Neighbourhood Organisation: America Learns from the Third World

Author(s): Janice Perlman

Source: Built Environment (1978-), Vol. 5, No. 2, Lessons from the Third World (1979), pp.
111-118
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 Neighbourhood Organisation:
America Learns from
the Third World
Janice Perlman
Neighbourhood vitality is the key to healthy cities. With the background of
her Latin American experience, Janice Perlman discusses the role of
community organisations in creating that vitality.

A people among whom individuals have lost the people with lower income and education
power of achieving great things single-handed, have less political awareness, lower efficacy
without acquiring the means of producing them
and lower rates of participation at all levels.
by united exertions, would soon relapse into
A practical answer to this problem comes
barbarism. (Alexis de Tocqueville, 1835) from the Third World. Studies of the urban
slums of Latin America have documented the
The reason we want neighbourhood organization
is not to keep people within their neighbourhood extraordinary range and vigour of the
organizations but to get them out. The movement informal neighbourhood organisations there.
for neighbourhood organization is a deliberate The answer underlines the argument of Saul
effort to get people to identify themselves Alinsky, based on his experience as a union
actually, not sentimentally, with a larger and and neighbourhood organiser: use immediate
larger collective unit than the neighbourhood. We self-interest to organise people to act on a
may be able through our neighbourhood group
specific, local, winnable issue on a seemingly
to learn the social process, to learn to evolve the
social will, but the question before us is whether
one-time basis. The victory, when won,
we have enough political genius to apply this creates a sense of efficacy and allows the
method to city organization, national organiser to start people working on other
organization, and to international organization. issues, and sets in motion the opposite cycle
(M P Follett, 1918) of increasing feelings of efficacy and
increasing participation.
The issues to be addressed in this article are Partly as a result of his efforts and example
not entirely new ones. Over 140 years ago, the past decade has witnessed an
de Tocqueville was commenting on both the unprecedented increase in the number, scope
need for and the large number of local and type of neighbourhood-based
voluntary associations in America, and 60 organisations in the United States. This
years ago Follett was pointing out that whileneighbourhood movement, reaching from
parochial in origin, such groups could be tenant organisations and block clubs to
global in terms of political education. multi-state coalitions dealing with national
The continuing problem for American issues, is striving to make existing institutions
democracy, however, has been the lack of more accountable and gain increased control
effective political participation by low- and over the decisions that affect the lives of
moderate-income people and minorities. neighbourhood residents.
Research on participation has documented Throughout the country, people are
the mutually reinforcing pattern whereby forming and joining grassroots groups, not
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 LESSONS FROM THE THIRD WORLD

The growth rate of neighbourhood

simply as ad hoc defences against external
associations and community organisations has
threats, but as an ongoing effort towards
formulating and promoting their own been impressive in itself. In the two years
positive agendas and programmes. These from 1976 to 1978 alone, an amazing number
actions represent bottom-up effortsofof newpeople
groups were initiated, dozens of new
taking collective actions on their own behalf,
chapters of groups started, and memberships
increased dramatically.*
and they involve the use of a sophisticated
blend of confrontation and cooperation One in
concrete indicator of the growth in
order to achieve their ends. Having numbers
arisen and importance of the grassroots
groups is the burgeoning of a new support
precisely because of the failures of both
representative democracy and government network to serve them, including umbrella
organisations,
mandated citizen participation to reflect the clearinghouses, action-research
needs of low- and moderate-incomeprojects, people, resource centres and organiser
these grassroots groups are an emerging trainingsocial
schools. Many of these networks
force with the dynamism and potential have newsletters
to which share organising
experiences, provide guidelines in plain
provide a highly effective form of citizen
participation. English to new Federal programmes of
True, thus far the concrete achievements
interest toofcommunity groups, advertise
the groups may seem minor. Each victory organisingon jobs when available, and debate
each issue may not be earthshattering, issuesbut
of concern.
as
each group builds incrementally uponConcomitantly,
its past and in part consequently,
achievements, the cumulative picture neighbourhoods have become an increasingly
becomes increasingly impressive. Incentral part of the American national urban
addition
to concrete gains on such issues as redlining,
policy agenda. President Carter, in his
Brooklyn speech (September 6, 1976), said:
utility rates, generic drugs, senior citizen
benefits, property tax assessment, etc,
Neighborhoods and families are the living fiber
community organisations have demonstrated
that holds our society together. Until we place
increasing capacity to deliver services
themand
at the very top of our national policy our
promote economic development at hopes the for
local
the nation and our goals for our private
level. They have also shown their lives will not be attained.
effectiveness as intermediaries between
He went on to say that 'for too many years
individuals and the government in terms of
urban policy has been an enemy of
programme design, planning,
neighborhoods', and concluded that 'if we are
implementation, monitoring and evaluation.
Ultimately, the specific victories and * Although the total number of grassroots groups or members
accomplishments of these groups may be is virtually impossible to estimate accurately, a few figures may
be provocative here. The Alliance for Volunteerism estimates
reversed or dismissed, for example, the six million voluntary associations in the United States (1975),
highway that was halted may eventually go and a study by ACTION indicates 37 million volunteers, or
through the neighbourhood anyway, one-fourth of all Americans (1974). Attempting to identify
those that are grassroots groups, the National Commission of
property taxes might be raised despite Neighborhoods has compiled a list of 8000 thus far, and
readjustments, and the locally run housing HUD's Office of Neighborhoods, Voluntary Associations and
project or commercial shop or business mightConsumer Affairs has begun a similar clearinghouse, with 4000
groups thus far. However, when one realises that in New
fail. But even in such cases where the
York City alone there are over 10000 block clubs, it is clear
achievements may only be temporary, the that both nationwide estimates are grossly understated and that
to date there is no readily available, reliable estimate or
experience of involvement remains an procedure for obtaining one. Furthermore, given that
invaluable one. People are beginning to grassroots groups range in size from a tenants' organisation of
understand the issues, to see how power and a handful of individuals to multistate coalitions of tens of
thousands, the chances for estimating total membership are
politics operate, to grasp both the potentials even slimmer. All we do know is that in a recent Gallup
and limitations of collective action, and to survey sponsored by the Mott and Kettering Foundations, 89
feel a new sense of self-esteem. Leaders are per cent of all urban residents said they would be willing to
volunteer their time and effort to help solve problems at the
being created, skills are being developed, and neighbourhood level, and 52 per cent claimed to have done so
passivity is being challenged. over the past five years.

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 NEIGHBOURHOOD ORGANISATION: AMERICA LEARNS FROM THE THIRD WORLD

to save our cities we must revitalize our 1. What impact do the community groups
neighborhoods first'. have, given different types and degrees of
That was reflected in the National Urban participation?
Policy announced on March 27, 1978, as 'A 2. How do the contextual characteristics of
New Partnership to Conserve America's the neighbourhood and the city affect this
Communities'. Not only did it include impact?
neighbourhood and voluntary organisations3. What effect does Federal policy have on
as partners along with all levels of the capacity of community groups to be
government and the private sector, but it effective in their own neighbourhoods?
specified as Urban Policy Objective No 3 the
'stimulation of greater involvement by
neighborhood organizations and voluntary Current Status of Research in the Field
associations'. Although a number of studies have touched
The various policy proposals flowing fromupon related topics, there is little research
this totalled approximately $100 million. dealing directly with these questions.
They included an urban volunteer corps with Among recently published works, those
a 'good neighbor fund', a neighbourhood which are the most germane arc: Paul Levy's
self-help development programme, Queen Village: The Eclipse of Community
a community anti-crime programme, (1978), which is a case study of gentrification
community development credit unions, and displacement in a South Philadelphia
increased venture capital for CDCs neighbourhood; Rolf Goetze's Building
(Community Development Corporations), Neighborhood Confidence: A Humanistic
a Consumer Co-op Bank, and in addition an Strategy for Urban Housing (1976), which
urban parks proposal, a neighbourhood arts focuses on Boston and highlights the critical
programme, and various resources for importance of people's perception of a
neighbourhood housing and commercial neighbourhood in deterring or speeding
revitalisation, not specifically included underdecline; Rachelle and Donald Warren's The
neighbourhood initiatives. Neighborhood Organizer's Handbook (1977),
Underlying these proposals is not only thewhich presents a method of diagnosing
assumption that neighbourhood vitality is the neighbourhood types and the appropriate
key to healthy cities, but also the assumptionstrategies for each type; Roger Ahlbrandt's
that community groups and voluntary Neighborhood Revitalization: Theory and
organisations are the key to vital neighbourhoods.Practice (1977), which analyses the
It is this latter assumption and its implications Neighborhood Housing Service experience in
for both neighbourhood leaders and Pittsburg; and two sourcebooks. Karen
government policy makers that warrants Kollias's Neighborhood Reinvestment: A
careful examination and research. Citizen's Compendium for Programs and
This article proposes a methodology for Strategies (1977) and Howard Hallman's The
assessing the role of community organisations Organization and Operation of Neighborhood
in neighbourhood vitality. It provides a Councils (1977).
systematic means to examine the process by There are also a few key articles which
which voluntary groups mobilise people andprovide useful material: Mott and De
resources to preserve the social and physical Weaver's 'Citizen Involvement in
fabric of urban neighbourhoods, whether Community Development' (1978), Spiegel's
through fighting decline on the one hand, or'From Protest to Program' (1978), Wysocki's
displacement by higher-income residents on 'Neighborhoods First: From the '70s Into the
the other. '80s' (1977) and Perlman's 'Grassrooting the
Given that community groups vary greatly System' (1976) and 'Grassroots Participation
in strategy, scope and structure, and that the from Neighborhood to Nation' (1978:
context in which they operate is critical to Chapter 6).
their success or failure, three levels of In addition, there are various research
questions must be raised: projects currently under way which should
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 LESSONS FROM THE THIRD WORLD

contribute considerably to the field. The

of community effort in the neighbourhood
National Commission of Neighborhoods is so many factors affecting
context. Since
just completing some 40 case studies of
neighbourhood vitality are determined
community organisations aroundoutside
the the neighbourhood, and often outside
country; HUD's Office of Neighborhood
the city as well, what kinds of impact might
Development has just solicited proposals
reasonably for
be expected from the voluntary
two research projects dealing with
associations within the neighbourhood?
intermediate technologies and the capacity of
I. DEFINITION OF NEIGHBOURHOOD
neighbourhood groups. Marilyn Gittell,
under a National Institute of Education Following Suzanne Keller (1968: 88-9), w
grant, is directing a study of 17 organisations, will define the neighbourhood as 'an aren
in Atlanta, Boston and Los Angeles, and their place within a larger entity [which] has
relation to neighbourhood schools; Joan boundaries—either physical or symbolic
Lancourt's research on past and present usually both—where street, railway lines
Alinsky organisations is about to be parks separate off an area and its inhabitant
published; Herbert Gans and Ronald Lawsonor historical and social traditions make pe
are writing up research on tenant organisingview an area as a distinctive unit. .. . Usua
these two boundaries reinforce each other.' In
in New York City; Dale Marshall and Refus
Browning are completing their study of theterms of neighbourhood transition, we
impact of minority mobilisation under threeidentify five stages:
Federal programmes in the San Francisco Bay (a) The stable neighbourhood: property values,
Area; Social Policy will publish a volume on social values, social status and resident
neighbourhood organisation; and Tony incomes are stable or rise gradually as a
Downs is completing a book on the function of mobility.
dynamics of neighbourhood transition. (b) Gradual decline: fear and insecurity begin
Thus a body of literature is beginning to to develop and the neighbourhood's
develop in this field. The gap, however, is residential base becomes gradually
that none of these studies addresses directly replaced by lower-income and lower
the question of how community groups in status individuals and families.
diverse settings gain increased control over (c) Rapid decline: the neighbourhood's
decisions affecting their lives and their traditional community organisations fail
neighbourhoods — or simply, what role these to maintain social cohesion; houses are
groups can play in creating and preserving rapidly subdivided; crime, vandalism and
vital urban neighbourhoods. arson rates increase.
(d) Total deterioration: all residents who were
able to move have gone and have been
Preliminary Issues replaced by the very poor, and especially
The paucity of research on this topic may be welfare recipients; houses are
partially attributed to the fact that it is too overcrowded, code enforcement has
action-oriented for many scholarly tastes and ceased, and city services are
too theoretical for community or dramatically inadequate.
government activists who are involved in (e) Rising or revitalising neighbourhood:
daily crisis intervention. property and land values rise faster than
But beyond that lies a more fundamental most incumbent residents can afford, and
difficulty: that of definitions, assumptions and they begin to be displaced by higher
values. There are three basic questions which income, often younger professional
are extremely controversial and which must people, who are attracted by central
be resolved if research is to be more than a location, low crime rates and low
meaningless exercise. They involve: first, purchase prices. Rising neighbourhoods
defining 'neighbourhood', second, defining may also be developed by externalities
'community organisation', and third, such as mass transit and city
identifying successful or desirable outcomes improvements. This process of return to
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 NEIGHBOURHOOD ORGANISATION: AMERICA LEARNS FROM THE THIRD WORLD

the city by higher-income people mediated

and by the neighbourhood and city
displacement of incumbent residents isEach part of the diagram lists a series
setting.
referred to as 'gentrification'.* of hypotheses to be tested. As yet we know
little about the nature of these
2. DEFINITION OF COMMUNITY ORGANISATIONS
interrelationships.
Those groups of concern for this study are
'voluntary, bottom-up membership A. THE COMMUNITY ORGANISATIONS

organizations (or coalitions of such

l. Strategy
organizations) composed of people acting
We know on
that neighbourhood organisations
their own behalf'. They are the focus
gain muchof of their support and leadership
collective action on neighbourhoodfrom informal
issues social networks, based on close
through: ties of family and friendship and looser ties of
mutual aid and shared identification with a
(a) direct action on key issues pressuring
community (Kornblum, 1973: Chapter 3).
existing institutions and elites for greater
Transitions in neighbourhood population
accountability;
require continual re-creation of both informal
(b) establishing alternative institutions or self
ties and formal organisations. The strategy,
help endeavours;
scope and structure of neighbourhood
(c) taking over quasi-governmental functions
organisations can help or hinder this
via creations of a neighbourhood
integrating process and thus will affect the
government, planning board or civic
organisation's own base and degree of
association with official recognition.t
effectiveness. The following hypotheses
describe the effects we expect to find.
3. DEFINITION OF DESIRABLE OUTCOMES
Following Warren (1977), vital (a) Issue-oriented/direct action strategies
neighbourhoods are characterised by a sense dramatise the problems of
of identification, multiple social ties to family neighbourhood residents more effectively
and friends, helping networks, than any other approach. By focusing on
neighbourhood organisations, and alliances or 'winnable' issues of broad immediate
negotiation beyond neighbourhood concern they are able to mobilise large
boundaries. The successful community effortnumbers of people across class, ethnic and
should result in both increased capacity for ideological lines, and often achieve
local residents and groups to perceive and considerable success. They demonstrate
defend their interests, and in sufficient power that even the authorities have points of
to generate policy changes towards that end. vulnerability, and once they pinpoint and
Thus, the four outcomes the study measures pressure the appropriate individual they
are:
often achieve their goal. We thus expect
that they will be more successful than
(a) community solidarity
other groups at holding local officials
(b) organisational capacity
accountable and achieving policy change.
(c) inter-organisational alliances
Furthermore, by moving from smaller
(d) policy change.
to larger issues they enhance the self
confidence of their members, build
Basic Questions about Neighbourhood organisational capacity, develop
Revitalisation leadership and use the concrete experience
as an educational device about power
Once the definitional questions are specified,
we can define what questions need to be politics and neighbourhood problems.
asked about neighbourhood organisation.
They are set out diagrammatically in * This typology draws on an extensive literature on
Figure 1. In this diagram, the relationship
neighbourhood transition; see Downs (in press), Leven et al
(1976) and Goldstein (1977).
between the strategy, scope and structure of definition and typology are more fully described in
t This
community organisations and their impact is
Perlman (1976: 7-10).

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 LESSONS FROM THE THIRD WORLD

Federal Government Policy: MACROCONTEXT

□ Urban policy
d Neighbourhood policy
□ Direct funding of
community groups
D Citizen participation
mandates, etc

1. Strategy:
(a) Issue-oriented/direct action
(b) Self-help/alternative
institution
(c) Neighbourhood government/
official recognition
2. Scope:
Local v supralocal
3. Structure
Internal democracy v
centralised control 1. Stable
2. Gradually declining
3. Rapidly declining
4. Thoroughly deteriorating
5. Rising/revitalising

Figure l. Paradigm for study of community organisation in urban neighbourhoods

2. Scope
(b) Self-help I alternative institutions such as
CDCs (Community Development Supralocally organised community
Corporations), self-help endeavours, and organisations may be able to overcome some
cooperatives will be forces for of the limits of localism and confront those
strengthening social ties among ordinary supralocal institutions whose practices must
residents who use their services to meet be changed in order to prevent or reverse
daily needs. In addition to building neighbourhood decline. Furthermore,
solidarity, such organisations are sources organisations which are allied with a broader
of stability since they encourage resident coalition involving other neighbourhoods
and community ownership. They also will be more likely to support the interests of
provide residents with skills such as lower-income residents because without such
organisational management, bookkeeping a broad perspective simple removal of the
or construction which are transferable to poorest residents from the neighbourhood
other community activities. This strategy may seem to be. an attractive solution. These
offers a solution to neighbourhood organisations may be weak, however, at
problems based on community control fostering community solidarity and informal
and self-reliance, but ironically, it is often coping networks, as the best leadership is
dependent on outside funding. often skimmed off to deal with higher-level
(c) Neighbourhood government I official problems.
recognition: this strategy gains legitimacy
for the neighbourhood and its 3. Structure
organisation (s) through official Internally democratic community
recognition. This is likely to increase organisations tend to encourage high levels of
resident identification with the commitment, local participation, the
neighbourhood, and creates a sense of formation of secondary leadership, and a
worth. It also provides timely sense of shared responsibility. Decentralised
information on aspects of the planning participation assists creation of informal ties
process (from applications for building among different groups and the creation of
permits to eligibility for CDBA funds) broadly representative organisations.
which are essential for effective citizen However, in such non-hierarchical
participation. organisations, formal structures (including
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 NEIGHBOURHOOD ORGANISATION: AMERICA LEARNS FROM THE THIRD WORLD

greater access to information and decision

statement of purpose and procedures, formal
membership structure and paid staff) are making, it is expected to encourage citizen
often essential if the group is to endureinterest
while and facilitate the development of
working out conflicts. neighbourhood groups. In some cases these
B. STAGES OF NEIGHBOURHOOD TRANSITION
groups or their leaders are legitimised and
legally recognised as Neighborhood Advisor
1. Gradually declining or stable
Councils or Neighborhood Planning Boards,
Formerly stable neighbourhoods which have
increasing their voice in decisions affecting
begun a gradual decline are generally high in
their locality or even conferring direct
long-time residents, home owners control
and over servicc and resource allocation
merchants who have heavy economic and
within that area. This may lower the
psychic investments in the neighbourhood.
motivation for confrontational tactics, but
Thus resistance to decline has a potentially
may contribute to a stronger sense of
broad base of support and a good chance of
community, enhanced organisational capacity
being effective.
and even well-negotiated alliances with other
2. Rapidly declining or deteriorated communities in order to achieve policy
In rapidly declining neighbourhoods, changes of mutual benefit.
since
established institutions are no longer willing
2. Reform government versus non-reform
to risk expending resources in the area,
Non-reform government is expected to be
residents are more likely to turn to more conducive to the formation of
unconventional forms of protest such as rent
community groups and responsive to their
strikes and confrontations. Only organisations
activities, firstly, because a mayor is more
which use self-help strategies, by persuading
accountable to the electorate than a city
some residents to reinvest economically and
manager; secondly, because district elections
psychically in the neighbourhood, are likely
give community groups the possibility of
to survive for long, and even these depend to
having enough clout to elect someone with
some extent on external support for financial
their own interests at stake, rather than those
and technical assistance.
of the downtown business district; and
j. Rising I revitalising thirdly, because partisan politics stimulates
Those rising neighbourhoods where economic interelite conflict and thus opens up more
upgrading is coming from the outside, leverage for community groups.
displacing residents, rather than from an 3. Fiscal stress
improvement in the economic circumstances While it has often been assumed that
of the incumbent residents, face a difficult
increased economic deprivation would lead
organising situation. Such changes are likely to increased political mobilisation, the
to be welcomed by the merchants and the contention here is that those cities suffering
better-off home owners who can afford the
from severe fiscal crisis will be characterised
increased property tax and welcome rising by demobilisation, generally conservative
property values. Thus resistance will come, if behaviour and a high degree of
at all, from those least able to organise and
personalisation. Insecurity and the desire to
will face opposition of the best-off, most maintain what small system benefits still exist
articulate and most powerful elements of the
will make people less willing to take risks,
neighbourhood. As the membership base of and the feeling of powerlessness is more
community organisations becomes
likely to make people withdraw from
increasingly dispersed and the interests confrontation than mobilise tor it.
represented increasingly diverse, internal Furthermore, city elites anxious to maintain a
conflict is likely to weaken the effectiveness favourable business climate and tax base and
of external actions.
reduce government expenditures will increase
C. THE CITY GOVERNMENT their opposition to neighbourhood demands,
l. Decentralised planning and may even resort to threats or coercion.
There will be fewer resources available for
In so far as decentralised planning provides
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 LESSONS FROM THE THIRD WORLD

experimental neighbourhood innovations,

REFERENCES

and less coalitional behaviour as reduced Ahlbrandt, R (1977) Neighborhood Revitalization:

services lead to intra- and Theory and Practice. Lexington Books, Lexington

inter-neighbourhood competition. de Tocqueville, A (1835) Democracy in America, Vol 1,

Book 1, Chapter 5
D. THE CHARACTER OF FEDERAL INTERVENTION Downs, A (in press) Understanding Neighborhoods.
Brookings Institute, Washington, DC
It is still an open question whether increased
legitimacy and direct funding of Follett, M P (1918) The New State. Longmans Green,
New York
neighbourhood groups by the Federal
Government will be 'enabling' or 'disabling'.
Goetze, R (1976) Building Neighborhood Confidence: A
Since very often the strength of these Humanistic
groups Strategy for Urban Housing. Ballinger,
Cambridge, Mass
is in their localism, diversity and autonomy,
Goldstein, B (1977) Neighborhoods in the Urban Economy:
it is possible that government recognition,
The Dynamics of Decline and Revitalization. Lexington
programmatic responsibility and large-scale
Books, Lexington
funding would transform a vital coping
mechanism into a second-rate bureaucratic Hallman, H (1977) The Organization and Operation of
Neighborhood Councils. Praeger, New York
endeavour.
Keller, S (1968) The Urban Neighborhood: A Sociological
On the other hand, there are certainly Perspective. Random House, New York
measures that government can take which
Kollias, K (1977) Neighborhood Reinvestment: A Citizen's
will increase the capacity and effectiveness of Compendium for Programs and Strategies. The National
grassroots groups: opening up access to Center for Urban and Ethnic Affairs, Washington,
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processes, facilitating peer training and Kornblum, W (1973) Blue Collar Community.
intergroup contacts and communication, and University of Chicago Press, Chicago
providing financial and technical support Leven, C, Little, J, Course, H. and Read, R B (1976)
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mayors who take major steps towards Decay. Praeger, New York
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Philadelphia
In looking towards the future, we need a
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Involvement in Community Development. Center
grassroots groups as partners—not simply an for Community Change, Washington, DC
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Perlman, J (1976) Grassrooting the System. Social
a systematic evaluation of the impact of Policy, September/October
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Perlman, J (1978) Citizen Participation in America.
organisations, on the interrelationships Lexington Books, Lexington
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Grassroots Coalitions in Their Formative States.
different contexts and according to different Hunter College, New York
approaches in order to begin to determine Warren, D (unpublished) Social Bonds in the
what works and what doesn't work, and Metropolitan Community
why. As we learn from the successes and Warren, R and Warren, D (1977) The Neighborhood
failures, perhaps policy can be modified Organizer's Handbook. University of Notre Dame
accordingly. As President John F Kennedy Press, Notre Dame
once said, 'those who make peaceful Wysocki, T et al (1977) Neighborhoods First: From the
revolutions impossible make violent '70s into the '80s. National Training and Information
revolutions inevitable'. It is precisely the Center, Chicago
making of peaceful revolutions that is the
business of the neighbourhood groups in the
United States today.

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