activities. As we’ll indicates that supportive social networks of friends, rela-
see in this section, the ecological systems model is useful tives, neighbors, work and church associates, and pets
in providing an orienting perspective (Germain & Git- mitigate the damaging effects of painful life stresses. By
terman, 1996; Pincus & Minahan, 1973; Siporin, 1980). contrast, people with deficient social networks may
respond to life stresses by becoming severely depressed,
Ecological Systems Model resorting to abuse of drugs or alcohol, engaging in vio-
lent behavior, or coping in other dysfunctional ways.
A system is a set of orderly elements that
Niche refers to the statuses or roles occupied by
are related to make a whole. Systems theory
members of the community. One of the tasks in the
emphasizes the interactions between these
course of human maturation is to find one’s niche in
elements (Kirst-Ashman & Hull, 2012).
society, which is essential to achieving self-respect and
Adaptations of the ecological systems
EP 7 a stable sense of identity. Being able to locate one’s
model, originating in biology, make a
niche, however, presumes that opportunities congruent
close conceptual fit with the “person-in-environment”
with human needs exist in society. That presumption
perspective that dominated social work until the mid-
may not be valid for members of society who lack equal
1970s. Although that perspective recognized the influ-
opportunities because of race, ethnicity, gender, pov-
ence of environmental factors on human functioning,
erty, age, disability, sexual identity, or other factors.
internal factors had received an inordinate emphasis in
assessing human problems. In addition, a perception of
the environment as constraining the individual did not Mutual Influence of People and Environments
sufficiently acknowledge the individual’s ability to affect An objective of social work, as noted earlier, is to pro-
the environment. In social work practice, an ecological mote social justice so as to expand opportunities for
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DANCE ON STILTS AT THE GIRLS’ UNYAGO, NIUCHI
Newala, too, suffers from the distance of its water-supply—at least

the Newala of to-day does; there was once another Newala in a lovely
valley at the foot of the plateau. I visited it and found scarcely a trace
of houses, only a Christian cemetery, with the graves of several
missionaries and their converts, remaining as a monument of its
former glories. But the surroundings are wonderfully beautiful. A
thick grove of splendid mango-trees closes in the weather-worn
crosses and headstones; behind them, combining the useful and the
agreeable, is a whole plantation of lemon-trees covered with ripe
fruit; not the small African kind, but a much larger and also juicier
imported variety, which drops into the hands of the passing traveller,
without calling for any exertion on his part. Old Newala is now under
the jurisdiction of the native pastor, Daudi, at Chingulungulu, who,
as I am on very friendly terms with him, allows me, as a matter of
course, the use of this lemon-grove during my stay at Newala.
FEET MUTILATED BY THE RAVAGES OF THE “JIGGER”
(Sarcopsylla penetrans)
The water-supply of New Newala is in the bottom of the valley,

some 1,600 feet lower down. The way is not only long and fatiguing,
but the water, when we get it, is thoroughly bad. We are suffering not
only from this, but from the fact that the arrangements at Newala are
nothing short of luxurious. We have a separate kitchen—a hut built
against the boma palisade on the right of the baraza, the interior of
which is not visible from our usual position. Our two cooks were not
long in finding this out, and they consequently do—or rather neglect
to do—what they please. In any case they do not seem to be very
particular about the boiling of our drinking-water—at least I can
attribute to no other cause certain attacks of a dysenteric nature,
from which both Knudsen and I have suffered for some time. If a
man like Omari has to be left unwatched for a moment, he is capable
of anything. Besides this complaint, we are inconvenienced by the
state of our nails, which have become as hard as glass, and crack on
the slightest provocation, and I have the additional infliction of
pimples all over me. As if all this were not enough, we have also, for
the last week been waging war against the jigger, who has found his
Eldorado in the hot sand of the Makonde plateau. Our men are seen
all day long—whenever their chronic colds and the dysentery likewise
raging among them permit—occupied in removing this scourge of
Africa from their feet and trying to prevent the disastrous
consequences of its presence. It is quite common to see natives of
this place with one or two toes missing; many have lost all their toes,
or even the whole front part of the foot, so that a well-formed leg
ends in a shapeless stump. These ravages are caused by the female of
Sarcopsylla penetrans, which bores its way under the skin and there
develops an egg-sac the size of a pea. In all books on the subject, it is
stated that one’s attention is called to the presence of this parasite by
an intolerable itching. This agrees very well with my experience, so
far as the softer parts of the sole, the spaces between and under the
toes, and the side of the foot are concerned, but if the creature
penetrates through the harder parts of the heel or ball of the foot, it
may escape even the most careful search till it has reached maturity.
Then there is no time to be lost, if the horrible ulceration, of which
we see cases by the dozen every day, is to be prevented. It is much
easier, by the way, to discover the insect on the white skin of a
European than on that of a native, on which the dark speck scarcely
shows. The four or five jiggers which, in spite of the fact that I
constantly wore high laced boots, chose my feet to settle in, were
taken out for me by the all-accomplished Knudsen, after which I
thought it advisable to wash out the cavities with corrosive
sublimate. The natives have a different sort of disinfectant—they fill
the hole with scraped roots. In a tiny Makua village on the slope of
the plateau south of Newala, we saw an old woman who had filled all
the spaces under her toe-nails with powdered roots by way of
prophylactic treatment. What will be the result, if any, who can say?
The rest of the many trifling ills which trouble our existence are
really more comic than serious. In the absence of anything else to
smoke, Knudsen and I at last opened a box of cigars procured from
the Indian store-keeper at Lindi, and tried them, with the most
distressing results. Whether they contain opium or some other
narcotic, neither of us can say, but after the tenth puff we were both
“off,” three-quarters stupefied and unspeakably wretched. Slowly we
recovered—and what happened next? Half-an-hour later we were
once more smoking these poisonous concoctions—so insatiable is the
craving for tobacco in the tropics.
Even my present attacks of fever scarcely deserve to be taken
seriously. I have had no less than three here at Newala, all of which
have run their course in an incredibly short time. In the early
afternoon, I am busy with my old natives, asking questions and
making notes. The strong midday coffee has stimulated my spirits to
an extraordinary degree, the brain is active and vigorous, and work
progresses rapidly, while a pleasant warmth pervades the whole
body. Suddenly this gives place to a violent chill, forcing me to put on
my overcoat, though it is only half-past three and the afternoon sun
is at its hottest. Now the brain no longer works with such acuteness
and logical precision; more especially does it fail me in trying to
establish the syntax of the difficult Makua language on which I have
ventured, as if I had not enough to do without it. Under the
circumstances it seems advisable to take my temperature, and I do
so, to save trouble, without leaving my seat, and while going on with
my work. On examination, I find it to be 101·48°. My tutors are
abruptly dismissed and my bed set up in the baraza; a few minutes
later I am in it and treating myself internally with hot water and
lemon-juice.
Three hours later, the thermometer marks nearly 104°, and I make
them carry me back into the tent, bed and all, as I am now perspiring
heavily, and exposure to the cold wind just beginning to blow might
mean a fatal chill. I lie still for a little while, and then find, to my
great relief, that the temperature is not rising, but rather falling. This
is about 7.30 p.m. At 8 p.m. I find, to my unbounded astonishment,
that it has fallen below 98·6°, and I feel perfectly well. I read for an
hour or two, and could very well enjoy a smoke, if I had the
wherewithal—Indian cigars being out of the question.
Having no medical training, I am at a loss to account for this state
of things. It is impossible that these transitory attacks of high fever
should be malarial; it seems more probable that they are due to a
kind of sunstroke. On consulting my note-book, I become more and
more inclined to think this is the case, for these attacks regularly
follow extreme fatigue and long exposure to strong sunshine. They at
least have the advantage of being only short interruptions to my
work, as on the following morning I am always quite fresh and fit.
My treasure of a cook is suffering from an enormous hydrocele which
makes it difficult for him to get up, and Moritz is obliged to keep in
the dark on account of his inflamed eyes. Knudsen’s cook, a raw boy
from somewhere in the bush, knows still less of cooking than Omari;
consequently Nils Knudsen himself has been promoted to the vacant
post. Finding that we had come to the end of our supplies, he began
by sending to Chingulungulu for the four sucking-pigs which we had
bought from Matola and temporarily left in his charge; and when
they came up, neatly packed in a large crate, he callously slaughtered
the biggest of them. The first joint we were thoughtless enough to
entrust for roasting to Knudsen’s mshenzi cook, and it was
consequently uneatable; but we made the rest of the animal into a
jelly which we ate with great relish after weeks of underfeeding,
consuming incredible helpings of it at both midday and evening
meals. The only drawback is a certain want of variety in the tinned
vegetables. Dr. Jäger, to whom the Geographical Commission
entrusted the provisioning of the expeditions—mine as well as his
own—because he had more time on his hands than the rest of us,
seems to have laid in a huge stock of Teltow turnips,[46] an article of
food which is all very well for occasional use, but which quickly palls
when set before one every day; and we seem to have no other tins
left. There is no help for it—we must put up with the turnips; but I
am certain that, once I am home again, I shall not touch them for ten
years to come.
Amid all these minor evils, which, after all, go to make up the
genuine flavour of Africa, there is at least one cheering touch:
Knudsen has, with the dexterity of a skilled mechanic, repaired my 9
× 12 cm. camera, at least so far that I can use it with a little care.
How, in the absence of finger-nails, he was able to accomplish such a
ticklish piece of work, having no tool but a clumsy screw-driver for
taking to pieces and putting together again the complicated
mechanism of the instantaneous shutter, is still a mystery to me; but
he did it successfully. The loss of his finger-nails shows him in a light
contrasting curiously enough with the intelligence evinced by the
above operation; though, after all, it is scarcely surprising after his
ten years’ residence in the bush. One day, at Lindi, he had occasion
to wash a dog, which must have been in need of very thorough
cleansing, for the bottle handed to our friend for the purpose had an
extremely strong smell. Having performed his task in the most
conscientious manner, he perceived with some surprise that the dog
did not appear much the better for it, and was further surprised by
finding his own nails ulcerating away in the course of the next few
days. “How was I to know that carbolic acid has to be diluted?” he
mutters indignantly, from time to time, with a troubled gaze at his
mutilated finger-tips.
Since we came to Newala we have been making excursions in all
directions through the surrounding country, in accordance with old
habit, and also because the akida Sefu did not get together the tribal
elders from whom I wanted information so speedily as he had
promised. There is, however, no harm done, as, even if seen only
from the outside, the country and people are interesting enough.
The Makonde plateau is like a large rectangular table rounded off
at the corners. Measured from the Indian Ocean to Newala, it is
about seventy-five miles long, and between the Rovuma and the
Lukuledi it averages fifty miles in breadth, so that its superficial area
is about two-thirds of that of the kingdom of Saxony. The surface,
however, is not level, but uniformly inclined from its south-western
edge to the ocean. From the upper edge, on which Newala lies, the
eye ranges for many miles east and north-east, without encountering
any obstacle, over the Makonde bush. It is a green sea, from which
here and there thick clouds of smoke rise, to show that it, too, is
inhabited by men who carry on their tillage like so many other
primitive peoples, by cutting down and burning the bush, and
manuring with the ashes. Even in the radiant light of a tropical day
such a fire is a grand sight.
Much less effective is the impression produced just now by the
great western plain as seen from the edge of the plateau. As often as
time permits, I stroll along this edge, sometimes in one direction,
sometimes in another, in the hope of finding the air clear enough to
let me enjoy the view; but I have always been disappointed.
Wherever one looks, clouds of smoke rise from the burning bush,
and the air is full of smoke and vapour. It is a pity, for under more
favourable circumstances the panorama of the whole country up to
the distant Majeje hills must be truly magnificent. It is of little use
taking photographs now, and an outline sketch gives a very poor idea
of the scenery. In one of these excursions I went out of my way to
make a personal attempt on the Makonde bush. The present edge of
the plateau is the result of a far-reaching process of destruction
through erosion and denudation. The Makonde strata are
everywhere cut into by ravines, which, though short, are hundreds of
yards in depth. In consequence of the loose stratification of these
beds, not only are the walls of these ravines nearly vertical, but their
upper end is closed by an equally steep escarpment, so that the
western edge of the Makonde plateau is hemmed in by a series of
deep, basin-like valleys. In order to get from one side of such a ravine
to the other, I cut my way through the bush with a dozen of my men.
It was a very open part, with more grass than scrub, but even so the
short stretch of less than two hundred yards was very hard work; at
the end of it the men’s calicoes were in rags and they themselves
bleeding from hundreds of scratches, while even our strong khaki
suits had not escaped scatheless.
NATIVE PATH THROUGH THE MAKONDE BUSH, NEAR

MAHUTA
I see increasing reason to believe that the view formed some time
back as to the origin of the Makonde bush is the correct one. I have
no doubt that it is not a natural product, but the result of human
occupation. Those parts of the high country where man—as a very
slight amount of practice enables the eye to perceive at once—has not
yet penetrated with axe and hoe, are still occupied by a splendid
timber forest quite able to sustain a comparison with our mixed
forests in Germany. But wherever man has once built his hut or tilled
his field, this horrible bush springs up. Every phase of this process
may be seen in the course of a couple of hours’ walk along the main
road. From the bush to right or left, one hears the sound of the axe—
not from one spot only, but from several directions at once. A few
steps further on, we can see what is taking place. The brush has been
cut down and piled up in heaps to the height of a yard or more,
between which the trunks of the large trees stand up like the last
pillars of a magnificent ruined building. These, too, present a
melancholy spectacle: the destructive Makonde have ringed them—
cut a broad strip of bark all round to ensure their dying off—and also
piled up pyramids of brush round them. Father and son, mother and
son-in-law, are chopping away perseveringly in the background—too
busy, almost, to look round at the white stranger, who usually excites
so much interest. If you pass by the same place a week later, the piles
of brushwood have disappeared and a thick layer of ashes has taken
the place of the green forest. The large trees stretch their
smouldering trunks and branches in dumb accusation to heaven—if
they have not already fallen and been more or less reduced to ashes,
perhaps only showing as a white stripe on the dark ground.
This work of destruction is carried out by the Makonde alike on the
virgin forest and on the bush which has sprung up on sites already
cultivated and deserted. In the second case they are saved the trouble
of burning the large trees, these being entirely absent in the
secondary bush.
After burning this piece of forest ground and loosening it with the
hoe, the native sows his corn and plants his vegetables. All over the
country, he goes in for bed-culture, which requires, and, in fact,
receives, the most careful attention. Weeds are nowhere tolerated in
the south of German East Africa. The crops may fail on the plains,
where droughts are frequent, but never on the plateau with its
abundant rains and heavy dews. Its fortunate inhabitants even have
the satisfaction of seeing the proud Wayao and Wamakua working
for them as labourers, driven by hunger to serve where they were
accustomed to rule.
But the light, sandy soil is soon exhausted, and would yield no
harvest the second year if cultivated twice running. This fact has
been familiar to the native for ages; consequently he provides in
time, and, while his crop is growing, prepares the next plot with axe
and firebrand. Next year he plants this with his various crops and
lets the first piece lie fallow. For a short time it remains waste and
desolate; then nature steps in to repair the destruction wrought by
man; a thousand new growths spring out of the exhausted soil, and
even the old stumps put forth fresh shoots. Next year the new growth
is up to one’s knees, and in a few years more it is that terrible,
impenetrable bush, which maintains its position till the black
occupier of the land has made the round of all the available sites and
come back to his starting point.
The Makonde are, body and soul, so to speak, one with this bush.
According to my Yao informants, indeed, their name means nothing
else but “bush people.” Their own tradition says that they have been
settled up here for a very long time, but to my surprise they laid great
stress on an original immigration. Their old homes were in the
south-east, near Mikindani and the mouth of the Rovuma, whence
their peaceful forefathers were driven by the continual raids of the
Sakalavas from Madagascar and the warlike Shirazis[47] of the coast,
to take refuge on the almost inaccessible plateau. I have studied
African ethnology for twenty years, but the fact that changes of
population in this apparently quiet and peaceable corner of the earth
could have been occasioned by outside enterprises taking place on
the high seas, was completely new to me. It is, no doubt, however,
correct.
The charming tribal legend of the Makonde—besides informing us
of other interesting matters—explains why they have to live in the
thickest of the bush and a long way from the edge of the plateau,
instead of making their permanent homes beside the purling brooks
and springs of the low country.
“The place where the tribe originated is Mahuta, on the southern
side of the plateau towards the Rovuma, where of old time there was
nothing but thick bush. Out of this bush came a man who never
washed himself or shaved his head, and who ate and drank but little.
He went out and made a human figure from the wood of a tree
growing in the open country, which he took home to his abode in the
bush and there set it upright. In the night this image came to life and
was a woman. The man and woman went down together to the
Rovuma to wash themselves. Here the woman gave birth to a still-
born child. They left that place and passed over the high land into the
valley of the Mbemkuru, where the woman had another child, which
was also born dead. Then they returned to the high bush country of
Mahuta, where the third child was born, which lived and grew up. In
course of time, the couple had many more children, and called
themselves Wamatanda. These were the ancestral stock of the
Makonde, also called Wamakonde,[48] i.e., aborigines. Their
forefather, the man from the bush, gave his children the command to
bury their dead upright, in memory of the mother of their race who
was cut out of wood and awoke to life when standing upright. He also
warned them against settling in the valleys and near large streams,
for sickness and death dwelt there. They were to make it a rule to
have their huts at least an hour’s walk from the nearest watering-
place; then their children would thrive and escape illness.”
The explanation of the name Makonde given by my informants is
somewhat different from that contained in the above legend, which I
extract from a little book (small, but packed with information), by
Pater Adams, entitled Lindi und sein Hinterland. Otherwise, my
results agree exactly with the statements of the legend. Washing?
Hapana—there is no such thing. Why should they do so? As it is, the
supply of water scarcely suffices for cooking and drinking; other
people do not wash, so why should the Makonde distinguish himself
by such needless eccentricity? As for shaving the head, the short,
woolly crop scarcely needs it,[49] so the second ancestral precept is
likewise easy enough to follow. Beyond this, however, there is
nothing ridiculous in the ancestor’s advice. I have obtained from
various local artists a fairly large number of figures carved in wood,
ranging from fifteen to twenty-three inches in height, and
representing women belonging to the great group of the Mavia,
Makonde, and Matambwe tribes. The carving is remarkably well
done and renders the female type with great accuracy, especially the
keloid ornamentation, to be described later on. As to the object and
meaning of their works the sculptors either could or (more probably)
would tell me nothing, and I was forced to content myself with the
scanty information vouchsafed by one man, who said that the figures
were merely intended to represent the nembo—the artificial
deformations of pelele, ear-discs, and keloids. The legend recorded
by Pater Adams places these figures in a new light. They must surely
be more than mere dolls; and we may even venture to assume that
they are—though the majority of present-day Makonde are probably
unaware of the fact—representations of the tribal ancestress.
The references in the legend to the descent from Mahuta to the
Rovuma, and to a journey across the highlands into the Mbekuru
valley, undoubtedly indicate the previous history of the tribe, the
travels of the ancestral pair typifying the migrations of their
descendants. The descent to the neighbouring Rovuma valley, with
its extraordinary fertility and great abundance of game, is intelligible
at a glance—but the crossing of the Lukuledi depression, the ascent
to the Rondo Plateau and the descent to the Mbemkuru, also lie
within the bounds of probability, for all these districts have exactly
the same character as the extreme south. Now, however, comes a
point of especial interest for our bacteriological age. The primitive
Makonde did not enjoy their lives in the marshy river-valleys.
Disease raged among them, and many died. It was only after they
had returned to their original home near Mahuta, that the health
conditions of these people improved. We are very apt to think of the
African as a stupid person whose ignorance of nature is only equalled
by his fear of it, and who looks on all mishaps as caused by evil
spirits and malignant natural powers. It is much more correct to
assume in this case that the people very early learnt to distinguish
districts infested with malaria from those where it is absent.
This knowledge is crystallized in the
ancestral warning against settling in the
valleys and near the great waters, the
dwelling-places of disease and death. At the
same time, for security against the hostile
Mavia south of the Rovuma, it was enacted
that every settlement must be not less than a
certain distance from the southern edge of the
plateau. Such in fact is their mode of life at the
present day. It is not such a bad one, and
certainly they are both safer and more
comfortable than the Makua, the recent
intruders from the south, who have made USUAL METHOD OF
good their footing on the western edge of the CLOSING HUT-DOOR
plateau, extending over a fairly wide belt of
country. Neither Makua nor Makonde show in their dwellings
anything of the size and comeliness of the Yao houses in the plain,
especially at Masasi, Chingulungulu and Zuza’s. Jumbe Chauro, a
Makonde hamlet not far from Newala, on the road to Mahuta, is the
most important settlement of the tribe I have yet seen, and has fairly
spacious huts. But how slovenly is their construction compared with
the palatial residences of the elephant-hunters living in the plain.
The roofs are still more untidy than in the general run of huts during
the dry season, the walls show here and there the scanty beginnings
or the lamentable remains of the mud plastering, and the interior is a
veritable dog-kennel; dirt, dust and disorder everywhere. A few huts
only show any attempt at division into rooms, and this consists
merely of very roughly-made bamboo partitions. In one point alone
have I noticed any indication of progress—in the method of fastening
the door. Houses all over the south are secured in a simple but
ingenious manner. The door consists of a set of stout pieces of wood
or bamboo, tied with bark-string to two cross-pieces, and moving in
two grooves round one of the door-posts, so as to open inwards. If
the owner wishes to leave home, he takes two logs as thick as a man’s
upper arm and about a yard long. One of these is placed obliquely
against the middle of the door from the inside, so as to form an angle
of from 60° to 75° with the ground. He then places the second piece
horizontally across the first, pressing it downward with all his might.
It is kept in place by two strong posts planted in the ground a few
inches inside the door. This fastening is absolutely safe, but of course
cannot be applied to both doors at once, otherwise how could the
owner leave or enter his house? I have not yet succeeded in finding
out how the back door is fastened.
MAKONDE LOCK AND KEY AT JUMBE CHAURO

This is the general way of closing a house. The Makonde at Jumbe
Chauro, however, have a much more complicated, solid and original
one. Here, too, the door is as already described, except that there is
only one post on the inside, standing by itself about six inches from
one side of the doorway. Opposite this post is a hole in the wall just
large enough to admit a man’s arm. The door is closed inside by a
large wooden bolt passing through a hole in this post and pressing
with its free end against the door. The other end has three holes into
which fit three pegs running in vertical grooves inside the post. The
door is opened with a wooden key about a foot long, somewhat
curved and sloped off at the butt; the other end has three pegs
corresponding to the holes, in the bolt, so that, when it is thrust
through the hole in the wall and inserted into the rectangular
opening in the post, the pegs can be lifted and the bolt drawn out.[50]
MODE OF INSERTING THE KEY
With no small pride first one householder and then a second

showed me on the spot the action of this greatest invention of the
Makonde Highlands. To both with an admiring exclamation of
“Vizuri sana!” (“Very fine!”). I expressed the wish to take back these
marvels with me to Ulaya, to show the Wazungu what clever fellows
the Makonde are. Scarcely five minutes after my return to camp at
Newala, the two men came up sweating under the weight of two
heavy logs which they laid down at my feet, handing over at the same
time the keys of the fallen fortress. Arguing, logically enough, that if
the key was wanted, the lock would be wanted with it, they had taken
their axes and chopped down the posts—as it never occurred to them
to dig them out of the ground and so bring them intact. Thus I have
two badly damaged specimens, and the owners, instead of praise,
come in for a blowing-up.
The Makua huts in the environs of Newala are especially
miserable; their more than slovenly construction reminds one of the
temporary erections of the Makua at Hatia’s, though the people here
have not been concerned in a war. It must therefore be due to
congenital idleness, or else to the absence of a powerful chief. Even
the baraza at Mlipa’s, a short hour’s walk south-east of Newala,
shares in this general neglect. While public buildings in this country
are usually looked after more or less carefully, this is in evident
danger of being blown over by the first strong easterly gale. The only
attractive object in this whole district is the grave of the late chief
Mlipa. I visited it in the morning, while the sun was still trying with
partial success to break through the rolling mists, and the circular
grove of tall euphorbias, which, with a broken pot, is all that marks
the old king’s resting-place, impressed one with a touch of pathos.
Even my very materially-minded carriers seemed to feel something
of the sort, for instead of their usual ribald songs, they chanted
solemnly, as we marched on through the dense green of the Makonde
bush:—
“We shall arrive with the great master; we stand in a row and have
no fear about getting our food and our money from the Serkali (the
Government). We are not afraid; we are going along with the great
master, the lion; we are going down to the coast and back.”
With regard to the characteristic features of the various tribes here
on the western edge of the plateau, I can arrive at no other
conclusion than the one already come to in the plain, viz., that it is
impossible for anyone but a trained anthropologist to assign any
given individual at once to his proper tribe. In fact, I think that even
an anthropological specialist, after the most careful examination,
might find it a difficult task to decide. The whole congeries of peoples
collected in the region bounded on the west by the great Central
African rift, Tanganyika and Nyasa, and on the east by the Indian
Ocean, are closely related to each other—some of their languages are
only distinguished from one another as dialects of the same speech,
and no doubt all the tribes present the same shape of skull and
structure of skeleton. Thus, surely, there can be no very striking
differences in outward appearance.
Even did such exist, I should have no time
to concern myself with them, for day after day,
I have to see or hear, as the case may be—in
any case to grasp and record—an
extraordinary number of ethnographic
phenomena. I am almost disposed to think it
fortunate that some departments of inquiry, at
least, are barred by external circumstances.
Chief among these is the subject of iron-
working. We are apt to think of Africa as a
country where iron ore is everywhere, so to
speak, to be picked up by the roadside, and
where it would be quite surprising if the
inhabitants had not learnt to smelt the
material ready to their hand. In fact, the
knowledge of this art ranges all over the
continent, from the Kabyles in the north to the
Kafirs in the south. Here between the Rovuma
and the Lukuledi the conditions are not so
favourable. According to the statements of the
Makonde, neither ironstone nor any other
form of iron ore is known to them. They have
not therefore advanced to the art of smelting
the metal, but have hitherto bought all their
THE ANCESTRESS OF
THE MAKONDE
iron implements from neighbouring tribes.
Even in the plain the inhabitants are not much
better off. Only one man now living is said to
understand the art of smelting iron. This old fundi lives close to
Huwe, that isolated, steep-sided block of granite which rises out of
the green solitude between Masasi and Chingulungulu, and whose
jagged and splintered top meets the traveller’s eye everywhere. While
still at Masasi I wished to see this man at work, but was told that,
frightened by the rising, he had retired across the Rovuma, though
he would soon return. All subsequent inquiries as to whether the
fundi had come back met with the genuine African answer, “Bado”
(“Not yet”).
BRAZIER
Some consolation was afforded me by a brassfounder, whom I

came across in the bush near Akundonde’s. This man is the favourite
of women, and therefore no doubt of the gods; he welds the glittering
brass rods purchased at the coast into those massive, heavy rings
which, on the wrists and ankles of the local fair ones, continually give
me fresh food for admiration. Like every decent master-craftsman he
had all his tools with him, consisting of a pair of bellows, three
crucibles and a hammer—nothing more, apparently. He was quite
willing to show his skill, and in a twinkling had fixed his bellows on
the ground. They are simply two goat-skins, taken off whole, the four
legs being closed by knots, while the upper opening, intended to
admit the air, is kept stretched by two pieces of wood. At the lower
end of the skin a smaller opening is left into which a wooden tube is
stuck. The fundi has quickly borrowed a heap of wood-embers from
the nearest hut; he then fixes the free ends of the two tubes into an
earthen pipe, and clamps them to the ground by means of a bent
piece of wood. Now he fills one of his small clay crucibles, the dross
on which shows that they have been long in use, with the yellow
material, places it in the midst of the embers, which, at present are
only faintly glimmering, and begins his work. In quick alternation
the smith’s two hands move up and down with the open ends of the
bellows; as he raises his hand he holds the slit wide open, so as to let
the air enter the skin bag unhindered. In pressing it down he closes
the bag, and the air puffs through the bamboo tube and clay pipe into
the fire, which quickly burns up. The smith, however, does not keep
on with this work, but beckons to another man, who relieves him at
the bellows, while he takes some more tools out of a large skin pouch
carried on his back. I look on in wonder as, with a smooth round
stick about the thickness of a finger, he bores a few vertical holes into
the clean sand of the soil. This should not be difficult, yet the man
seems to be taking great pains over it. Then he fastens down to the
ground, with a couple of wooden clamps, a neat little trough made by
splitting a joint of bamboo in half, so that the ends are closed by the
two knots. At last the yellow metal has attained the right consistency,
and the fundi lifts the crucible from the fire by means of two sticks
split at the end to serve as tongs. A short swift turn to the left—a
tilting of the crucible—and the molten brass, hissing and giving forth
clouds of smoke, flows first into the bamboo mould and then into the
holes in the ground.
The technique of this backwoods craftsman may not be very far
advanced, but it cannot be denied that he knows how to obtain an
adequate result by the simplest means. The ladies of highest rank in
this country—that is to say, those who can afford it, wear two kinds
of these massive brass rings, one cylindrical, the other semicircular
in section. The latter are cast in the most ingenious way in the
bamboo mould, the former in the circular hole in the sand. It is quite
a simple matter for the fundi to fit these bars to the limbs of his fair
customers; with a few light strokes of his hammer he bends the
pliable brass round arm or ankle without further inconvenience to
the wearer.
SHAPING THE POT
SMOOTHING WITH MAIZE-COB
CUTTING THE EDGE

FINISHING THE BOTTOM
LAST SMOOTHING BEFORE

BURNING
FIRING THE BRUSH-PILE

LIGHTING THE FARTHER SIDE OF
THE PILE
TURNING THE RED-HOT VESSEL
NYASA WOMAN MAKING POTS AT MASASI

Pottery is an art which must always and everywhere excite the
interest of the student, just because it is so intimately connected with
the development of human culture, and because its relics are one of
the principal factors in the reconstruction of our own condition in
prehistoric times. I shall always remember with pleasure the two or
three afternoons at Masasi when Salim Matola’s mother, a slightly-
built, graceful, pleasant-looking woman, explained to me with
touching patience, by means of concrete illustrations, the ceramic art
of her people. The only implements for this primitive process were a
lump of clay in her left hand, and in the right a calabash containing
the following valuables: the fragment of a maize-cob stripped of all
its grains, a smooth, oval pebble, about the size of a pigeon’s egg, a
few chips of gourd-shell, a bamboo splinter about the length of one’s
hand, a small shell, and a bunch of some herb resembling spinach.
Nothing more. The woman scraped with the
shell a round, shallow hole in the soft, fine
sand of the soil, and, when an active young
girl had filled the calabash with water for her,
she began to knead the clay. As if by magic it
gradually assumed the shape of a rough but
already well-shaped vessel, which only wanted
a little touching up with the instruments
before mentioned. I looked out with the
MAKUA WOMAN closest attention for any indication of the use
MAKING A POT. of the potter’s wheel, in however rudimentary
SHOWS THE a form, but no—hapana (there is none). The
BEGINNINGS OF THE embryo pot stood firmly in its little
POTTER’S WHEEL
depression, and the woman walked round it in
a stooping posture, whether she was removing
small stones or similar foreign bodies with the maize-cob, smoothing
the inner or outer surface with the splinter of bamboo, or later, after
letting it dry for a day, pricking in the ornamentation with a pointed
bit of gourd-shell, or working out the bottom, or cutting the edge
with a sharp bamboo knife, or giving the last touches to the finished
vessel. This occupation of the women is infinitely toilsome, but it is
without doubt an accurate reproduction of the process in use among
our ancestors of the Neolithic and Bronze ages.
There is no doubt that the invention of pottery, an item in human
progress whose importance cannot be over-estimated, is due to
women. Rough, coarse and unfeeling, the men of the horde range
over the countryside. When the united cunning of the hunters has
succeeded in killing the game; not one of them thinks of carrying
home the spoil. A bright fire, kindled by a vigorous wielding of the
drill, is crackling beside them; the animal has been cleaned and cut
up secundum artem, and, after a slight singeing, will soon disappear
under their sharp teeth; no one all this time giving a single thought
to wife or child.
To what shifts, on the other hand, the primitive wife, and still more
the primitive mother, was put! Not even prehistoric stomachs could
endure an unvarying diet of raw food. Something or other suggested
the beneficial effect of hot water on the majority of approved but
indigestible dishes. Perhaps a neighbour had tried holding the hard
roots or tubers over the fire in a calabash filled with water—or maybe
an ostrich-egg-shell, or a hastily improvised vessel of bark. They
became much softer and more palatable than they had previously
been; but, unfortunately, the vessel could not stand the fire and got
charred on the outside. That can be remedied, thought our
ancestress, and plastered a layer of wet clay round a similar vessel.
This is an improvement; the cooking utensil remains uninjured, but
the heat of the fire has shrunk it, so that it is loose in its shell. The
next step is to detach it, so, with a firm grip and a jerk, shell and
kernel are separated, and pottery is invented. Perhaps, however, the
discovery which led to an intelligent use of the burnt-clay shell, was
made in a slightly different way. Ostrich-eggs and calabashes are not
to be found in every part of the world, but everywhere mankind has
arrived at the art of making baskets out of pliant materials, such as
bark, bast, strips of palm-leaf, supple twigs, etc. Our inventor has no
water-tight vessel provided by nature. “Never mind, let us line the
basket with clay.” This answers the purpose, but alas! the basket gets
burnt over the blazing fire, the woman watches the process of
cooking with increasing uneasiness, fearing a leak, but no leak
appears. The food, done to a turn, is eaten with peculiar relish; and
the cooking-vessel is examined, half in curiosity, half in satisfaction
at the result. The plastic clay is now hard as stone, and at the same
time looks exceedingly well, for the neat plaiting of the burnt basket
is traced all over it in a pretty pattern. Thus, simultaneously with
pottery, its ornamentation was invented.
Primitive woman has another claim to respect. It was the man,
roving abroad, who invented the art of producing fire at will, but the
woman, unable to imitate him in this, has been a Vestal from the
earliest times. Nothing gives so much trouble as the keeping alight of
the smouldering brand, and, above all, when all the men are absent
from the camp. Heavy rain-clouds gather, already the first large
drops are falling, the first gusts of the storm rage over the plain. The
little flame, a greater anxiety to the woman than her own children,
flickers unsteadily in the blast. What is to be done? A sudden thought
occurs to her, and in an instant she has constructed a primitive hut
out of strips of bark, to protect the flame against rain and wind.
This, or something very like it, was the way in which the principle
of the house was discovered; and even the most hardened misogynist
cannot fairly refuse a woman the credit of it. The protection of the
hearth-fire from the weather is the germ from which the human
dwelling was evolved. Men had little, if any share, in this forward
step, and that only at a late stage. Even at the present day, the
plastering of the housewall with clay and the manufacture of pottery
are exclusively the women’s business. These are two very significant
survivals. Our European kitchen-garden, too, is originally a woman’s
invention, and the hoe, the primitive instrument of agriculture, is,
characteristically enough, still used in this department. But the
noblest achievement which we owe to the other sex is unquestionably
the art of cookery. Roasting alone—the oldest process—is one for
which men took the hint (a very obvious one) from nature. It must
have been suggested by the scorched carcase of some animal
overtaken by the destructive forest-fires. But boiling—the process of
improving organic substances by the help of water heated to boiling-
point—is a much later discovery. It is so recent that it has not even
yet penetrated to all parts of the world. The Polynesians understand
how to steam food, that is, to cook it, neatly wrapped in leaves, in a
hole in the earth between hot stones, the air being excluded, and
(sometimes) a few drops of water sprinkled on the stones; but they
do not understand boiling.
To come back from this digression, we find that the slender Nyasa
woman has, after once more carefully examining the finished pot,
put it aside in the shade to dry. On the following day she sends me
word by her son, Salim Matola, who is always on hand, that she is
going to do the burning, and, on coming out of my house, I find her
already hard at work. She has spread on the ground a layer of very
dry sticks, about as thick as one’s thumb, has laid the pot (now of a
yellowish-grey colour) on them, and is piling brushwood round it.
My faithful Pesa mbili, the mnyampara, who has been standing by,
most obligingly, with a lighted stick, now hands it to her. Both of
them, blowing steadily, light the pile on the lee side, and, when the
flame begins to catch, on the weather side also. Soon the whole is in a
blaze, but the dry fuel is quickly consumed and the fire dies down, so
that we see the red-hot vessel rising from the ashes. The woman
turns it continually with a long stick, sometimes one way and
sometimes another, so that it may be evenly heated all over. In
twenty minutes she rolls it out of the ash-heap, takes up the bundle
of spinach, which has been lying for two days in a jar of water, and
sprinkles the red-hot clay with it. The places where the drops fall are
marked by black spots on the uniform reddish-brown surface. With a
sigh of relief, and with visible satisfaction, the woman rises to an
erect position; she is standing just in a line between me and the fire,
from which a cloud of smoke is just rising: I press the ball of my
camera, the shutter clicks—the apotheosis is achieved! Like a
priestess, representative of her inventive sex, the graceful woman
stands: at her feet the hearth-fire she has given us beside her the
invention she has devised for us, in the background the home she has
built for us.
At Newala, also, I have had the manufacture of pottery carried on
in my presence. Technically the process is better than that already
described, for here we find the beginnings of the potter’s wheel,
which does not seem to exist in the plains; at least I have seen
nothing of the sort. The artist, a frightfully stupid Makua woman, did
not make a depression in the ground to receive the pot she was about
to shape, but used instead a large potsherd. Otherwise, she went to
work in much the same way as Salim’s mother, except that she saved
herself the trouble of walking round and round her work by squatting
at her ease and letting the pot and potsherd rotate round her; this is
surely the first step towards a machine. But it does not follow that
the pot was improved by the process. It is true that it was beautifully
rounded and presented a very creditable appearance when finished,
but the numerous large and small vessels which I have seen, and, in
part, collected, in the “less advanced” districts, are no less so. We
moderns imagine that instruments of precision are necessary to
produce excellent results. Go to the prehistoric collections of our
museums and look at the pots, urns and bowls of our ancestors in the
dim ages of the past, and you will at once perceive your error.
MAKING LONGITUDINAL CUT IN
BARK
DRAWING THE BARK OFF THE LOG
REMOVING THE OUTER BARK

BEATING THE BARK
WORKING THE BARK-CLOTH AFTER BEATING, TO MAKE IT

SOFT
MANUFACTURE OF BARK-CLOTH AT NEWALA

To-day, nearly the whole population of German East Africa is
clothed in imported calico. This was not always the case; even now in
some parts of the north dressed skins are still the prevailing wear,
and in the north-western districts—east and north of Lake
Tanganyika—lies a zone where bark-cloth has not yet been
superseded. Probably not many generations have passed since such
bark fabrics and kilts of skins were the only clothing even in the
south. Even to-day, large quantities of this bright-red or drab
material are still to be found; but if we wish to see it, we must look in
the granaries and on the drying stages inside the native huts, where
it serves less ambitious uses as wrappings for those seeds and fruits
which require to be packed with special care. The salt produced at
Masasi, too, is packed for transport to a distance in large sheets of
bark-cloth. Wherever I found it in any degree possible, I studied the
process of making this cloth. The native requisitioned for the
purpose arrived, carrying a log between two and three yards long and
as thick as his thigh, and nothing else except a curiously-shaped
mallet and the usual long, sharp and pointed knife which all men and
boys wear in a belt at their backs without a sheath—horribile dictu!
[51]
Silently he squats down before me, and with two rapid cuts has
drawn a couple of circles round the log some two yards apart, and
slits the bark lengthwise between them with the point of his knife.
With evident care, he then scrapes off the outer rind all round the
log, so that in a quarter of an hour the inner red layer of the bark
shows up brightly-coloured between the two untouched ends. With
some trouble and much caution, he now loosens the bark at one end,
and opens the cylinder. He then stands up, takes hold of the free
edge with both hands, and turning it inside out, slowly but steadily
pulls it off in one piece. Now comes the troublesome work of
scraping all superfluous particles of outer bark from the outside of
the long, narrow piece of material, while the inner side is carefully
scrutinised for defective spots. At last it is ready for beating. Having
signalled to a friend, who immediately places a bowl of water beside
him, the artificer damps his sheet of bark all over, seizes his mallet,
lays one end of the stuff on the smoothest spot of the log, and
hammers away slowly but continuously. “Very simple!” I think to
myself. “Why, I could do that, too!”—but I am forced to change my
opinions a little later on; for the beating is quite an art, if the fabric is
not to be beaten to pieces. To prevent the breaking of the fibres, the
stuff is several times folded across, so as to interpose several
thicknesses between the mallet and the block. At last the required
state is reached, and the fundi seizes the sheet, still folded, by both
ends, and wrings it out, or calls an assistant to take one end while he
holds the other. The cloth produced in this way is not nearly so fine
and uniform in texture as the famous Uganda bark-cloth, but it is
quite soft, and, above all, cheap.
Now, too, I examine the mallet. My craftsman has been using the
simpler but better form of this implement, a conical block of some
hard wood, its base—the striking surface—being scored across and
across with more or less deeply-cut grooves, and the handle stuck
into a hole in the middle. The other and earlier form of mallet is
shaped in the same way, but the head is fastened by an ingenious
network of bark strips into the split bamboo serving as a handle. The
observation so often made, that ancient customs persist longest in
connection with religious ceremonies and in the life of children, here
finds confirmation. As we shall soon see, bark-cloth is still worn
during the unyago,[52] having been prepared with special solemn
ceremonies; and many a mother, if she has no other garment handy,
will still put her little one into a kilt of bark-cloth, which, after all,
looks better, besides being more in keeping with its African
surroundings, than the ridiculous bit of print from Ulaya.
MAKUA WOMEN

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SMOOTHING WITH MAIZE-COB

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LAST SMOOTHING BEFORE

FIRING THE BRUSH-PILE

TURNING THE RED-HOT VESSEL

NYASA WOMAN MAKING POTS AT MASASI

DRAWING THE BARK OFF THE LOG

REMOVING THE OUTER BARK

WORKING THE BARK-CLOTH AFTER BEATING, TO MAKE IT

MANUFACTURE OF BARK-CLOTH AT NEWALA

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