RUNNING HEAD: URBAN SOCIAL TRANSFORMATION

Urban Social Transformation: A Definition and Assessment Tool

Caitlin Leffingwell
Eastern University

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Introduction

In an effort to support students through more individualized music training, I recently

began recruiting students from my after-school violin program for private lessons at a local
cultural center. Although greatly subsidized, the tuition for this opportunity still proved too much
for many of even the most interested families, which prompted me to ask my own friends and
family members to sponsor these students through scholarships. Overwhelmed by the positive
response, I eagerly (but perhaps mistakenly) showed one student the itemized fundraising results
later that weekto which he responded first with excitement, then with a quizzical look. Are
these rich people, Miss? How do some of them have $50 to just give away? Thats so much!
Berating myself for not being more tactful about the grand reveal, I skirted his question by
noting that these were generous people who wanted to give their money, whether they had a lot
or a little, to things that they thought had meaning. He seemed satisfied, but I walked away from
the interaction feeling unsettled. Though glad that the generosity of my social connections could
increase opportunities for students like this, I felt saddenedeven angeredby the fact that we
live in a society where some communities have so many resources, some have so few, and
neither truly knows much about the other. Such disconnect and disparity, which are so prevalent
in urban areas, cannot be the shape the world ought to take. Thankfully, I know that I am not
alone in feeling this way, and neither am I the first to be driven to action by growing critical
awareness. Such work is supported and affirmed by an entire field of comrades who seek the
same thing: urban social transformation (UST). As part of this quest, this paper seeks to define
the individual components of this concept, present a concise definition, and provide concrete
models and examples. Finally, it will conclude with a discussion of key indicators, as well as an

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assessment tool that uses the definition and indicators to provide a practical way of evaluating
organizations for their role and effectiveness in bringing about UST.
Definitions
Transformation: Fully clarifying the definition of urban social transformation begins
with understanding its core: transformation. The root of this word is transform, which most
dictionaries simply define as changing shape, form, or nature. Rather than merely a superficial
change in appearance, the word implies a stronger, deeper change that penetrates the very
essence of somethingmaking something new out of something old. Analyzing different uses of
the word in Scripture reveals a frequent correlation to becoming a new creation and exchanging
something defective for something that is fully functioning. Aside from Jesus transfiguration
after resurrection, perhaps the most cited verse regarding transformation is Romans 2:2a: Don't
copy the behavior and customs of this world, but let God transform you into a new person by
changing the way you think (New Living Translation). When understood in this light,
transformation also specifies a change from something broken to something that is whole; it
inherently involves improvement, as well as a process or journey between the existing point and
desired point. As such, when we speak of urban social transformation, we are assuming that
something is broken, that it could be improved, and that this improvement will require a process.
Social: If transformation can be seen as the improvement process by which something
old becomes new, then the second word to define revolves around the subject that needs to be
transformed: relationships. As Zohar and Marshall (2004) argued, the most important measure of
our well-being is not economic or material, but spiritual. The spiritual in human beings makes
us ask why we are doing what we are doing and makes us seek some fundamentally better way of
doing it. It makes us want our lives and enterprises to make a difference (Zohar and Marshall,

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2004, p.43). Such spiritual capital motivates us to make what matters most the subject of
transformation, and much research points to the fact that relationships are at the core of our
human existence. Corbett and Fikkert (2009) highlighted Bryant Myers explanation of this
reality with the following summary:
Myers explains that before the fall, God established four foundational relationships for
each person: a relationship with God, with self, with others, and with the rest of
creation These relationships are the building blocks of all of life. When they are
functioning properly, humans experience the fullness of life that God intended because
we are being what God created us to be. (p.57)
As seen in Appendix A, these relationships impact and are impacted by all of our societal
systems (everything from economic and political to religious and social), such that the true
source of our brokennessand the potential for transforming itlies in these four core
relationships.
Social Capital Theory, as explained by Putnam (2000), Lin (2001), and various other
authors speaks to this concept of social transformation by further detailing both what is broken
(our social connections) and the process by which we can improve the situation (social capital).
Putnams (2000) extensive research on the state of social capital in the United States found that,
after a steady increase throughout the first six decades of the 21st century, social capital has
drastically decreased since the 1960s and 70s; he explained that Thin, single-stranded, surf-by
interactions are gradually replacing dense, multistranded, well-exercised bonds. More of our
social connectedness is one shot, special purpose, and self oriented (pp.183-184). Moreover,
research from a wide variety of disciplines also shows that social capital is incredibly important
for our well-being as both individuals and a global societyimproving quality of life, facilitating

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problem solving, assisting with conflict resolution, advancing growth, increasing justice, and
much more (Putnam, 2000). As Lin (2001) also argued, Social capital, or resources accessed
through such connections and relations, is critical (along with human capital, or what a person or
an organization actually possesses) to individuals, social groups, organizations, and communities
in achieving objectives (p.1). The myriad of multifaceted benefits that accompany increased
social capital support the idea that the greatest brokenness in our world stems from nonexistent
or unhealthy relationships and a subsequent inability to wholly fulfill the purpose for which we
were designed.
However, the very theory that explicates this brokenness also provides us with a glimpse
of how to go about transforming the world into what it should be. As Gauthamadas (n.d.) wrote,
Social Transformation, is a recovery process that overcomes psychological and social resource
deterioration and re-establishes socio-cultural patterns, and it empowers the community to
actively engage in supporting each other by giving them the knowledge and resources they need
(p.1). Such redemptive action ultimately provides what Sen (2009) called a powerful case for
faring well, and not just forward (p.24), by showing that [e]scape from isolation may not
only be important for the quality of human life, it can also contribute powerfully to
understanding and responding to the other deprivations from which human beings suffer (p.
415). By fostering healthy relationships of all kinds, we find grace and compassion for one
another despite differences (Goldbard, 2006, p.53) and pave the way for justice to increase in our
world today (Sen, 2009).
Urban: Because the focus of transformation is on the relationships that form the core of
our human existence, the last component of our definition logically places the process of social
transformation within the context of urban environments, or the places in our world that have

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collected the greatest number of people. Countries delineate this concept in countless, everevolving ways (with the Census Bureau [2011] defining an urban area as urbanized areas of
50,000 or more population and urban clusters of at least 2,500 and less than 50,000 population
[p.53030]), but the general understanding remains the samethe more people that live and work
within a set area, the more urban it is. Likewise, the more people in an area, the more impact
social capitalor the lack thereofcan have. While urban areas can both foster and embody the
ingenuity and magnanimity of humankind, they also often have the same effect on social ills and
injustice. Putnam (2000) noted this effect with the following observation:
Precisely because poor people (by definition) have little economic capital and face
formidable obstacles in acquiring human capital (that is, education), social capital is
disproportionately important to their welfarethe impact of [eroding social capital] has
so far been greater in the inner city, which lacks the cushioning of other forms of capital.
(p.318)
Because of this great need and great potential, uniquely urban environments call for the attention
of those pursuing social transformation, as well as a unique approach to this process.
Urban Social Transformation: In light of these individual components, I would like to
propose the following definition for urban social transformation:
Focusing on areas that are home to dense and high populations, as well as the unique
challenges and assets that accompany this characteristic, UST is the process of
cultivating strong, healthy relationships with each other, ourselves, our environment, and
our Creator in order to offer every citizen equal opportunity to live the most meaningful
life possible.

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Further indicators of this definition can be found in the following section. However, I would also
like to acknowledge that the whole is very much greater than the sum of its parts by highlighting
a sampling of models and examples that display this definition in action.
The first of these models is what Corbitt and Nix-Early (2003) called the Arts in
Redemptive Transformation (A.R.T.) model, which can be seen in Appendix B. This model
defines transformation as the intentional process of bringing about change in the world by
holistically renewing vision and power of capacity to live a life in harmony with God,
themselves, one another, and their environment (p.53). This change comes about through an
upward-spiraling cycle by which people first gain Critical Awareness of a problem, then begin
Working Out the issue, and finally honor the results through public Celebrationall assisted by
Urban Prophets (or Prophetic Artists), Agape Artists, and Celebration Artists in each respective
stage (Corbitt and Nix-Early, 2003, pp.62-63). Through this process, the community and
individuals transform from an old, ineffective state to a new, more fulfilling statea state of life
in which people, communities, and societies are being transformed, a way of living in which all
people are empowered to live lives that are full, free, and pleasing to the Creator in all aspects
(Corbitt and Nix-Early, 2003, p.22).
Another key model that exemplifies the core concepts of urban social transformation is
that of Arts-Based Community Development (A.B.C.D) proposed by Cleveland (2011). Although
not specifically focused on urban contexts, it encompasses Arts-centered activity that
contributes to the sustained advancement of human dignity, health, and/or productivity within a
community (Cleveland, 2011, p.4). As seen in the diagram in Appendix C, Cleveland (2011)
noted that these activities are designed to do the following:

EDUCATE and INFORM us about ourselves and the world

INSPIRE and MOBILIZE individuals or groups

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NURTURE and HEAL people and/or communities

BUILD and IMPROVE community capacity and/or infrastructure (p.4)

This model focuses intently on clear artistic focus and the high quality of the artists involved
(p.7), as well as the belief that [e]ffective community-based work is about partnership (p. 9).
Such emphases also factor into the related practice of Community Cultural Development (CCD),
in which community artists, singly or in teams, place their artistic and organizing skills at the
service of the emancipation and development of an identified community (Goldbard, 2006,
p.140). Pursuing social change in these ways brings a unique, yet powerful approach to the field
of urban transformation.
Finally, Gauthamadas (n.d.) offers an equally unique Social Transformation Framework
that helps us to understand the transformational process at work specifically in disaster-related
contexts. As seen in Figure 1 from Appendix D, The Transformational process includes building
human, cultural, and social capital through strategies devolving around the elements of
transformation viz., gender role transformation, transformation of groups with specific
vulnerabilities, social and economic empowerment, environmental management, and local
capacity building (Gauthamadas, n.d., p.6). This process (also see Figure 2) emphasizes change
from within and focuses on restoring social capital through a variety of multifaceted support
services, which minimizes dependence on external resources while providing appropriate
levels of external support (Gauthamadas, n.d., p.8).
Indicators
Based on this definition, as well as the selection of unique models exemplifying unique
forms of it, the following indicators can be used to determine the presence and level of urban
social transformation in both individuals and organizations. Because all can take slightly
different forms depending on the various contexts involved, the Assessment Tool in the following

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section provides a concrete example of how each indicator can be even more specific and
measurable.
Positive Social Change: Because social transformation requires a transition from old to
new, any organization that is not actively, demonstrably, and continually bettering the lives of its
community members is not involved in social transformation. Maintaining the status quo or any
form of equilibrium may be the goal of some organizations, but these do not fall under the
category of UST. This pursuit of social change aligns with Sens (2009) emphasis on creating
more global justice through eradicating obvious injustices, rather than striving for an
unquantifiable (and therefore unachievable) concept of perfect justice (p.26). As such, one
indicator of UST is concrete, measurable social change that consistently increases the social
capital, spiritual capital, and opportunities available in its community.
Spiritual Capital and Social Capital: As Zohar and Marshall (2004) elaborated with the
Scale of Motivations found in Appendix E, our communities should be growing in a sense of
meaning and values and a sense of fundamental purpose (spiritual intelligence) in order to build
the wealth that these can generate (spiritual capital) (p.5). Similarly, UST should foster a
healthy balance of bridging and bonding capital so that communities can both preserve and
discover capital (p.27)leading ultimately to greater information flow, dynamic influence,
social credentials, and reinforcement of identity (Lin, 2001, p.20). Community members
displaying increased desire for more purposeful, sustainable pursuits and greater connections
with one another and external communities are both indicators of UST at work.
Principles of Transformation: Especially within the bounded instability of urban
environments, organizations and individuals invested in UST must be able to adapt to constantly

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evolving social environments if they are to produce any kind of measurable social change (Zohar
and Marshall, 2004, p.116). As Zohar and Marshall (2004) described,
Any organization or society with the capacity to be creative and sustainable in todays
unstable and crisis-riven world will have the characteristics of what chaos and complexity
theory calls complex adaptive systems. These characteristics include holism, diversity,
spontaneity, self-organization, emergence, and coevolution between the systems and their
environments. (p.12)
UST workers should embody the majority of these characteristics, as well as putting into practice
any applicable principles of transformation that allow SQ [Spiritual Intelligence] to dissolve old
motives and create new ones (Zohar and Marshall, 2004, p.118). Appendix F expounds on these
principles, which are all are indicators of UST.
Increasing Opportunity and Responsibility: Rather than merely seeking to increase
material capital or social status of community members, organizations and individuals pursuing
UST should have a clear focus on increasing opportunities for all, and particularly for those who
currently have fewer opportunities for living a fulfilling life. Sen (2009) noted that By
proposing a fundamental shift in the focus of attention from the means of living to the actual
opportunities a person has, the capability approach aims at a fairly radical change in the standard
evaluative approaches (p.254). In addition to arguing for this accomplishment-based
understanding of justice (p.18) Sen (2009) also pointed out that Freedom to choose gives us
the opportunity to decide what we should do, but with that opportunity comes the responsibility
for what we do to the extent that they are chosen actions (p.19). As such, UST is indicated by
an organization or individual increasing and enhancing opportunities for community members to

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access a fulfilling life, as well as advocating for and training members to embrace the
responsibility that comes with them.
Assessment Tool
The following assessment tool is an example of questions that can be used to analyze the
presence and degree of Urban Social Transformation within a particular community. The first
five questions can be directed to community workers, but because the ultimate judgment of
success rests with the participants in cultural community development, the final four questions
should be directed at members of the community (Goldbard, 2006, p.154). For more in depth and
measurable data on social capital, the community can also be assessed according to the Social
Capital components found in Appendix G (Putnam, 2000, p.291).
1. What changes within this communityboth measurable and anecdotalcan be
attributed as a direct effect of your work within the community? Over what span of
time?
2. What are some of the most common motivations that you see in members of this
community? How have you seen motivation change since you began working with
the community? [Lower motivations include fear, greed, anger, and self-assertion,
while higher motivations (a sign of spiritual capital) include exploration, cooperation,
power-within, mastery, and higher service (Zohar and Marshall, 2004, pp.10-11)]
3. On a scale from 1 to 10 (with 10 being incredibly connected), how connected to each
other and to resources are members of this community in general? How connected are
they to members or resources from other communities? What role does your work
play in both of these connections?
4. How many of the principles or characteristics of transformation (see Appendix F)
would you say describe your work and its impact on the community?

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5. What doors have you seen opened for members of this community as a result of your
work here? How have you encouraged and equipped people to take such
opportunities?
6. How has this organization/individual/work impacted your life, or the lives of others in
your community?
7. What do you find yourself motivated by when making decisions in life? What has
previously motivated you?
8. On a scale from 1 to 10 (with 10 being incredibly connected), how connected do you
feel to members or resources of this community in general? How connected to
members or resources from other communities? How has this organization impacted
your relationships with others? Your access to resources?
9. Do you feel that this organization has affected your quality of life? If so, in what
ways?

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Appendix A

Four Foundational Relationships: Whole and Broken

(Corbett and Fikkert, 2009, p.57, 61)

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Appendix B

Arts in Redemptive Transformation (A.R.T.) Model

(Corbitt and Nix-Early, 2003 p.63)

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Appendix C

Arts-Based Community Development (A.B.C.D)

(Cleveland, 2011, p.5)

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Appendix D
Social Transformation
(Gauthamadas, n.d., pp.5-6)

Figure 1: Transformational Process

Figure 2: Social Transformation Framework

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Appendix E
Scale of Motivations
(Zohar and Marshall, 2004, p.59)

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Appendix F
Principles of Transformation
(Zohar and Marshall, 2004, p.118)

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Appendix G
Social Capital components
(Putnam, 2000, p.291)

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References

Census Bureau. (2011). Urban area criteria for the 2010 census; Notice. Department of
Commerce. Retrieved 10/3/15 from
http://www2.census.gov/geo/docs/reference/fedreg/fedregv76n164.txt
Cleveland, W. (2011). Mapping the field: arts-based community development. Community arts
network. 1-16. Retrieved from
http://communityinnovation.berkeley.edu/presentations/William-Cleveland.pdf
Corbett, S., & Fikkert, B. (2009). When helping hurts: Alleviating poverty without hurting the
poor...and yourself. Moody Publishers. Chicago.
Corbitt, J. N., & Nix-Early, V. (2003). Taking it to the streets: using the arts to transform your
community. Grand Rapids, Mich.: Baker Books.
Gauthamadas, Dr. U. (n.d.). Social transformation of the tsunami affected fishing community:
The concept and the need. Academy for Disaster Management Education Planning and
Training (ADEPT).
Goldbard, A., & Adams, D. (2006). New creative community: the art of cultural development.
Oakland, CA: New Village Press.
Lin, N. (2001). Social capital: A theory of social structure and action. Cambridge: Cambridge
University Press.
Putnam, R. (2000). Bowling alone: The collapse and revival of American community. New York:
Simon & Schuster.
Sen, A. (2009). The idea of justice. Cambridge: Harvard University Press
Zohar, D. and Marshall, I. (2004). Spiritual capital: Wealth we can live by. San Francisco:
Berrett-Koehler Publishers, Inc.