Designing and Managing Programs An

Effectiveness Based Approach Peter M.

Kettner
Visit to download the full and correct content document:
https://textbookfull.com/product/designing-and-managing-programs-an-effectiveness-
based-approach-peter-m-kettner/
More products digital (pdf, epub, mobi) instant
download maybe you interests ...

Cost Effectiveness Analysis in Health A Practical

Approach 3rd Edition Peter Muennig

https://textbookfull.com/product/cost-effectiveness-analysis-in-
health-a-practical-approach-3rd-edition-peter-muennig/

Guide to Software Development Designing and Managing

the Life Cycle Arthur M. Langer

https://textbookfull.com/product/guide-to-software-development-
designing-and-managing-the-life-cycle-arthur-m-langer/

Radiotherapy in Managing Brain Metastases A Case Based

Approach Yoshiya Yamada

https://textbookfull.com/product/radiotherapy-in-managing-brain-
metastases-a-case-based-approach-yoshiya-yamada/

Program Evaluation for Social Workers: Foundations of

Evidence-Based Programs Richard M. Grinnell Jr

https://textbookfull.com/product/program-evaluation-for-social-
workers-foundations-of-evidence-based-programs-richard-m-
grinnell-jr/
Learning and Development Effectiveness in
Organisations: An Integrated Systems-Informed Model of
Effectiveness Thomas N. Garavan

https://textbookfull.com/product/learning-and-development-
effectiveness-in-organisations-an-integrated-systems-informed-
model-of-effectiveness-thomas-n-garavan/

Infectious Diseases An Evidence based Approach Vikas

Mishra

https://textbookfull.com/product/infectious-diseases-an-evidence-
based-approach-vikas-mishra/

Planning and Designing Healthcare Facilities A Lean

Innovative and Evidence Based Approach 1st Edition
Vijai Kumar Singh

https://textbookfull.com/product/planning-and-designing-
healthcare-facilities-a-lean-innovative-and-evidence-based-
approach-1st-edition-vijai-kumar-singh/

Cannabis in Medicine An Evidence Based Approach Kenneth

Finn

https://textbookfull.com/product/cannabis-in-medicine-an-
evidence-based-approach-kenneth-finn/

Education and Learning An Evidence based Approach 1st

Edition Jane Mellanby

https://textbookfull.com/product/education-and-learning-an-
evidence-based-approach-1st-edition-jane-mellanby/
Designing and Managing Programs
Fifth Edition

2
SAGE was founded in 1965 by Sara Miller McCune to support the dissemination of usable knowledge by
publishing innovative and high-quality research and teaching content. Today, we publish over 900 journals,
including those of more than 400 learned societies, more than 800 new books per year, and a growing range of
library products including archives, data, case studies, reports, and video. SAGE remains majority-owned by our
founder, and after Sara’s lifetime will become owned by a charitable trust that secures our continued
independence.

Los Angeles | London | New Delhi | Singapore | Washington DC

3
Designing and Managing Programs
An Effectiveness-Based Approach

Fifth Edition

Peter M. Kettner
Arizona State University
Robert M. Moroney
Arizona State University
Lawrence L. Martin
University of Central Florida

Los Angeles
London
New Delhi
Singapore
Washington DC

4
 Copyright © 2017 by SAGE Publications, Inc.

All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or
mechanical, including photocopying, recording, or by any information storage and retrieval system, without
permission in writing from the publisher.

FOR INFORMATION:

SAGE Publications, Inc.

2455 Teller Road

Thousand Oaks, California 91320

E-mail: order@sagepub.com

SAGE Publications Ltd.

1 Oliver’s Yard

55 City Road

London, EC1Y 1SP

United Kingdom

SAGE Publications India Pvt. Ltd.

B 1/I 1 Mohan Cooperative Industrial Area

Mathura Road, New Delhi 110 044

India

SAGE Publications Asia-Pacific Pte. Ltd.

3 Church Street

#10-04 Samsung Hub

Singapore 049483

Acquisitions Editor: Kassie Graves

Editorial Assistant: Carrie Montoya

Production Editor: Bennie Clark Allen

Copy Editor: Sarah J. Duffy

Typesetter: Hurix Systems Pvt. Ltd.

Proofreader: Ellen Brink

Indexer: Mary Harper

Cover Designer: Candice Harman

Marketing Manager: Shari Countryman

eLearning Editor: Lucy Berbeo

Printed in the United States of America

Library of Congress Cataloging-in-Publication Data

Names: Kettner, Peter M., 1936- author. | Moroney, Robert, 1936- author. | Martin, Lawrence L., author.

Title: Designing and managing programs : an effectiveness-based approach / Peter M. Kettner, Robert M. Moroney, Lawrence L. Martin.

Description: Fifth edition. | Los Angeles : SAGE, [2017] | Includes bibliographical references and index.

5
Identifiers: LCCN 2015039160 | ISBN 9781483388304 (pbk.: alk. paper)

Subjects: LCSH: Social service–United States–Planning. | Social service–United States–Evaluation. | Social service– United States–Finance.

Classification: LCC HV95 .K428 2017 | DDC 361.0068/4– dc23 LC record available at http://lccn.loc.gov/2015039160

This book is printed on acid-free paper.

16 17 18 19 20 10 9 8 7 6 5 4 3 2 1

6
Brief Contents
1. List of Figures and Tables
2. Preface
3. Acknowledgments
4. About the Authors
5. PART I: ASSESSING CURRENT PRACTICES
1. 1. Contemporary Issues in Human Service Program Planning and Administration
6. PART II: PROBLEM ANALYSIS/NEEDS ASSESSMENT
1. 2. The Contribution of Theory to Program Planning
2. 3. Understanding Social Problems
3. 4. Needs Assessment: Theoretical Considerations
4. 5. Needs Assessment: Approaches to Measurement
7. PART III: PLANNING, DESIGNING, AND TRACKING THE INTERVENTION
1. 6. Selecting the Appropriate Intervention Strategy
2. 7. Setting Goals and Objectives
3. 8. Designing Effective Programs
4. 9. Designing Effectiveness-Based Information Systems
8. PART IV: CALCULATING THE VALUE AND COST OF THE INTERVENTION
1. 10. Performance Measurement, Monitoring, and Program Evaluation
2. 11. Impact Program Evaluation and Hypothesis Testing
3. 12. Budgeting for Financial Control, Management, and Planning
4. 13. Developing Line-Item, Functional, and Program Budgeting Systems
9. Index

7
Detailed Contents
List of Figures and Tables
Preface
Acknowledgments
About the Authors
PART I: ASSESSING CURRENT PRACTICES
1. Contemporary Issues in Human Service Program Planning and Administration
The Era of Accountability
Designing for Monitoring, Performance Measurement, and Program Evaluation
The Logic Model
Community Focus
The Issue of Effectiveness
Assessing an Existing Program
What Is Effectiveness-Based Program Planning?
Using Effectiveness Principles to Understand Existing Programs
Defining Programs
Assessing Diverse Populations
Problem Analysis
Needs Assessment
Selecting a Strategy and Establishing Objectives
Program Design
Data Requirements for Performance Measurement
Monitoring and Using Information Technology
Program Evaluation
Budgeting
Implementation Considerations
Summary
Review Questions
PART II: PROBLEM ANALYSIS/NEEDS ASSESSMENT
2. The Contribution of Theory to Program Planning
The Use of Theory in Program Planning
Theory in Practice
Planning Theory
Types of Planning
Application of Planning Theory to Clinical Practice: Problem Solving as Applied to Practice
With Clients
Application of Planning Theory to Macro Practice: Problem Solving as Applied to Program
Planning
Problem Analysis and Needs Assessment
Establishing Goals and Objectives
Designing the Program
Developing a Data Collection System
Developing a Monitoring and Evaluation Plan
Theory in Program Planning
Summary
Review Questions
3. Understanding Social Problems
Addressing Social Problems
Stating Problems as Solutions
The Limitations of This Approach

8
 The Need for a New Approach
Identifying a Social Condition
Defining Problems
Social Problems and Standards
Frameworks for Problem Analysis
Summary
Review Questions
4. Needs Assessment: Theoretical Considerations
The Concept of Need
Theoretical Understandings of Need
Needs Assessment and the Planning Process
Factors Influencing the Definition of Need
Different Perspectives on Need
Normative Need
Perceived Need
Expressed Need
Relative Need
An Application
Need Categories and the Planning Process
Determining Who Is in Need
Two Major Problems: Reliability and Availability of Data
Summary
Review Questions
5. Needs Assessment: Approaches to Measurement
Methodologies Used in Measuring Need
Extrapolating From Existing Studies: Normative Need
Strengths and Limitations of Surveys
Using Resource Inventories: Normative Need
Strengths and Limitations of Resource Inventories
Using Service Statistics: Expressed Need
Strengths and Limitations of Service Statistics
Conducting a Social Survey: Perceived Need
Strengths and Limitations of Social or Community Surveys
Holding a Public Forum: Perceived Need
Strengths and Limitations of Public Hearings
Using Focus Groups
Selecting the Best Method
Approaches Useful for Locating Concentrations of High-Risk Groups
An Overview of the Issues
An Example of the Need for Spatial Analysis
Spatial Analysis Defined
Factor Analysis: An Example
Human Service Applications
Summary
Review Questions
PART III: PLANNING, DESIGNING, AND TRACKING THE INTERVENTION
6. Selecting the Appropriate Intervention Strategy
The Program Hypothesis
A Maternal and Child Health Example
Types of Program Hypotheses
Where to Intervene
Example 1: Political Economy as a Factor Contributing to Unemployment

9
 Example 2: The Presence of a Child With a Disability as a Factor Contributing to Child
Abuse
Example 3: Sexuality and Teenage Pregnancy
The Process of Developing a Program Hypothesis
Statement of a Condition
Statement of a Social Problem
Needs Assessment
Mothers Working in Marginal Jobs
Program Hypotheses and the Idea of Consequences
From Program Hypothesis to Service
Incorporating Problem Analysis Into Program Design
Benefits of the Program Hypothesis
Summary
Review Questions
7. Setting Goals and Objectives
From Program Hypothesis to Goals and Objectives
The Function of a Mission Statement
Goals and Objectives: A Framework for Action
Agency Example: Safe Haven
The Formulation of Goals
The Formulation of Objectives
Requirements for All Objectives
Clarity
Time Frames
Target of Change
Results
Criteria for Measurement
Responsibility
Outcome Objectives
Process Objectives and Activities
Time Frames
Target and Result
Criteria for Measurement or Documentation
Responsibility
Integrating Outcome Objectives, Process Objectives, and Activities
Is It Worth the Effort?
Summary
Case Example
Review Questions
8. Designing Effective Programs
The Significance of Program Design
Program Design and Diversity
Defining the Elements of a Program
Inputs
Throughputs
Outputs
Outcomes
Specifying the Program Hypothesis
Summary
Case Example
Review Questions
9. Designing Effectiveness-Based Information Systems

10
 Documentation Practices in Human Services
Designing a Data Collection System for a Program
Step 1: Consider the Evaluation Context of Data Collection and Aggregation
Step 2: Identify the Programmatic Questions to Be Answered
Step 3: Identify Data Elements
Step 4: Develop a Strategy for Analysis
Step 5: Prepare Format for Monthly Reports
Summary
Case Example
Review Questions
PART IV: CALCULATING THE VALUE AND COST OF THE INTERVENTION
10. Performance Measurement, Monitoring, and Program Evaluation
The Link Between Performance Measurement, Monitoring, and Evaluation and Information
Systems
Feedback and Self-Evaluating Systems
Performance Measurement
Monitoring
Program Evaluation
Program Data Requirements
Coverage Data
Equity Data
Process Data
Effort (Output) Data
Cost-Efficiency Data
Results (Outcome) Data
Cost-Effectiveness Data
Impact Data
Performance Measurement, Monitoring, Program Evaluation, and Program Data
The Utility of Performance Measurement, Monitoring, and Program Evaluation
Summary
Case Example
Review Questions
11. Impact Program Evaluation and Hypothesis Testing
Differentiating Impact Program Evaluation From Performance Measurement
Impact Program Evaluation
Impact Program Evaluation and Hypothesis Testing
Research Designs for Impact Program Evaluation
Single Group Pretest/Posttest Design
Nonequivalent Comparison Group Design
Randomized Experimental Design
Summary
Case Example
Review Questions
12. Budgeting for Financial Control, Management, and Planning
The Differences Between Budgeting and Accounting
The Principal Purposes of Budgeting
The Financial Control Purposes
The Management Purposes
The Planning Purposes
Budgeting and the Systems Framework
Major Models of the Budgetary Process
Major Budgeting Systems

11
 Line-Item Budgeting Systems
Functional Budgeting Systems
Program Budgeting Systems
Dealing With Revenue Increases and Decreases
Budgeting in Human Service Agencies and Programs Today
Summary
Case Example
Review Questions
13. Developing Line-Item, Functional, and Program Budgeting Systems
Developing Line-Item Budgeting Systems
Designing the Line-Item Budget Format
Developing Common Budget Definitions and Terms
Identifying All Revenues and Expenses
Balancing the Budget
The Link Between Line-Item, Functional, and Program Budgeting Systems
Developing the Line-Item Budget
Determining the Agency’s Program Structure
Creating the Cost Allocation Plan Format
Identifying Direct and Indirect Costs
Assigning Direct Costs to Programs and Indirect Costs to the Indirect Cost Pool
Allocating Indirect Costs to Programs and Determining Total Program Costs
Total Direct Cost Methodology
Direct Labor Costs Methodology
Direct Labor Hours Methodology
Direct Costing Methodology
Which Cost Allocation Methodology Is Best?
Is Cost Allocation Worth the Effort?
Functional Budgeting Systems
Selecting the Program’s Intermediate Output (Unit of Service) Measure
Determining the Program’s Intermediate Output (Unit of Service) Objective
Computing the Program’s Cost per Intermediate Output (Unit of Service)
Selecting the Program’s Final Output (Service Completion) Measure
Determining the Program’s Final Output (Service Completion) Objective
Computing the Program’s Cost per Final Output (Service Completion)
Program Budgeting Systems
Selecting the Program’s Intermediate Outcome Measure
Selecting the Program’s Intermediate Outcome Objective
Computing the Program’s Cost per Intermediate Outcome
Selecting the Program’s Final Outcome Measure
Determining the Program’s Final Outcome Objective
Computing the Program’s Cost per Final Outcome
A Comprehensive Budgeting System
Summary
Case Example
Review Questions
Index

12
13
List of Figures and Tables

Figures
Figure 1.1 The Logic Model 6
Figure 1.2 Organizational Chart Displaying Programs 9
Figure 1.3 The Logic Model Applied to the Planning Process 12
Figure 2.1 Comparison of Clinical and Program-Level Problem-Solving Processes 32
Figure 3.1 A Comparison of Two Approaches to Problem Analysis 40
Figure 3.2 Framework for Problem Analysis 46
Figure 4.1 Two Definitions of Need 51
Figure 6.1 The Relationships Between Variables 92
Figure 7.1 Relationship of Mission, Goals, Objectives, and Activities 111
Figure 7.2 Organizational Chart Illustrating Safe Haven Programs 112
Figure 7.3 Logic Model as Applied to Process and Outcome Objectives 113
Figure 7.4 Hierarchy of Goals, Objectives, and Activities 114
Figure 7.5 Relationship Between Logic Model and Objectives and Activities 126
Figure 8.1 Logic Model as Applied to Program Inputs 135
Figure 8.2 Flowchart of Client Processing 138
Figure 8.3 Logic Model as Applied to Program Throughputs 142
Figure 8.4 Logic Model as Applied to Program Outputs 149
Figure 8.5 Logic Model as Applied to Program Outcomes 155
Figure 9.1 Dashboard Example Using Self-Esteem Scores by Ethnicity Over the First Quarter 163
Figure 9.2 The Fit of Five Types of Evaluation With Phases of the Logic Model 168
Figure 9.3 The Fit of Information System Data Elements to Phases of the Logic Model 171
Figure 9.4 Time–Series Comparison of Completions in Job Training 185
Figure 10.1 The Systems Framework, Feedback, and Self-Learning Systems 193
Figure 11.1 The Relationship Between Program Hypothesis, Program Design, and Desired Result 205
Figure 12.1 The Systems Framework and the Principal Purposes of Budgeting 218
Figure 12.2 The Systems Framework and the Three Major Types of Budgeting Systems 221
Figure 13.1 Comprehensive Budgeting System 248

14
Tables
Table 4.1 Four Types of Need 58
Table 5.1 Age Distribution, Franklin County 69
Table 5.2 Impairment and Disability, by Age (Rates per 1,000) 70
Table 5.3 Estimates of Persons With Disabilities, Franklin County 71
Table 5.4 Resource Inventory, Franklin County Services for Women Who Have Been Abused, Franklin
County Community Action Agency 73
Table 5.5 Service Utilization Survey, Franklin County Community Action Agency 75
Table 5.6 Correlation Matrix 82
Table 5.7 Factor Analysis 83
Table 5.8 Rank Ordering of Census Tracts by Level of Risk 84
Table 5.9 Indicators by Socioeconomic Status (SES) Areas 84
Table 7.1 The Fit Between the Logic Model and the Program Hypothesis 109
Table 7.2 Examples of Mission Statements 110
Table 7.3 Examples of the Relationships Between Goals and Objectives 115
Table 7.4 Example of an Outcome Objective 119
Table 7.5 Relationship Between Intermediate and Final Outcomes 121
Table 8.1 Variables Related to Program Inputs 133
Table 8.2 Narrative Chart 139
Table 8.3 Throughput Elements 142
Table 8.4 Calculating Units of Service 144
Table 8.5 Output as an Element of Service Design 145
Table 8.6 Calculating Output Units 146
Table 8.7 Dimensions of Quality 148
Table 8.8 Focus of Standardized Measures 151
Table 8.9 Level-of-Functioning Scale Measuring Personal Safety 151
Table 8.10 Outcomes as Elements of Service Design 153
Table 8.11 Calculating Outcome Units 154
Table 8.12 An Illustration of How Intermediate and Final Outcomes Might Be Calculated 155
Table 9.1 Scorecard Example Illustrating a Client’s Scores at Intake and During the First Quarter of
Training 163
Table 9.2 The Relationship Between Hypothesis, Goals and Objectives, and Data Elements 165
Table 9.3 Formative and Summative Evaluations 167
Table 9.4 Some Data Elements to Be Considered in Creating a Profile for Victims of Domestic Violence
172
Table 9.5 Considerations in Developing a Strategy for Data Analysis 182
Table 9.6 Table for Data Analysis 183
Table 9.7 Cross-Sectional Analysis of Safe Haven Clients at Entry 185
Table 9.8 Comparison to Other Data Units on Safety at Entry and Follow-Up 186
Table 10.1 A Comparison of Performance Measurement, Monitoring, and Program Evaluation 195
Table 10.2 Types of Program Data and Related Assessment Questions 197
Table 10.3 Performance Measurement, Monitoring, Program Evaluation, and Type of Program Data 199
Table 11.1 Differences Between Impact Program Evaluation and Performance Measurement 204
Table 11.2 Three Types of Impact Program Evaluations 208
Table 11.3 Major Threats to Internal Validity 209
Table 12.1 An Example of a Line-Item Budgeting System for a Human Service Agency 222
Table 12.2 An Example of a Functional Budgeting System for a Case Management Program 223
Table 12.3 An Example of a Program Budgeting System for a Case Management Program 223
Table 12.4 Budgeting Systems, Revenue Shortfalls, and the Level of Debate 224
Table 13.1 Safe Haven Line-Item Budgeting System 231

15
Table 13.2 Safe Haven Cost Allocation Plan Format 234
Table 13.3 Safe Haven Assigning Salary and Wage Costs 236
Table 13.4 Safe Haven Assigning ERE Costs 237
Table 13.5 Safe Haven Determining the Total Direct Costs of Programs and the Total of the Indirect
Cost Pool 238
Table 13.6 Safe Haven Allocating Indirect Costs to Programs Using the Total Direct Costs Methodology
and Determining the Total Cost of a Program 240
Table 13.7 Safe Haven Allocating Indirect Costs to Programs Using the Direct Labor Hours Methodology
and Determining the Total Cost of a Program 242
Table 13.8 Suggested Bases for the Direct Charging of Indirect Costs 243
Table 13.9 Case Management Functional Budgeting System 246
Table 13.10 Case Management Program Budgeting System 247

16
Preface

Our first edition of this book was published by Sage in 1990 at a time when concepts like “outcomes” and
“performance measurement” were beginning to emerge as important new directions in planning and funding
human service programs. Most of the milestone documents—such as the Government Performance and Results
Act of 1993, Governmental Accounting Standards Board service efforts and accomplishments reporting, United
Way of America’s requirements on measuring program outcomes, and accreditation requirements and funding
policies requiring outcome measurement—had not yet been developed.

At that time we were simply trying to get across the concept that the purpose of measuring results or outcomes
was to determine whether a particular program was worth the investment and that this kind of information could
never be determined by the long-accepted practice of focusing only on “process” or services provided.

It has become clear over the last 25 years that outcome measurement is a worthwhile and widely accepted
principle, and a great deal of research, publication, and policy development has gone into ensuring that the focus
of practice must shift to understanding what types and volumes of services provided for what types of clients get
what results at what cost.

However, it has also become clear that while the basic principles of performance measurement are becoming well
entrenched in federal, state, and United Way policies, and in most grant and contract funding, they have not
made great inroads in terms of being widely translated into everyday practices in public and private human service
agencies. Several researchers and authors have noted that designing and implementing the kinds of information
systems that will produce meaningful outcome findings are still beyond the reach of all but the best funded and
most highly professional human service agencies.

The target audience of this book since the first edition in 1990 has been local agency program managers and
administrators. From the beginning we have been committed to helping local agency supervisors and managers
understand how they can take the principles and concepts associated with outcomes and performance
measurement and translate them into the policies and practices of their local agencies.

For us, this process has always begun with a solid grounding in theories of program planning and theories of
human behavior so that, if local agency personnel choose to undertake the challenge of converting their focus and
data collection systems to client outcomes, they will be able to make the needed changes from the perspective of a
full professional understanding, and not merely as a technician applying a formula. To quote from our first
preface, “The methods and techniques are introduced and discussed within a theoretical perspective. To do
otherwise would imply not only that the subject matter is atheoretical, but that the professional practitioner is
basically a technician. Programs without a sound theoretical base, we believe, are built on a flimsy, unsupported
foundation.”

Building on a sound theoretical base, we have tried to present, in a logical, systematic manner, the steps necessary
to develop successful programs: (1) beginning with the explication of a program hypothesis, (2) continuing
through the articulation of goals and objectives, (3) building in the necessary elements of program design, (4)
collecting meaningful and useful data, (5) evaluating results from a variety of perspectives, and (6) learning how to
analyze the costs associated with each phase of the program.

With each new edition we have tried to be responsive to feedback from faculty, students, and practitioners, and
this edition is no exception. Chapter 1 has been reorganized to focus more on the elements to look for at each
stage of an existing program to determine whether it can be translated to conform to effectiveness-based planning
principles. The questionnaire has been removed from Chapter 1 and put online. In Chapters 2 through 6,
concepts have been explained in new ways and terms clarified to help the reader better grasp their significance. In
Chapters 7 through 9 many graphics have been added to accommodate the visual learner. In response to several
requests, the fit between the logic model and effectiveness-based planning has been further explained in the text

17
and illustrated in flow charts. In Chapters 10 through 13 examples have been updated and budget and evaluation
figures adjusted to reflect current realities of practice.

As requested, we have kept the Safe Haven domestic violence shelter example throughout to enable the reader to
follow the flow of program development from initial articulation of the program hypothesis through the final
stages of program evaluation and budget analysis.

While we are very pleased with the progress that has been made over the last 25 years at the policy and funding
levels, we continue to hope that future programs and services at the local agency level will wholeheartedly adopt a
focus on outcomes and performance measurement, and that local agency administrators, managers, supervisors,
and practitioners will develop a curiosity about the complex questions: What types of services with what types of
clients receiving what types of services get what results and at what cost?

In our fourth edition we included an afterword that offered suggestions about how some agencies have made use
of existing resources, including interns, volunteers, technical expertise, board members, and other resources, to
begin to construct a data collection system that would help to better understand client needs, design meaningful
services, and measure results. This section has been eliminated at the suggestion of several reviewers, the message
being that most local human service agencies already have their hands full and cannot realistically take on anything
of this scope on top of their regular duties. Hopefully policymakers and funders will recognize what it takes at the
local level to produce meaningful data and information on outcomes, and the next major emphasis in the
outcomes movement will be to offer incentives and the level of funding needed to make effectiveness-based
planning a reality.

We wish to thank our reviewers for their very thoughtful responses to the many questions posed to them about
changes needed to the fourth edition. We assure them that their feedback was taken very seriously and
incorporated wherever possible. We hope they and other faculty across the country find the changes helpful. Our
enduring thanks goes to our SAGE Publications acquisitions editor for human services, Kassie Graves. She has
always solicited detailed feedback from reviewers and organized it for us in a way that leads to making the new
edition better than the one before. Our thanks also to Carrie Montoya, senior editorial assistant, for always being
available to respond quickly to our questions and bringing the manuscript through to completion. Ultimately, the
hope of the authors, editors, and reviewers is that this book can help to make the planning process understandable
and useful for students and practitioners.

Peter M. Kettner

Robert M. Moroney

Lawrence L. Martin

18
Acknowledgments

SAGE Publications gratefully acknowledges the following reviewers:

Bonnie Hatchett University of Arkansas, Pine Bluff

Bruce A. Shields University at Buffalo, State University of New York

Ericka Kimball Augsburg College

Louise M. Murray University of North Carolina, Charlotte

Maureen E. Kelly University of Arizona

Patrick Devey Concordia University

Stephanie L. Carter University of Southern California

19
About the Authors

Peter M. Kettner
is professor emeritus at the Arizona State University School of Social Work. He is the author of six books,
four of which have been translated into multiple languages. He has also authored over 50 articles,
monographs, and book chapters on the topics of purchase-of-service contracting, privatization, macro
practice in social work, human services planning, and social work administration. Over his 30-year career in
academia, he served as consultant to five different state human service agencies and dozens of local nonprofit
agencies on their purchase-of-service contracting practices and in the design and implementation of
effectiveness-based planning systems. In retirement, he has continued his writing and consultation with local
government and nonprofit agencies.
Robert M. Moroney
is professor emeritus of Social Policy and Planning at the School of Social Work at Arizona State University.
He is the author of 10 books and over 60 articles and book chapters on various aspects of policy, planning,
and program evaluation. He has been associated with a number of policy centers, including the Bush
Institute at the University of North Carolina and the Vanderbilt Institute of Public Policy. He also spent a
year at the invitation of the Joseph Rountree Memorial Trust and the Department of Health and Human
Services, England, examining that country’s social policies affecting the family. He recently was a Senior
Fulbright Scholar with the Department of Social Policy and Social Work, University College Dublin, and
more recently a Senior Fulbright Scholar at Vilnius Pedagogical University. He currently serves as a board
member of the Rosalyn Carter Institute for Human Development. He does extensive consultation with
numerous national, state, and local human service organizations.
Lawrence L. Martin
is professor of public affairs, social work, and public administration at the University of Central Florida in
Orlando. He was previously on the faculty of the Columbia University School of Social Work in New York
City, where he directed the program in social work administration. He is the author or coauthor of 30
books and major monographs and over 100 articles and book chapters on human services administration,
procurement and contracting, performance measurement, state and local government, and budgeting and
financial management. His works have been translated and reprinted in Chinese, French, Korean,
Portuguese, Russian, and Mongolian. He has provided consultation and training to numerous state and
local governments and nonprofit organizations throughout the United States. He has also worked
internationally with governmental and nongovernmental organizations in Canada, France, Germany,
Sweden, and Mongolia.

20
PART I Assessing Current Practices

21
Chapter 1 Contemporary Issues in Human Service Program
Planning and Administration

22
Chapter Overview
The purpose of this chapter is to introduce:

The major governmental and other initiatives that have prompted the need for program planning
The relationship between the logic model and program planning
How agencies and community-wide networks relate to each other in addressing social problems
The steps that are involved in effectiveness-based program planning
The elements of a program that are critical to measuring effectiveness

The following topics are covered in this chapter:

The Era of Accountability

Designing for Monitoring, Performance Measurement, and Program Evaluation
The Logic Model
Community Focus
The Issue of Effectiveness
Assessing an Existing Program
What Is Effectiveness-Based Program Planning?
Using Effectiveness Principles to Understand Existing Programs
Defining Programs
Assessing Diverse Populations
Problem Analysis
Needs Assessment
Selecting a Strategy and Establishing Objectives
Program Design
Data Requirements for Performance Measurement
Monitoring and Using Information Technology
Program Evaluation
Budgeting

Implementation Considerations
Summary
Review Questions

23
The Era of Accountability
When it comes to planning, funding, and implementing human service programs at the federal, state, and local
levels, times have changed dramatically over the last few decades. Since the concepts of accountability, measuring
results, and cost-benefit analysis have emerged over the past few decades, human services have been brought under
a good deal more scrutiny (Hatry, 2010). Instead of funding for service delivery, the focus shifted to funding for
results and return on investment.

The Government Performance and Results Act (GPRA) of 1993 (Public Law No. 103-62; Office of Management
and Budget, 1993), reaffirmed by the GPRA Modernization Act of 2010 (Public Law 111-352), has become a
major driver of performance accountability at the federal level (Hatry, 2014). GPRA requires federal departments
and agencies to annually report their performance to the president and Congress. A second driver of performance
accountability at the federal level is the performance contracting requirements of the Federal Acquisition
Regulation (FAR). The FAR represents the formal contracting policies and procedures of the federal government.
The FAR requires that “all federal service contracts (including human service contracts) be performance based to
the maximum extent possible” (FAR, 2015).

At the state and local government levels, two major drivers of performance accountability are the reporting
initiative of the Governmental Accounting Standards Board (GASB) and the performance measurement
requirements imposed by governors and legislatures. GASB sets financial and reporting standards for state and
local governments. GASB has long advocated that state and local governments adopt performance accountability
systems that track and report on the outputs, quality, and outcomes of government programs. GASB (1993) calls
its recommended performance accountability system service efforts and accomplishments (SEA) reporting. Private
sector funding organizations, such as foundations and the United Way (1996), have also adopted performance
accountability systems. Most nonprofit human service agencies that receive government, foundation, or United
Way funding through grants and contracts have likewise adopted performance accountability systems in order to
satisfy the reporting requirements of their funders (United Way, 2003).

In 2013 the federal Office of Management and Budget (OMB) issued new regulations governing federal grants
(Martin, 2013). The new regulations require that, in order to receive federal funding in the future, grant recipients
must specify performance and outcome measures. Additionally, some grant recipients may be paid for achieving
performance expectations and results, not activities, and these must be certified in writing (U.S. Government
Printing Office, 2015). If monitored and enforced, the new regulations will essentially require that the steps we
describe in the following chapters be standard expectations in order to receive federal funding for human service
programs. These requirements may create a tension between what the funding source expects and what the local
program hopes to accomplish, so in creating data collection systems it is important to consider as many
perspectives (e.g., client, staff, management, board, community interests) on the definition of effectiveness as
possible.

24
Designing for Monitoring, Performance Measurement, and Program
Evaluation
Designing programs and services for effectiveness involves collection of the kinds of data that will support
responsiveness to funding source mandates for accountability and at the same time will allow program evaluators
to determine whether the programs are getting the desired results. This is an important point. If monitoring,
performance measurement, and program evaluation information is anticipated at the end of service provision, this
information will be available only if certain design elements are incorporated at the beginning of the planning
process. The Urban Institute pioneered an effort to establish criteria by which programs could be assessed in terms
of whether they could be evaluated. They called this effort “Evaluability Assessment.” Here are some of the criteria
they specified in order for a program to be considered “evaluable”:

Evidence required by management can be reliably produced.

Evidence required by management is feasible to collect.
Management’s intended use of the information can realistically be expected to affect performance. (Schmidt,
Scanlon, & Bell, 1979)

The term evidence refers to the collection of data around specified variables that define the details of service
provision and results. The term evidence-based practice has come into prominent use in many professions,
including social work, to emphasize that clinical decisions must be based on the best available evidence from
systematic research wherever possible (Johnson & Austin, 2006; McNeill, 2006). Management’s use of evidence
simply takes this concept to the next level, defining the parameters within which evidence will be collected, how it
will be aggregated, and how it will be used for monitoring, performance measurement, and program evaluation.
One thing should be made perfectly clear: Designing programs that can be evaluated means collecting quantified
data on service provision and client response. It also requires that data be captured in a spreadsheet or database
format to facilitate analysis. Only when data are displayed in some way that permits comparisons can the program
planner or analyst begin to understand what works and what doesn’t.

Figure 1.1 The Logic Model

25
The Logic Model
As discussed above, government programs were focused for so many years on process or provision of services that it
has become a long and arduous process to shift the conceptual framework to one that emphasizes outcomes and
results. A framework that has been very influential and helpful in understanding the basic concepts associated with
effectiveness-based planning is the logic model. Introduced in the 1960s and 1970s, it was intended to shorten
what was then a very cumbersome process of evaluating federally funded programs (Wholey, 1983, 1994). The
widespread adoption of the concepts was given a significant boost by the United Way of America’s publication
Measuring Program Outcomes in 1996.The logic model borrows concepts from systems theory to create and build
upon a foundation in a way that helps to see the relationships between and among the resources invested, the
services provided, and the results achieved.

Effectiveness-based program planning uses program as the unit of analysis. The value of the logic model is that it
permits us to depict the sequence or flow of events that identifies program resources, matches resources to needs,
quantifies the service process, tracks completion of the service process, and measures results. The sequence is
depicted in Figure 1.1.

This model allows the planner to see the rational flow of addressing a problem and applying a process, while
maintaining a focus on the purpose of the entire effort: effecting positive changes in the lives of clients and
reducing the size and scope of a problem in a community. Definitions and applications of inputs, process, outputs,
outcomes, and impact will be addressed throughout this book to emphasize the importance of understanding the
logical, conceptual flow of the program-planning process. While many examples will be provided, it is important
to remember that when applied, the principles should be used as guiding concepts and not as a rigid formula.

26
Community Focus
One result of the emphasis on accountability has been to shift the focus from what an agency is providing and
accomplishing to what happens to a target population within a community as a result of having received a
particular set of services. Most problems addressed by human service programs are community problems, such as
children in need of a safe environment, homeless people in need of shelter and rehabilitation, victims of crime and
violence in need of protection, family breakdown, addictions, and others. Over the past few decades there has also
been an increasing recognition that meeting the needs of various ethnic and special populations, including African
Americans, Asian Americans, Latino Americans, Native Americans, gays, lesbians, bisexual and transgendered
people, low socioeconomic-status people, and other special populations may require adaptations. Research
findings on success with these populations are limited, and requirements for outcome-oriented approaches have
the potential to begin to meet the need for more complete findings (U.S. Department of Health and Human
Services, 2001).

The kinds of problems brought to human service agencies are so complex that it is unlikely that services from just
one agency can ever have a significant and measurable impact on an entire community. For this reason, funding
sources have learned that they must put resources (primarily money) into a community with the expectation that a
number of agencies will collaborate in addressing the problem in the interest of achieving a more comprehensive
impact.

This community-wide focus means that early in the planning and proposal writing stages of a program, planners
need to study the problem and identify the characteristics of the target population. Characteristics should
anticipate data elements that will be needed to answer questions that may arise about the effectiveness of the
program. In the following chapters we will examine in great detail the many developmental phases a program must
go through and the many elements that need to be included if it is to be considered effectiveness-based. We will
also attempt to illustrate how agency information systems and agency budgets can be structured in a way that
allows them to fit into a larger community system, thus enabling state- and community-level organizations to
measure the impact on the problem.

Basic to all program monitoring, performance measurement, and evaluation is the need for appropriate
information technology support in terms of computer hardware, software, and expertise capable of tracking clients
and generating program reports. Yet to achieve the full benefits of effectiveness-based program planning, there
must be a strong commitment from the top and throughout the staff that evaluation of effectiveness is critical to
the success of any client service program and that evaluation data will be used to initiate continuous quality
improvement in the program as it becomes clear that changes are needed.

27
The Issue of Effectiveness
Both efficiency and effectiveness have become major considerations in human service program and agency
administration. Efficiency can be defined as the volume of service a program provides in relation to its costs (how
much service is the agency getting for its dollar?). Effectiveness refers to the achievement of client outcomes
(quality-of-life changes) as the result of receiving services (how much better off are clients as a result of having
received this service?). Measuring outputs and outcomes requires that service providers track such factors as the
amount of service a client received, whether the client completed the program or dropped out, and how much the
client improved between entry into and exit from the program.

The term program also has some very specific meanings. A program is defined as a prearranged set of activities
designed to achieve a stated set of goals and objectives (Netting, Kettner, & McMurtry, in press). This is an
important and sometimes elusive concept for a newcomer to the profession to grasp. All measurement relies on
first defining the elements that will go into program construction. If there is an expectation that stated objectives
will be met and that monitoring, performance measurement, and/or evaluation will take place at some point, then
an agency must plan in advance to establish goals and objectives and to provide clear definitions of services to be
provided and results expected (all, of course, in writing). Client requests for help must be categorized in some way,
after which clients are directed into services that offer the best possibility of meeting their needs and resolving their
problems.

Figure 1.2 Organizational Chart Displaying Programs

The Commonwealth of Australia has done a particularly good job of applying the concept of effectiveness-based
program planning for government-sponsored services. For example, in defining police services, rather than simply
operating under the generic heading of crime-fighting, law enforcement efforts are broken down into four areas or
programs: (1) community safety and support, (2) crime investigation, (3) road safety and traffic management, and
(4) services to the judicial process (Steering Committee for the Review of Government Service Provision, 2006).
The point is that services need to be categorized, defined, matched to client need, and delivered to determine
whether they have been successful. Data collection systems are closely tied to program definitions. When programs
have been conceptualized and have a set of goals and objectives that they are expected to achieve, then they ought
to have visibility on the organizational chart, as depicted in Figure 1.2, and have staff and resources assigned to
them.

Programs may be staffed by specialists who work exclusively with a defined population or problem, or staff
responsibilities may cut across more than one program. The important issue is that client data must be associated
with specific programs and services so that valid and reliable measures are produced.

28
Assessing an Existing Program
In this opening chapter we will attempt to illustrate that designing effective programs requires a careful, detailed
thought process that begins with an understanding of a social problem and ends with analysis of data on
effectiveness. Chapters 2 through 6 will focus on assessing and understanding problems and needs. Chapters 7
through 9 will present a step-by-step process on writing goals and objectives, designing programs, and collecting
and using data for analysis of efficiency and effectiveness. Chapters 10 through 13 will explain alternative
budgeting and evaluation systems.

The tasks and processes of program development that will be proposed are by their very nature complex, simply
because social, family, and personal problems are complex and sometimes well entrenched. The problems and the
populations to be served will require thoughtful study and analysis. The purpose of delving into the complexities
of social problems and human service programs is to ensure that there is a good fit of service to need. When this
happens, services can be more precisely focused on getting the kinds of results intended. In short, it is a more
proactive approach that is more assertive in ensuring service providers produce results rather than merely hoping
that things turn out well for the client.

Perhaps in the same way that an understanding of the law is of critical importance to a practicing attorney or an
understanding of the body is important to a physician, so an understanding of social problems and programs is
central to the practice of social work planning and administration. This understanding will require that old
assumptions be challenged and new approaches to serving clients be implemented as we learn more about
effectiveness. In a sense, we will be proposing that programs go through periodic checkups, including data
analysis, use of benchmarks, and comparison to best practices and the results they are achieving. These indicators
should be helpful in determining a program’s continuing effectiveness and relevance in a changing environment.
Failure to convert to these types of data and information becomes much like competing in an athletic competition
without keeping score.

29
Another random document with
no related content on Scribd:
 Nadjiba und Mina, 10jährige chaldäische
Mädchen.
Die chaldäische Gemeinde zählt etwa 7000 Personen und zerfällt
in zwei Parteien; die eine nennt sich nach Bagdad, die andere nach
dem Dorf Tell-keif bei Mosul. Die Tell-keif-Partei hat der Bagdad-
Partei Fehde angesagt und will sich der Herrschaft in der Gemeinde
bemächtigen. Als der chaldäische Bischof auf seinem Recht
bestand, verklagte sie den achtzigjährigen harmlosen Greis beim
Patriarchen in Mosul, er wolle Bagdad der Machtsphäre des
Patriarchen entziehen und ein unabhängiges Patriarchat gründen.
Der Streit ging noch immer weiter, als wenn man an dem Weltkrieg
noch nicht genug hätte! Wie überall im Orient gewinnt man wenig
Achtung vor dem Christentum, das den Kindern dieses Landes
geboten wird. Der Bischof wohnte in einem ganz unansehnlichen
Hause. Dort sollten, wie man mir sagte, englische Offiziere vom
Majorsgrad an aufwärts eine Freistatt während der ersten Tage ihrer
Gefangenschaft finden. —

Der syrische Erzbischof von Bagdad.

Der syrische Erzbischof von Bagdad, Athanase Georges Dallal,
ist ein vornehmer, würdiger Prälat. Sein Aussehen erinnert an die
syrischen Könige auf den alten Reliefs: gerade, kräftige Nase und
dichter, rabenschwarzer Bart. Er trägt einen dunklen Mantel mit
Sammetkragen, den eine kleine Kette am Halse zusammenhält. An
dieser hängt das Kreuz, das seine hohe Würde bezeichnet. Seine
Kopfbedeckung gleicht einem umgekehrten Zylinderhut; die der
griechischen Geistlichen ist ebenso, nur fehlt hier die obere Krempe.
Er wohnt in einem sauberen Hause ortsüblichen Stils, dessen
kleinen gepflasterten Hof offene Galerien umgeben. Die Zimmer sind
groß, kühl und gut möbliert mit orientalischen Sofas und Teppichen,
schönen Kronleuchtern und zahlreichen Porträts verstorbener
Erzbischöfe.

Heskije, 60jähriger Rabbiner in Bagdad.

 Mesko, 60jährige Chaldäerin aus Tell-keif.
Hochwürden hatten die Güte, mir selbst die Kirche der
„Unbefleckten Empfängnis“ zu zeigen. Sie ist in halb arabischem Stil
vor einundfünfzig Jahren erbaut und hat drei niedrige Wölbungen,
die auf acht Säulen ruhen. Neben dem Hauptaltar im Chor steht zu
beiden Seiten je ein kleinerer. Dazu kommen mehrere
Gebetsnischen. Der schönste Besitz ist ein holzgeschnitztes Tor,
eine Gabe aus Indien aus dem Jahre 1863. Das ganze Gebäude hat
sehr unter Feuchtigkeit gelitten, besonders durch eine ungewöhnlich
starke Überschwemmung vor achtzehn Jahren, und man will es jetzt
einer gründlichen Ausbesserung unterwerfen, eine Arbeit, die wohl
auf 15000 Franken zu stehen kommt. Der Grund ist aufgeweicht, die
Säulen haben sich nach auswärts geneigt, und die Seitengewölbe
zeigen breite Risse. Die Innenseiten der Mauern waren mit
Alabasterplatten belegt, die dem übrigen weniger haltbaren
Baumaterial einigermaßen Schutz boten. Aber auch der Alabaster
verwittert, trotzdem er mit Ölfarbe gestrichen ist. Die alten Assyrier
verstanden die Kunst des Bauens besser.
Auf dem Altar lag das alte Evangelium in arabischer Sprache,
aber in syrischer Schrift, damit die ismaelitischen Araber es nicht
lesen können — ein höchst merkwürdiger Grund. Als
Verkehrssprache ist das Syrische fast verschwunden; nur in einigen
Dörfern bei Mosul soll es sich noch erhalten haben.
Früher war der Erzbischof von Mosul auch Bischof von Bagdad.
Vor sechzig Jahren aber wurde in Bagdad ein eigenes Erzbistum
errichtet, das dem syrischen Patriarchen in Antiochia, dessen
Residenz jedoch Beirut ist, untersteht. Dieser gebietet also den
Erzbischöfen von Aleppo, Mosul, Damaskus und Bagdad, sowie
denen von Homs und Hama, Diarbekr, Tripolis, Ägypten und Urfa.
Die syrische katholische Kirche Bagdads zählt 250 Familien mit
höchstens 2000, nach anderen Angaben 1250 Personen. In Amara
besteht eine kleine syrische Gemeinde von 70 oder 75 Personen,
und in Schar und Basra leben etwa 100 syrische Familien. Die
unierte syrische Kirche zählt 60000 Anhänger, die nichtunierte
400000; von letzteren wohnt die eine Hälfte in der Türkei, die andere
in Malabar in Indien. Vor fünfhundert und mehr Jahren hatte die
syrische Kirche mehrere Millionen Anhänger.
Die jetzt ausgewiesenen französischen Karmeliterpatres in
Bagdad haben eine Pfarrei mit Schule und Waisenhaus. Zu ihrer
Gemeinde gehören auch zwanzig Dominikanerschwestern, von
denen vierzehn Französinnen, die übrigen arabischer Abstammung
sind. Auch in Amara, Basra und Mohammera haben die Karmeliter
kleine Gemeinden und einige Schwestern. Das Irrenhaus in Amara
wurde von ihnen errichtet. Die verschiedenen Orden haben den
vorderen Orient unter sich verteilt. Den Karmelitern ist das ganze
Gebiet zwischen Bagdad und dem Persischen Golf zugewiesen,
während die Franziskaner ganz Palästina sowie Charput und Aleppo
übernommen haben. In Mosul residieren die Dominikaner, in Urfa
und Diarbekr die Kapuziner, in Damaskus die Lazaristen und in
Beirut Jesuiten.
Das prächtige Haus der Karmeliterväter mit seinem kühlen
Bogengang um einen gepflasterten, länglichen Hof herum haben die
Türken in eine Schule umgewandelt. Als ich vor mehr als dreißig
Jahren als frischgebackner Student dieses Haus besuchte, nahm
mich ein alter, weißbärtiger Pater so freundlich auf, daß ich mich
noch heute seiner lustigen Versuche erinnere, einige schwedische
Sätze zu radebrechen. Diesmal wohnte ich in der Karmeliterkirche
einem Hochamt bei, das mein Freund von der Euphratfahrt, der
katholische Priester, vor deutschen Soldaten und Offizieren und
syrischen Frauen und Mädchen hielt. Die leichten, von der Stirn bis
auf die Füße reichenden, meist hellroten oder hellblauen Schleier,
die schwarzen Augen, dunkeln Flechten und roten Lippen der
Töchter des Orients boten einen prächtigen künstlerischen
Gegensatz zu den braungebrannten feldgrauen deutschen Kriegern,
die das in Kreuzform gebaute, von Orgeltönen durchbrauste
Gotteshaus bis auf den letzten Platz füllten.
 Habuba, Chaldäerin aus Tell-keif.
Das Kloster der Dominikanerschwestern ist ein ungewöhnlich
gediegen gebauter Komplex von Höfen, Säulengängen, Altanen,
Terrassen und Veranden. Mitten auf einem der Höfe wächst eine
herrliche Dattelpalme, umgeben von Maulbeerbäumen und anderen
Gewächsen. Das Kloster wurde 1880 gegründet, während die
Mission der Karmeliterväter in Bagdad schon ein paar hundert Jahre
alt ist. Von den zwanzig Schwestern waren vier bereits vor dem
Krieg „Soeurs de charité“ im bürgerlichen Krankenhaus, elf taten
Dienst in Militärlazaretten, und fünf nahmen sich der
Erziehungsanstalten des Klosters an, der „Ecole arabe“, der „Ecole
professionelle“ und des Waisenhauses. Hier werden nur Mädchen
unterrichtet; in der Gewerbeschule lernen sie nähen, klöppeln,
sticken und weben. Einige der wenigen deutschen Damen in Bagdad
lassen ihre Kleider bei ihnen machen; es war rührend, sie bei der
Arbeit zu sehen. Vor dem Krieg lernten nicht weniger als
fünfunddreißig junge arabische Damen in der Schule der
Schwestern Klavierspielen. Vater- und mutterlose Mädchen, alle arm
wie Kirchenmäuse, wohnen im Kloster, wo sie alles bekommen, was
sie bedürfen. Zur Zeit waren es einundfünfzig, und die Einkünfte
waren auf eine unbedeutende Summe herabgesunken. Einigen
Verdienst brachte nur etwas Näharbeit für europäische Damen. Aber
unter der Hut der Erzieherinnen wachsen und gedeihen sie, und die
Schwestern tun, was sie können, um sie an rechtschaffene
christliche Jünglinge zu verheiraten, die Gelegenheit gehabt haben,
die Mädchen kennen zu lernen. Auch Verlobung und Hochzeit
werden im Kloster gefeiert. Zuweilen aber kehrt auch das junge Paar
nach einiger Zeit zurück, um Hilfe zu erbitten.

Phot.: Schölvinck.
Der Herzog, Rittmeister Schölvinck und der Verfasser im Gespräch mit
französischen Dominikanerinnen.
Die goldenen Kuppeln und Minarette von Kasimen.

Haupteingang zur Grabmoschee in Kasimen.

 Zu den Sehenswürdigkeiten Bagdads gehört auch die kleine
Stadt Kasimen auf dem rechten Tigrisufer mit einer von den Schiiten
sorgsam gepflegten Grabmoschee für Imam Musa-el-Kasim
(gestorben 801 n. Chr.) und seinen Enkel. Der persische
Pilgerverkehr dorthin ist so zahlreich, daß Midhat Pascha auf der
zwischen üppigen Palmenhainen hinführenden Landstraße eine
Pferdebahn anlegen ließ, deren zweistöckige, sehr abgenutzte
Wagen gepfropft voll waren. Auch Kasimen hat seine Basare,
Karawansereien und Kasernen. Die Grabmoschee selbst konnte ich
aber nur von einem Dache aus sehen und durch das Eingangstor
einen flüchtigen Blick in den Tempelhof werfen, dessen
Innenfassade mit moderner Fayence farbenprächtig ausgelegt war.
Auf dem Rückweg besuchte ich Sitte Sobeïd, ein Mausoleum, das
Harun-er-Raschid seiner Lieblingsgemahlin Sobeïd errichtete. Das
ursprüngliche Grabmal wurde im Jahre 1051 zerstört, und der jetzige
Bau mit seinem pyramidenförmigen Turm zeigt zwar den Stil des 11.
Jahrhunderts, ist aber kaum hundert Jahre alt. Zahlreiche neue
Gräber mit einfachen Steinplatten umgeben ihn, und in seiner Nähe
steht unter Palmen die kleine schöne Grabmoschee Scheik Ma’ruf-
el-Kaschi.
 Grabmoschee der Sobeïd.

Die Angaben über die Bevölkerungszahl Bagdads schwanken

zwischen 120 und 300000. Europäer, die lange in Bagdad gewohnt,
und fremde Besucher, die es nach allen Richtungen durchwandert
und von hochgelegenen Aussichtspunkten aus sein Häusermeer
betrachtet haben, sind der Überzeugung, daß die Zahl 120000 der
Wirklichkeit am nächsten kommt. Einen brauchbaren Anhaltspunkt
für die Berechnung ergibt der Verkehr in den Basaren der
verschiedenen Städte; die von Damaskus z. B., das etwa 300000
Einwohner hat, sind viel weitläufiger und besuchter. Der syrische
Erzbischof von Bagdad berechnet die Zahl der Bewohner auf
230000 : 150000 Mohammedaner in zweiunddreißig verschiedenen
Sekten mit etwa hundert Moscheen, von denen nur ein Drittel Kuppel
und Minarett hat, 60–80000 Juden, die fünfzig Synagogen haben
und neun Zehntel des Handels beherrschen (nach europäischen
Angaben höchstens 45000), 7000 Chaldäer, 2000 Syrier, je 4–500
armenisch-katholische und armenisch-orthodoxe, etliche römische
Katholiken, und dazu die wenigen Kurden, die nur von Zeit zu Zeit
die Stadt besuchen. Im Jahre 1900 berechnete Max von Oppenheim
die Einwohnerzahl auf 200000, davon 150000 Mohammedaner
(einschließlich 90000 Schiiten), 10000 Christen und 40000 Juden.
Als ich Bagdad vor dreißig Jahren besuchte, wohnten nur wenige
Europäer dort. Vor Ausbruch des Weltkrieges zählte man deren
mehrere Hundert. Neue Kaufhäuser und Banken waren seitdem
entstanden, besonders hatte die Bagdadbahn viele Deutsche
herbeigezogen, und während meines jetzigen Aufenthaltes hatten
die Aufgaben des Krieges zahlreiche Europäer, darunter viele
Deutsche, Träger berühmter Namen, und mehrere meiner
Landsleute in deutschen Diensten nach Bagdad geführt. Einige, die
zu meinem nächsten Freundeskreis gehörten, nannte ich bereits. Bei
Dr. Herle sah ich den hervorragenden Arzt Professor Reich, der auf
der Rückreise von Persien am Flecktyphus erkrankt war; er schien
dem Tode nahe, überwand jedoch die Krisis und konnte Anfang Juni
nach Deutschland heimkehren. Die archäologische Forschung war
glänzend vertreten durch die Professoren Andrae und Jordan, die
Leiter der Ausgrabungen in Assur, und durch Professor Sarre, der
gemeinsam mit Dr. Herzfeld das Geheimnis von Samarra bloßlegte.
Beiden Ruinenstädten sind spätere Kapitel meines Buches
gewidmet. Die Archäologen Dr. Lührs und Bachmann waren
dienstlich an der Irakfront beschäftigt.
Wie Deutschland in allen großen Städten Vorderasiens überaus
tüchtige Konsuln besitzt, so auch in Bagdad, wo Dr. Hesses
vielseitige Kenntnisse auch für die Kriegführung von größtem Nutzen
waren. Früher war der englische Generalkonsul der mächtigste
Ausländer hier; er unterstand dem Gesandten in Konstantinopel, war
aber auch als politischer Agent und Resident der indischen
Regierung tätig. Eine Eskorte von Sepoys und ein eigenes Schiff
bezeichneten nachdrücklich seine Machtstellung. Jetzt waren die
englischen, französischen und russischen Konsuln verschwunden,
nur die von Österreich, Amerika und Persien noch auf dem Posten.
Dem persischen Konsul machten die Pilger seiner Heimat viel zu
schaffen, die lebenden und noch mehr die toten, die in Decken
gehüllt auf Mauleseln nach Kerbela überführt werden mußten.
 Kasimen.

Im Stabe des Herzogs traf ich Rittmeister Tschirner wieder, dem

ich an der Ostfront bei Suwalki begegnet war. Stabschef war Major
von Köppen. In einem Krankenhause lag in bedenklichem Zustande
der deutsche Schriftsteller Armin T. Wegner, bekannt durch seine
Bücher „Zwischen zwei Städten“, „Gedichte in Prosa“ und andere.
Der deutsche Arzt Dr. Schacht führte Schölvinck und mich an sein
Schmerzenslager, wo wir eine unvergeßliche Stunde verbrachten.
Mit einer gewaltigen Karawane von Mauleseln und persischen
Dienern kam von Teheran der dortige deutsche Gesandte Dr. Vassel
und mietete für sich und sein Gefolge ein Stück vor der Stadt ein
Haus. Hier wohnte auch Wilamowitz als deutscher Militärattaché in
Persien. Als ich meinen Reisekameraden das letzte Mal sah, hatte
er hohes Fieber, war aber nicht dazu zu bewegen, das Bett
aufzusuchen. Er war gerade Major geworden, und nach Dr. Vassels
Abreise war er deutscher Chargé d’affaires. Er hoffte, den
siegreichen türkischen Truppen nach Persien folgen und endlich der
erstickenden Hitze entfliehen zu können. Seine Krankheit aber
verschlimmerte sich plötzlich, und er starb Mitte Juli, eine trauernde
Witwe, geborene Freifrau von Fock, und eine kleine Tochter
hinterlassend, die jetzt in Stockholm wohnen.

Straße in Bagdad.
An Direktor Wurst hatte die Deutsche Bank in Bagdad einen
vortrefflichen Vertreter, dessen Arbeitslast sich ungeheuer
vermehren wird, wenn die Bagdadbahn einmal fertig ist. Herr Brown,
Chef eines großen deutschen Handelshauses, hatte acht Jahre lang
an der Piratenküste des Persischen Golfs unter wenig bekannten
Araberstämmen gelebt; durch Handelsverbindungen, die er mit
ihnen und den Beduinen in Mesopotamien anknüpfte, besaß er
einen großen Einfluß auf diese Völker. Er erzählte mir von dem
mächtigen Araberhauptmann Ibn Reschid südlich von Hille, der mit
einer Streitmacht von 30000 Mann der türkischen Sache treu
ergeben ist, und von andern Stämmen weiter unten am Golf, die auf
ihren Kriegszügen die vornehmsten Frauen in schimmernder Pracht
auf Dromedaren voranreiten lassen, um den Mut der Kämpfer
anzufeuern. Bei Brown wohnte der junge Diplomat Herr Dickhoff von
der Deutschen Gesandtschaft in Teheran. Herzog Adolf Friedrich mit
Gefolge, Graf Wilamowitz und ich waren oft in Browns Haus zu
Gaste, besonders an Mondscheinabenden, wenn man ohne Lampe
auf der Dachterrasse sitzen und den Anblick des silberblanken
Stroms und der seltsam beleuchteten Palmen genießen konnte.
 Kaiplatz in Bagdad.

Elftes Kapitel.
Sommertage in „Dar-es-Salaam“.

B agdads Sehenswürdigkeiten, d. h. das, was 1258 von den

Horden Hulagus und hundertfünfzig Jahre später von Tamerlan
verschont wurde, lassen sich an einem Tage besichtigen. Und doch
— wie gern verweilt man ein paar Wochen hier, um den
unverfälschten Orient und das farbensatte Straßenleben zu
genießen. Die Stadt hat eigentlich nur eine Straße, die diesen
Namen verdient. Hier kann man sogar Droschke fahren, wenn man
nicht gerade in einem unentwirrbaren Knäuel von Karawanentieren,
Reitern und Wagen stecken bleibt. Sie setzt die Straße Halil
Paschas nach Nordwesten fort und läuft parallel dem Tigris durch die
ganze Stadt, durch die vornehmste Pulsader des Basars und weiter
am Kopf der Pontonbrücke vorüber auf dem linken Ufer nach der
Zitadelle Kala, einem mauerumschlossenen Block von Zivil- und
Militärgebäuden, Serail, Konak und Kaserne.
Auf dieser Straße wogt ein bunter Karneval der Rassen —
Semiten, Mongolen, Arier, selbst Neger —, der verschiedensten
Religionen, Geschlechter und Stände. An den Ecken sitzen die
Armen, die übrigens während des Krieges weit minder zahlreich
waren, als man erwarten sollte. Auf weißen Mauleseln oder
kostbaren arabischen Stuten reiten die Standesherren. Mit
unbewußter Majestät, die geborenen Aristokraten Vorderasiens,
tragen die echten Araber, die Wüstenbeduinen, ihre weißen,
flatternden Kopftücher unter den Stirnreifen und ihre weiten, bis zu
den Füßen reichenden Mäntel. Juden überall, in orientalischen
Trachten und leicht erkennbar an ihren ausgeprägten Zügen.
Dunkelblau gekleidete Araberinnen verstecken die Glut ihrer Augen
hinter undurchdringlichen Schleiern. Die türkischen Damen gehen
gewöhnlich schwarz gekleidet, oft in Seide, und lassen ebenfalls
keinen Schimmer ihrer Gesichtszüge sehen. Die Christinnen
Bagdads: Syrierinnen, Chaldäerinnen, Armenierinnen, tragen helle,
leichte Gewänder, die wie zusammengefallene Ballonhüllen ihre
Formen verbergen, ihre schmucken Gesichter aber den Augen der
Männer freigeben. Auch die Trachten der Jüdinnen gleichen denen
der Mohammedanerinnen, nur der Schleier verrät sofort die Rasse,
ein kleines schwarzes, goldgerändertes Sonnendach, das von der
Stirne wagerecht vorspringt oder schwach abfällt und das Gesicht
nicht verbirgt, sondern nur beschattet.
In der Hauptstraße von Bagdad.

Die Hauptstraße Bagdads.

 Überall malerische Bilder und Gruppen! Sieh nur dort die
arabische Mutter, die ihr kleines Kind auf der rechten Schulter trägt
und ihren Buben an der linken Hand führt; oder hier die in
dunkelblaue Schleier gehüllten Mädchen, die zum Strand hinab
eilen, um in schönen Lehmkrügen oder Kupferkannen Wasser zu
holen. Auch im Innern der Stadt trifft man sie, wenn man an den
kleinen Wasserbehältern unter den schützenden Ziegelwölbungen
stehen bleibt; hier lassen sie sich abends nieder, treffen ihre
Nachbarinnen, plaudern und tragen die wildesten Basargerüchte
weiter.
Von der Hauptstraße führen mehrere kleine Quergassen oder
schmale Gänge zwischen den Häusern zum Tigrisufer hinab, wo
Boote und Guffas ihre Landungsplätze haben. Dorthin wandern
barfuß auch die Sakkas, die Wasserträger; in schwarzen, weichen,
tropfenden Ziegenfellsäcken tragen sie Wasser in die
Haushaltungen und zu den durstigen Wanderern in den Basaren,
oder sie sprengen damit die trockenen Straßen. Der Sack hängt auf
der rechten Seite, mit der rechten Hand halten sie ihn zu, während
die linke eine kleine, bis zum Rand gefüllte Holzschale darreicht.
Besondere Geschicklichkeit gehört dazu, den leeren Sack zu füllen;
ein an doppeltem Riemen befestigter Ledereimer wird in den Fluß
hinabgelassen, ohne daß der Mann sich bückt, dann mit einer
eleganten Bewegung herausgehoben und in die offene Mündung
des Sacks hinein entleert.
Sakka (Wasserträger).