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TENTH EDITION
Direct Social Work

Practice: Theory and Skills
DEAN H. HEPWORTH
Professor Emeritus, University of Utah and Arizona State University
RONALD H. ROONEY
University of Minnesota
GLENDA DEWBERRY ROONEY

Augsburg College
KIMBERLY STROM-GOTTFRIED
University of North Carolina at Chapel Hill
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Print Number: 01 Print Year: 2016
Brief Contents
Preface xiii
About the Authors xix
PART 1
INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1 The Challenges and Opportunities of Social Work 2
2 Direct Practice: Domain, Philosophy, and Roles 23
3 Overview of the Helping Process 35
4 Operationalizing the Cardinal Social Work Values 57
PART 2
EXPLORING, ASSESSING, AND PLANNING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
5 Building Blocks of Communication: Conveying Empathy and Authenticity 91
6 Verbal Following, Exploring, and Focusing Skills 138
7 Eliminating Counterproductive Communication Patterns and Substituting
Positive Alternatives 168
8 Assessment: Exploring and Understanding Problems and Strengths 187
9 Assessment: Intrapersonal, Interpersonal, and Environmental Factors 216
10 Assessing Family Functioning in Diverse Family and Cultural Contexts 251
11 Forming and Assessing Social Work Groups 279
12 Developing Goals and Formulating a Contract 312
PART 3
THE CHANGE-ORIENTED PHASE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
13 Planning and Implementing Change-Oriented Strategies 364
14 Developing Resources, Advocacy, and Organizing as Intervention
Strategies 423
15 Enhancing Family Functioning and Relationships 455
16 Intervening in Social Work Groups 484
17 Additive Empathy, Interpretation, and Confrontation 512
18 Managing Barriers to Change 535
iii
iv Brief Contents
PART 4
THE TERMINATION PHASE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 567
19 The Final Phase: Evaluation and Termination 568
Bibliography 585
Author Index 625
Subject Index 637
Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii A Philosophy of Direct Practice 28

About the Authors . . . . . . . . . . . . . . . . . . . . . . . xix Roles of Direct Practitioners 28
Direct Provision of Services 29
System Linkage Roles 29
PART 1 System Maintenance and Enhancement 31
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . 1 Researcher/Research Consumer 32
System Development 33
CHAPTER 1 Summary 33
The Challenges and Opportunities of Social
Competency Notes 34
Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
The Context of Social Work 3 CHAPTER 3
The Mission of Social Work 4 Overview of the Helping Process . .. . . . . . . . . . . . . . 35
The Purposes of Social Work 5 Common Elements among Diverse Theorists and
Social Work Values 6 Social Workers 35
EPAS Competencies 8 The Helping Process 37
EPAS Competency 1 8 Phase I: Exploration, Engagement, Assessment, and
EPAS Competency 2 9 Planning 37
EPAS Competency 3 10 Phase II: Implementation and Goal Attainment 42
EPAS Competency 4 10 Phase III: Termination 45
EPAS Competency 5 11 The Interviewing Process: Structure and Skills 46
EPAS Competency 6 11 Physical Conditions 47
EPAS Competencies 7 and 8 11 Structure of Interviews 48
EPAS Competency 9 12 The Exploration Process 51
Levels of Practice 12 Focusing in Depth 53
Orienting Frameworks to Achieve Competencies 13 Negotiating Goals and a Contract 54
Ecological Systems Model 13 Ending Interviews 55
Nonlinear Applications of Systems Theory 17 Goal Attainment 55
Limitations of Systems Theories 17 Summary 55
Deciding on and Carrying Out Interventions 17 Competency Notes 56
Evidence-Based Practice 18 Notes 56
Criticism of Evidence Approaches and Alternatives 19
Guidelines Influencing Intervention Selection 20 CHAPTER 4
Summary 21 Operationalizing the Cardinal Social Work
Competency Notes 21 Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
The Interaction between Personal and Professional
CHAPTER 2 Values 57
Direct Practice: Domain, Philosophy, and Roles . . 23 The Cardinal Values of Social Work 58
Domain 23 Access to Resources 58
Generalist Practice 24 Respect for Dignity and Worth and Interpersonal
Direct Practice 25 Relationships 60
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
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
people to create appropriate niches for themselves. Eco- individuals who need or utilize these resources, or
logical systems theory posits that individuals constantly dysfunctional transactions between individuals and
engage in transactions with other humans and with environmental systems threaten to block the fulfillment
other systems in the environment, and that these indi- of human needs and lead to stress or impaired
viduals and systems reciprocally influence each other. functioning. To reduce or remove this stress requires
Each system is unique, varying in its characteristics coping efforts aimed at gratifying the needs—that
and ways of interacting; no two individuals, families, is, achieving adaptive fit between person and environ-
groups, or neighborhoods are the same. As a conse- ment. People, however, often do not have access to
quence, people do not merely react to environmental adequate resources or may lack effective coping meth-
forces. Rather, they act on their environments, thereby ods. Social work involves helping such people meet
shaping the responses of other people, groups, institu- their needs by linking them with or developing essen-
tions, and even the physical environment. For example, tial resources. It can also include enhancing clients’
people make choices about where to live, whether to capacities to utilize resources or cope with environ-
upgrade or to neglect their living arrangements, and mental forces.
whether to initiate or support policies that combat
urban decay, safeguard the quality of air and water, The Diverse Systems
and provide adequate housing for the elderly poor.
Assessment from an ecological systems perspective
Adequate assessments of human problems and
obviously requires knowledge of the diverse systems
plans of interventions, therefore, must consider how
involved in interactions between people and their
people and environmental systems influence one
environments:
another. The importance of considering this reciprocal
interaction when formulating assessments has been
● Subsystems of the individual—biophysical, cogni-
reflected in changing views of certain human problems
tive, emotional, behavioral, motivational
over the past decade. Disability, for example, is now
● Interpersonal systems—parent/child, marital,
defined in psychosocial terms rather than in medical
family, kin, friends, neighbors, cultural reference
or economic terms. As Roth (1987) has clarified,
groups, spiritual belief systems, other members of
“What is significant can be revealed only by the eco-
social networks
logical framework in which the disabled person exists,
● Organizations, institutions, communities
by the interactions through which society engages a
● The physical environment—housing, neighbor-
disability, by the attitudes others hold, and by the
hood environment, buildings, other artificial crea-
architecture, means of transportation, and social orga-
tions, water, weather and climate
nization constructed by the able bodied” (p. 434). Dis-
ability is thus minimized by maximizing the goodness
A major advantage of the ecological systems model is
of fit between the needs of people with physical or
its broad scope. Typical human problems involving
mental limitations and the environmental resources
health care, family relations, inadequate income, men-
that correspond to their special needs, such as rehabili-
tal health difficulties, conflicts with law enforcement
tation programs, special physical accommodations,
agencies, unemployment, educational difficulties, and
education, and social support systems.
so on can all be subsumed under this model, enabling
the practitioner to analyze the complex variables
The Development of Needed Resources involved in such problems.
It is clear from the ecological systems perspective that
the satisfaction of human needs and mastery of devel- Applying the Model: First Steps
opmental tasks require adequate resources in the envi- Assessing the sources of problems and determining the
ronment and positive transactions between people foci of interventions are the first steps in applying the
and their environments. For example, effective learning ecological systems model. Assessment tools have been
by a student requires adequate schools, competent developed that can engage clients in gathering informa-
teachers, parental support, adequate perception and tion to assist in discovering the strengths, resources,
intellectual ability, motivation to learn, and positive and challenges of the systems surrounding individuals
relationships between teachers and students. Any and families. For example, ecomaps such as that shown
gaps in the environmental resources, limitations of in Figure 1-1 can depict a family context (Hartman,
Child
Welfare
Work Services
State
Health
Care
System Mental
and Physical
Health
Marta
Ramirez
Children
Elementary
School
Church
Teachers
Neighborhood
Key:
Tenuous
Strong
Conflicted
Stressful
F I G 1- 1 Ecomap
1994). A solid line connecting systems to individuals community and others. New adaptations of ecomaps
and families can indicate a strong relationship, a dotted include virtual ecomaps, which can help clients assess
line can indicate a tenuous relationship, and hatch marks their digital world and online resources (Gustafsson &
can indicate a stressful relationship (Cournoyer, 2011; MacEachron, 2013).
Mattaini, 1995). The ecomap depicted in Figure 1-1 Adapting systems models to social work practice,
suggests that Mrs. Ramirez experiences her relation- Pincus and Minahan (1973) suggested that a client
ship with her spiritual community as sustaining, system includes those persons who are requesting a
whereas she considers her relationships with the school change, sanction it, are expected to benefit from it,
system, health care system, and work as stressful. Those and contract to receive it (Compton, Galaway, &
relationships are influenced by her work-related injury Cournoyer, 2005). As noted previously, potential cli-
and lack of access to health care as an undocumented ents who request a change are described as voluntary
person and contribute to her symptoms of depression clients. Also noted previously, many clients reach social
and oversleeping. Creation of an ecomap can then form workers not through their own choice but rather
the basis of a plan for utilizing available resources, through referral from others. Nonvoluntary clients (or
such as seeking assistance from her spiritual referrals) are persons who do not seek services on their
own but who do so at the behest of other professionals educational neglect assessment. These problem areas
and family members. Meanwhile, contacted persons are may merge as a contract is developed to address several
approached through an outreach effort (Compton & concerns. It is important that target problems focus on a
Galaway, 2005). Some referred and contacted indivi- target concern rather than on the entire person as the
duals may not experience pressure from that contact. target. Focusing on a person as the target system objec-
However, some individuals do experience pressure; tifies that individual and diminishes the respect for
social workers should consider them as “potential cli- individuality to which each person is entitled. Hence,
ents” and be aware of the route that brought them to concerns with school attendance can be the target system
the social worker and their response to that contact. rather than Mrs. Ramirez and her children.
The action system refers to those formal and
Applying the Model: Next Steps informal resources and persons that the social worker
The next step is to determine what should be done needs to cooperate with to accomplish a purpose. It
related to the pertinent systems involved in the prob- often includes family, friends, and other resources as
lem situation. In this step, the social worker surveys the well as more formal resources. For example, an action
broad spectrum of available practice theories and inter- system for school attendance might include school
ventions. To be maximally effective, interventions must attendance officers, teachers, relatives, neighbors, spiri-
be directed to all systems that are critical in a given tual resources, or transportation providers, according
problem system. to the plan agreed upon by Mrs. Ramirez and Tobias
The target system refers to the focus of change (see Figure 1-4).
efforts. With a voluntary client, it typically encom- The agency system is a special subset of an action
passes the concerns that brought the individual to system that includes the practitioners and formal service
seek services. With nonvoluntary clients, it may include
illegal or dangerous behaviors that the person does not
acknowledge (see Figure 1-2). As noted previously, the CLIENT
client system consists of those persons who request or SYSTEM
are expected to benefit from services. Note that this Persons who
definition includes both voluntary and nonvoluntary request or are
Her school
clients (see Figure 1-3). Mrs. Ramirez
expected to
benefit from aged children
When a client desires assistance with a personal services
problem, the target and client systems overlap. Fre-
quently, however, clients request assistance with a prob-
lem outside themselves. In such instances, that problem
could become the center of a target system. For example, F I G 1- 3 Client System
Mrs. Ramirez from our case example acknowledges psy-
chological and physical health concerns as well as con-
cerns about how welcome her children feel in school. Action system: formal and informal
Meanwhile, Tobias must carry out a legally defined resources with whom we cooperate
to achieve client goals
Mrs. Ramirez
School TARGET physical and
attendance SYSTEM: psychological
health School
Foci of change
effort; people attendance
and problems
to influence in
Neighbors, religious
Collaboration with school order to
School officials
officials achieve client resources around
Referral for transportation
Work with Mrs. Ramirez goals
psychological
to ready children for and physical
school Mrs. Ramirez &
assessment
Explore transportation children
alternatives
FIG 1 -2 Target System F I G 1- 4 Action System
and stability (Warren, Franklin, & Streeter, 1998).

Agency system: formal subset of
Hence, the emphasis in such stable systems is on con-
action system who must cooperate
to achieve client goals cepts such as boundaries, homeostasis, and equilibrium.
In addition to ordered circumstances, systems theory
can be useful for considerationof nonlinear systems. Sys-
tems in the process of change can be very sensitive to
School initial events and feedback to those events. For example,
attendance
a nonlinear change would be the circumstance in which
an adolescent’s voice changes by 1 decibel of loudness
School system Child welfare
agency resulting in a change of 10 decibels in an adult (Warren
et al., 1998). Minor incidents in the past can reverberate
throughout a system. Some have suggested that this pro-
F IG 1 - 5 Agency System liferation supports the notion that family systems can
make significant changes as a result of a key intervention
systems involved in work on the target problems that reverberates and is reinforced in a system.
(Compton & Galaway, 2005). In Mrs. Ramirez’s case, Such nonlinear circumstances emphasize the con-
the agency system primarily includes the elementary cept of multifinality—that is, the same initial condi-
school and the child welfare agency (see Figure 1-5). tions can lead to quite varied outcomes. Among the
Social systems also vary in the degree to which implications of multifinality are the possibility of con-
they are open and closed to new information or feed- sidering chaos not as a lack of order but rather as an
back. Closed systems have relatively rigid boundaries opportunity for flexibility and change.
that prevent the input or export of information. Open
systems have relatively permeable boundaries, permit-
ting a freer exchange. Families may vary from being Limitations of Systems Theories
predominantly closed to new information to being While systems models often provide useful concepts
excessively open. In fact, all families and human sys- for describing person–situation interactions, they may
tems exhibit a tension between trying to maintain sta- have limitations in suggesting specific intervention
bility and boundaries in some areas while seeking and prescriptions (Whittaker & Tracy, 1989). Similarly,
responding to change in others. Systems theorists also Wakefield (1996a, 1996b) has argued that systems con-
suggest that change in one part of a system often affects cepts do not add much to domain-specific knowledge.
other parts of the system. For example, Mrs. Ramirez’s Others claim that, however faulty or inadequate, sys-
emotional and physical health may greatly influence tems theory provides useful metaphors for conceptual-
her capacity to prepare her children for school. Hence, izing the relations between complex organizations.
facilitating a referral for her may have a significant Perhaps we should not place such high expecta-
impact on the school attendance issue. tions on the theory (Gitterman, 1996). We take the
The principle of equifinality suggests that the same view that systems theory provides useful metaphors
outcome can be achieved even with different starting for conceptualizing the varied levels of phenomena
points. For example, your classmates have come from social workers must recognize. By themselves, those
different places both geographically and in terms of life metaphors are insufficient to guide practice. Concepts
experience. Despite your different origins, you have all such as equifinality and multifinality cannot be rigidly
ended up in the same program of study. The principle applied in all human and social systems.
of multifinality suggests that beginning from the same
starting points may end in different outcomes.Just as you
and your classmates are engaged in the same course of
study, you are likely to end in diverse settings and locales
DECIDING ON AND CARRYING
for your own practice experience. OUT INTERVENTIONS
How do social workers decide on what
Nonlinear Applications of Systems interventions they will carry out to assist
Theory client systems in reaching their goals?
Traditional systems theory suggests that systems or Throughout our professional history, social
organizations are characterized by order, rationality, workers have drawn selectively on theories EP 4
to help understand circumstances and guide interven- the context of fit to particular situations, which in turn
tion. Psychodynamic theory was an important early are considered within the context of informed consent
source of explanations to guide social work interventions and client values and expectations (Petr & Walter,
through adaptations such as the functional approach, 2005, p. 252; Thyer & Gambrill, 2004).
the psychosocial approach, and the problem-solving Evidence-based practice began in medicine as an
approach (Hollis & Woods, 1981; Perlman, 1957; Taft, attempt to conscientiously identify best practices for cli-
1937). In each of these approaches, ego psychology was a ent care, assess the quality of evidence available, and
particularly valuable source in explaining how indivi- present that evidence to clients and patients so that
duals coped with their environments. While psychody- they could share in decision making (Adams & Drake,
namic theory provided a broad-ranging explanatory 2006; Scheyett, 2006). More recently, two forms of
framework, it was less useful as a source of specific inter- evidence-based practice have become prominent.
ventions, and the level of abstraction required in the
approach did not lend itself well to the evaluation of its The Process Model
effectiveness.
Concerns about the effectiveness of social work The first form, the process model, is consistent with the
services led to an emphasis on employing methods medical definition of evidence-based practice cited pre-
that could be expected to be successful based on proven viously and focuses on the practices of the individual
effectiveness (Fischer, 1973). Rather than seeking single practitioner. Specifically, the individual practitioner
approaches to direct practice in all circumstances, learns how to formulate a question about his or her
social workers were guided to find the approach that work with a client that is answerable with data (Rubin,
made the best fit for the particular client circumstance 2007). Based on that question, the social worker gains
and problem (Fischer, 1978). Eclectic practice is access to appropriate empirical literature through online
designed to meet this goal, but it carries its own con- journals and studies. The social worker does not need to
cerns. For example, selecting techniques employed in review all the relevant literature from all of the available
particular approaches should be based on knowledge studies but may seek secondary reviews and meta-
of the approach the techniques come from and an analyses of an intervention that summarize the state of
assessment of the strengths and weaknesses of that knowledge about that intervention. For example, the evi-
approach (Coady & Lehmann, 2008; Marsh, 2004). dence about stages of change in a child welfare context
Berlin and Marsh (1993) suggest that there are has been summarized by Littell and Girvin (2004).
legitimate roles for many influences on practice deci- In assessing studies of interventions, a hierarchy of
sion making. These include clear conceptual frame- levels has been developed to assess the reliability of an
works to guide the social worker in what to look for, intervention measure. For example, multiple random-
commitments and values, intuitive hunches, spont- ized studies are considered to provide potentially
aneous improvisation, empathic understanding, and strong support for an intervention. With some social
empirically derived data (p. 230). problems and settings such as child welfare, such stud-
ies are rare; however, studies with other adequate con-
trols may be available (Kessler, Gira, & Poertner, 2005;
Evidence-Based Practice Thomlison, 2005; Blome & Steib, 2004). Whatever the
Empirically derived data as a source has a prominent range of studies available, the practitioner needs to
role in determining, together with clients, how to pro- have the skills to assess the level of support for the
ceed. Empirically based practice refers to promoting intervention. Based on this assessment of data, the
models of practice based on scientific evidence (Barker, social worker can share that evidence with his or her
2003). In such an approach, problems and outcomes client in order to better make an informed decision
are conceived in measurable terms, and data are together about what to do. After making this joint deci-
gathered to monitor interventions and evaluate sion, the practitioner and client can implement the
effectiveness. Interventions are selected based on their intervention with fidelity and assess how well it
scientific support and effectiveness as systematically works. This has been characterized as a bottom-up
measured and evaluated (Cournoyer, 2004; Petr & model because the questions raised and interventions
Walter, 2005). The term evidence-based practice has selected are assumed to be defined by the people closest
been suggested as broader than empirically based prac- to the intervention: the practitioner and client (Rubin,
tice, since external research findings are considered in 2007).
There are several assumptions about the process not readily convertible to individual circumstances and
model as presented in this form that must be assessed. cultural variations.
The model assumes that the practitioner is free to select
an intervention and that the client is free to accept or Criticism of Evidence Approaches
reject it. In fact, agency-level practice has many influ-
ences that determine which interventions can be uti- and Alternatives
lized (Payne, 2005). Some interventions are supported Critics, however, suggest that training in the evidence-
by the agency and supervisor based on policies, laws, based practices approach carries its own dangers.
prior training, and accepted practices. Practitioners uti- For one, students often experience anxiety in learning
lizing the process model hope that such interventions how to become effective practitioners and, having
are supported by a review of the research evidence. learned one evidence-based practice, might be
Recognizing this issue and that the choice of inter- inclined to generalize it beyond its original effective-
vention may not be fully in the control of the practi- ness, thus replicating in part the problem mentioned
tioner, some proponents have suggested that one earlier of students trained in a theory or model and
solution is for teams to study evidence about particular carrying it out without evidence of effectiveness and
problems and interventions and make recommenda- without having an alternative: If your only tool is
tions about practices to be used by the team (Proctor, a hammer, all problems may appear to be nails
2007). In partnership with schools of social work, (Scheyett, 2006).
agency teams can identify problems and secure admin- Second, evidence-based practices have their own
istrative support while the schools provide training in limited shelf life, with new studies supporting some
evidence-based practices. Another consideration is that methods and qualifying the support for others.
when clients are not entirely voluntary, practitioners Hence, the fact that you learn one evidence-based
and agencies may and should make evidence-based approach does not preclude and should not preclude
decisions, but involuntary clients may not feel empow- learning others. In fact, we believe that becoming effec-
ered to reject them (Kessler et al., 2005; Scheyett, 2006). tive practitioners is a career-long proposition, not lim-
In such cases, however, clients are entitled through ited by the completion of your academic program.
informed consent to know the rationale for the inter- Finally, behavioral and cognitive behavioral
vention and its evidence of effectiveness. This model approaches are well represented among evidence-
also assumes that the practitioner has sufficient time based practices. Some have suggested that such
to access the appropriate literature and appropriate approaches have an advantage because their practice
resources. Finally, it assumes that the practitioner has fits research protocols and, therefore, that other
the skill, training, and supervision to carry out the approaches have been underrepresented (Coady &
evidence-based intervention effectively (Rubin, 2007). Lehmann, 2008; Walsh, 2006). It becomes a challenge
to other approaches to enhance their effectiveness base
Training in Evidence-Based Approaches rather than question the value of research protocols or
Partly in response to the difficulties associated with representativeness of the model. There is growing evi-
the process model, another version of evidence-based dence that some emerging approaches, such as the
practice refers to training in evidence-based practice solution-focused approach, are in fact increasing their
approaches. In this approach, the emphasis is on iden- effectiveness base (Kim, 2008).
tifying models of practice that have demonstrated effi- Advocates suggest that there is room in social work
cacy for particular problems and populations, learning education both for a process and for training in evidence-
about them, and learning how to implement them. An based approaches—that all students should learn how to
advantage of this approach, according to proponents, is carry out the process model of evidence-based practice
that it focuses not just on knowing about the interven- and all students should become proficient in at least
tion but on acquiring the skills necessary to carry it out one evidence-based practice modality (Rubin, 2007).
effectively (Rubin, 2007). A form of this approach is the These proponents also suggest that such skills may
adoption of empirically supported approaches for par- require specialization in certain methods and may
ticular conditions. This form has had more widespread not be consistent with those programs that include
use as agencies and funding bodies have encouraged its an advanced generalist curriculum (Howard, Allen-
use (Barth et al., 2012). Difficulties also emerge with Meares, & Ruffolo, 2007). We do not take sides on this
this form of evidence-based practice, however, as it is issue, recognizing that programs that have developed
advanced generalist curricula have done so mindful 2. Social workers assess circumstances from a systems
of the context and expectations for practitioners in perspective, mindful of the person in the situation,
their area, and that generalist practice remains the stan- the setting, the community, and the organization.
dard for BSW programs and the first year of MSW We assess for the level of the problem and the
programs. appropriate level of interventions (Allen-Meares
Social workers should consult practice-informed & Garvin, 2000). We recognize that resources are
research and research-informed practice. Evidence- often needed at multiple levels and attempt to
based practiceis one such source,as it assists practitioners avoid a narrow clinical focus on the practitioner
in identifying problems, assessing data about those pro- and client. Hence our use of data and perspectives
blems, and consulting with clients in selecting interven- to guide us must be governed in part by the multi-
tions. Note that research-informedpractice has long been ple roles we play, including systems linkage as well
proposed in schools of social work. However, its actual as direct practice or clinical interventions (Richey
implementation in practice has often lagged behind & Roffman, 1999).
(Fortune, 2014). Reasons for this lag include lack of 3. Social workers are sensitive to diversity in consider-
time, lack of access, and lack of skill in assessing studies. ing interventions. We avoid assumptions that
Two more recent guides have emerged to assist interventions tested with one population will nec-
social workers in this quest. The common elements essarily generalize to another. In so doing, we are
approach examines commonalities across effective particularly sensitive to the clients’ own perspec-
interventions (Chorpita, Daleiden, & Weisz, 2005). tives about what is appropriate for them (Allen-
The common factors approach emphasizes other fac- Meares & Garvin, 2000).
tors shared by different intervention approaches, such 4. Social workers draw on evidence-based practices at
as strength of relationship or alliance (Duncan, Miller, both process and intervention levels as well as com-
Wampold, & Hubble, 2010). In the common factors mon factors in determining, together with the client,
approach, the social worker frequently assesses the how to proceed. We expect social workers to have
quality of the relationship. Barth and colleagues have access to evidence about efficacious interventions
suggested a framework for integrating these guides for the problem at hand. Such evidence may derive
starting with agency values (Barth et al., 2012). from individual study, organizational priorities, or
As this discussion indicates, social work has long collaboration with university teams to construct
attempted to make practice more scientific and to bring guidelines for practice in critical areas. Because
rigor to the selection of interventionapproaches (Brekke, our code of ethics requires us to act within our
2012). The proper relationship between science and art- level of competence and supervision, knowledge of
istry, theory and values, is an ongoing discussion in what interventions are efficacious does not mean
social work (Gitterman & Knight, 2013; Thyer, 2013). that we can carry out those interventions. It may
be a useful goal to learn how to carry out two or
more evidence-based approaches as part of your
Guidelines Influencing Intervention education program. The goal of this book, however,
Selection is to equip you with the basic skills to carry out
We recommend the following guidelines to assist you practice at the beginning level. We are influenced
in deciding when and how to intervene with clients by the process model of evidence-based practice,
in social work practice: and we seek to give you useful tools by modeling
ways that questions can be asked and that data
1. Social workers value maximum feasible self- can be consulted in making decisions with clients.
determination, empowerment, and enhancing of Further, in our chapters on intervention models, we
strengths to increase the client’s voice in decision will be influenced by evidence-based practice mod-
making. Manualized approaches that imply that els. It is not realistic at this level to attempt to teach
all major decisions are in the hands of and con- evidence-based practice approaches such that you
trolled by the social worker are alien to these would be able to implement them right away. We
values. Following these values, we seek to include can introduce you to them, but further training and
clients to the extent possible in access to informa- supervision will be required.
tion that would assist them in making decisions 5. Social workers think critically about practice, check-
(Coady & Lehmann, 2008). ing out assumptions and examining alternatives.
We try to avoid early social work patterns of ● Engage in critical analysis of quantitative and
applying theories more widely than data suggest by qualitative research methods and research
being open to examining alternatives (Briggs & findings.
Rzepnicki, 2004; Gambrill, 2004). One danger of ● Use and translate research findings to inform
following a single approach is that data that do not and improve practice, policy, and service
fit the preferences of the approach are discounted delivery.
(Maguire, 2002). Conversely, this danger can also
apply to selecting an approach based on its label as EP 5 Engage in Policy Practice
evidence-based, for example, without assessing fit ● Assess how social welfare and economic pol-
with client and circumstances (Scheyett, 2006). icies affect the delivery of and access to social
services.
● Critically analyze and promote policies that
SUMMARY advance human rights and social, economic,
This chapter introduced social work as a profession, and environmental justice.
marked by a specific context, mission, and well-
EP 6 Engage with Individuals, Families, Groups,
established values, that includes the practice of specific
Organizations, and Communities
competencies.As social workers and their clients operate
● Apply knowledge of human behavior and the
in many different kinds and levels of environments, eco-
social environment and practice context to
logical and systems concepts are useful metaphors for
engage with clients and constituencies.
conceptualizing what social workers and clients must
● Use empathy, reflection, and interpersonal
deal with. Chapter 2 will delve more deeply into specify-
skills to effectively engage diverse clients and
ing direct practice and the roles that social workers play.
constituencies.
EP 7 Assess Individuals, Families, Groups, Organiza-

COMPETENCY NOTES tions, and Communities
● Collect, organize, and critically analyze and
EP 1 Demonstrate Ethical and Professional Behavior interpret information from clients and
● Demonstrate professional demeanor in constituencies.
behavior, appearance, and oral, written, and ● Apply knowledge of human behavior and the
electronic communication. social environment, person-in-environment,
and other multidisciplinary theoretical fra-
EP 2 Engage Diversity and Difference in Practice
meworks in the analysis of assessment data
● Apply and communicate your understanding
from clients and constituencies.
of the importance of diversity and difference
● Develop mutually agreed-on intervention
in shaping life experiences. This also includes
goals and objectives based on the critical
presenting yourself as a learner and engaging
assessment of strengths, needs, and chal-
clients and constituents as experts in their
lenges within clients and constituencies.
own experience.
● Select appropriate intervention strategies based
EP 3 Advance Human Rights and Social, Economic, on the assessment, research knowledge,
and Environmental Justice and values and preferences of clients and
● Apply your understanding of social, eco- constituencies.
nomic, and environmental justice to advocate
for human rights at the individual and system EP 8 Intervene with Individuals, Families, Groups,
levels, and engage in practices that advance Organizations, and Communities
social, economic, and environmental justice. ● Implement interventions to achieve practice
goals and enhance capacities of clients and
EP 4 Engage in Practice-Informed Research and constituencies.
Research-Informed Practice ● Apply knowledge of human behavior and the
● Use practice experience and theory to inform social environment, person-in-environment,
scientific inquiry and research. and other multidisciplinary theoretical
frameworks in interventions with clients and EP 9 Evaluate Practice with Individuals, Families,
constituencies. Groups, Organizations, and Communities
● Use interprofessional collaboration as ● Select and use appropriate methods for eval-
appropriate to achieve beneficial practice uation of outcomes.
outcomes. ● Critically analyze, monitor, and evaluate
● Negotiate, mediate, and advocate with and intervention and program processes and
on behalf of clients and constituencies. outcomes.
● Facilitate effective transitions and endings ● Apply evaluation findings to improve practice
that advance mutually agreed-on goals. effectiveness at the micro and macro levels.
CHAPTER
2
Direct Practice: Domain,
Philosophy, and Roles
with Pa Der Vang
Chapter Overview ● Competency 7: Assess Individuals, Families,

Groups, Organizations, and Communities
This chapter presents a context and philosophy for
direct practice, definitions of direct and clinical ● Competency 8: Intervene with Individuals, Families,
practice, and descriptions of the varied roles played Groups, Organizations, and Communities
by direct social work practitioners. After completing ● Competency 9: Evaluate Practice with
this chapter, you will be able to: Individuals, Families, Groups, Organizations,
and Communities
● Define direct and clinical practice.
● Delineate roles performed by direct practice social
workers.
DOMAIN
EPAS Competencies in Chapter 2 Prior to 1970, social work practice was defined by
methodologies or by fields of practice. Social workers
This chapter will give you the information needed to were thus variously identified as caseworkers, group
meet the following practice competencies: workers, community organizers, child welfare workers,
● Competency 1: Demonstrate Ethical and psychiatric social workers, school social workers, medical
Professional Behavior social workers, and so on. The terms direct practice and
clinical practice are therefore relatively new in social
● Competency 2: Engage Diversity and Difference work nomenclature. The profession was unified in
in Practice 1955 by the creation of the National Association of
● Competency 3: Advance Human Rights and Social, Social Workers (NASW) and, with the inauguration
Economic, and Environmental Justice of the journal Social Work, the gradual transformation
● Competency 4: Engage in Practice-Informed from more narrow views of practice to the current
Research and Research-Informed Practice broader view was underway. This transformation accel-
erated during the 1960s and 1970s, when social unrest
● Competency 5: Engage in Policy Practice in the United States prompted challenges and criti-
● Competency 6: Engage with Individuals, Families, cisms of all institutions, including social work. Persons
Groups, Organizations, and Communities of color, organized groups of poor people, and other
23
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papel oficial, comenzaron a soltar una tras otra las palabrillas
emolientes que eran del caso y que tantas veces habían pronunciado
verbi gratia... «Querido hermano en Cristo, la celestial Jerusalén abre
sus puertas para ti...». «Vas a entrar en la morada de los justos...»
«Ánimo. Más padeció el Redentor del mundo por nosotros».
—Queridos hermanos en Cristo —dijo el reo con cierta jovialidad
delicada—. Agradezco mucho sus consuelos; pero he de advertirles
que no los necesito. Yo me basto y me sobro. Así es que no verán en
mí suspirillos ni congojas... Me gusta que hayan venido, y así podrán
decir a la posteridad cómo estaba Patricio Sarmiento en la capilla, y
qué bien revelaba en su noble actitud y reposado continente (al deci
esto erguía la cabeza, echando el cuerpo hacia atrás) la grandeza de
la idea por la cual dio su sangre.
Pasmados se quedaron los hermanos, así como los frailes, de ve
su serenidad, y le exhortaron de nuevo a que cerrase el entendimiento
a las vanidades del mundo. Sola, de rodillas junto al altar, rezaba en
silencio.
XXVI
Empezaron los hermanos a servir la comida. Sentose don Patricio a

la mesa, invitando a todos a que le acompañaran. No había
comenzado aún, cuando entró el señor de Chaperón, que jamás
dejaba de visitar a sus víctimas en la antesala del matadero. Como de
costumbre en tales casos, el señor brigadier trataba de enmascarar su
rostro con ciertas muecas, contorsiones y gestos encargados de
expresar la compasión, y helo aquí arqueando las cejas y plegando
santurronamente los ángulos de la boca, sin conseguir más que un
aumento prodigioso en su fealdad.
Saludó a Sarmiento con esa cortesía especial que se emplea con
los reos de muerte, amabilidad indefinible, incomprensible para quien
no ha visto muestras de ella en la capilla de la cárcel; urbanidad en la
cual no hay ni asomos de estimación, porque se trata de un
delincuente atroz, ni tampoco desprecio o encono a causa de la
proximidad del morir. Es una callada fórmula de repulsión compasiva
sentimiento extraño que no tiene semejante, como no sea en el alma
de algún carnicero no muy novicio ni tampoco muy empedernido.
—Hermano en Cristo —dijo don Francisco poniendo su mano, tan
semejante al hacha del verdugo, sobre el cuello del preceptor—
supongo que su alma sabrá buscar en la religión los consuelos...
Esta formulilla era de cajón. Aquel funcionario de tan pocas ideas la
llevaba prevenida siempre que a los reos visitaba.
—Señor don Francisco —replicó Sarmiento levantándose—, s
vuecencia quiere acompañarme a la mesa...
—No, gracias, gracias; siéntese usted... ¿Qué tal estamos de
salud?... ¿Y el apetito?
Lo preguntaba como lo preguntaría un médico.
—Vamos viviendo —repuso el patriota—. O si se quiere, vamos
muriendo. Todavía no ha llegado el instante precioso en que sea
innecesario este grosero sustento de la bestia... Hemos de arrastrar e
peso del cuerpo, hasta que llegue el instante de dejarlo en la orilla y
lanzarnos al océano sin fin, en brazos de aquellas olas de luz que nos
mecerán blandamente en presencia del Autor de todas las cosas.
Chaperón miró a los frailes, e hizo un gesto que indicaba opinión
favorable del juicio de Sarmiento.
—Y ya que vuecencia ha tenido la bondad de visitarme —añadió e
reo, después de saborear el primer bocado—, tengo el gusto de
declarar que no siento odio contra nadie, absolutamente contra nadie
A todos les perdono de corazón, y si de algo valen las preces de un
escogido como yo (al decir esto su tono indicaba el mayor orgullo), he
de alcanzar del Altísimo que ilumine a los extraviados para que muden
de conducta, trocando sus ideas absolutistas por el culto puro de la
libertad... Sí, señor: se intercederá por los que están ciegos, para que
reciban luz; se recomendará a los crueles, para que hallen
misericordia en su día. Patricio Sarmiento es leal, pío, generoso, como
apóstol de la misma generosidad, que es el liberalismo... En m
corazón ya no caben resentimientos: todos los echó fuera, para
presentarme puro y sin mancha. El mártir de una idea, el que con su
sangre ha puesto el sello a esa idea, ¿me entienden ustedes?, para
que quede consagrada en el mundo, no enturbiará su conciencia con
odios mezquinos. Reconozco que, con arreglo a las leyes, m
condenación ha sido razonable. Vuecencia que me oye no ha hecho
más que cumplir con la ley que se le ha puesto en la mano. Así me
gusta a mí la gente. Venga esa mano, señor don Francisco.
Diole tan fuerte apretón de manos, que Chaperón hubo de retirar la
suya prontamente para que no se la estrujara.
—Además —prosiguió Sarmiento—, yo sé que los que hoy me
condenan, me admirarán mañana, si viven, y los que me vituperan
hoy, luego me pondrán en el mismo cuerno de la luna... Porque esto
durará poco, señor don Francisco: el absolutismo, a fuerza de
estrangular, se sostendrá un año, dos, tres, pongamos cuatro... En
este guisado de vaca —añadió dirigiéndose a uno de los hermanos de
la Caridad—, se le fue la mano a la cocinera: lo ha cargado de sal..
Pongamos cuatro años; pero al fin tiene que caer y hundirse para
siempre, porque los siglos muertos no resucitan, señor don Francisco
porque los pueblos, una vez que han abierto los ojos, no se resignan a
cerrarlos; y así como cada estación tiene sus frutos, cada época tiene
su sazón propia, y los españoles, que hasta aquí hemos amargado de
puro verdes, vamos madurando ya, ¿me entiende vuecencia?, y se
nos ha puesto en la cabeza que no servimos para ensalada
Vuecencias ahorquen todo lo que quieran. Mientras más ahorquen
peor. El absolutismo acabará ahorcándose a sí mismo ¿No lo quieren
creer? Pues lo pruebo. Empezó creando para su defensa y
sostenimiento la fuerza de voluntarios realistas. Son estos unos
animalillos voraces y golosos que no se prestan a servir a su amo, s
este no les alimenta con cuerpos muertos. Una vez cebados y
enviciados con el fruto de la horca, mientras más se les da más piden
y llegará un momento en que no se les pueda dar todo lo que piden
¿me entiende vuecencia?
Don Francisco, sin contestarle, y dirigiendo maliciosas ojeadas a los
frailes, hacía señas de asentimiento. El padre Salmón, que atendía
con sorna a las razones del preso, bajó la cabeza para ocultar la risa
Pero el padre Alelí, que devotamente rezaba en su breviario, alzó los
ojos, y mirando con expresión de alarma al reo, le dijo:
—Hermano mío, veo que, lejos de apartar usted su pensamiento de
las ideas mundanas, se engolfa más y más en ellas, con gran perjuicio
de su alma. Los momentos son preciosos; la ocasión, impropia para
hacer discursos.
—Y yo digo que es menos propia para sermones —replicó
Sarmiento, dando un golpecillo en la mesa con el mango del tenedo
—. Yo sé bien lo que corresponde a cada momento, y repito que
consagraré a la religión y a mi conciencia todo el tiempo que fuere
necesario.
—Bastante ha perdido usted en vanidades.
—Poquito a poco, señor sacerdote —dijo Sarmiento frunciendo las
cejas—, yo nada le quito a Dios. No se quite nada tampoco a las
ideas, que son mi propia vida, mi razón de ser en el mundo, porque
entiéndase bien, son la misión que Dios mismo me ha encargado
Cada uno tiene su destino: el de unos es decir misa; el de otros es
enseñar o iluminar a los pueblos. El mismo que a su paternidad
reverendísima le dio las credenciales, me las ha dado a mí.
—Reflexione, hombre de Dios —indicó el padre Salmón, rompiendo
el silencio—, en qué sitio se encuentra, qué trance le espera, y vea s
no le cuadra más preparar su alma con devociones, que aturdirla con
profanidades.
—Vuestras paternidades me perdonen —dijo Sarmiento grave y
campanudamente después de beber el último trago de vino— si he
hablado de cosas profanas que no les agradan. Yo soy quien soy, y sé
lo que me digo. Sé mejor que nadie por qué estoy aquí, por qué muero
y por qué he vivido. Allá nos entenderemos Dios y yo; Dios, que llena
mi conciencia y me ha dictado este acto sublime, que será ejemplo de
las generaciones. Pero pues las religiosidades no están nunca de más
vamos a ellas y así quedarán todos contentos.
—Esas divagaciones, hombre de Dios —dijo Salmón con puntos de
malicia—, confirman uno de los delitos que le han traído a este sitio.
—¿Qué delito?
—El de fingirse enajenado para poder tratar impunemente de cosas
prohibidas.
—Hablillas —dijo Sarmiento sonriendo con desdén—. Señores
hermanos de la Paz, si tuvieran ustedes la bondad de darme cigarros
se lo agradecería... Hablillas del vulgo. Si fuéramos a hacer caso de
ellas, ¿cómo quedaría el padre Salmón en la opinión del mundo? ¿No
dicen de él que solo piensa en llenar la panza y en darse buena vida?
¿No goza fama de ser mejor cocinero que predicador?... ¿De
frecuentar más los estrados de las damas, para hablar de modas y
comidas, que el coro para rezar y la cátedra para enseñar? Esto dice
el vulgo. ¿Hemos de creer lo que diga? Pues al padre Alelí, que me
está oyendo y que es persona apreciabilísima, ¿no se le acusó en otro
tiempo de volteriano? ¿No le tuvo entre ojos la Inquisición? ¿No
decían que antaño era amigo de Olavide y que después se había
congraciado con los realistas? Esto se dijo: ¿hemos de hacer caso de
las necedades del vulgo?
El padre Alelí palideció, demostrando enojo y turbación. Chaperón
se mordía los labios para dominar sus impulsos de risa. Ofrecía, en
verdad, la fúnebre capilla espectáculo extraño, único, el más singula
que puede imaginarse. Frente al altar veíase una mujer de rodillas
rezando sin dejar de llorar, como si ella sola debiera interceder po
todos los pecadores habidos y por haber; en el centro una mesa llena
de viandas, y un reo que, después de hablar con desenfado y
entereza, recibía cigarros de los hermanos de la Paz y Caridad y los
encendía en la llama de un cirio; más allá dos frailes, de los cuales e
uno parecía vergonzoso y el otro enfadado; enfrente la tremebunda
figura de don Francisco Chaperón, el abastecedor de la horca, el terro
de los reos y de los ajusticiados, sonriendo con malicia y dudando s
poner cara afligida o regocijada; todo esto presidido por el crucifijo y la
Dolorosa, e iluminado por la claridad de las velas de funeral que daban
cadavérico aspecto a hombres y cosas, y allá en la sala inmediata, una
sombra odiosa, una figura horripilante que esperaba: el verdugo.
Don Francisco Chaperón se despidió de su víctima. En la sala
contigua y en el patio encontró a varios individuos de la Comisión
militar y a otros particulares que venían a ver al reo.
—¡Que me digan a mí que ese hombre es tonto! —exclamó con
evidente satisfacción—. Tan tonto es él como yo. No es sino un
grandísimo bribón, que aún persiste en su plan de fingirse demente
por ver si consigue el indulto... Ya, ya. Lo que tiene ese bergante es
muchísimo talento. Ya quisieran más de cuatro... Por cierto que entre
bromas y veras ha hablado con un donaire... Al pobre Salmón le ha
puesto de hoja de perejil, y Alelí no ha salido tampoco muy librado de
manos de este licenciado Vidriera... Es graciosísimo: véanle ustedes..
Por supuesto, bien se comprende que es un solemnísimo pillo.
Y don Francisco se retiró, repitiéndose a sí mismo con tanta firmeza
como podría hacerlo un reo ante el juez, que don Patricio no era
imbécil, sino un gran tunante. Tal afirmación tenía por objeto sofocar la
rebeldía de aquel insubordinado corpúsculo, a quien llamamos antes la
monera de la conciencia chaperoniana, y que desde que Sarmiento
entró en capilla se agitaba entre el légamo, queriendo mostrarse y
alborotar y hacer cosquillas en el ánimo del digno funcionario. Con
aquella afirmación, don Francisco aplacó la vocecilla, y todo quedó en
profundo silencio allá en los cenagosos fondajes de su alma.
XXVII
Durante la noche arreció el nublado de visitantes, sin que su

curiosidad importuna y amanerada compasión causaran molestia a
reo: antes bien, recibíalos este como un soberano a su corte. Situado
en pie frente al altar, íbalos saludando uno por uno, con ligeros
arqueos de la espina dorsal y una sonrisa protectora, cuya intensidad
de expresión amenguaba o disminuía según la importancia de
personaje. Todos salían haciéndose lenguas de la serenidad del reo, y
en la sala-vestíbulo, inmediata al cuerpo de guardia, oíase cuchicheo
semejante al que suena en el atrio de una iglesia en noches de novena
o miserere. Los entrantes chocaban con los que salían, y la
sensibilidad de los unos anticipaba a la curiosidad de los otros noticias
y comentarios.
Pipaón, que se había presentado de veinticinco alfileres, y parecía
un ascua de oro, según iba de limpio y elegante, estuvo largo rato en
compañía del reo, y le dio varias palmadas en el hombro, diciéndole:
—Ánimo, señor Sarmiento, y encomiéndese a su Divina Majestad y
a la Reina de los cielos, nuestra Madre amorosísima, para que le den
una buena muerte y franca entrada en la morada celestial... Adiós
hermano mío. Como mayordomo que soy de la Hermandad de las
Ánimas, le tendré presente, sí, le tendré presente para que no le falten
sufragios... Adiós... Procure usted serenarse... Medite mucho en las
cosas religiosas... Este es el gran remedio y el más seguro lenitivo..
¡La religión, la dulce religión! ¡Oh!, ¿qué sería de nosotros sin la
religión?... Es nuestro consuelo, el rocío que nos regenera, el maná
que nos alimenta... Adiós, hermano en Cristo; venga un abrazo (al da
el abrazo Pipaón tuvo buen cuidado de que no fuera muy expresivo
para que no se chafaran los encajes de su pechera)... Estoy
conmovidísimo... Adiós; repítole que medite mucho en los sagrados
misterios y en la pasión y muerte de Nuestro Señor Jesucristo..
Quizás nos veamos en el cielo, ¡ay de mí!, si Dios es misericordioso
conmigo.
Este fastidioso discurso, modelo exacto de la retórica convenciona
y amanerada del cortesano, agradó mucho a cuantos le oyeron; mas
don Patricio lo acogió con seriedad cortés y cierto desdén que apenas
se traducía en ligero fruncimiento de cejas. Pipaón salió, y aunque iba
muy a prisa, derecho a la calle, detuviéronle en el patio algunos
amigos.
—Estoy afectadísimo... No puedo ver estas escenas —les dijo
respondiendo a sus preguntas—. Fáltame poco para desmayarme.
—Dicen que es el reo más sereno que se ha visto desde que hay
reos en el mundo.
—Es un prodigio. Pero aquella vanidad e hinchazón son cosa
fingida... ¡Cuánto debe padecer interiormente! Se necesitan los bríos
de un héroe para sostener ese papel sin faltar un punto.
—¡Farsante!
—Perillán más acabado no he visto en mi vida. Seguramente
espera que le indulten; pero se lleva chasco. El gobierno no está po
indultos.
—Entremos... Todo Madrid desea verle. Vuelva usted, Pipaón.
—¿Yo? Por ningún caso —repuso el cortesano estrechando manos
diversas una tras otra—. Voy a una reunión donde cantan la Fábrica y
Montresor... ¡Qué aria de la Gazza Ladra nos cantó anoche esa mujer
Montresor nos dio el aria de Tancredo. ¡Aquello no es hombre, es un
ruiseñor!... ¡Qué portamentos, qué picados, qué trinos, qué
vocalización, qué falsete tan delicioso! Parece que se transporta uno a
séptimo cielo. Conque, adiós, señores..., tengo que ensayar antes un
paso de gavota. Señores, divertirse con el viejo Sarmiento.
Aún no se había separado de sus amigos, cuando salió al patio un
señor obispo que venía también de visitar al reo. Todos se
descubrieron al verle, haciéndole calle. Pipaón, después de besarle e
anillo, le habló del condenado a muerte.
—Mi opinión —dijo su ilustrísima (que era una de las lumbreras de
episcopado)— es que si no constara en los autos, como aseguran
consta de una manera indubitable, que se ha fingido y se finge loco
para hablar impunemente de temas vedados, la ejecución de este
hombre sería un asesinato. Desempeña este desgraciado su pape
con inaudita perfección, y apreciándole por lo que dice, no hay en
aquella mollera ni el más pequeño grano de juicio... A propósito de
juicio, señor de Pipaón, no lo ha tenido usted muy grande fijando para
el lunes la gran fiesta de desagravios a Su Divina Majestad que
celebra la Hermandad de Indignos esclavos del Santísimo
Sacramento, porque siendo el lunes día de la Natividad de Nuestra
Señora, la Real Congregación de la Guardia y Custodia dispone, po
antiguo privilegio, de la iglesia de San Isidro.
Pipaón respondió, mutatis mutandis, que no correría sangre a
causa de un conflicto entre ambas hermandades, y que él respondía
de arreglarlo todo a gusto de seglares y clérigos, sin que se quejaran
el Santísimo Sacramento ni Nuestra Señora, con lo cual y con acepta
la carroza de su ilustrísima para trasladarse a la calle de la Puebla
donde había de hacer el ensayo de la gavota antes de la tertulia, tuvo
fin aquel diálogo.
Avanzada la noche, se cerró la capilla a los curiosos, y también la
puerta de la cárcel, después que entraron seis presos recién sacados
de sus casas por delaciones infames. Una nueva conspiración
descubierta dio mucho que hacer aquella noche y en la siguiente
mañana al señor Chaperón.
Don Patricio se acostó a dormir en la alcobita inmediata a la capilla
pero su sueño no fue muy sosegado. Velábanle solícitos, y siempre
prontos a servir en todo, los hermanos de la Paz y Caridad. Sola no se
apartó de la capilla ni un solo instante ni de día ni de noche.
—Abuelito querido —le dijo al amanecer—, estoy muerta de pena
porque veo que tu conducta no es propia de un buen cristiano.
—Adorada hija —repuso Sarmiento besándola con ardiente cariño
—, si es propia de un filósofo, lo será de un cristiano, porque el filósofo
y el cristiano se juntan, se compendian y amalgaman en m
maravillosamente... Hazme el favor de ver si esos señores hermanos
me han preparado el chocolate... No extraño tus observaciones, hija
mía. Eres mujer y hablas con tu preciosa sensibilidad, no con la razón
que a mí me alumbra y guía. ¡Bendito sea Dios que me permite tenerte
a mi lado en estas horas postreras! Si no te estuviera viendo, quizás
me faltaría el valor que ahora tengo. Una sola cosa me afecta y
entristece, nublando el esplendoroso júbilo de mi alma, y es que
mañana a la hora de las diez..., porque supongo que... eso será a las
diez..., dejaré de recrear mis ojos con la contemplación de tu angelica
persona... Pero, ¡ay!, tú debes seguir viviendo; no ha llegado aún la
hora de tu entrada en la mansión divina; llegará, sí, y entrarás, y e
primero a quien verás en la puerta abriendo los brazos para recibirte
en ellos amoroso y delirante, será tu abuelito Sarmiento, tu viejecillo
bobo.
La voz temblorosa indicaba una viva emoción en el reo.
—Y te llevaré a presencia del Padre de todo lo existente y le diré
«¡Señor, aquí la tienes; esta es, mírala!...». Pero no quiero afligirte
más. Ahora oye varios consejos que debo darte y algunos encarguillos
que quiero hacerte... ¿Está ese chocolate?... Dame la mano para
levantarme, hija mía. ¿Sabes que están pesados y duros mis pobres
huesos?... ¡Ah!, pronto tendrás este bocado, ¡oh carnívora tierra
Pronto, pronto se te arrojará esta piltrafa, que por lo acecinada
demuestra que te pertenece ya. El noble espíritu abandona este
inmundo saco, y vuela en busca de su patria y de sus congéneres los
ángeles.
Levantose delante de Sola, porque estaba vestido. Un hermano le
trajo el chocolate, y quedándose solo con su amiga, le dijo estas
palabras, que ella oyó con profundísima atención:
—Idolatrada hija, mañana a las diez nos separaremos para siempre
Dios me dio la inefable dicha de conocerte, para que mi espíritu se
confortase antes de dejar el mundo. Te condujiste conmigo tan noble y
caritativamente, que no vacilo en declararte merecedora de inmorta
premio. Yo te lo aseguro, yo te lo profetizo —dijo esto cerrando los ojos
y extendiendo solemnemente los brazos en actitud de profeta—, yo te
lo fío, bendiciéndote. Creo tener poderes para ello. Gozarás de la
eterna dicha por tu cristiana acción. Ahora bien: hablando de cosas
más terrestres, te diré que es mi deseo partas en seguida para
Inglaterra a ponerte bajo el amparo de ese hombre generoso que ha
sido tu protector y hermano. Le conozco, y sé que su corazón está
lleno de bondades. Como me intereso también por él, declaro ante t
que ese joven debe tomarte por esposa, de lo cual resultará ventaja
para entrambos: para ti, porque vivirás al arrimo de un hombre de
mérito, capaz de comprender lo que vales; para él, porque tendrá la
compañera más fiel, más amante, más útil, más hacendosa, más
cristiana y más honesta con que puede soñar el amor de un hombre
Tengo la seguridad de que él lo comprenderá así —al decir esto
mostraba la convicción de un apóstol—. Si no lo comprendiese, dile
que yo se lo mando, que es mi sacra voluntad, que yo no hablo po
hablar, sino trasmitiendo por el órgano de mi lengua la inspiración
celeste que obra dentro de mí.
Sola oyó este discurso con recogimiento y admiración, pasmada de
advertir una profundísima concordancia entre la demencia de su amigo
y ciertas ideas de antiguo arraigadas en ella. No acertó a decir una
palabra sobre aquel tema, y su viejecillo bobo se le representó
entonces grande y luminoso, cual nunca lo había visto; más respetable
que todo lo que como respetable se nos presenta en el mundo.
Después de una pausa, durante la cual apuró el pocillo, Sarmiento
prosiguió así:
—Querida hija de mi corazón, voy a hacerte un encargo, atañedero
a cosas terrestres. Las cosas terrestres también me ocupan, porque
de la tierra salí, y en ella he de dejar las preciosas enseñanzas que se
desprenden de mi martirio. El género humano merece mi mayo
interés. La dicha del cielo no sería completa, si desde él no
contempláramos la constante labor de este pobre género humano, sin
cesar trabajando en mejorarse. Los que de él salimos no podemos
dejar de enviarle desde allá arriba un reflejo de nuestra gloria, sin lo
cual se envilecería, acercándose más a las bestias que a los ángeles
Hay que pensar en el género humano de hoy, que es el coro celestial e
inmenso de mañana, y todo hombre es la crisálida de un ángel, ¿me
entiendes? Si las criaturas superiores, al remontarse sobre los
mundanos despojos, miraran con desprecio esta pobre turba inquieta y
enferma a que pertenecieron; si no atendiendo más que al Eterno Sol
hicieran del deseo de la bienaventuranza un egoísmo, adiós universo
adiós pasmoso orden de cielo y tierra, adiós concierto sublime. No, yo
miro a la tierra y la miraré siempre. Le dejo un don precioso: mi vida
mi historia, mi ejemplo, hija mía; ¿sabes tú lo que vale un buen
ejemplo para esta mísera chusma rutinaria? Sí, mi historia será pronto
una de las más enérgicas lecciones que tendrá el rebaño humano para
implantar la libertad que ha de conducirle a su mejoramiento moral
Pero digo yo: ¿es fácil escribir esa historia? No. Bien conocidos son
mis discursos; y aunque yo no los he escrito, como todo el mundo los
tiene grabados en la memoria, no faltará quien los dé a la estampa
Sócrates no dejó escrito nada... Pero si serán perpetuados mis
discursos, habrá gran escasez de datos biográficos respecto a mí
Oye, pues, lo que voy a decirte.
Tomando a Sola por un brazo, la acercó a sí:
—Viviendo en tu casa —añadió— apunté, no hace dos meses, los
principales datos de mi vida, tales como el día de mi nacimiento, el de
mi bautizo, el de mi confirmación, el de mi boda con Refugio, el de
feliz natalicio de Lucas, el de mi entrada en la enseñanza y otros: son
datos preciosísimos. Como los historiadores han de empezar desde
mañana mismo a revolver archivos y libros parroquiales, yo te encargo
que les saques de apuros. Mira tú: el apunte en que constan esos
datos está escrito con lápiz... Me parece que lo puse debajo del hule
de la cómoda. Búscalo bien por toda la casa, y entrégalo a esos
señores. Al punto sabrás quiénes son, porque no se hablará de otra
cosa en todo el mundo. No te descuides, y evitarás mil quebraderos de
cabeza, y quizás inexactitudes y errores que darán ocasión a
desagradables polémicas.
Sola sintió al oír esto que la admiración despertada por anteriores
palabras del viejecillo bobo, se disipaba como humo. ¡Cuán difícil era
señalar la misteriosa línea donde los desvaríos de Sarmiento se
trocaban en ingeniosas observaciones, o por el contrario, sus
admirables vuelos en lastimoso rastrear por el polvo de la necedad! La
joven prometió cumplir fielmente todo lo que le mandaba.
Al poco rato apareció el padre Alelí preparado para decir la misa, y
empezada esta, Sarmiento la ayudó con extraordinaria devoción y
acierto, tan seguro en las ceremonias como si hubiera sido monaguillo
toda su vida. Soledad la oyó con gran edificación, acompañada de los
hermanos y de algunos empleados de la cárcel. Después, por orden
del señor Chaperón, se cerró la capilla al público.
XXVIII
Poniendo sobre todas las cosas su anhelante deseo de llega

pronto al fin de la jornada vital, que era el comienzo de su triunfo
Sarmiento deploraba que la justicia de aquellos tiempos hubiese fijado
en cuarenta y ocho horas el plazo de la preparación religiosa. Con diez
o doce horas había bastante, según él. Los dos frailes que le asistían
aprovecharon la ocasión de su soledad para hablarle recio en e
negocio de la salvación, logrando que don Patricio atendiese a este, y
consintiera en oír el trasnochado sermoncillo que preparado traía e
padre Salmón. Después de comer, cuando Sola, vencida por e
cansancio, había cedido al sueño y dormitaba sentada, el padre Alel
logró hacerse oír de Sarmiento con mayor interés. Por la noche
pareció que el espíritu del buen viejo se recogía y como que se
amilanaba algún tanto, mostrándose además en su rostro y cuerpo
cierto desmayo o fatiga. El patriota no permanecía ya en pie, sino
recostado con abandono en el sillón, fijando la vista en el suelo cual s
cayera en meditación taciturna. Silencio profundísimo reinaba en la
cárcel; las velas se habían consumido bastante y ardían en el último
cabo de ellas, elevando entre la vacilante luz el negro pábilo caduco, y
derramando cera amarilla en grandes chorros sobre los candeleros y
sobre el altar. El crucifijo y la Dolorosa parecían entregados a un sopo
misterioso. Nunca como en aquella hora había parecido la capilla
tristísima y lúgubre. Su ambiente de panteón daba frío, su luz tenue
convidaba a morirse y enterrarse. Era la madrugada del último día.
No fue insensible el espíritu de Sarmiento a esta influencia externa
y conociéndolo Alelí, le dijo que ya le quedaban pocas horas; que
viese lo que hacía si no deseaba arder perpetuamente en los infiernos
Al oír esto, mirole Sarmiento con desdén, y levantándose del sillón, se
puso de rodillas.
—Puesto que su paternidad quiere que confiese, confesaré —dijo
lacónicamente.
—No es preciso que se arrodille usted, hermano mío —indicó e
buen fraile levantándole—. En estos casos permitimos al penitente que
haga la confesión sentado para evitarle cansancio.
—Yo prefiero estar de rodillas, porque no soy de alfeñique —dijo e
reo volviéndose a hincar—. Ahora, si vuestra paternidad tiene oídos
oiga... Yo amo a Dios sobre todas las cosas. ¿Cómo no amarle, si es
fuente de todo bien, manantial de toda idea, origen de toda vida? E
dio la idea moral al mundo, y el mundo, después de mil luchas
disputas y sangre, aceptó la ley moral que felizmente lo rige. Después
le dio la idea política, es decir, la libertad, para que se gobernase, y
todavía el mundo no la ha aceptado en su totalidad. Estamos en la
época de la predicación, del martirio...
—Basta —dijo Alelí con enfado—. Está usted profanando el nombre
de Dios con absurdas afirmaciones. Poco adelantamos por ese
camino, hermano querido. Confiese usted su amor a Dios sin mezcla
de extravagancia alguna. Me basta con eso por ahora, y adelante.
—Confieso —añadió el penitente— que con frecuencia he jurado su
santo nombre en vano, y además que he usado votos y ternos, pues
adquirí tiempo ha la pícara costumbre de sacar a todo el chilindrón y la
chilindraina; pero, con perdón de vuestra reverencia, creo que pecados
como este no llevan a casa de Pedro Botero. Tampoco he santificado
las fiestas como está mandado..., desidia, pura desidia y abandono
En el cuarto, ¿qué he de decir sino que jamás he faltado a él ni en
pensamiento? Pues en lo de matar, si alguien perdió por mí la vida, fue
en leal acción de guerra y cuando el honor de mi bandera así me lo
mandaba. No obstante, un pecado grave tengo en lo tocante a este
mandamiento, y ese lo voy a confesar aquí con la boca y con e
corazón, porque ha tiempo pesa sobre mi conciencia; y aunque estoy
muy arrepentido, paréceme que jamás logro echar de mí la mancha y
peso que me dejó. Hallándose preso y encadenado un vecino mío
padre de esta joven que me acompaña, pidió un vaso de agua y se lo
negué. ¡Qué infame bellaquería! Pero válgame mi contrición sincera y
el cariño ardiente que después he puesto en la bendita hija de aque
desgraciado.
—Adelante —murmuró Alelí satisfecho de que hubiese algún
pecado evidente que justificase su ministerio.
—Del sexto no diré más sino que después de la muerte de m
Refugio, que acaeció hace veintidós años, he observado castidad
absoluta, a pesar de ser solicitado para faltar a aquella preciosa virtud
por más de una hembra que no debió de ver en mí saco de paja
Tampoco he robado jamás a nadie ni el valor de un alfiler, y en el ramo
de mentir, si alguna vez falté a la verdad, fue en negocios baladís y de
poca monta.
—Alto, alto —dijo Alelí con interés sumo, viendo llegado el tema que
abordar quería—. Usted ha mentido, y ha mentido gravemente po
sistema sosteniendo un papel engañoso con la terquedad del hombre
más perverso. Es opinión general que usted se finge demente
poseyendo en realidad un claro juicio; es público y notorio, y así consta
en la causa, que todos esos disparates con que ha divertido a Madrid
son obra del talento más astuto, para poder vivir en una sociedad que
proscribe a los revolucionarios. Vamos a ver, hermano mío: repare
usted delante de quién está, mire esa imagen sacratísima, considere
que le restan pocas horas de vida, considere que ya no es posible e
engaño, y ábrame su corazón, arroje la máscara, y dígame si, en
efecto, este hombre exaltado que vemos es un hábil histrión. ¡Ah!
hermano mío, aseguran que usted sostiene su papel, esperando que
le indulten por tonto... ¡error, error, porque no es ese el camino de
indulto! Más fácil le sería conseguirlo con una confesión franca de su
pecado... Al menos, haciéndolo así tendrá el perdón de Dios y la gloria
eterna.
—¡Yo farsante, yo histrión, yo..., yo! —exclamó Sarmiento clavando
ambas manos, como garras, en su pecho.
Miraba al padre Alelí con los ojos encendidos y con expresión de
sorpresa, que bien pronto se tornó en amargo desdén.
—Usted no me comprende... —dijo levantándose—. Vaya usted a
confesar colegiales, señor padre Alelí. Me confesaré solo.
Y arrodillándose delante del altar, alzó las manos, y sin quitar los
ojos del Crucifijo habló así:
—Señor, Tú que me conoces no necesitas oír de mi boca lo que
siente mi corazón, que pronto dará su último latido, dejándome libre
Sabes que te adoro, que te reverencio, y que ejecuto puntualmente la
misión que me señalaste en el mundo. Sabes que la idea de la
libertad, enviada por ti para que la difundiéramos, fue mi norte y m
guía. Sabes que por ella vivo y por ella muero. Sabes que si comet
faltas, me he arrepentido de ellas con grandísima congoja. Sabes que
perdono de todo corazón a mis enemigos, y que me dispongo a roga
por ellos, cuando mi espíritu pueda hablar sin boca y ver sin necesidad
de ojos. Mi confesión está hecha públicamente. Óigala todo el que
tiene oídos.
Y después, volviéndose al fraile, que absorto le miraba, díjole:
—Ahora, padre Alelí, espero que no tendrá vuestra paternidad
reverendísima inconveniente alguno en darme el pan eucarístico. Bien
se ve que puedo recibir a Dios dentro de mí. Estoy puro de toda
mancha: soy como los ángeles.
Entonces viose una cosa extraña, que por lo extraña parecía
horrible en aquel sitio y ocasión. El padre Alelí no pudo evitar una
sonrisa. Diríase que esta brilló en la fúnebre capilla como un reflejo
mundano dentro de la región de los difuntos. Pero tornó al punto a la
seriedad, y gravemente dijeron a dúo ambos frailes:
—No podemos dar a usted la Eucaristía, desgraciado hermano.
Mientras Sola acudió a consolar a Sarmiento, que parecía muy
contrariado por aquella negativa, Alelí llevó aparte a Salmón y le dijo:
—Es más tonto que hecho de encargo. Yo repito que ajusticiar a
este hombre es un asesinato, y Chaperón, los jueces que le
sentenciaron y nosotros que le asistimos, estamos más locos que él
Yo no puedo ver este horrible espectáculo. ¿Pero no es evidente que
ese hombre es necio de capirote? Estamos coadyuvando a una obra
inicua. ¡Y esperábamos que confesase su comedia!
—Como siempre le tuve por mentecato de una pieza, no me he
llevado chasco. No sé para qué nos traen aquí.
—Ni yo. Voy a hablar con Chaperón.
—Yo no me tomaría el trabajo de hablar con nadie.
—Pues yo sí.
—Pues yo no.
Poco después de esto, el reo vio personas y objetos con una
claridad que le conturbó sobremanera sin saber por qué. Era que
había avanzado el día y la capilla recibía un poco de luz, ante la cua
palidecía ligeramente la de las soñolientas velas, casi consumidas
Aquel débil resplandor del astro rey hizo daño a la retina y al espíritu
del anciano, sin que su entendimiento pudiera explicarse la razón de
ello.
—Es de día —dijo con cierto asombro, y al punto se quedó
taciturno.
Los hermanos de la Caridad aparecían más compungidos que en e
día anterior, y rezaban devotamente arrodillados ante el altar. Salmón
rogó al condenado que se sentase, y poniéndose junto a él, hízole
exhortaciones encaminadas a apartar su alma del tremendo abismo a
cuyo borde se encontraba.
—Pocas horas me restan —murmuró el patriota dando un gran
suspiro—. Mi alma será más fuerte cuanto más cerca esté el instante
lisonjero de su liberación. ¿Cuántas horas faltan?
—No cuente usted las horas... ¿Qué valen dos ni tres horas
comparadas con la eternidad?
Sarmiento no respondió. Observaba los ladrillos del piso y fijaba su
vista con minuciosidad aritmética en todos aquellos que tenían e
ángulo gastado. Diríase que los contaba.
—¿En dónde está mi hija? —dijo de súbita moviéndola cabeza con
ansiedad—. Sola, niña de mi corazón, no te separes de mí.
Sola se arrojó llorando en sus brazos. Notó que tenía las manos
frías y temblorosas.
—Dentro de poco dejaré de verte, ¡ay! —exclamó el viejo haciendo
esfuerzos verdaderamente heroicos para dominar su emoción—. ¡Que
sea tan flaca y miserable esta humana naturaleza, que ni aun teniendo
por segura la entrada en la morada celestial, pueda mirar con absoluto
desprecio los afectos del mundo!... Aquí me tienes más valiente que
un león (sus labios temblaban al decirlo, y su voz era como el ronco
trinar de un ave moribunda), y, sin embargo, esto de separarme de ti
esto de dejarte sola...
Se pasó la mano por la frente, y durante un rato tapose los ojos.
—No sé por qué está triste el día —murmuró con disgusto—. ¡Qué
ruido hay en la cárcel!... ¿Qué voces son esas? Parece un canto
desacorde o un graznido de pájaros llorones. ¿Qué es eso?
Soledad no contestó nada, y apoyó su frente sobre el pecho de
anciano. A la capilla llegaba una repugnante música llorona de gritos
humanos que parecía formada de todos los rencores, de todos los
sarcasmos, de todas las lágrimas y de todos los suspiros encerrados
en la cárcel.
El padre Alelí, que había salido al amanecer, volvió muy cabizbajo
y sin hablar una sola palabra al reo ni a los demás, preparose para
decir la misa. En tanto, uno de los hermanos departía con Sarmiento
de cosas religiosas, sabedor de que estas habían de llevar gran alivio
y fuerzas al espíritu del reo.
—Hoy —le dijo— celebramos en Santa Cruz los mayordomos de
esta Real Archicofradía misa solemne de rogativa para implorar los
divinos auxilios en la última hora del pobre condenado a muerte. Ya
sabe usted que nuestro santísimo padre Pío VII ha concedido
indulgencia plenaria a todos nosotros y a los fieles que asistan a esa
misa y hagan oración por la concordia de los príncipes cristianos
extirpación de las herejías y exaltación de la fe católica.
—De modo —dijo Sarmiento con amarga ironía— que en esa misa
se hace oración por todo menos por mí.
—No, hermano mío, no —dijo el cofrade con la melosidad del beato
—; que también habrá lo que llamamos ejercicio de agonía, donde se
hace la recomendación del alma del reo; luego siguen las jaculatorias
de agonía y se cantará el ne recorderis. Los más bellos himnos de la
Iglesia y las piadosas oraciones de los fieles acompañan a usted en su
tránsito doloroso..., ¿qué digo doloroso?, gloriosísimo. Piense usted en
la pasión de Nuestro Señor Jesucristo, y se sentirá lleno de valor. ¡Oh
feliz mil veces el que abandona esta vida miserable libre de todo
pecado!
El hermano inclinó la cabeza a un lado, bajando los ojos y cruzando
las manos en mística actitud. Después rezó en silencio.
Alelí dijo la misa, que oyó Sarmiento como el día anterior, de rodillas
y con profunda atención. Al concluir sentose con muestras de gran
cansancio; mas ponía mucho empeño en disimularlo.
—¿No quiere usted tomar algo? —le dijo uno de los hermanos—
Hemos preparado un almuerzo ligero. ¿Se siente usted mal, hermano
querido? Vamos, un huevo frito y un poco de jamón... ¡Si para eso no
se necesita gana! —añadió viendo que el reo hacía signos negativos
con la cabeza y con la mano—. Sí, lo traeremos, y también un vaso de
vino.
—No quiero nada.
—¿Ni café?
—Tomaré el café por complacer a ustedes —repuso Sarmiento
sonriendo con tristeza.
Alelí se sentó junto a él, y tomándole la mano se la apretó
cariñosamente diciéndole:
—Hermano mío, en nombre de Dios y de María Santísima, a cuya
presencia llegará usted pronto, si sabe morir como cristiano en estado
de contrición perfecta, le ruego que no me oculte sus pensamientos, s
por ventura son distintos de lo que ha manifestado aquí y fuera de
aquí.
—Si yo ocultara mis pensamientos, si yo no fuera la misma verdad
—replicó don Patricio con entereza más noble—, no sería digno de
este nobilísimo fin que me espera... ¡Ah!, señores, la taimada
naturaleza nos tiende mil lazos por medio de la sensibilidad y de
instinto de conservación; pero no, no será mi grande espíritu quien
caiga en ellos. Vamos, vamos de una vez.
Y se levantó.
—Calma, calma, hermano mío; aún no es tiempo —le dijo Alel
tirándole del brazo—. Siéntese usted. Por cierto que no es nada
conveniente para su alma esa afectación de valor y ese empeño de
sostener el papel de héroe. Una resignación humilde y sin aparato
una conformidad decorosa sin disimular el dolor, y un poco de
entereza que demuestre la convicción de ganar el cielo, son más
propias de esta hora que la fanfarronería teatral. Usted está nervioso
desazonado, inquieto, sin sosiego; tiémblanle las carnes, y se cubre su
piel de frío sudor.
—El que era Hijo de Dios sudó sangre —afirmó Sarmiento con brío
—; yo, que soy hombre, ¿no he de sudar siquiera agua?... Vamos
pronto. Repito que deseo concluir.
Entonces sintiose más fuerte el coro de lamentos, y al mismo
tiempo ronco son de tambores destemplados.
—He aquí las tropas de Pilatos —observo Sarmiento.
—Hermano, hermano querido —le dijo Alelí abrazándole—. Una
palabra sola de verdadera piedad, de verdadera religiosidad, de amo
y temor de Dios. Una palabra, y basta; pero que sea sincera, salida de
fondo del corazón. Si la dice usted, todos esos pensamientos livianos
de que está llena su cabeza, como desván lleno de alimañas, huirán a
ver entrar la luz.
—Cristiano católico soy —afirmó Sarmiento—. Creo todo lo que me
manda creer la Iglesia, creo todos los misterios, todos los sagrados
dogmas, sin exceptuar ninguno. He oído misa, he confesado sin omiti
nada de lo que hay en mi conciencia, he deseado ardientemente
recibir la Eucaristía, y si no la recibí ha sido porque no han querido
dármela. ¿Qué más se quiere de mí? ¡Oh Señor de cielos y tierra! ¡Oh
tú, María, Madre amantísima del género humano!, a vosotros vuelvo
mis miradas, vosotros lo sabéis, porque veis mi rostro, no este de la
carne, sino el del espíritu. Los que no ven el de mi espíritu, ¿cómo
pueden comprenderme? Hacia vosotros volaré invocándoos, llevando
en mi diestra la bandera que habéis dado al mundo, la bandera de la
libertad, por la cual he vivido y por la cual muero.
Salmón y Alelí movieron la cabeza. Su pena y desasosiego eran
muy profundos. Soledad, sin fuerzas ya para luchar con su dolor
estaba a punto de perder el conocimiento. Don Patricio, dicho su
último discurso, examinaba una grieta que en el techo había y después
la costura del paño del altar. Creeríase al verle que aquellos dos
objetos insignificantes merecían la mayor atención.
Varias personas entraron en la capilla, todas decorando sus caras
con la aflicción más edificante. Levantose el reo, y sin dejar de
observar la costura del altar, habló así solemnemente:
—Cayo Graco, Harmodio y Aristogitón, Bruto..., héroes inmortales
pronto seré con vosotros... Y tú, Lucas, hijo mío, que estás en las filas
de la celestial infantería, avanza al encuentro de tu dichoso padre.
Los frailes, puestos de rodillas, recitaban oraciones, empeñándose
en que el reo las repitiera; pero Sarmiento se apartó de ellos
afirmando:
—Todo lo que puede decirse lo he dicho en mi corazón durante la
misa y después de ella.
Oyose el tañido de la campana de Santa Cruz.
—Tocan a muerto —dijo Sarmiento—. Yo mandaría repicar y alza
arcos de triunfo, como en el día más grande de todos los días. ¡Ya veo
tus torres, oh patria inmortal, Jerusalén amada! ¡Bendito el que llega a
ti!
El alcaide le saludó, enmascarándose también con la carátula de
piedad lastimosa que pasaba de rostro en rostro, conforme iban
entrando personajes. Después separáronse todos para dar paso a un
hombre obeso, algo viejo, vestido de negro, cuyo aire de timidez
contrastaba singularmente con su horrible oficio: era el verdugo, que
avanzando hacia el reo, humilló la frente como un lacayo que recibe
órdenes.
Don Patricio sintió en aquel momento que un rayo frío corría po
todo su cuerpo desde el cabello hasta los pies, y por primera vez

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Direct Social Work Practice: Theory and

Skills - eBook PDF

Direct Social Work

GLENDA DEWBERRY ROONEY

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Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii A Philosophy of Direct Practice 28

The Value of Integrity 63 Multiple Uses of Empathic Communication 111

Planning Goal Attainment Strategies 365 Procedures of Cognitive Restructuring 397

Developing and Mobilizing Resources 431 Modifying Communication Patterns 473

CHAPTER 17 Motivating Change 556

Additionally, for instructors, MindTap allows Online PowerPoint

Dean H. Hepworth is Professor Emeritus at the School of Social

Ronald H. Rooney is a Professor at the School of Social Work, Uni-

Glenda Dewberry Rooney is a Professor Emeritus, Department of

Dr. Kim Strom-Gottfried is the Smith P. Theimann Jr. Distinguished

Craig Schwalbe, MSW, PhD, is an Associate Professor and Associate

Caroline B. R. Evans is a Research Associate at the University of

Chapter Overview outcome performance (CSWE, 2014). The goal of

For example, pathology occurs across cultures, EPAS Competency 3

FIG 1 -2 Target System F I G 1- 4 Action System

and stability (Warren, Franklin, & Streeter, 1998).

EP 7 Assess Individuals, Families, Groups, Organiza-

Chapter Overview ● Competency 7: Assess Individuals, Families,

Empezaron los hermanos a servir la comida. Sentose don Patricio a

Durante la noche arreció el nublado de visitantes, sin que su

Poniendo sobre todas las cosas su anhelante deseo de llega

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