Designing and interpreting a case study using an anthropological perspective

Designing and interpreting a case study using an anthropological perspective

Material Information

Designing and interpreting a case study using an anthropological perspective
Gomez, Angela, 1956-
Place of Publication:
Tampa, Florida
University of South Florida
Publication Date:
Physical Description:
vi, 108 leaves : ill. ; 29 cm.


Subjects / Keywords:
Case method ( lcsh )
Child mental health services -- Virginia -- Richmond ( lcsh )
African americans -- Virginia -- Richmond ( lcsh )
Dissertations, Academic -- Applied Anthropology -- Masters -- USF ( FTS )


General Note:
Thesis (M.A.)--University of South Florida, 1996. Includes bibliographical references (leaves 90-102).

Record Information

Source Institution:
University of South Florida
Holding Location:
Universtity of South Florida
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
022897476 ( ALEPH )
36092933 ( OCLC )
F51-00124 ( USFLDC DOI )
f51.124 ( USFLDC Handle )

Postcard Information



This item is only available as the following downloads:

Full Text


DESIGNING AND INTERPRETING A CASE STUDY USING AN ANTHROPOLOGICAL PERSPECTIVE by ANGELA GOMEZ A thesis submitted in partial fulfillment of the requirements for the degree of Master of Arts Department of Anthropology University of South Florida August 1996 Major Professor: Susan D Greenbaum Ph.D


Graduate School University of South Florida Tampa, Florida CERTIFICATE OF APPROVAL Master's Thesis This is to certify that the Master's Thesis of ANGELA GOMEZ with a major in Applied Anthropology has been approved by the Examining Committee on April 19, 1996 as satisfactory for the thesis requirement for the Master of Arts degree Examining Committee: Major Professor : Susan D.' Greenbaum:' Ph.D Linda Whiteford( Member: Michael V Angroilh<(, Ph.D.


DEDICATION To my son Paul Bernard, for his love, motivation, and support throughout this effort


TABLE OF CONTENTS LIST OF TABLES LIST OF FIGURES ABSTRACT INTRODUCTION THE RESEARCH PROJECT Project Background Goals of the Study Appropriatness of the Protocol Community-based and Strength-based Approach LITERATURE REVIEW Design The Anthropological Perspective Evaluation Research Methods Two Examples Analysis Poverty Other Inner-City Problems Community Strengths METHODOLOGY Case Study Protocol Development On-Site Retreat Pilot Study Family Selection Data Collection Data Analysis Community Asset Mapping iii iv v 1 6 7 9 10 12 17 17 17 21 23 26 29 29 33 39 46 46 48 51 53 55 56 57 59


RESULTS 62 Historical Background of the East End Residents 62 The East End 66 Protocol Assessment 71 Determining the Extent of the Community-based Effort in the East End 73 Dudley Street Neighborhood Initiative (DSNI) vs. East End Initiative (EEl) 79 East End Strengths 84 Lessons Learned 89 REFERENCES CITED 90 BIBLIOGRAPHY 98 APPENDIX 103 East End Asset Mapping By Neighborhood 1 04 11


LIST OF TABLES Table 1 Responses to Community-Based Related Questions Table 2 Responses to Community-Based Summative Questions Table 3. Comparing DSNI and EEl m 76 78 84


LIST OF FIGURES Fig #1. The Case Study Design Fig #2. Internal Validation Within Each Family Case Fig #3 East End Asset Map IV 48 61 88


DESIGNING AND INTERPRETING A CASE STUDY USING AN ANTHROPOLOGICAL PERSPECTIVE by ANGELA GOMEZ An Abstract Of a thesis submitted in partial fulfillment of the requirements for the degree of Master of Arts Department of Anthropology University of South Florida August 1996 Major Professor : Susan D Greenbaum Ph.D v


This study looks at the des i gn of a case study protocol used as part of the evaluation of an urban initiative and at the interpretation of some of the data gathered using this instrument. The anthropological approach to evaluation des i gn and data analysis are central in placing this study in its prope r context. Draw i ng upon Urban Anthropology helps define and explain the present condit i ons of the East End (Richmond) communities. Preliminary results demonstrate that the implementation of the East End Initiative is presently far from be ing a communitybased effort Cooperation and commitment at all organizational levels and an effective utilization of resources are suggested as areas needing more attention Abstract Approved : 1 ............ .....,= ......... Major Professor : Susan D Greenbaum Ph. D Ass i stant Professor Department of Anthropology Date V I


INTRODUCTION Th i s thesis describes the results of my internship placement with the Florida Mental Health Institute (FMHI) My involvement with FMHI resulted from a recommendation given by one of my professors for a job opportunity with the Institute I conducted my internsh i p working in a project known as the Evaluation of the Mental Health Initiative for Urban Children funded by the Annie E. Casey Foundation The Annie E. Casey Foundation is a private charitable organization dedicated to fostering public polic i es and human-service reforms that will improve the conditions of ch i ldren and families Through its Urban Children s Mental Health Initiative, the Foundation is attempting to demonstrate the potential for service delivery reform in four of the poorest urban minority communities in the country : (1) Third Ward in Houston (2) Mission Hill Highland Park, and Lower Roxbury in Boston, (3) East Little Havana in Miami and 94) East End in Richmond The Evaluation is a five year project involving five data collection methodologies : (1) Service System Matrices (2) Focus Groups (3) Neighborhood Governance Study (4) Case Studies and (5) System Survey


The project has been divided among teams, making each team responsible for (a) particular aspect(s) of the evaluation I was assigned to the Case Study team to assist in the development of a protocol for the Family Experience Study in the preparation of the site visits, in the translation of the instruments to Spanish, in the piloting of the study and perhaps in the data collection, at least in one site Since this evaluation is an ambitious and complex endeavor, it was impossible for the Case Study team to complete the process previously described i n one semester. By the time my internship was over we had only completed the protocol, the translation of the instruments, and one site visit. The Institute, however allowed me to continue working for them, so that I had the opportunity to participate in the pilot and in the data collection in the East End, Richmond. This thesis addresses both aspects of my participation in this study (tool development and data collection). I will discuss whether the Case Study Protocol is an appropriate instrument for this type of study, and whether the East End project can be considered a community-based effort My discussion is based on the field experience the data collected and on the literature reviewed The literature reviewed for this study was divided in two sections : design and analysis. The design section covers the literature addressing evaluation, available methodologies and the role of anthropology in program evaluation In the analysis section, I present a review of the literature that helped me frame the study The entire review is guided by the anthropological perspective This 2


means using the holistic historical comparative, cross-cultural, and ernie approaches that are central to anthropology The application of the anthropological approach in the design of the case study and of the protocol required a careful selection of the data collection methods to be utilized The selection of the case study as one of the methodologies for this evaluation reflected our need to combine several approaches Since the combination of qualitative and quantitative approaches is one of the strengths of this methodology the protocol was designed using a mixture of open-ended and closed-ended questions that can be analyzed using qualitative and quantitative approaches. The application of the anthropological approach to the analysis of the data collected in the East End required placing the entire study in the appropriate socio-economic and political context Since the East End is considered to be one of the poorest sites in the country poverty and its causes are explored Anthropologists' interest in poverty and in the theoretical discussions generated from it have been going on for over thirty years, and the issues are still not resolved. Lewis' controversial culture of poverty concept places more emphasis on the characteristics of the poor than on our economic system; I it with the views of other anthropologists who have questioned his theory. In addition to poverty, I also look at other inner-city problems such as unemployment and housing, to determine whether and to what extent they 3


should be considered when designing mental health initiatives. High unemployment in the inner-cities is the result of the process of deindustrialization that has taken place in the United States for the last fifty years Coupled with urban renewal efforts, inner-city residents are facing the results of economic disempowering and displacement. Contrary to the general perception that inner-cities are beyond help studies of inner-city African-American communities show that in the mist of their many needs they also possess many strengths One of them is their participation in community organizations such as churches and mutual aid societies Recognition of the importance of rebuilding these communities and of using their own resources in the process has resulted in the launching of many community development initiatives One of the guidelines in the development of community efforts is that they should guarantee community access and community participation The ideal is to have community participation at all organizational levels Consequently, designing and successfully implement i ng community-based efforts require enormous coordination and effort. The study conducted in the East End showed that the protocol is a viable instrument for this type of study and that the concept of community-based as defined by the Foundation has not taken hold of this community yet. One of the aims of the Casey Initiative is to achieve community involvement at all levels 4


Thus, based on the findings and on supporting literature the implementat i on of the Casey Initiative in this area is not tak i ng place at a community level. Many significant lessons were learned during my participat i on i n th i s evaluation This study showed me that mental health is only one piece of the overall reform that needs to take place in these communities Outside forces have an interest in trying to create changes i n these commun i t i es but i t i s ev i dent that unless these i nstitut i ons invest i n the organizat i ons controlled by the community changes will not take place at a community level. 5


THE RESEARCH PROJECT In this chapter I will describe the project background and explain the goals of my thesis Due to the complexity and the different components of this effort some knowledge of the Annie E. Casey's Urban Children Mental Health Initiative is necessary in order to place my participation in this project in its proper context. My internship requirement was specifically geared to the design of the case study protocol and my original goal was to determine the appropriateness of the instrument. This, however, did not represent my only interest in this project and so, when I had the opportunity to collect data in Richmond I added a goal that would allow me to move beyond the protocol. I decided to explore the extent to which the community-based and community-strength approach laid out by the Casey Foundation and the City of Richmond, was actually be i ng implemented. Combining these goals offered me the opportunity to provide useful feedback to the evaluation team as well as the site 6


Project Background The Annie E. Casey Foundation (1992) is a private charitable organization dedicated to foster public policies and human-service reforms that meet the needs of children and families. The Foundation's main goals are: + To increase public awareness of the problems faring children and families and the need to change public policy and the institutions that serve them + To strengthen the management capacity of the child serving institutions. + To enhance the programs and practices that are essential to reforming the systems + To demonstrate the potential for reform through long term comprehensive initiatives at state local and neighborhood levels + To disseminate information on reforms which produce improved outcomes for children. Through its Urban Children's Mental Health Initiative, the foundation is attempting to demonstrate the potential for such a reformed system of services i n four of the poorest urban minority communities in the country. Four sites were selected to receive grant money from the Foundation in order to assist them implement this Initiative : (1) Third Ward in Houston (2) Mission Hill, Highland Park, and Lower Roxbury in Boston, (3) East Little Havana in Miami, and (4) East End in Richmond. The Initiative builds on the principles of Ventura Children and Adolescents Service System Program (CASSP) and the Robert Wood Johnson Foundation s Mental Health Program for Youth as well as on the principles of systems of care reform that guide all Casey Foundation efforts. The project has 7


an evaluation aspect to it known as the Evaluation of the Mental Health Initiative for Urban Children also funded by the Annie E Casey Foundation and presently being conducted by the Florida Mental Health Institute (FMHI). This is a five year effort organized in two phases: planning and implementation. There are two main evaluation goals : (1) to determine how are the services functioning in meeting the needs of the children and families and (2) to determine how has the implementation of the core values guiding the Initiative affected the delivery of services in the sites The evaluation is guided by a set of conclusions reached by the Foundation (1992) after considering the present condit i ons of the systems of care. They are as follows : 1 That considering the number of system reform initiatives in the children's mental health field that are exclusively targeted at children with serious emotional disturbances and their families, they would target a population with a broader range of problems or potential problems 2 That the major focus of a system reform is a movement towards decentralization of control of resources so that greater control may exist at local levels, and funds can be used more flexibly 3 That there are severe needs that are being inadequately addressed in our country's inner cities. Thus the Initiative decided to focus on highpoverty inner-city neighborhoods 4. As part of that decision it was determined that the target population should be all children and families within such a neighborhood. The target population was defined as : families with at least one child involved in out of-home placement made by a child-serving agency such as special education, mental health, juvenile justice, and child welfare ; families with one or more children in need of special services; all families considered to be at risk because of the conditions in the surrounding neighborhood regardless or whether or not they have a child needing special services 8


5 Due to the existing lack of balance in the way resources are being utilized, it was determined that a shift in the utilization of resources was needed. Emphasis should be placed on prevention and family support and on keeping their funds in the community. 6 Knowing the importance in selecting neighborhoods as the appropriate level for intervention, they saw the need to develop partnerships with the sites 7 Aware of the need for neighborhood governance with strong "grass roots" they decided to include family involvement as a major part of the planning process to implement services that were culturally appropriate individualized, family centered, and community based. The task of the Initiative and of the evaluation is to gain experience and knowledge in applying these concepts and principles in high poverty inner-city neighborhoods, and not merely demonstrating a highly effective model for improving outcomes within the neighborhood This will be a long-term Initiative that will follow each site's progress through time in an effort to document changes The evaluation involves five methodologies: (1) Service System Matrices, (2) Focus Groups (3) Neighborhood Governance Study, (4) Case Studies and (5) System Survey As a result. the evaluation has been divided among different teams which are responsible for particular aspects of it. The data collected by all teams will eventually become part of the entire evaluation and of the final analysis. Goals of the Study My involvement in this evaluation was limited to the design and development of the case study protocol to be utilized in all four sites, but I also 9


had the opportunity to participate in the data collection in Richmond, Virginia. This allowed me to test the instrument and to define my goals as : (1) determining the appropriateness of the case study protocol as a vehicle through which both qualitative and quantitative data may be collected, and (2) determining if the Richmond effort is actually following a community-based and a community strength approach. Appropriateness of the Protocol Determining the appropriateness of the case study protocol was crucial to our team not only because of the time and effort put into its development, but also because the team is expecting to use it throughout the five year evaluation. One of the most difficult decisions made when designing the study and the protocol was determining which data collection method would best meet the evaluation goals. Since we were interested in describing to what extent the core values were being implemented in the delivery of services, it became evident that we needed to collect data from both the families and their providers Next, we had to decide whom to interview Since most children and families are multiple service receivers we figured that each family could probably identify at least three providers If this were the case, then for each family identified for the study we would end up doing at least five interviews And, if ten families were selected per site then the total number of interviews per community would end up being around fifty 10


At this point consider i ng the number of interviews and the amount of time available to do them (four days max i mum) we had to decide whether to use an open-ended or a close-ended interview On the one hand there were two concerns that kept us from choosing open-ended (ethnographic) interviews : (1) loosing control of the amount of information being collected and (2) the amount of time needed to conduct these interviews and to analyze them would exceed the t i me allocated. On the other hand using a close-ended interview meant that the results of the study would lack the richness offered by an open-ended one After considering the benefits and d i sadvantages of both approaches it was decided that a mixed well focused i nstrument wou l d be an appropriate compromise The team also concluded that any shortcomings of the instrument could be compensated by building a record review component into the study Moreover the protocol was only one of several data collection methods used in this evaluation ; data collected through other methods could be used to complement ou r data There were many challenges in developing the p r otocol. The team departed from the notion that the purpose of the study was to ask quest i ons that would allow us to describe "how'' were services being delivered, how" children and families felt about the delivery of serv i ces and why" they felt that way In so doing the instrument also had to address the evaluat i on gu i ding princ i ples and cons i der the needs of the children and families Like any data collection method the protocol has its limitations Some I I


became evident during the protocol development process and were addressed as best we could. The following problem areas were identified. 1 Not knowing who the providers would be and/or what service system would they represent meant that the questions had to be designed to fit any provider from any system. We did not anticipate having time between the case selection process and the actual interviews to make changes to the protocol. 2 Since the protocol was to be used in four different sites and address several systems, the language used could not be site specific or system specific The team sensed this limitation could be partially solved during the site visits, at which time we could learn some of the local terminology and make the protocol more fitting to each site. 3 The wide age-range of the children that would be interviewed (from 5 to 17 years of age) and their varying mental health condition forced us to develop a limited/simple interview for this group of interviewees. Therefore, it was left up to the interviewers to eliminate or add questions based on the children's ability and willingness to respond. Interviewers participated in a pre-data collection training that explained the protocol and its limitations. This however, would not prevent other limitations from evidencing themselves as the study was conducted Community-based and Strength-based Approach The concepts of community-based and strength-based utilized in this study follow the ideology put forward by the Foundation in their Planning Grant Guidebook (1992) In its view, community-based efforts are mainly centered around community-based organizations, which are better able to define and address the needs of the community at a local level. Their familiarity with their communities and their willingness to allow local residents to participate in planning and implementation 12


make these organizations the building blocks for community change (1992 : 25) In addition to their mission of providing services many of these organizations pursue community development as part of their agenda The strength and success of their efforts lay in their ability to pull together existing community resources (1992 : 26) Thus, using a community based and community strength approach for the implementation of this Initiative means the utilization of existing local organizations and local resources My interest in trying to determine if this Initiative is being implemented in Richmond according to a community based and a strength-based approach arose during my visit to Richmond in November of last year Two reasons prompted this interest: (1) the apparent lack of resident activity in the East End Community Center, where the Initiative is based, and (2) comments made to me by the Casey Parent Coordinators regarding the lack of community participation in the decision-mak i ng process This was particularly interesting to me because this contradicted the guidelines of the Initiative and the commitment made by the City of Richmond when it applied for the grant. In its Planning Grant Guidebook (July 1992) the Casey Foundation talks about the importance of using community-based organizations (CBO's) built by grassroots organizers, "as full partners with states in the design and delivery of services ... They view this partnership as crucial to their desire to understand the concept of high risk as defined by the community ; to integrate mental health service delivery into existing community settings that are more 13


accessible to children and families; and to "emphasize parent education and participation" ( 1992:25). Furthermore, the Foundation also claims its commitment to McKnight's approach to community building by stating that the Casey Foundation is committed to an approach of community-based service provision that builds on the strengths of residents and traditional community institutions. Churches social clubs fraternal organizations parent groups . business associations and the like are viewed as important neighborhood resources for support to children and families (1992 : 29). In addition the application submitted by the City of Richmond (1993) to the Annie E. Casey Foundation stated Richmond's commitment to involve parents in the operation of the Initiative programs. In their view, this would allow community me mbers to have continuous involvement in the daily operation and evaluation of the programs I was therefore surprised by the feel i ng of emptiness I could sense upon my arrival to the East End Community Center particularly since this center was described by Rodwell in her reports (1995) as a mini-City Hall. It houses the office of the District 6th Council Representative, the Richmond Community Action and Job Training and Assistance Program the Virginia Cooperative Extension Agency, a Food Stamp office, a WIG office an office where people can sign-up for social services, and a window where residents can pay taxes, get licenses, and pay utilities Yet when we arrived at the Center (around 2 :00p. m ) the parking lot was half empty. Then as we entered the building the only two people in sight were a receptionist and a guard who asked us to sign in and to 14


write the names of the office and of the person(s) we were going to visit. On the second floor we found another recept i onist who directed us to the meeting room There were several offices on th i s floor but still no commun i ty residents only employees For the next four days, I went in and out of this building on a daily basis and at d i fferent times of the day and only in one occasion did I see a family waiting in the lobby After our initial meeting with the Coordinator of the Parent Coordinators and with the Parent Coordinators who were going to accompany the i nterviewers to the selected famil i es' houses, I offered to take the Parent Coordinators to their homes since they did not have transportat i on They all l i ved in different sections of the East End As I drove them to their homes they expressed their dissatisfact i on with the implementation of the Init i ative They were particularly dissatisfied with the lack of community representation in the Center They pointed out that none of the Center s emp l oyees lived in the a r ea In their view this kept residents from com i ng in. They were the only East End residents working for the Init i ative on a part time basis Their job was to refer families i n need of services to the Casey Case Managers. The length of time it took the Case Managers to contact the referred families also increased their frustration. Evidently, they were ref erring more cases than the three Case Managers could handle Thus they concluded that the resources allocated by the Foundation were going to pay bureaucratic salaries instead of being used to provide the much needed services In add i t i on they stated that the Initiat i ve 1 5


could benefit by including more residents and other community organizations in the implementation process 16


LITERATURE REVIEW In the following literature review, I have attempted, following Elmore s recommendations (1991 : 294) not simply to make an assessment of the available literature, but rather to determine what the literature can teach me about these issues In the first section of the review, "Design," I consider the issues we considered when designing the Family Experience Study I discuss the anthropological perspective and its application to this study, the place of anthropology in evaluation, the selection of research methods and conclude by presenting two evaluation samples that exemplify the role of anthropologists in program evaluation In the second section "Analysis," I present the theoretical framework that guides the analysis of the data and of my results I discuss different theories about poverty and how it has affected urban communities The concept of community based initiatives will then be discussed within this context Design The Anthropological Perspective The principles that represent the anthropological perspective are present in most anthropological literature ; 17


however, in an effort to clarify what anthropology is all about Spicer (1976 : 341) referred to them as approaches and summar i zed them as : holistic histor i cal, comparative cross-cultural and ernie The design and the analysis of the study and of the protocol for the Family Experience Study were completed following these approaches. The holistic approach in the application of social sciences according to Spicer (1976 : 341) means plac i ng any policy decision i n the context from which it emerged This means taking into cons i deration the economic and political systems influenci ng policy making In Patton s view (1990:49), "the holistic approach assumes that the whole is understood as a complex system that is greater than the sum of its parts Although the Family Experience Study is not aimed at looking at how are the political and economic systems influencing the systems of care in Richmond, the City s participat i on in this Initiative is d i rectly linked to its political system. The decision to present a proposa l to the Annie E Casey Foundation came from the administration of V i rginia's Governor Wilder This effort was conceived as "a partnership between the Commonwealth of Virginia the City of Richmond and the East End Community and its purpose was the implementation of an urban neighborhood based multiagency mental health initiative" (Commonwealth of Virg i nia 1993) The complex i ty of the Initiative and the different levels of involvement (state local, and community) present in it, prov i ded the evaluation team with the context in which the implementation is taking place This is important because 1 8


as stated by Foster (1969:57 -58) considering the contextual approach increases the investigator's chances of "hitting upon the critical element in any specific situation This is possible simply because the anthropologist is trained to look at the entire spectrum of sociocultural activity The historical approach requires some familiarity with the processes that result in the development of a particular policy/program (Spicer 1976 :341 ) This approach is reflected in the overall evaluation and in the protocol. The evaluation has been designed considering existing knowledge of the service delivery practices that this Initiative is hoping to help reform These practices were designed based on what the systems and providers considered to be the needs of the recipients and not in their expressed needs. The evaluation is also guided by the h i storical approach not only by inquiring about the events that have taking place in the families of the participants but also by looking at the historical background of the community and of its residents Using this approach confirmed Pelto's view about i ts usefulness in helping evaluators give concrete descriptions of particular events things and people located in time and place (Pelto 1970:25) The cross-cultural and comparative approach, in my v i ew, both allow the investigator to make generalizations It is true that comparison alone does not provide the basis for generalization but it is helpful in gaining understanding about patterns and about the results of both similar and different applications (Spicer 1976 : 341) Comparison in the Family Experience Study takes place at 19


four levels First the responses of each i nterviewee in a family case are compared Second the family cases within a site are compa r ed among each other. Third comparison takes place at the s i te level where each s i te s family cases are compared with the others Last, since the study will take place dur i ng five consecutive years each year's findings will be compared with the previous year ( s)' findings The cross-cultural approach accord i ng to Whiteford (1991 : 122) i s a "requisite for understanding multicultural environments In the Family Experience Study cross-cultural comparison will take place on two l evels For those sites with high percentages of ethnic diversity, cross cultural analysis will be conducted within and among sites. For the highly homogeneous sites cross cultural analysis will only take place at the site level. The different levels of comparison utilized in this study are essential in order for the evaluat i on team to fully exploit the significance of their research (Foster 1969: 64 ) The ernie approach refers to the search for the i nsider s view ( Pelto : 1970: 84 ; Whiteford 1991 :121 ) It helps the observer understand the values and motivations driving thought and behavior (Fetterman 1991:1 ). This requires the investigator to collect data about the attitudes values and social relations from those engaged in develop i ng policy/programs as well as from those who are affected by the policy/program (Spicer 1976 :341 ) The ernie approach is centra l to the Family Experience Study since its main aim is to "understand service provision from the clients' as well as the providers' po i nts of view ( Whiteford 20


1991:121 ). The protocol was specifically designed to obtain information about the perceptions and attitudes participant families have of services and their delivery. The participation of service providers in the study is also guided by the ernie approach in the sense that they are asked about their impressions regarding the families they serve and the services they receive The combination of the anthropological perspective and the anthropological research methods have been central to the place applied anthropologists occupy in program evaluation. A closer look at how this came to be and at the anthropological contributions to evaluation follows Evaluation Due to the existing interest that applied anthropologists have in the delivery of mental health services both in and out of the United States (Chambers 1985:73-74), their knowledge has gained them an important place as active participants in program evaluation. Angrosino (1978:292) suggests that "program evaluation has come to be a favorite field for contemporary applied anthropologists since it enables them to work within a service bureaucracy and yet help it redirect its goals towards the perceived needs of those whom it serves." In o!her words, anthropologists have become aware of their multiple alliances to their. field, the programs, and the people (Peattie 1980 : 9). Applied anthropologists' interest in evaluation also responds to their awareness of the many contributions they can offer to this field. Whiteford (1991) summarizes these contributions from the standpoint of applied medical 21


anthropology, in my opinion they apply to any field of applied anthropology since they contain many of the central aspects of anthropology For instance Whiteford talks about applied anthropologists "respect for cultural diversity and humanistic values," their knowledge of the scientific method and its application their awareness of the "significance of cultural relativism and their concern "with the holistic view to the diverse forces directing community health (1991 : 1 02)." The place of anthropological theory and methods in program evaluation increased as policy-makers and administrators became dissatisfied with traditional evaluation approaches (Britan 1978: 119). In Britan's opinion (1978:120-123), the combination of multiple methods of data resources in anthropology provides a more complete and reliable picture These methods are essentially linked to ethnography, since it engulfs all the aspects of fieldwork Thus for the anthropologist, the concept of evaluation should be a familiar one considering that the aims of ethnography are to describe a culture (Spradley 1973:3), to find ways to make it meaningful to those not familiar with it (Agar 1987: 19), and to provide anthropologist with a way to make contributions to the theoretical and intellectual discussions regarding sociocultural phenomena (Marcus and Fisher 1986:21 ). All of this means that anthropologists who are familiar with ethnographic research methods possess skills that makes them good evaluators, their greatest challenge is the selection of methods that best meet their projects. 22


Research Methods One of the most difficult and time consuming tasks of an evaluation is the selection of appropriate research tools Chambers (1989 : 17 4) warns researchers of the importance in se l ecting methods that best fit the evaluation and not those the evaluator prefers. Thus a clear understanding of the different methods and their characteristics i s crucial to evaluation Research methods can be categorized as being qualitative quantitative and/or mixed Patton (1990 : 44) describes qualitative methods as being oriented toward "exploration discovery and inductive logic The goal of the researcher is to make sense of the s i tuation without imposing pre-existing expectations on the evaluand. He also refers to this approach as the qualitative-naturalistic-formative approach and states that it is specially appropriate for developing and changing programs because it assumes an ever changing world (1990 : 53) Quantitative methods are not foreign to anthropologists who use counting procedures to provide clear specifications of the kinds of probability inferences they can make from their work (Pelto 1970 : 172) When using a quantitative approach data is gathered to measure changes that are helpful in making a decision about the value and effectiveness of the eva l uand (Patton 1990 : 53) Considering the qualitative and quantitative approaches to evaluation there are many research methods that anthropologists may utilize (Bernard 1994) but only a brief review of those relevant to this study will be included 23


The protocol for the Family Experience Study combines two data collection techniques: record reviews and mixed interviews Review of archival records and other written records is a good way to collect data that may be overlooked by the interviewees and that can greatly enhance the contextua l knowledge of the investigator Some of the places where one may find this kind of data are registries, churches private organizations, government agencies cemeteries newspapers and magaz i nes (Bernard 1994 : 336 Pelto 1970 : 134-135) As a result, one section of the protocol was des i gned to collect information from the systems providing services to the participant families (i.e. Juvenile Just i ce Mental Health Child Welfare) Ethnographic interviews according to Tierney ( 1991 : 8-9), may be structured informal and open-ended Structured interviews are simi lar to a questionnaire designed with explicit research goals Their purpose is to check the answers for replicability and var i ation across interviewees I nformal i nterviews let interviewees offer their interpretations of reality without the interviewer guiding the response. In the open-ended in t erview the researcher develops a protocol of general questions that need to be covered and moves freely in any direction that appears interesting and rich in data In an attempt to obtain responses that would allow the evaluation team check their replicability as well as responses that would provide richness to the study, the protocol is a mixture of structured and open-ended questions The comb i nation of both open ended and structured approaches responds to the need to fully explain 24


evaluation results and to enhance their credibility. Both types of interviews may be analyzed using qualitative and quantitative approaches For this reason Pelto (1970: 172) feels that quantitative data requires qualitative back-up research "to give reality and meaning to the numbers and percentages Britain (1978 : 120-123) also shares this view and states t hat qualitat i ve methods facilitate the development of meaningful quantitative measu r es The combination of qualitat i ve and quantitative research methods is common i n the case study methodology (Yin 1994 : 15 1 994 : 287) guiding the Fami l y Experience Study This respond to the aim of the case study approach 'Nhich is to learn "about a complex i nstance, based on a comprehensive understanding of that instance obtained by extensive description and analysis of that instance taken as a \Nhole and in its context (GAO 1990:14). Therefore collection of evidence in a case study may be accomplished using multiple me t hods such as document reviews, arch i val record reviews interviews direct observations, participant observatio n and inspect i on of physical artifacts (GAO 1990 : 17, Yin 1994:81-90) The utilization of multiple sources of information in the case study is \Nhat gives it strength validity (GAO 1990 : 54) an extensive applicability (Yin 1994:287) and places it beyond the quantitative qualitative debate because it can employ the best of both methods (Stalker 1991 : 99) According to Gilgun (1994 :371 ) the case study is particularly useful \Nhen we want to get in depth knowledge about the subject under study, as well as establish existing differences among various studies settings, subjects and/or 2 5


experiences (Gilgun 1994:376, Patton 1990 : 54) : Like any other methodology the case study methodology has been widely criticized. One of the main criticisms discussed by Stalker (1991 :91 ), points to the absence in the case study of internal and external validity. According to its critics this is caused by its lack of experimental controls and inability to accurately measure independent and dependent variables. Stalker (1991 :91) counteracts this criticism by pointing at the explanatory power of the case study, which is based on its broader and more in depth forms of inquiry that permit the collection of data that cannot be captured by statistical measures. This view is also shared by Patton (1990 : 100) who sees case studies as more "manageable" and more "desirable because as he stated it is preferable "to have a few carefully done case studies with results one can trust, than to aim for large probabilistic, and generalizable samples with results that are dubious because of the mult i tude of technical logistic and management problems. As we have seen the roles of anthropologists in evaluation range from applying the anthropological perspective to the subject of their study to selecting appropriate methodologies and research tools The following examples show these roles n.9t to be mutually exclusive, but rather complimentary Two Examples The anthropologist's role in program evaluation is clearly depicted in Richeport's part i cipation in the development of a mental health plan in Brazil (1984 : 261-271). As a part of a team created to correct some 26


deficiencies in the Brazilian mental health system, Richeport was crucial in helping introduce two of anthropology's greatest contributions to program evaluations: (1) its unique holistic perspective, and (2) its methodology The evaluation responded to Brazil's need to meet some of the health problems inherent in a rapidly growing plural society. The aim of this initiative was to find a way to integrate Brazil's indigenous health systems with the formal system Reliance on indigenous health systems in Brazil is widespread and is often tied to religious organizations. As stated by Richeport (1984:261), one of the functions of the Afro-Spiritist religions is to "complement an overcrowded and inadequate medical system Richeport's anthropological role was to conduct a study grounded in the cultural and economic context of Brazil with emphasis on two general issues: (1) the informal healing system and (2) the resistance of the Brazilian Mental Health System to incorporate indigenous practices Her anthropological perspective was useful in revealing the value of certain elements of indigenous healing and in exploring ways to incorporate them into the formal system. The anthropologist's holistic perspective allows for the opportunity to view the entire process of service delivery and utilization as a unit, and to understand that the success of a program is a result of whether it is meaningful to everyone involved in it (Angrosino 1978:295). This holistic perspective served as the basis of the evaluation of the Jamaican Primary Health Care and Nutrition Programs (Marchione 1984) This program had been instituted in 1972 to reinforce the 27


delivery of health services to women and children Its aim was to develop a force of auxiliary health care workers at the community level. Women with limited education were trained for two months on subjects such as first aid, public health education, and clinical health work. Upon the completion of the training they were sent back to their communities to work. The evaluation was conducted ten years after the program implementation (Marchione 1984:227). Marchione's first consideration in this project was to acquire a holistic understanding of the societal context in order to transform the data collected into useful information (1984:225). To accomplish his goal he designed the evaluation to look at two levels, internal and external (1984:226),equivalent to the micro and macro levels Then he proceeded to define the outcomes expected from each level and to select the data collection methods that would provide him the data sought. The result of this approach allowed him to establish connections between the political system, the medical health providers and the distribution of care in Jamaica. The findings for these evaluations were placed in the context of the political and socio-economic forces driving both Brazil and Jamaica. Likewise, the findings from the Family Experience Study, as well as the findings for the overall evaluation also need to be placed in similar contexts Considering that the Annie E Casey Initiative is to be implemented in urban communities where poverty prevails the results will be discussed within the conceptual context of poverty. 28


Analysis Poverty The Foundation selected four of the poorest urban minority communities in the country for the implementation of systemic reform at state, local, and neighborhood levels Doing so calls for an understanding of poverty and the perceptions that have influenced the opinions of those in the political and economic arenas. Since poverty is a constantly present element in these communities, it does not make sense to address the mental health problems of low-income people without addressing their pressing economic condition Many anthropologists have engaged in the study of urban problems and have gathered information crucial to our understanding of them A summary of the works that have cond i tioned the way poverty has been viewed since the implementation of the War on Poverty programs follows. It was in 1959 when the anthropologist Oscar Lewis based on studies he had conducted in Mexico and Puerto Rico began speaking about what would later be known as the culture of poverty (1985:310) As a result of these studies Lewis felt that poverty should be studied focusing on the family and the poor communities, rather than on the individual. Using this approach allowed him to define group traits related to poverty which he concluded were passed from generation to generation In his opinion by the time "slum children are age six or seven they have usually absorbed the basic values and attitudes of their 29


subculture and are not psychologically geared" to change this condition even if opportunities are offered to them (lewis 1985 : 312) Lewis' theory caused great controversy in both the academic and political fields at the time when the programs for the War on Poverty were being designed. Although, there were other people who shared in his ideology it is believed that his thinking conditioned the way in which poverty is viewed by policy-makers and academicians. The reactions he elicited from anthropologists were also mixed. Focusing in the areas lacking strengths as oppose to looking at the role that external forces play in the lives of low income people was perhaps Lewis' greatest omission sin at a time when the perception that being poor was equivalent to being African American was commonly held Unfortunately the works of Glazer and Moynihan in the 1960s (Thomas and Horton 1992:3) were i nstrumental in creating the perception that the structure of African-American families had been so weakened by slavery that they could no longer provide the basis for lifting their communities out of economic hardship. It was this kind of thinking that promoted the development of welfare programs In 1968, Valentine refuted Lewis' utilization of the concept of culture to support what he felt was "the long-established rationalization of blaming poverty on the poor He added, that "nothing could be further from the meaning, the spirit, or the ideological implications of the orig i nal concept of culture (1968 : 15)." 30


Valentine's work provided an important theoretical discussion of the issue and even proposed some solutions to the problem Stack s work (1975) presented aspects of low-income, inner-city African Americans that were not considered in previous research Her participation in the daily activities of a fami l y network in the poorest section of a black community in a Midwestern city gave her the opportunity to learn about the i nterpretations that African-Americans have of their own life experience As an example Stack describes the cultural context in which some of the women she met develop social controls against the formation of conjugal relationships in order to strengthen their domestic network and their chances for economic survival. Through this mechanism they limited the role of the husband/father within their domestic group and in turn compensated their absence with the presence of male relatives and boyfriends who often developed long-lasting relationships with the children in the family (1975 : 115) Stack's findings were significant in that they ran contrary to the negative perceptions generally held about the weakening of the African American family and their traditions (1975 : 124) In addition to revealing the strengths of the African-American networks that served as the security net for their members through a system of exchange of goods and resources (1975 : 28) Stack also exposed the systemic barriers that prevented them from improving their economic conditions, such as high unemployment low-paying jobs and seasonal and temporary jobs among others (1975 : 24). 3 1


In 1977, Eames and Goode published a critical assessment of Lewis' work. Part of their criticism is focused on Lewis' ethnocentrism, which I believe encompasses some of the most problematic aspects of his theory According to Eames and Goode, Lewis' ethnocentrism comes through in several areas of his work by describing low-income people as lacking group organization skills, by focusing on marital instability and female-headed households, and by stating that they have weak egos (Eames and Goode 1977 : 324 ; Lewis 1985 : 312) As part of their conclusions Eames and Goode suggested the need for further research in which a closer look to all urban groups present in the system and their relation to each other should be emphasized However, their call for further anthropological research was not answered until 1992 when Newman published her assessment of W J Wilson's book, The Truly Disadvantaged (1987). Newman uses results of her research in the Bronx as a contrast to Wilson s work which was based on Chicago's south side In her article, Newman recognizes Wilson's work as the most important social-scientific analysis of poverty" written since the 1970s while also warns us about the reliability of the data he based his research on. The first, and perhaps the most important consideration is her recognition that most of Wilson s arguments about the cultural responses to the economic system elicited from low-income communities were based on survey data and therefore lack valuable ethnographic evidence (1992:4). 32


Wilson s arguments about the composition of the African-American family and the erosion of (lack of) "institutional structures in these communities are not that different from those presented by Lewis and Moynihan in the 1960s. His arguments are directed at the growing number of female-headed households to which Newman responds by citing Stack's work in the 1970s Once again her response reiterates the need for more current ethnographic work in low-income communities Recent ethnographic work conducted in Richmond (Greenbaum 1995), presents an updated picture of life in the inner-city In her report Greenbaum (1995) talks about the cultural ethnic social, and economic heterogeneity present in these communities; about the problems they face and about the resources they possess In my opinion this approach is more favorable to the communities because it does not aim at categoriz i ng people based on statistical figures place of residence, and/or ethnicity Rather it aims at help i ng communities identify those areas where they need to work and the resources available at their immediate disposal( 1995 1) Other Inner-City Problems To fully understand urban renewal it is important to understand the events and the situations that s i gnaled certain communities to become its target. The question one must ask i s why was there a need for urban renewal in the first place? In my opinion the answer to this question is in the combination of the job loss in the central cities white flight 33


from inner-city areas, and the conflict between the use and exchange value of real estate all conditions being exacerbated by racist concerns. High unemployment among African-Americans is in part the outcome of a process of deindustrialization that has taken place in the United States since 1948 and that has caused the loss of millions of manufacturing wholesale and retail jobs It is a process that has accelerated since 1967 (U.S. 1984 : 48). The results of this process are acknowledged by Mullings as she refers to information reported by Ashton in 1984 stating that "between 1954 and 1963 in the 24 metropolitan areas with populations greater than one million more than 500,000 jobs were lost by central cities" while during the same period "the suburbs gained over 1 5 million jobs (Mullings 1987:2). Employment opportunities were not the only factors that propelled many city residents to the suburbs According to Medoff and Sklar (1994:14-15), federal policies promoted segregated suburbanization and d i sinvestment i n inner-city communities The Federal Housing Administration (FHA) to insure mortgages for new construction was created in 1934 Then in 1944 the G / Bill provided loan guarantees for home mortgages for returning veterans many of whom chose to live in the suburbs because of the employment opportunities located in those areas In addition the federal transportation favored the construction of highways which benefitted suburbia and the car industry White flight made an impact in many inner-city communities but Greenbaum's (1993) case study of a predominantly black section of Kansas City, 34


Kansas points to other important factors Her study contradicts the two widely accepted causes for inner-city neighborhood deterioration : (1) urban influx of rural blacks (2) suburban exodus of white middle class families Greenbaum bases her claim in the results of her ethnographic work in this community which showed that there was no postwar invasion. Moreover, the city actually experienced a boom in the housing business in this period, wh i ch propelled whites to move to the suburbs (154-155), but the most pressing reason for the disruption of the city was the existence of a dual housing market (1993:141) Neighborhoods are defined "as either black of white, and by tacit agreement real estate brokers 'steer' their clients to one of the other depending on their race Since only a small number of conventional lenders "are willing to do business in the black submarket," then the dual housing market makes it impossible for those residing in these areas to obtain the funds needed to maintain their neighborhoods (Greenbaum 1993 :141 ). These communities are involved in a vicious circle because in order to keep up their properties they need funding; since funding is denied, then the properties deteriorate, and since the properties are deteriorated lending companies consider them to be high-risk areas and stay away from them These practices show clear racial discrimination toward inner-city residents. As Greenbaum says : Racial discrimination in housing and lending affects stable working families as well as troubled welfare families When banks assess risk they consider the condition of neighborhoods as well as the 35


creditworthiness of borrowers Even in the absence of outright discrimination this disadvantages black residents specially those who live in areas with visible blight (142-143) Another important finding in Greenbaum s study is the imbalance between the available houses in an area and its population, resulting in unwanted vacancies For instance her study showed that between 1970 and 197 4 that losses in the all-white tracts of Kansas City amounted to only 2 percent compared with 1 0 percent in the Northeast Area during the same per i od." These figures gave the impression that black neighborhoods were not as well taken care of as their white counterparts (1993 : 152) factor that affects the livelihood of inner-city neighborhoods is the conflict between the use and exchange value of real estate According to Logan and Molotch the distinction between use and exchange value i n urban real estate rests in the benefits residents and owners get from occupy i ng and /or owning real property The use value related to the benefits people enjoy by having a home This is, a place that in addition to providing a roof over peoples heads also provides them with a sense of identity that is central to their total well being The exchange value relates to the profits that real property generate for their owners These profits are usually generated by rent money (1987 : 1-2) The co nflict between the use and exchange values of real estate in the inner-city is particularly problematic because most property owners feel that i n order to for their investment in these areas to be worth their while they must 36


refrain from providing appropriate maintenance As a result property deter i oration and tenant dissatisfaction become the common denominator i n these neighborhoods In summary the loss of the economic base i n the cities, the promotion of suburbia by the government and the housing industry, and the existence of discriminatory practices in public institutions as well as private ones made these communit i es the perfect targets for urban renewal. As stated by Yelvington (1992) urban renewal has become a common practice in our cities It usually involves the displacement of inner-city residents to expand the business district. This was the case of Miami s Overtown area which at one time was the social cultural and economic center of the black community in that city. As in other maj or cities the disintegration of the community began with the construction of a h i ghway that cut through it. This was followed by the placement of half of Dade County s federal housing projects in th i s area. As might have been predicted this area rapidly developed the ills of similar areas in the country (high poverty high crime, homelessness, insecur i ty drug act i v i ty) (1992 : 1-8). Based on Yelvington s work the d ifficulties associated with urban renewal once more show that those at the bottom usually become the v i ctims of progress ." Yelvington points out that residents were displaced to create a market for middle class workers who can increase the tax base of the area ; that residents were not including in the planning process ; and that social 3 7


problems were not incorporated into the plan. stated, this project was driven by economic interests extrinsic to the community (1992 : 14-17) A similar situation took place in Richmond (Silver and Moeser), where urban renewal plans were designed to maintain the already established class and racial boundaries. In the 1940s slums were cleared and public housing projects were built to accommodate thousands of people in "areas that reinforced the segregation of low income African-Americans (1995 : 126)." As a result, when urban renewal plans for the area known as Carver City were announced in the 1960s, the re sidents decided to fight back when they learned that the plan called for the removal of 400 homes, which meant the displacement of approximately 500 families. The City of Richmond claimed that most of these houses were not in compliance with housing codes In order to prevent the plan from being implemented, most residents fixed their homes to meet the codes This, however, was of no consequence since the City already had plans to build an expressway through this area. Eventually the homes were removed and "nearly 20,000 people, (mostly black) had to find new homes." Many residents moved to public housing projects and others to areas that had been abandoned by whites. This was the final step to allow the East End where a large white population had once resided, to become exclusively black" (1995 : 149-151). In light of the attacks inflicted upon these communities one wonders why are they still alive what keeps them going The fact that these African-American 38


communities have been able to cope with such circumstances demonstrate that they possess great strengths These strengths come through in the configuration of the black family and in their institutions. Community Strengths According to Greenbaum (1995 : 4) programs directed to low income communities are developed on the concept that the client population is incapable Thus, their abilities are discounted and the limited success of the programs expected For this reason, it is important to complement the needs of these communities with their strengths Most studies of African-American families fail to focus on the adaptive strategies resourcefulness and resilience they maintain under conditions of perpetual poverty. Hence, what appears to be a very unstable structure is actually an ongoing adaptation to deal with limited financial resources The African-American family has its own configurat i on and its own heterogeneity. It cannot and should not be defined in terms established by the traditional Euro-American family The family as a part of the Afr ican-American tradition, is a strong institution that has survived against great obstacles It is the foundation for understanding what it means to be black (Dilworth-Anderson 1992 : 29), and serves as the vehicle through which African-American culture is transmitted and preserved The family is the stage for the expression of African American beliefs traditions symbols language way of thinking and socialization (Dilworth-Anderson 1992 : 29 ; U S 1984: 53) 39


In contrast to traditional Euro-American families in which most of the functions and activities of their lives are carried out within a nuclear circle low income African-American families exist within an extended family network in which activities are shared (Littlejohn-Biake and Anderson Darling 1993 : 463) Thus, African-Americans view their networks as a vehicle for survival in a hostile society where many blacks see themselves as making it only through the concerted efforts of groups of people (Dilworth-Anderson 1992 : 29-30) Historically the African-American church has been the center for many social activities that promote the development of networks. As a social entity, the church has been described as a major support system (Cook 1993:320). Beyond providing spiritual support, black churches reinforce black culture and promote unity in black communities. The fact that these churches are the only institutions that have been and continue to be owned, financed and controlled by black people is of great significance (Tooles Walls and Zarit 1991 :490) The many strengths found in these communities have impressed McKnight (1990), who states that communities should be assessed considering their strengths rather than their deficits In his view, this is uthe first step toward community regeneration." Once this has taken place then the community can begin to assemble its assets and capacities into new combinations new structures of opportunity, new sources of income and control and new possibilities for production (1990 : 3)." 40


In Mckn i ght s view the implementation of community regeneration programs should start in the commun i ty and should be guided by the community This requires a definition of the community and an understanding and agreement of what the community is hoping to accomplish. In order to speak of community based projects, there must therefore exist an understanding of what a community is and is not. According to Gardner (1992:23), the concept of the trad i tional community as a homogeneous stable place in which everyone conformed to the rules and strangers were not readily welcomed has become a phantom of the past. Today communities are heterogeneous are constantly changing respons i bilities are freely shared with their residents and their geographic boundaries are not strictly set. Therefore there seems to exist an implicit consensus in the literature stating that communities may be described in terms of their geography, the census classifications, or simply by the boundaries created by their residents Regardless of how a community is described, a movement to promote community organ i zations was launched during the Carter Administration The aim of this effort was an attempt at eliminating the alienation inherent to urban life at re-establishing the lost sense of community and at bridging the differences among neighbors (Schwartz 1979 : 9) Although Woolever (1992 : 99) argues that research conducted in the 1970s and 1980s found that neighborhood attachment and community re l at i onships continued to exist this should no t be the basis for dismissing the fact that the constant and rap i d 4 1


changes of our modern living have placed great strains in neighborhood organizations and neighborhood relations According to Bhattacharyya (1995) the difficult i es related to community development efforts respond to the lack of specificity" found in this notion He feels that the success of community efforts require that they be driven by solidarity and agency What he means i s that unless sol i dar ity ex i sts among community members thfi! organ i zation will be suscept i ble to many factors working against it (1995 : 61) For instance in a highly diverse community sol i dar i ty could not be attained if it were to be based on ethnic ity. In this case it would be best to seek community solidarity by addressing a common concern such as neighborhood safety Thus the pursuit for solidar i ty and agency" should drive community efforts (Bhattacharyya 1995: 62) The literature shows that most authors seem to believe that what determines the success of ne i ghborhood organizations is the i r understand i ng of the funct i ons they serve in the community (Gardner 1992:4) and on the i r ab i lity to build upon those functions These functions may be summarized as follows : 1 The community serves as the place where values are shared and generated 2 The community stands as the groundbase where many networks and organ i 2;ations can be built on. 3 The community is where commun i ty members are nurtured and encouraged into participating 4 The community is where each member s opin i on is welcomed 42


5 The community should provide a sense of identity and of belonging to all its members (Gardner 1992 : 4-5, McMillan and Chavis 1986:9). The functions of the community are interrelated and express themselves differently according to the character of the organization As stated by McMillan and Chavis (1986 : 15) "communities organ i ze around needs and people associate with communities in wh i ch their needs can be met.. Thus the boundaries of the organization are set by the interest it sponsors The understanding of community functions is not sufficient to build strong community organizations There is an extensive body of literature dealing with community organizing and some of the steps one should follow in such effort A brie f description of those areas most authors considered most important follows. 1 Develop a clear understand i ng of the i r issues 2. Develop effective and open commun i cation among members. 3 Develop member participation on a formal or informal bas is. 4 Create collaboration between the community organ i zation and the larger community (US DHUD 1979 : 1 0) 5 Nurture the creation of community networks that are interdependent of each other 6 Allow community residents to part i cipate as members rather than as cl i ents : 7. Act as catalyst in putting together available resources (Bhattacharyya 1995 : 62-64 ; Carman Aldr i dge and Woods 1992:5; Cunn i ngham and Kotler 1983 : 152-153 ; US DHUD 1979 : 10-11). 8. Develop a fund rais i ng strategy that keeps community organ i zations operating continuously (Cunningham and Kotler 1983 : 156 ; US DHUD 1979 : 11) 43


9 Establish training and leadership development programs within the organization to make members useful and to encourage them to stay involved. 10. Develop research and evaluation practices that help in planning and in improv i ng the performance of the organization (Cunningham and Kotler 1983 : 155-164). Above all our systems must rethink the way they view service rec i pients or little else will be accomplished McKnight (1995 :1X) believes that already weak communities are becoming more impotent as our service systems have become stronger In his opinion, these systems "destroy the sense of community competence by capturing and commodifying the citizens capacity to solve problems and to care" (1995 : XI) This is reflected in the provider-client relationship spoused by most institutions and so he also developed a list of characteristics that a community association should have in order to be successful (1995 : 165-168) His list of characteristics are closely related to the steps of community organizing previously discussed with some minor differences. This is comprehensible since if these steps are followed during the organizing process, then it is expected that the characteristics of the organization should reflect those steps. Another consideration when planning community interventions is determining the level the intervention is trying to reach. Intervention in a community may happen at different levels and with different intensity Rothman and Gant (1987) developed three models of community intervention that are helpful when trying to classify an intervention. There are not strict boundaries 44


among these models and in many instances they can be mixed These are : (1) locality development based on the concept of community involvement at all levels and a bottom up approach; (2) social planning : its focal point is the provision of social services to the community based on needs identified through systematic data collect i on. The implementation process is pre-determined and follows more of a top-down approach; and (3) social action: it is aimed at redistr i buting the "power and the resources in the community" and in determining what is causing the problems (1987:40-44) 45


METHODOLOGY This section is divided into two subsections The first and most extensive one, covers the methodology utilized in the des i gn of the case study and the evaluation process which was the central aim of my internship The second section describes the development of the East End Asset Map (mapping of existing resources) which responds to my interest in exploring the presence of a community-based and community-strength approach in the implementation of this initiative in Richmond. Case Study The evaluation of this initiative is aimed at describing the processes by which system changes occur in the different sites The case study approach is being used as the framework for data collection and its design is based on the Initiative's guiding theoretical proposition stating that: Well developed neighborhood-driven, systems of care, which are based on formal and informal structures, increase the likelihood that the needs of families and their children will be effectively met (Schorr 1988). This is a long-term Initiative that will follow each site's progress through time in an effort to document any changes For this purpose, the evaluation team 46


adopted Yin s description of the case study ... an empirical inquiry that i nvestigates a contemporary phenomenon within its real-life context especially when the boundaries between phenomenon and context are not clea r ly evidenr 1994 : 13). In this evaluation the case study is aimed at determin i ng the extent to which the local service systems address the identified needs of the children and their families The unit of analysis of the case study is the i nterface between the operating systems of care at each site and the needs of the children and families S i nce my participation in th i s evaluation was limited to the development of the protocol to be utilized in the indiv i dual case studies and to its ut i lization in one of the sites (East End Richmond Virginia), only the methodology related to this part of the evaluat i on is being discussed For this evaluation a multiple-case design was selected in which each s i te is considered to be a single case within which other cases are embedded (see figure #1 ). In other words the overall case study is comprised of four studies (sites) which in turn are made up of several studies (family cases) This approach adds significant opportunities for analysis and enhances the insight into the individual cases (Yin 1994:44) The family cases are called The Fami l y Experience Study To conduct this study a protocol was developed and pilot tested. Since each site is being studied independently some aspects of the case study process such as on site retreat case selection data collect i on and data analysis will be carried out separately in each site 47


I CASE STUDY I I \ B OS T O N H OUS T O N MIAMI RI CHMOND I I ... ily c ..... IJomilyC -I l'omilyCucs I l'omily c .... F i g # 1 Case Study Design Protocol Development The development of the case study protocol was guided by six principles adopted from Friedman's ( St r oul and Friedman 1986 : 16-17) philosophy about the way in which serv ices should be delivered Th i s philosophy is based on the idea that although the systems of care may differ from state to state and from community to community they should be guided by a set of basic values These values are called core values and have been determined to be essential to the system of care and its implementation They are as follows : + Child centered and family focused : the needs of the child and the f a m ily dictate the types of services prov i ded + Individualized : serv ices are adapted to the child and t he f a m ily rather than expecting them to con f orm to a pre-existing service plan 48


t Community based : services should be provided through community-based programs which offer less restrictive environments and closer to the child's community. t Integrated and coordinated: services are designed to respond to inter related problems and are delivered through linkage among providers. Culturally appropriate : agencies, programs and services have not addressed the barriers and value differences encountered by ethnic minorities The need for culturally appropriate systems of care is of great importance, considering the changing demographics of the American population + Early intervention/prevention oriented: services should be aimed at reducing problems through effective early identification and interVention. Appropriate sources of information were selected to address each principle and to develop a set of twelve questions that served as a guide to the development of the actual protocol. The evaluation team selected the parent/primary care giver, the target child, the case manager, a provider, and an informal helper to be the sources of information for each case The twelve questions identified for that purpose were as follows : 1) What are the perceived/identified needs of the children and families, and what services have they received? 2) Where are the services located and how are these services accessed? 3) What are the experiences of the children and families while they are in the system? 4) Once a provider has identified services needed, is there a mechanism for interagency collaboration? 5) How is the system functioning to meet the needs of the children and families? 49


6) How satisfied are the children and families with the services they receive? 7) Have patterns of service responses to the needs of children and families reflected the principles of the initiative? 8) Why has a family chosen and used a particular service? 9) What are the most important formal service structures? 1 0) What are the most important informal service structures? 11) How do the formal and informal structures interact? 12) How and to what degree has the quality of life changed over time? Based on these questions, a second set of more specific questions were developed and adapted to the type of interviewee (e.g., parent, case manager, etc.) and to the different sections of the protocol. The protocol was organized following a format developed by the Alabama evaluation team at FMHI. The Alabama evaluation team was created when the state of Alabama contracted with FMHI to conduct an evaluation of their Child Welfare System mandated by the State's Court In order to conduct this evaluation, the Alabama team developed a case study protocol. Their protocol was compiled in a way that allows the interviewer to collect all the data related to each case in a single document. After making some adjustments to the original format we came up with the following protocol sections: Forms: this section contains Informed Consent forms, Participants Release of Information forms, and the Screening forms to get an overview of the children's famines and their living situation, and to determine who would be interviewed. 50


Contents: this section is subdivided into five sub-sections : 1 Demographic profile of target child 2. Data collection summary : compiles interviewees information and time and place of the interviews 3 Document review: this section was designed to collect data from the target child s case/treatment plan. This information provides the interviewer with the historical background of the child and family s experiences with the system(s) 4 Interviews: this section contains the different interviews and is furthered sub-divided into five sections : (a) parent/primary care giver interview ; (b) child i nterview ; (c) case manager/provider i nterview; (d) provider i n terview; and, (e) informal helper interview 5 Summative Questions : this section is to be completed by the interviewer upon complet i on of each study. On-Site Retreat A site retreat was conducted in the East End in Richmond in the spring of 1995 The evaluation team identified three specific purposes for this retreat: (1) to get the site interested and enthusiastic about the study because it wou l d require a great deal of cooperation from them in order to complete the study ; (2) to explain the case study methodology and the place it occupies in this particular evaluation ; and (3) to present the protocol to members of the local community to get their feedback Two of the evaluation team members conducted the retreat. Attendan t s at the meeting represented members of the initiative staff in this site service providers, parent coordinators and community members The retreat was a one day event. In the morning the evaluation team expla i ned the case study methodology, how it had been incorporated into the evaluation and presented the guidelines for case select i on The sess i on went well and the team members felt that they had succeeded in adding to the audience s understanding of the 5 1


study. Both the parent coordinators and the providers expressed the i r interest in participating in the case selection During the afternoon session attendants were divided i nto f i ve groups for the purpose of reviewing the protocol which is comprised of five interviews (parent/primary care giver child case manager provide r informal he l per). The groups task was to review the protocol sections to check for language appropriateness and clarity. These groups were selected by the team members to ensure that there was a combination of individuals in each group By using this approach once the different sections of the protocol we r e assigned to each group at least one representative from each community group would be exposed to each section In addition by having mixed groups it was hoped that the level of discussion with i n groups would be richer The team members served as facilitators to th i s process Ins t ead of participating in any particular group they walked around the room answering questions and clarifying issues Then as the groups comp l eted their tas k they had a spokeperson from each group report back The feedback received was very positive According to the team members, parents seemed to appreciate their level of i nvolvement and the types of questions present in the protocol. Only two changes/suggest i ons were made : (1) to change some of the terminology in order to accommodate the language used in their systems ; and (2) to include a quest i on in the parent/primary care 52


giver interview regarding their preference in working with male vs. female providers Overall, the site retreat was an important component of the case study It provided valuable input into the protocol. It also helped the evaluation team secure the cooperation of the site and it served to inform different members of the East End community about the initiative as a whole. Up to this point some of the new members of the Initiative's staff in Richmond were not clear as to the purpose of the Initiative and the goals of the evaluation Pilot Study According to Yin a pilot case study ... helps investigators refine their data collection plans with respect to both the content of the data and the procedures to be followed" (1994 : 7 4). Fallowing Yin's suggestion a pilot study was conducted to refine the content of the protocol and to get a sense of the entire data collection procedure It took p l ace in Charleston, South Carolina where a similar evaluation is now taking place Charleston is one of the sites selected for the Communities Together Study also being conducted by FMHI. Since one of the aims of this project is to gather the perceptions of families being served by the mental health system, the members of the Communities Together evaluation to use our protocol to conduct some case studies and to allow tvvo of our team members to participate as interviewers during this effort. Since our participation was limited to the data collection process we did not have the opportunity to test some of the forms designed to help the selected 53


primary care givers identify the case manager provider and informal helper to be interviewed regarding their case Each interviewer was ass i gned three fam il y cases the ideal in conducting these studies is to have each interviewer complete a case per day This requ i res that all interviews related to each target child should be scheduled in the same day However the last day in the field i s left open for final debriefing and to accommodate any interviews that were not done as planned. The pilot proved to be helpful. In addition to helping us refine the protocol and make it follow a more conversational flow, it helped us identify potential logistic problems We gained first hand experience as to the importance of screening the cases, of training the site coordinator regarding his/her duties and the duties of those who volunteer to escort the interviewers to the interviewees homes (known as "shadows") proper interview scheduling the need to provide interviewers with clear and specific directions to interview sites and of training the interviewers about the content of the protocol. We were not responsible for data analysis, but through conversations with members of the South Carolina team and by reviewing the completed protocols we found out that many questions had been left either unasked or unanswered The main reasons for leaving questions blank according to the interviewers, were that either they felt that the questions were inappropriate or they just simply did not feel comfortable asking them Considering this input our team went back and reviewed each question to ensure they were i n line with the 54


purpose or our study and followed its guidelines Once this was done our team concluded that the difficulties the South Carolina team exper i enced with our protocol were caused by two reasons : (1) their study was not guided by our principles even though we did share some commonalities, and (2) their interviewers had not been trained on using this methodology Family Selection The coord i nator of the initiative in R ichmond provided a liaison to the evaluation team to assist with case selection Our l i aison in Richmond was the Coord i nator of the Parent Coordinators in the East End The Coordinator had participated in the site retreat and consequently was familiar with the Family Experience Study During the retreat both the providers and the parents had expressed their interest in providing cases The eva l uation team was hesitant about going either way due to both groups biases It was felt that the parents would select the worst cases and the provide r s their best. As a resu l t i t was decided to ask the site Coord i nator to identify cases from the different systems from those being served by the case managers working for the Initiative in the East End, and from those referred by the Parent Coordinators The guidelines for case selection required that children were selected from the East End that they were rece i v i ng mental health services and from four groups : 1 Families with a ch ild 0-5 years old 2 Families with a ch ild 6 -11 years old 3 Families with a ch ild 12 17 yea r s old 55


4 Families who had experienced out-of-home placements The criteria for the secondary level of case selection was as follows : the cases selected had to be from any of the sub-systems affected by the Initiative ( Child Welfare Special Education Juvenile Justice Mental Health). Out-of home placements could be from any sub-system Ethn i c i ty was not cons i de r ed since the majority of the population in the East End is African-Amer i can Once the coordinator had screened and selected some cases he was instructed to submit this i nformation to our team leader for further screen i ng A pool of twelve cases was i dentified of which ten actually participated in the study Data Collection The Family Experience Study was conducted by four interviewers Three were members of the evaluation team and one was borrowed from another project. Each interviewe r was assig n ed four cases ; however since only ten cases met the criteria some interviewers ended up with three cases and some with two. Each interviewer was ass i g n ed a shadow' to accompany him/her when conducting the parent/primary care g i ver interview which took place in the target child's home The idea of having a shadow" was also borrowed from the Alabama evaluation The purpose was to have pe r sons familiar with the area escort the i nterviewers to the primary care givers homes and also introduce them to the families It was felt that in addition to preventing interviewers from getting lost in unknown and somet i mes unwelcome areas the 56


"shadows" familiarity with the area and with the study would also help the families feel less uneasy about participating In Richmond the Parent Coordinators for the Initiative were assigned to work as shadows" during the data collection phase. However, in some cases they personally knew the participants, and so their role was to escort the interviewers to the primary care givers' homes and then leave. The evaluation team felt that in order to keep the confidentiality of the Study it would be best if the shadows" were not present during the interviews. Prior to the data collection the interviewers reviewed the entire protocol to ensure that everyone understood the procedure and the questions being asked. In addition, once at the site, each interviewer was responsible for conducting the document review and the interviews for each of his/her family cases. Debriefings were conducted every night to provide an opportunity for the data collection team to discuss their cases and any unusual circumstances encountered throughout the day A final debriefing took place when the team returned and submitted in their family cases Data Analysis The multiple case study design used for this evaluation requires a sequence of analysis beginning with the single unit. In this case, the individual child and family within a site. For this purpose data gathered through the protocols was sorted in two ways: (1) in terms of frequency to responses and (2) through a summary of the open-ended questions intended to 57


supplement findings. The summary questions answered by each interviewer after completing a family case as well as the information collected from the fina l debriefing upon returning from the field also contributed to the overall analysis At the time the protocol was completed, all questions were coded accord i ng to the principle each one addressed A computerized spreadsheet was designed to enter the close-ended responses of the protocol to facilitate their sorting by code and thus determine the frequency of the responses. The open-ended questions as well as the summative questions were also coded to facilitate summarization and the identification of emerging patterns. Once the data were coded they were analyzed using a comparative approach in order to seek internal validity (within each case) as well as external validity Internal validity was obtained by triangulation which in our design meant comparing the interviews within a family case (see fig #2) External validity was obtained by comparing the family cases. The comparison between interviews was focused on the "effectiveness" section of each interview where similar questions were asked of the different interviewees These questions in addition to addressing the guiding principles also address issues such as perceived barriers, coping strategies aspects of the services participants would like to change progress of target child and family in meeting their goals and helpfulness of services and providers. The comparison between cases was not focused on specific questions but rather on the combination of the frequency of responses according to the 58


guiding principles and the summaries of the open-ended questions As a result a descriptive report of this site findings will be prepared by the evaluation team Eventually, as the Family Experience Study is conducted in other sites the aim of this Initiative is to compare the data collected from each site and conduct what Yin (1993 : 113) refers to as a time-series analysis. Finally a report will be prepared compiling data from each case/site and from all the embedded studies For now until further case studies are conducted thi"s year's findings are considered baseline findings Community Asset Mapping The East End Asset Map was developed following McKnight's model. In his model he speaks about primary secondary, and potential building blocks (1990 : 3-4) Primary building blocks represent "assets and capacities located inside the neighborhood", controlled by the neighborhood Included in this category are "individual capacities" such as people s talents skills personal income, business ownership and home-based enterprises ; and associational and organizational capacities" such as resident associations locally based financial institutions, business associations religious organizations and socio cultural organizations (1990 : 4-8). Secondary building blocks are made up of those "assets located within the community but largely controlled by outsiders" (1990 :9). Included i n this 59


category are private and not-for-profit organizations such as "institutions of higher education", hospitals, and social service agencies ; "public institutions and services" such as schools, police and fire departments, libraries, and parks and recreation centers; and "physical resources" such as vacant houses and land (1990:9-12). Potential building blocks represent those "resources originating outside the neighborhood" and also controlled by outsiders Included in this category are "welfare expenditures" which provide residents with a source of income, capital investments, and public information (1990:13-15) The information contained in the map was pulled from Rodwell's ethnographic reports (1995) and from the key informant interviews also conducted by her team The entire process consisted of making a list of all the assets Rodwell described in her reports, and then making a list of all the assets that were made evident by her key informants. In her reports, Rodwell divided the East End area into five sub-areas and reported on each separately. The asset listings were done following Rodwell sub-sections. This meant that a total of five listings broken down into primary secondary, and potential building blocks were compiled Once the five lists were completed, they were collated in order to draw a global asset map of the entire area (see results chapter) 60


Primary Care Giva / / Child Case Manager Provider Fig #2 Internal Validation Within Each Family Case 6 l


RESULTS The results of the Family Experience Study are presented in the context of the historical background of the East End residents, and of the political and economic changes that shaped this community. In presenting the results, emphasis is placed in determining the extent to which the East End Initiative (EEl) may be considered a community-based effort. This is accomplished through the analysis of the data gathered in the Study and by comparing the EEl with the Dudley Street Initiative in Boston. To compliment the results, an asset map of the community was created using information collected through the Ethnographic Reports Finally, a summary of the most significant lessons learned through the ent i re process is presented. Historical Background of the East End Residents The history of African-Americans in Richmond has been greatly influenced by the white supremacist ideas that ruled Richmond's politics and its industry (Green 1984 : 245). According to Green (1984:241-245), back in the 1820s Richmond s biggest industry was flour milling operated by fewer than 100 employees. However by the 1850s Richmond had over 7000 laborers, of whom 62


approximately 2500 were slaves and 1000 were free blacks who worked in the tobacco industry The rest, mainly whites, worked in the metal industry These changes transformed Richmond into an industrial center and began the process of the division of the work force by race. By 1840 all tobacco workers were black and the textile and metal industries which once were racially mixed became all white The separation of the work force by race was followed by an increased spatial separation By the 1860s most tobacco factories had concentrated in the southeast section of Richmond and since most workers lived near their employment sites, there was a large concentration of African-Americans in this area. Although this was not the only cause for residential segregation, it certainly contributed to this process (Green 1984 : 250, Silver 1984: 34) According to Rachleff (1989 : 24-27) after the emancipation many of the African-Americans secret institutions surfaced and spread and a new generation that had not experienced slavery as adults was coming of age This generation was more literate and articulate and more self-assured As a result, the African-American community became well organized. Their religious and social networks were strong (Brown and Kimball1995:315). There were over 400 secret societies which meant that every segment of the community was connected Then in the 1880s the Noble and Holy Order of the Knights of Labor allowed black laborers to organize their own labor groups and granted them total autonomy. The creation of the Knights of Labor groups "helped politicize the 6 3


already existing networks, and by 1886 seventy five percent of R i chmond s 5000 tobacco workers belonged to this organization (Rachleff 1989 : 30-37) At the same time there were other organizations that also experienced great growth during this period The two largest were The Grand United Order of True Reformers (abbreviated as True Reformers) and The Independent Order of St. Luke (abbreviated as Order of St Luke) (Woodson 1929:206) The True Reformers was created by Reverend William Washington Browne a former slave who made it into one of the largest black organizations of the times Under the True Reformers umbrella Browne started the True Reformers Bank in 1883 (Brown and Kimball 1995:316, Harris 1936:62) He also set up a Real Estate Department a Commercial Department (chain of stores)(Brown and Kimball 1995 : 316) and a retirement home (Woodson 1929 : 210). In addition, Browne was also the first one to include an insurance aspect into the African-American organizations (Woodson 1929 : 209-21 0) In 1885 Browne purchased the Richmond paper The Planet and turned it over to John Mitchell, Jr. who at the time was the paper's manager and editor. Eventually, Mitchell became a pol i tical figure among black Richmonders (Brown and Kimball 1"995:308) and the founder of the Mechanics Savings Bank (1903) The Mechanics Savings Bank is considered to have been one of the largest institutions organized by African Americans (Harris 1936 : 7 4-7 5) in the country Another important figure who came out of the True Reformers was B C Jordan who after acquiring experience through his work for this organization 64


developed the Southern Aid Soc iety i n 1893 This organ i zation was mo r e structured and followed the establ i shed insurance laws (Woodson 1929 : 212) The Order of St. Luke developed i n a similar fash i on as d i d the True Reformers and in 1903 opened their own bank St. Luke s Penny Savings Bank under the direction of Maggie L. Walker who became the first woma n banker i n America (Brown 1993: 29 Brown and Kimball1995:317 Silver 1984: 33 Woodson 1929 :211). Years later the bank was reorganized under the name of Consolidated Bank and Trust Company, which still continues to be t he nation s oldest black bank ( Brown 1993:29) The development of these inst i tut i ons was possible in part due to the att i tude of racial parallelism widely accepted by Richmond s white community that encouraged African-Americans to create the i r own institutions instead of having them come into theirs ( Harris 1 936:103). As these developments were taking place Richmond was becoming an urban metropolis and the c i ty center was no longer a place where people worked and lived (S i lver 1984 : 29) The area known as Jackson Ward ( l ocated in the East End of the City) had become the center of the Afr ican-Amer ican community in Richmond (Brown and Kimball 1 995 : 317 -320) As stated by Silver ( 1984 : 32 ), Jackson War

not paved) To make matters worse the c i ty used this area as the place were land-fills crematories, and refuse disposals were built, preventing Jackson Ward from becoming a desirable neighborhood (S i lver 1984 : 33) In the early 1900s, J i m Crow ideas invaded most i nstitutions and caused the social reformers to view the housing problems of Richmond's African Americans through a racial glass and decided that separatism was its only solution (Silver 1984 : 58-59) Consequently, by the 1940s the i nner-city neighborhoods were in a precar i ous state. In 1.941 the creation of the R i chmond Housing Authority started the clearance of sections of Jackson Ward and the construction of public housing projects These initiatives destroyed the phys i cal i ntegrity of the area and the economic and social heart of Richmond s African-Amer i can community (Silver 1984:153 S i lver and Moeser 1995 : 30). Three of four housing projects built during the 1950s were located in the East End section of Richmond Th i s was very much in keeping with the separatist att i tudes of R i chmond s c ity offic i als As a result by the time African-Americans gained political power (1960s) R i chmond had already been divided by racial l i nes and black residents occupied most of the eastern half of Richmond in the 1970s (Silver 1984 : 136 Silver and Moeser 1995 : 43) The East End The East End i s located between the James R i ver on the south to Interstate 64 on the north ; and from Interstate 95 on the west to the 6 6


Henrico County line on the east. There are twelve census tracks in th i s area comprised by nine neighborhoods : Eastview Shockoe Bottom Fa i rmont Church Hill Oakwood-Chimborazo St. John s Church Montrose Heights Fulton and Fulton Hill. The area s total population is 27 850 people of which 24 869 are African-Americans (89 62%) ; 2 690 are White (9. 64%) ; and 91 are of other races (.71%) Income ranges from $6 774 to $22,466 per househo l d Approximately 2 000 residents rece i ve government assistance in the form of Aid for Fam i lies with Dependent Children 4 000 receive Food stamps and 3 000 rece i ve Medicaid ( Flor i da Mental Health Institute 1994; Rodwell 1995 ). The East End boundaries and economic condit i on was shaped by Richmond s political and econom i c powers The underlying segregationist policies that ruled in Richmond until the early 1970s increased the concentrat i on of African-Americans in this area and helped lead to its economic downfall. The approval of the Richmond-Petersburg Turnp i ke i s a good example of how this came to be The construction of the highway meant the d i splacement of many blacks res i ding i n Jackson Ward The Housing Authority responded by building two public housing projects in the East End : Whitcomb and Fairf i eld Court Although only a small portion of the displaced res i dents moved into these projects in part due to the stigma associated with them as housing c l earance continued to take place in b lack neighborhoods many res i dents had no othe r option since nothing else was available (Silver 1984: 1931 94). 67


Urban renewal also contributed to the displacement of African-Amer i cans In 1959 the Richmond Redevelopment and Housing Authority (RRHA) proposed a comprehensive ten year plan to r i d Richmond of slums. The plan called for the clearance of 851 acres and nearly 300 city blocks Included in this area was Fulton, wh i ch was characte r ized as Richmond s worst slum ." Fulton s residents rejected the label and fought to r es i st the plan (Rodwell 1 985 : 23 ; Silver 1984: 261) Their resistance responded to their knowledge that the motive for the City s pursual of urban renewal in Fulton was to create space for industrial expansion, and not due to a concern for the conditions of the area At the time (late 1960s) around 40% of the houses in Fulton were owner occupied were well kept and their owners had deep roots in the area (Silver 1984 : 290) This area had been the economic and social support of at least four gene r ations of African-Americans, who suddenly were exposed to the deterioration caused by the plans designed by the main stream society (Davis 1988) Many negotiat i ons took place between the RRHA and Fulton s residents however the availability of substantial financial assistance provided through the 1970 Act which offered financial benefits to those willing to relocate hastened the exodus from Fulton and abandonment of the concept of neighborhood preservation (Silver 1984:306) As a result, bulldozing of the area was completed by 1976 (Rodwell 1995: 23) Since then no publicly subs i dized efforts have been made to improve certa i n areas of the East End In the late 1960s and early 1970s Richmond s 68


middle class began a neighborhood upgrading effort Church Hill was one of the inner-city neighborhoods targeted by the middle class who transformed many run down properties into elegant homes Results of this effort was mixed because as real estate prices went up many existing poor residents" were driven out without receiving proper compensation since this was a privately run effort (Silver 1984:313) During my visit to Richmond to conduct the Family Experience Study I had the opportunity to observe the gentrification process that is taking place i n Church Hill. There are several blocks of beautifully renovated homes blocks of houses that have not been renovated but are well kept and blocks of houses in bad repair. I found the other sections of the East End to be much nicer than expected considering the level of poverty of its residents and the number of public housing developments located in them. Structurally speaking the public housing developments are in good repair The garbage in the streets and the absence of lawns in front of the dwellings make some of the developments look more deteriorated than they are. Housing is mixed in the East End neighborhoods and is not uncommon to find enclaves of nice well kept homes next to less desirable areas. When I commented about the overall good appearance of the different areas to the Parent Coordinators they told me that what made some of the areas undesirable was not their appearance but the criminal activities that take place in them 69


According to Silver and Moeser (1995 : 163), the present condition of the East End is the result of a clearly defined separation between race and income in Richmond that although it has allowed more affluent blacks to move into white neighborhoods it has also increased the concentration of low-income blacks in the East End In view of Silver and Moeser the creation of this separation has produced positive and negative outcomes The emergence of a black political power in the 1970s was a positive outcome however the weakening of the social and economic fabric of these communities was a negative outcome produced by faulty neighborhood development policies that created a social and economic gap in the City In addition Silver and Moeser state that it is unfortunate that now that Richmond has become a city where blacks are a majority the black leadership is not longer aligned and consequently, the black community is speaking with many voices while the class division among African-Americans grow wider and wider" (1995 : 165-181 ) In order to help overcome some of the conditions present in the East End the Annie E Casey Foundation launched an urban Initiative to determ i ne what are the needs of the East End residents and the existing gaps in the services they are receiving The development of a Protocol for the Fami l y Experience Study focusing on the impressions of the families responded to the Initiative s need to gain a better understanding of this community that would in turn strengthen their plan for a systems reform. 7 0


Protocol Assessment The protocol for the Family Experience Study was pilot-tested to determine the appropriateness of the questions and the language used in it but when the evaluation team went into the field we were not certain about whether the protocol would provide the data we were seeking (especially impressions of families and of their providers regarding their interaction) Once in the field, the Protocol turned out to be an effective tool because it allowed the interviewers to record the data directly on the instrument. This meant that once the interviews were completed the interviewers jobs were done They did not have to transcribe any information This also meant that as the information was collected, the evaluators could easily refer back to it when completing the study, during the daily debriefings and/or when completing their own assessment of it in the summative questions. Upon our return from the field, a team debriefing to discuss the field work took place. Part of the debriefing focused on the protocol and the team's feeling about it. We wanted to know about the type of data collected and about any difficulties anyone had with the actual instrument. The overall response was positive. The evaluation team did not find the protocol to have limitations regarding the areas of inquiry. Most comments referred to adding a not applicable category (NA) to several questions and to re-arranging the location of others. 7 1


Interviewers also expressed concern about the questions related to cultural competence These concerns responded to two issues : interviewers lack of comfort asking the questions and the reactions these questions elicited from the providers Regarding lack of comfort, one interviewer felt that it was difficult for a white interviewer to ask African-American parents if they prefer working with African-American providers because they may feel that a positive response could offend the interviewer. Regarding the reaction of some of the providers, an interviewer mentioned that for them this may be a difficult question because even if they see the value of cultural sensitivity, the organizations they represent may not consider it important. It was also suggested that providers who are of the same ethnic background also seem to automatically assume their approach is appropriate when it may not be. These are important concerns and the evaluation team recognized the need to find ways to address cultural competence without making anyone feel uneasy. Moreover, interviewers need to expand the i r understanding of this concept and how to present it to interviewees. For interviewers need to understand that being of the same ethnic background does not automatically mean that people share the same cultural background In Latin cultures where social organization is defined by class there are clear cultural differences among social classes Likewise the development of class stratification among African-Americans has widened the gap that exists between them such that having a provider of the same ethnic background is not suff i cient to establ i sh 72


cultural competency No other concerns were expressed by the evaluat i on team at the time ; however other concerns specific to the i ssue of community-based arose as the data was analyzed A detailed analys i s regard i ng the presence of this principle in Richmond follows Determining the Extent of the Community-based Effort in the East End In order to determine to what extent the Casey East End Initiative is a community-based effort I will start by defining what exactly th i s princ i ple entails Then I will discuss the results gathered f r om the protocol and finally through a comparison with the Dudley Street Init i ative I will look at elements of the community-based concept present and absent in this site The community-based value guiding this evaluat i on has been derived from concepts developed by Friedman (1994) and by McKnight (1990) Friedman s ( Stroul and Friedman 1994 : 17) concept of commun i ty-based states that although historically mental health services have been offered i n traditionally restrictive institut i ons such as state hospita l s and train i ng schools these are not the most appropriate environments for all children For some children and their families a community-based network of serv i ces within or closer to their home will be more suit i ng to their needs In addition, the concept of community based i s not l i mited to the del i very of services It includes the participation of the community in the dec i sion-mak i ng process In doing so the commun i ty would help determine the types of serv ices 73


offered, their coordination, and the utilization of resources In McKnight's (1990) view community-based efforts should not only be located in the community but should also take into consideration the resources available in the community These resources represent the investment of the community and should represent the building blocks of any community effort Questions addressing the community-based concept are present i n the protocol in the Primary Caregiver, the Case Manager, and the Summative Questions sections thus allowing the evaluation team to gather the impressions of service recipients, of service coordinators, and of the interviewer The questions posit to primary care givers focus on access issues such convenience of meeting place, appointment times, and availability of providers These questions are asked considering both the primary care giver and the target child The questions asked of case managers address the availability of services in the target child s community, whether the case manager has made any effort to utilize community resources such as church services, and the inclusion of relatives and friends as informal supports Answers to these questions (see table 1) showed that out of the ten cases, eight had a formal provider (Formal Helper #1 ). and according to the primary care givers, with the exception of one who was not asked the question responded that their providers were willing to make home visits if necessary Of the seven families that identified a second provider (Formal Helper #2) six responded that these providers were also willing to make home visits one 7 4


responded negatively and one did not know When asked if the services provided by their Formal Helper #1 were located in the i r community four famil i es responded positively four responded negatively and one had a split response because access was convenient for the target child who receives services at school but it was not convenient for the primary care giver. In addition access to their Formal Helper #1 was facilitated by the availability of transportation which all families had (either their own or provided by provider) When asked if the services provided by their Formal Helper #2 were located in their community, two families responded positively and seven negatively However they all had avai l able transportation. Finally when primary care givers were asked if they felt their children were placed in the most appropriate environment nine responded positively and one negatively Out of the ten cases only six identified a case manager. When these case managers were asked about their utilization of community resources when creating a plan for these families they all responded posit i ve l y It is particularly noteworthy that responses for case #4 and case #6 were i n disagreement with what was reported by the interviewers in the Summative Questions The summative questions are intended to gather the interv i ewers i mpression regard i ng the extent to which the principles guiding this Initiative are in place. The community-based summative questions, address the same issues asked of the primary care givers and adds a question regard i ng the participation of primary care givers in service delivery (see table 2). 75


Table 1. Responses to Community-Based Related Questions Protocol Primary Caregiver Formal Primary Caregiver Forma l section Helper# 1 Helper#2 Question #s1115 Topic Home Service Availab Home visits in comm Transp visits Case #1 y y y y Case#2 y y y y Caself3 y YIN y NA Case#4 y N y y Case#5 y N y OK Case#6 y y y y Case#? DA N y NA Case#8 NA NA NA y Case#9 NA NA NA N Case#10 y y y NA PC-E= Primary CaregiverEffectiveness CM-CTP= Case Manager Case/Treatment Plan DA= Did not ask OK= Do not know NA= Not applicable Y/N= Split response #s 11-15 Service Availab incomm Transp N y y y N y N y N y N y N y y y N y NA NA PC-E #9 Approp environ y y N y y y y y y y Responses to whether services are located in the target families' communities showed four responses meaning that some of the services received by these families were in the community (usually the school) and some were not. Services received by five families were not located in the community CM-CTP #10 Services i n comm y y y Y* NA Y ** NA NA NA y 76


Regarding transportation, the responses were positive for four families negatively for four, one did not mention transportation and one was not applicable In reporting as to what extent families had a say so in service delivery interviewers responded that four families had a say so one family had a limited say so (split) three did not, and one did not know Finally when asked if they felt that services were being provided in the least restrictive environment eight responses were positive, one negative and one was not applicable. In summary, responses to questions related to community-based issues showed that with the exception of recreation centers attended by two of the target children, only one of the participants in the Family Experience Study is receiving services in the community This is a special case because the target child is under house-arrest and is restricted from leaving the house, unless it is arranged by his providers The cases coordinated by the Casey case managers are supposed to receive intensive in house services Nevertheless, of the three Casey family cases identified for the study, one did not have a case manager at the time of the Study, and one had moved out of the East End and therefore had to be assigned a new case manager from the Richmond Mental Health Service. Thus only one of these three families was receiving intensive in-house counseling. The family that moved out of the East End also received some in-house services from one of their providers The lack of community-based providers was compensated by the availability of transportation offered by providers 77


Table 2. Responses to Community-Based Summative Questions Topic Services in Availability of Participants Say Least Restrictive Community Transportation So in Services Environment Case#1 Case#2 Case#3 Case#4 Case#S Case#6 Case#? Case#8 Case#9 Case #10 OK= do not know NA= not applicable Y/N= split response NA N YIN N YIN N N N YIN YIN NA NA Provider provided DK DK y y y School provided y N N Provider provided N N N N y N YIN Regarding family participation in determining services and as decision-y y y y y NA y N y y makers in the institutions providing the services, the data showed that families had some say so regarding the services received by their children however there was no family participation beyond this stage. These families were involved in a uclient" relationship, as discussed by McKnight (1990). In addition, it is my impression that families have not been asked to participate in any other capacity 1 do not even think that they are aware that the initiative calls for family participation. 7 8


Concerning the level of restrictiveness, all families felt that their children were being served in the best possible setting They liked having their children at home and they did not have complaints about the services they were receiving Only one family expressed dissatisfaction with their child placement in school. They felt that their child should be placed in special education where she would be in a more structured setting. Since this represents the first round of data collection in R i chmond it is impossible to determine whether the implementation of this Initiative is responsible for the level of participation found in these family cases It is clear that their participation is limited, but we do not know why Therefore, future revisions to the protocol should consider asking questions to that effect. Families should be questioned about their understanding of family participation what efforts are made by providers to help them participate and to what extent they want to participate. Likewise providers should be questioned about their outreach efforts to include families at the different levels of service provis i on In the absence of other vehicles to determine what aspects of the Casey East End Initiative respond to a community-based effort comparison with a similar initiative seemed to be a workable solution. For this purpose, the Dudley Street Neighborhood Initiative (DSNI) in Boston was selected. Dudley Street Neighborhood Initiative (DSNI) ys East End Initiative (EEl) Prior to the creation and implementation of the DSNI, this community was one of 7 9


Boston s most impoverished areas afflicted by the ills of most i nner-cities (e.g., urban renewal, economic disempowering white flight red lining etc )(Medoff and Sklar 1994:1 ) Although the DSNI is a community development initiative and not a mental health initiative it shares many characteristics with the Casey Initiative. Both see community participation and community control as key aspects to the success of their initiatives both are being implemented in similar communities (population size and income levels) and both are being funded by outside agencies A more detailed look at their similarit i es and differences follow. Developing and implementing a neighborhood initiative is a process that involves several phases Therefore these initiatives are being compared as they moved through different stages (see table 3) Planning Phase During the planning phase, the Trustee for the R i ley Foundation (DSNI funding agency) wrote a funding scenario for Dudley based on his conversations with community leaders ; he presented it to the Foundation ; which agreed that the undertaking would require cooperation from neighborhood agencies churches, organizations and the city. Meanwhile the community s leaders created a temporary Governance Board until elections could be held At the first community-wide meeting over 200 people showed and demanded full resident participation and resident representation on the board During this process the Foundation gave DSNI the space to make its own decisions and its 80


own mistakes while standing ready to ass i st in any way requested (Medoff and Sk l ar 1994 : 52-53) The planing phase for the EEl followed a different path. It was developed by the Department of Mental Health Mental Health Retardation & Substance Abuse Services after a series of brainstorm meetings among state representatives, city agencies and parents As a result of these meetings a State/City Consortium was made up of State and City representatives from education health soc i al services mental health and juvenile justice Their purpose was to work in an advisory capacity to the Neighborhood Board (which still did not exist) Once the Consortium was created then they decided to get input from the community and to hire a State Coordinator and a Neighborhood Director (Commonwealth of Virginia 1993 : 1-5). Creating the Neighborhood Board The by-laws of the DSNI require that at least 51% of the Neighborhood Board members must be neighborhood residents They also call for equal minimum representation of all ethnic groups in the community. The Board is elected by the residents after weeks of intensive organizing to allow the community to become famil i ar with the candidates (Medoff and Sklar 1994 : 5860) The EEl Board requires that members have to either live in the targeted neighborhood or work with an agency in the neighborhood whose purpose is to serve the youth. The composition must be 50/50 percentage of 81


residents and community agencies with never less than half the board members being parents or residents (Commonwealth of Virginia 1993:26) Members are not elected in a general election rather they are self-nominated The community as a whole is not aware, much rather involved in the process The Neighborhood Coordinator The coordinator/director for the DSNI works for the Initiative and he/she may be hired from the outside of the community. This decision responded to DSNI wish to hire the best and most prepared person for this job, keeping in mind that the coordinator must be capable of working with the entire community and not with just a particular sector The coord i nator/director is supervised by and must answer to the Board (Meddoff and Sklar 1994 : 62) The EEl coordinator is hired by the c i ty of Richmond and supervised by the State. The position in classified as a Mental Health Clinician II and its supervision comes from the Community Service Board's Child and Family Service Director (Commonwealth of Virginia 1993 : 6-7) Implementation DSNI pulled their resources together with outside resources to implement different aspects of their plan. All neighborhood organizations as well as residents were asked to participate in community events. This was possible thanks to the community solidarity that was developed during the planing phase and maintained throughout the entire process Although the EEl has resident representation in its Neighborhood Governance Board it has failed to pull 82


together the resources available in the community (e.g., tenant associations religious organizations small businesses, etc ) to carry out their plan By not pulling together other communities resources services presently offered by EEl are limited to a handful of families In spite of the similarities shared by these i nitiatives there are clear differences between the two when it comes to community participation DSNI has all the components of a community based initiative while the EEl lacks most of them Whereas the implementation of the DSNI is guided by the community, the implementation of the EEl still show no signs of community participation at all levels. The strengths of the community are not being explored. The implementation phase is in the hands of the city/state agencies. In other words the main difference between DSNI and EEl is that DSNI has responded to the needs voiced by the community and EEl has yet to do so The absence of community in the implementation of the EEl may mean that this implementation is taking place at a system level and not at a community level particularly considering that the East End profile prepared by the Department of Mental Health Mental Retardation, and Substance Abuse Services was -put together based on information provided by the City and State agencies and the census (Commonwealth of V i rginia 1993 :1-3; and undated manuscript) As a result this Snapshot of the East End focuses more on the number of people being served by the different systems (deficits) and on the capacity of the system rather than on the assets of the community 83


Table 3. Comparing DSNI and EEl Phase DSNI EEl Planning Community Involvement Yes No Creating Neighborhood Board Community representatives must reside in the area Yes No Calls for representation of all ethnic groups Yes No Members elected in general elections Yes No Neighborhood Coordinator Hired by the Initiative Yes No Supervised by the Board Yes No Implementation Pulled together community resources Yes No Contrary to the East End Snapshot, the Windshield SuNey and the Key Informant Interviews conducted by Rodwell (1995) as part of the Ethnographic report describe the resources available in the East End. The information provided in these reports show that there are many strengths in this community that are not being tapped by the EEl and that should be considered in the implementation plan. East End Strengths As stated by Greenbaum (1995 : 4) social programs developed to assist inner city residents tend to overemphasize their deficiencies 84


and underestimate the valuable resources present in these communities McKnight's (1990) development of the community asset mapping has been a turning point in the way communit i es are viewed In addition, asset mapping serves as a departure point for community-based initiatives, particularly when working with a large community such as the East End. According to the data collected by Rodwell, and as reported by Greenbaum (1995), there are a wide range of resources available i n the East End and "virtually everyone interviewed pointed to positive features of their neighborhoods, and the larger areas Rodwell's reports are divided into corridors/subsections and data for each corridor is presented separately However for the purpose of making an asset map of the East End (fig #3), all corridors were collated together (see appendices for asset listings of each corridor/subsection). The East End asset map was developed following McKnight's model (1990) Facilitating this type of activity is one of the ways that applied anthropologists may help these communities develop and sustain communitybased initiatives. An explanation of what is comprised in each asset follows : Primary building blocks History: residents are aware and proud of their local history Familial ties/traditions: residents acknowledge having familial ties to the area, of being part of a tradition in the community Churches: have been a part of the community for many years Offer some social services 85


Local leadership : residents who are committed to community improvement. Mostly work on a voluntary basis. Civic groups: neighborhood associations, neighborhood watch programs civic associations, grass roots efforts ,. Sense of community : residents (including children) know each other watch after each other, share in community activities such as celebrations and holidays. Resident participation : residents are involved in community efforts Residential stability: a significant number of residents have lived in the area for a long time. Pride of home ownership : properties are well kept. Stable property values: property values have not declined In some areas have increased significantly Affordable housing : houses may be purchased at reasonable prices Rents are not as high as some other areas Mixed property types : the area is composed of residential, commercial and industrial properties ,. Professional services: doctors, lawyers, dentists, etc Individual businesses : convenient stores barbershops beauty salons laundromats dry cleaners meat shops auto repair shops, day care services, restaurants etc. that are owned by community members Resident diversity : generational class race ,. Occupational diversity : presence of white and blue collar workers as well as artists Communication system : there are established communication channels within the community. Communication takes place in a formal manner i.e. flyers newsletters, etc., and also in an informal manner i.e., people talk to each other by phone in the streets in church, and at social gatherings 86


Ideas hopes and dreams : residents have ideas about how to improve their community, hopes about the future and the ability to dream about a better community Secondary building blocks ,... Youth programs : programs such as those offered by the Salvation Army the Boy's and Girl s Club, and others run by pr i vate organizations. Businesses: those that more than likely are owned by non-resident members, i.e., restaurant chains gas station chains banks store chains and large industries Potential building blocks ,... Investment incentives : incentives for economic development offered by programs such as the Enterprise Zone Media : a positive media portrayal of the area important in building the community Foundations : resources communities receive from fund i ng agencies Welfare expenditures : resources residents receive from the government. Once a community asset map is developed the next step should be to create an index of what each community organization business entity or agency can offer. This follows Whiteford's (1991 : 1 08) concept of developing a health program index listing all health resources available in a community. Th i s listing should include information relative to the particular entity such as the services it provides, how many people are being served what are they capable of doing how long have they been in business etc 87


I I 1 Grant& 1 J W 1 (Casey & others) I Expenditures I I Churches I Local JPride of. ISc:nsc of I Resident !Stable a v leaders !ownership lcommunicyl stability property s r ::'!ns Library Publio om..munio I History I Hopes I Civic I Resident e D stem butlli1C88C6 Dreams groups diversity 0 t L Profess !Resident I tics property a a Sctvioca partioip Traditions Dtvcraty houstDg types : 0 I 1 Invcament incentives 1 Media / I._ .. -.. -.. -.. -.. -.. -.. i... _, Primary Building Blocks Secondary Building Blocks Potential Building Blocks Fig. #3 East End Asset Map This kind of information helps the development of community relations and also provides the community with a more realistic assessment of their condition and therefore allowing them to plan accordingly. By using this type of approach chances for service duplication will be eliminated, and external resources could be used to compliment what is already in place 88


Lessons Learned My participation in this project gave me the opportunity to learn about program evaluation, mental health initiatives community-based efforts and to view them from an anthropological perspective. In doing so I was able to define the most significant lessons learned throughout this process. These are : + Mental Health Reform is only one piece of the overall reform that needs to take place in these communities A holistic approach that takes into consideration the historic framework of these communities without ignoring the "vibrant infrastructure of churches clubs and businesses (Bauman 1995 : 545) is necessary in order to move impoverish communities out of their present condition + More emphasis needs to be placed in trying to alter the overall economic and social system rather than rely on service provision as the solution As stated by Halpern (1993 : 344) by doing so, the larger system shows its unwillingness to acknowledge the real problems + Outside forces trying to create change must provide the resources needed for that change to take place. If they expect change to come from the people, then they need to invest in the organizations controlled by the people and not by the system. Therefore, commitment must come from both the outside forces and the community + Anthropologists need to continue to describe evaluate and propose workable solutions for these communities For as long as these communities continue to suffer the consequences of faulty economic policies, they will not be able to arise above poverty Thus the importance of having a clear understanding of the forces affecting these communities and how they respond to them. Unless we remove poverty policy from isolated researchers and help connect it to the poor" (Williams 1992 : 170) we will continue to propose unrealistic solutions. 89


REFERENCES CITED Agar Michael 1987 Speaking of Ethnography. Qualitative Research Methods Series Vol 2 Beverly Hills: Sage. Angrosino Michael V. 1978 App l ied Anthropology and the Concept of the Underdog : Implications for Community Mental Health Planning and Evaluation. Community Mental Health Journal14 (4) : 291-299 Bauman John F 1995 The Truly Segregated? Exploring the Urban Underclass. Journal of Urban History 21 (4) : 536-548 Bernard Russell 1994 Research Methods i n Anthropology Qualitative and Quant i tative Approaches Second Edition Thousand Oaks London New Delhi : Sage Publications. Bhattacharyya Jnanabrata 1995 Solidarity and Agency: Rethinking Community Development. Human Organization 54 (1 ): 60-69 Britan Gerald M 1978 The Place of Anthropology in Program Evaluation Anthropological Quarterly 51 (2) : 119-128 Brown Elsa Barkley 1993 Constructing a Life and a Community : A Part i al Story of Maggie Lena Walker. OAH Magazine of History Summer : 28-31. Brown Elsa and Gregg D. Kimball 1995 Mapping The Terrain Of Black Richmond. Journal of Urban History 21 (3):296-346. 90

PAGE 100

Chaskin Robert J. and Renae Ogletree 1993 The Ford Foundation's Neighborhood and Family Initiative. Building Collaboration: An Interim Report. Chicago: The Chapin Hall Center for Children at the University of Chicago Cnaan Ram A. 1991 Neighborhood-representing Organizations : How Democratic Are They? Social Service Review 65 (4):614-634 Chambers, Erve 1985 Applied Anthropology : A Practical Guide Illinois : Waveland Press Inc Commonwealth of Virginia 1993 Application A Mental Health Initiative For Urban Children. A Partnership between the Commonwealth of Virginia the City of Richmond and the East End Community 1993 East Richmond, VA. "A Snapshot." Annie E Casey Mental Health Initiative. Manuscript. Coulton Claudia J. 1995 Using Community-Level Indicators of Children's Well-Being in Comprehensive Community Initiatives In New Approaches To Evaluating Community Initiatives : Concepts Methods, and Contexts James P. Connell Anne C Kubisch, Lisbeth B Schorr and Carol H Weiss, eds Pp 171-199 The Aspen Institute Davis Scott C. 1988 The World of Patience Grames. Making and Unmaking a Black Community Kentucky: The University Press of Kentucky. Dilworth-Anderson, Peggye 1992 Extended Kin Networks in Black Families. Generations 16 (3) : 29-32 Eames Edwin and Judith Goode 1977 The Culture of Poverty: A Misaplication of Anthropology to Contemporary Issues. In Anthropology of the City: An Introduction to Urban Anthropology Edwin Eames and Judith G Goode, eds .. Pp. 304-319 USA: Prentice Hall. 91

PAGE 101

Elmore Richard F 1991 Comment on Towards Rigor in Reviews of Multivoca l Literatures : Applying the Exploratory Case Study Method." Rev iew of Educational Research 61 (3) : 293-297 Fetterman David M and Mary Ann Pitman eds 1986 Educational Evaluation: Ethnography in Theory Practice and Politics Beverly Hills : Sage Fetterman David M., ed. 1991 Using Qualitative Methods in Institutional Research New York : Maxwell McMillan International Publishing Group Florida Mental Health Institute (FMHI) 1994 Neighborhood Governance : A Developmental Ana l ys i s 1994 Census Report : Demographic Characteristics of the Ne i ghborhoods of the Mental Health Initiative for Urban Children. Foster George M. 1969 Applied Anthropology. Boston : Little Brown and Company Gardner John W 1992 Reinventing Community Carnegie Corporat i on Occasional Papers Report of the Task Force on Youth Development an Community P r ograms Carnegie Council on Adolescent Developmen and Carnegie Corporation of New York. December 1992. Gilgun Jane F 1994 A Case for Case Studies in Social Work Research. Social Work 39 ( 4) : 371-380 Greenbaum Susan D 1993 Housing Abandonment in Inner-City Black Neighborhoods : A Case Study of the Effects of the Dual Housing Market. In The Cultural Meaning of Urban Space, Robert Rotenburg and Gary McDonagh eds Westport CT: Bergen and Garvey 1995 Annie E. Casey Urban Children s Mental Health Initiative Ethnographic Resource Assessments for Richmond and Houston Manuscript. 92

PAGE 102

Halpern Robert 1991 Supportive Services for Families i n Poverty : Dilemmas of Reform Social Service Review 65 (3) : 343-364 Haeberle Steven H. 1988 Community Projects and Citizen Part i cipation : Neighborhood Leaders Evaluate Their Accomplishments. Social Science Quarterly 69 (4) : 1014-21 Harris A. L. 1936 The Negro as Capitalist. New York : Negro Univers i ties P r ess Hobfoll Stevan E. and Anita P. Packson 1991 Conservation of Resources in Community Intervention American Journal of Community Psychology 19 (1 ) : 111-121. Homonoff Emeline E. and Pame l a Fineman Maltz 1991 Developing and Mainta i ning a Coordinated System of Community Based Services to Children Commun i ty Mental Health Journal 27 (5): 347358. Joint Center for Political Studies 1984 A Policy Framework for Racial Justice In Women And Chi ldren In Poverty Washington D.C. : U.S Government Printing Office. Jones Delmas 1987 The Community" and Organizations in the Community In Cit i es of the United States : Studies in Urban Anthropology Mullings Leith eds. Pp 99 121. New York : Columb i a Univers i ty Press Kubisch A.C., C H Wei ss LB. Schorr and J P Connell 1995 Introduction. In New Approaches To Evaluating Community Initiatives : Concepts Methods, and Contexts James P Connell Anne C. Kubisch Lisbeth B Schorr and Carol H Weiss eds. Pp. 121. The Aspen Institute Lewis Oscar 1985 The Culture of Poverty In Urban Life : Readings in Urban Anthropology second ed i tion George Gmelch and Walter P. Zemner eds .. Pp. 310-334 Prospect Heights ILL : Waveland Press Logan J .R. and H. L. Molotch 1987 Urban Fortunes: The Polit i cal Economy of Place Berkeley CA: Un i vers i ty of California Press 93

PAGE 103

Littlejohn-Biake, Sheila M and Carol Anderson Darling 1993 Understanding The Strengths of African American Families. Journal of Black Studies 23 (4) : 460-471 .. Marchione, Thomas J 1984 Evaluating Primary Health Care And Nutrit i on Programs In The Context Of National Development. Social Science and Medicine 19 (3): 225-235 Marcus George E. and Michael M Fisher 1986 Anthropology as Cultural Critique: An Experimental Moment in the Human Sciences Chicago : The University of Chicago Press McKnight John 1995 The Careless Society : Community and Its Counterfits New York: Basic Books. McKnight John and John Kretzman 1990 Mapping Community Capacity Report of the Neighborhood Innovations Network funded by the Chicago Community Trust. Center for Urban Affairs and Policy Research Northwestern University. Evanston, Illinois Medoff Peter and Holly Sklar 1994 Streets of Hope. The Fall and Rise of an Urban Neighborhood Boston MA: South End Press. Mok Bong-ho 1988 Grassroots Organizing in China: The Residents' Committee as a Linking Mechanism Between the Bureaucracy and the Community Community Development Journal 23 (3): 164 169 Mullings, Leith 1987 Introduction : Urban Anthropology and U .S. Cities In C i ties of the United States Studies in Urban Anthropology Leith Mullings ed .. Pp 1-15 New York : Columbia University Press. Newman, Katherine S. 1992 and Structure in The Truly Disadvantaged City and Society 6 (1 ):3-25 Okagaki Alan 1995 Building Communities of Opportunity New Development Opt i ons for the Northwest and Upper Midwest. A Report Commissioned by the Northwest Area Foundation. 94

PAGE 104

Patton, Michael Quinn 1990 Qualitative Evaluation and Research Methods Beverly Hills : Sage Pelto, Pertti J. 1970 Anthropological Research : The Structure of Inquiry. New York : Harper and Row Publishers. Platt, Jennifer 1992 "Case Study" In American Methodological Thought. Current Sociology 40 : 17-48 Rachleff Peter 1989 Black Richmond and the Knights of Labor In Research in Urban Sociology. Race Class and Urban Change Vol. 1 Pp. 23-52 Jerry Lembcke and Ray Hutchison, eds. Greenwich Connecticut: Jai Press Inc. Redfield Peattie Lisa 1980 Ethnography and Observation Research in Policy Study. 'Dirty Research' by Anthropologists: Fieldwork in On-going Public Programs Practicing Anthropology 3 (1 ) : 8-9 Register Ronald 1991 Collaboration: A Strategy for Neighborhood Planning." Practicing Anthropolgy 13 (3):13-14 Richeport Madeleine 1984 Strategies And Outcomes Of Introducing A Mental Health Plan In Brazil. In Social Science and Medicine 19 (3) : 261-271 Rodwell Mary K and Barbara A. Conklin 1995 The Casey Initiative Ethnographic Study. The East End. Richmond, Virginia. Volume I. Prior Ethnography Report School of Social Work Virginia Commonwealth University, Richmond Virginia 1995 The Casey Initiative Ethnographic Study. The East End, Richmond Virginia Volume II. Winshield Survey Report. School of Social Work Virginia Commonwealth University, Richmond Virginia 1995 The Casey Initiative Ethnographic Study The East End. Richmond Virginia Volume Ill. Key Informant Report School of Social Work Virginia Commonwealth University Richmond Virginia 95

PAGE 105

Rothman Jack and Larry M Gant 1987 Approaches and Models of Community Intervention In Needs Assessment. Theory and Methods D E. Johnson L. R. Meiller L. C Miller and G F Summers eds Pp. 35-44 Ames Iowa : Iowa State University Press Schorr, Lizbeth B 1988 Within Our Reach : Breaking the Cycle of Disadvantage. New York : Anchor Press Schwartz, Edward 1979 Neighborhoodism : A Conflict in Values. Social Policy, March/April : 814 Silver Christopher 1984 Twentieth Century Richmond. Planning, Politics and Race Knoxville : The University of Tennessee Press Silver Christopher and John V Moeser 1995 The Separate City : Black Communities in the Urban South, 1940-1968 Kentucky : .The University Press of Kentucky Simpson Dick and Ann Gentile 1986 Effective Neighborhood Government. Social Policy Spring 1986: 25 -30. Spicer Edward H 1976 Beyond Analysis and Explanation? Notes on the Life and Times of the Society for Applied Anthropology Human Organization 35(4): 335-343 Stoecker, Randy 1991 Evaluating and Rethinking the Case Study Thousand Oaks : Sage Publications Stroul, Beth A and Robert M Friedman 1994 A System of Care for Children and Youth with Severe Emotional Disturbances Revised Edition. Washington DC: Georgetown University Child Development Center CASSP Technical Assistance Center Tierney, William G 1991 Utilizing Ethnographic Interviews to Enhance Academic Decision Making. In Using Qualitative Methods in Institutional Research David M Fetterman ed .. Pp. 7-22. New York : Maxwell McMillan International Publishing Group. 96

PAGE 106

U.S DHUD 1979 Banana Kelly Community Improvement Association. Community Organizing Bronx New York In Neighborhoods : A Self Help Sampler Pp. 7-11 Washington, D C.: US Government Printing Office Valentine Charles A. 1968 Culture and Poverty : Critique and Counter-Proposals Chicago : University of Chicago Press 1969 Culture and Poverty : Critique and Counter-Proposals Current Anthropology 10 (2-30) : 181-201 Van Willigen John 1986 Applied Anthropology : An Introduction New York : Bergin and Garvey Walls Carla T. and Steven H Zarit 1991 Informal Support From Black Churches and the Well-Being of Elderly Blacks. The Gerontologist 31 (4):490-495. Weisburd, Dan E. 1990 Planning a Community-Based Mental Health System American Psychologist 45 (11): 1245-1248 Whiteford, linda 1991 Need Assessment and Program Evaluation in Community Health In Training Manual in Applied Medical Anthropology Carole E. Hill ed .. Pp. 101124 Washington D C : American Anthropological Association Williams Brett 1992 Commentary Human Organization 51 (2): 164-174 Williams, M R. 1985 Neighborhood Organizations : Seeds of a New Urban Life. Westport, Conn.: Green\NOod Press Woodson Carla G 1929 Insurance Business Among Negroes Journal of Negro History 14 : 202226. Yin, Robert K 1994 Case Study Research : Design and Methods. Second Edition. Thousand Oaks London, New Delhi : Sage Publications 97

PAGE 107

BIBLIOGRAPHY Abt, C l ark C.,ed 1977 The Evaluation of Social Programs. Beverly Hills: Sage Adams Amelia M 1991 Zora Neale Hourston: Native Anthropologist. In All About Zora Views and Reveiws by Colleagues and Scholars At the Academic Conference of the First Annual Zora Neale Hurston Festival of Arts January 26-27 1990 Eatonville Florida. Alice Morgan Grant ed. Pp. 35-42 Winter Park Florida: FOUR-G Publishers Inc Alemi Farrokh 1987 Subjective and Objective Methods of Evaluating Social Programs Eva l uation Review 11 (6) : 765-773 Armstrong, Mary I. and Mare E Evans 1992 Three Intensive Community-Based Programs for Children and Youth with Serious Emotional Disturbance and Their Families Journal of Child and Family Studies 1 (1) : 61-74. Berk, Richard A. and Peter H. Rossi 1990 Thinking About Program Evaluation. Thousand Oaks CA: Sage Burns Allan F 1991 Zora as an Anthropologist Folklor i st Author In All About Zora Views and Reviews by Colleagues and Scholars At the Academic Con f erence of the First Annual Zora Neale Hurston Festival of Arts January 26-27 1990 Eatonville Florida. Alice Morgan Grant, ed. Pp. 31-34 Winter Park Florida : FOUR-G Publishers, Inc Carman Christopher M J Aldridge, and W Woods 1992 Nurturing And Empowering Head Start Families Through The Use Of Community : An Approach For Re-engaging Families In Our Communities Manuscript. 98

PAGE 108

Clapham, David and Keith Kintrea 1994 Community Ownership and the Break-up of Counc i l Housing in Britain Journal of Social Pol i cy 23 (2) : 219-245 Dabney Virginius 1990 Richmond: The Story of a City. V i rginia : University Press of Virginia Dorr-Bremme Donald W 1986 Ethnographic Evaluat i on : A Theory and Method. In Evaluation Studies Review Annual. DavidS. Cordny and Mark W Lipsay eds . Pp 378-397. Farris Buford 1988 Neighborhood Social Action Organizations and the Issue of Double Closure". Quarterly Journal of Ideology 12 (4 ): 17-30 Flor i da Menta l Health Institute 1995 The East End Focus Groups : A Report On Parents' Percept i ons Of Life and Services. Department of Child and Family Studies Florida Mental Health Institute University of South Florida. Tampa, Florida. Florin Paul and Abraham Wandersman 1990 An Introduction to Citizen Part i cipation Voluntary Organ i zat i ons and Community Development: Insights for Empowerment Through Research Amer i can Journal of Community Psychology 18 (1) : 41-54 Goetz Edward G and Mara Sidney 1994 Revenge Of The Property Owners: Community Development and the Politics of Property Journal of Urban Affairs 16 (4) : 319 334 Goodman Marshall R. 1988 Crafting Urban Partnerships : Implementing Neighborhood Assistance Programs. Adm i nistra t ion and Society 20 (3) : 251-274 Green, Rodney D. 1984 Industrial! transit i on in the land of chattel slavery: R i chmond V i rginia 1820 60. International Journal of Urban and Regional Research 8 (2): 238253 Greenbaum Susan D 1982 Bridging Ties at the Neighborhood Level. Social Networks 4:36 7384 99

PAGE 109

1991 A Comparison of African-Amer i can and Euro American Mutual Aid Societies In 19th Century America. Journal of Ethnic Studies 19: 95-119 1993 Economic Cooperation Among Urban Industrial Workers: Rationality and Community in an Afro-Cuban Mutual Aid Society 1904-1927 Social Science History 17 : 173-190. Harris, Faye V 1988 Introduction : An African Diaspora Perspective For Urban Anthropology Urban Anthropology 17 (2-3) : 111-141 Herskovits, Melville J. 1964 The American Negro A Study In Racial Crossings Bloomington: Indiana University Press Hurston, Zora N. 1995 The Complete Stories New York : HarperCollinsPub/ishers Kasinitz Philip 1992 Bringing the Neighborhood Back In: The New Urban Ethnography Sociological Forum 7 (2): 355-363. Leonard Barton Dorothy 1990 "A Dual Methodology for Case Studies : Synergistic Use Of A Longitudinal Single Site With Replicated Multiple Sites." Organization Science 1 (3) : 248-266 Lincoln Yvonna S. and Egan G Guba 1988 Effective Evaluation: Improving the Usefulness of Evaluation Results Through Responsive and Naturalistic Approaches San Francisco : Jessey Bass Publishers. Miles Matthew B and A. M Hube r man 1994 Qualitative Data Analysis Beverly Hills : Sage Mohr, Lawrence B 1992 Impact Analysis for Program Evaluation Beverly Hills: Sage Morris Lynn L Carol Fitz-G i bbon and Marie E.Freeman 1987 How to Communicate Evaluation Findings Beverly Hills : Sage 1 0 0

PAGE 110

Murphy Thomas P. 1978 Race-Base Accounting : Assign i ng the Costs and Benefits of a Racially Motivated Annexation Urban Affairs Quarterly 14 (2) : 169-194 Naroll Raoul and Frada Naroll eds 1973 Main Currents in Cultural Anthropology. Englewood Cliffs : Prentice Hall. Newman Dianna L. 1995 The Future of Ethics in Evaluation : Developing the Dialogue In Guiding Principles for Evaluators William R. Shadish D i anna L. Newman Mary Ann Scheirer and Christopher Wye, eds . Pp 99-110 San Francisco: Jessey Bass Publishers Nowlis Helen 1977 Discussion: Evaluation of Health Programs. In The Evaluation of Soc i a l Programs Clark C Abt, ed .. Pp 359-363 Beverly Hills : Sage O'Connor, Alice 1995 Evaluating Comprehensive Community Initiatives : A View from History In New Approaches To Evaluating Community Initiatives: Concepts Methods and Contexts. James P. Connell, Anne C. Kubisch Lisbeth B Schorr, and Carol H. Weiss eds Pp. 23-29 The Aspen Institute Oliver Pamela 1984 If You Don t Do It Nobody Else Will: Active and Token Contributors to Local Collective Action American Sociological Review 49:601-610. Parlett Malcolm and David Hamilton 1976 Evaluation as Illumination : A New Approach to the Study of Innovatory Programs. In Evaluation Studies Review Annual. Gene V. Glass ed .. Pp 140-157. Beverly Hills : Sage. Rachleff Peter 1989 Black Labor in Richmond 1865-1890 Urbana and Chicago : University of Illinois Press. Scheidlinger, Saul, Anne Sarcka and Helen Mendes 1971 A Mental Health Consultation Service to Neighborhood Organizat i ons in an Inner City Area Community Mental Health Journal 7 ( 4) : 264 -271 Shadish Jr. W R, T D Cook and L C Leviton 1991 Foundations of Program Evaluation : Theories of Practice Newbury Park : Sage I 0 I

PAGE 111

Spiro, Shimon E., Yael Geron, and Yael Medan 1987 Community Work in Family Counseling: One Agency's Experience Community Development Journal 22 (4):301-309 Stecher, Brian M and W Alan Davis 1987 How to Focus an Evaluation. Newbury Park: Sage. Thomas, E. Melvin and Hayward D. Horton 1992 Race, Class, And Family Structure : The Case of Family Income Sociological Perspectives 35 (3):433-450 Weiss, Heather B. and Jennifer C Greene 1992 An Empowerment Approach for Family Support and Education Programs and Evaluations. Family Science Review 5(1-2): 131-148. Weller Susan C. and A. Kimball Romney 1988 Systematic Data Collection. Qualitative Reseach Methods, Volume 10. Newbury Park : Sage. Werner, Oswald and G. M. Schoepfle, eds. 1987a Systematic Fieldwork: Foundations of Ethnography and Interviewing Volume I. Beverly Hills: Sage. 1987b Ethnographic Analysis and Data Management, Volume II. Beverly Hills : Sage. Williams, David D. 1986 When is Naturalistic Evaluation Appropriate? In Naturalistic Evaluation, D. D. Williams, ed .. Pp. 85-92 San Francisco: Jossey-Bass. Woolever, Cynthia 1992 A Contextual Approach to Neighbourhood Attachment. Urban Studies 29 (1 ):99-116. 102

PAGE 112


PAGE 113

APPENDIX# 1. EAST END ASSET MAPPING BY NEIGHBORHOOD 25th Street Corridor Primary Individual businesses Professional services Merchants Association History Historical structures Residential stability Pride of homeownership Stable property values Churches Community associations Resident diversity Sense of community Resident participation Leadership Long-time residents Communication system Ideas hopes and dreams Secondary Public Transportation Post Office Potential Enterprize Zone Annie E. Casey East End District Initiative Media East End District Center School Parks Youth programs Library Elderly housing complex Community center Town meetings Community Health Center Fire Station Communication system 104

PAGE 114

Appendix #1. (Continued) Nine Mile Corridor Primary Individual businesses Casey History Churches Professional services Residential stability Pride of homeownership Variety of property styles Resident participation Communication system Sense of community Leadership Community associations Secondary Light industry Hospital School Public transportation Subsidized housing Cemetery Military academy Businesses Parks Fire Department Development Center Communication system Addiction center Day care center Vacant land Vacant properties East End District Initiative Potent i a l Ann i e E. Media 1 05

PAGE 115

Appendix #1. (Continued) Mechanicsville Primary History Casey Individual businesses Leadership Variety of property styles Residential stability Pride of homeownership Stable property values Communicty associations Resident part i cipation Long-time residents Sense of community Resident diversity Resident co-op Police-resident partnership Spirit of people Safety Communication system Ideas, hopes, dreams Secondary School Fast food restaurant chains Gas station Nursing Home Juvenile Detention Center Community Center Subsidized housing Miracle House (shelter) East End District Initiative Youth programs Senior citizens care & co-op Crisis Center Day care service Fire station Library Police Public transportation Potential Annie E. Media 106

PAGE 116

Appendix #1. (Continued) Governmental/Williamsburg Roads Corridor Primary Secondary History Casey Long-time residents Good property values Community associations Individual businesses Leadership Family ties (tradition) Residential stability Pride of homeownership Stable property values Historical homes Resident participation Resident diversity Occupational diversity system Ideas hopes dreams Gas station Recreation centers East End District Initiative Fire station Post Office Parks Youth Programs Safe House Program Businesses Adult Home Bank Communication system Public transportation Potential Annie E. Media 107

PAGE 117

Appendix 1 (Continued) Shockhoe Botton Primary History Historic value Renovated homes Residential stability Stable property values Secondary Entertainment businesses Other businesses Museums Tourism Train station Pride of homeownership Public transportation Variety of property styles Gas station Beautiful area School Large gardens Parks Sense of community Genesis House Churches Children's Counsel Resident participation Fire Station Resident diversity Police walking patrol Leadership Bank Community associations Radio station Professional services Communication system No traffic congestions East End District Initiative Communication system Ideas hopes, dreams Potential Rehabilitation Private investment Annie E. Casey Media 108


Download Options

No images are available for this item.
Cite this item close


Cras ut cursus ante, a fringilla nunc. Mauris lorem nunc, cursus sit amet enim ac, vehicula vestibulum mi. Mauris viverra nisl vel enim faucibus porta. Praesent sit amet ornare diam, non finibus nulla.


Cras efficitur magna et sapien varius, luctus ullamcorper dolor convallis. Orci varius natoque penatibus et magnis dis parturient montes, nascetur ridiculus mus. Fusce sit amet justo ut erat laoreet congue sed a ante.


Phasellus ornare in augue eu imperdiet. Donec malesuada sapien ante, at vehicula orci tempor molestie. Proin vitae urna elit. Pellentesque vitae nisi et diam euismod malesuada aliquet non erat.


Nunc fringilla dolor ut dictum placerat. Proin ac neque rutrum, consectetur ligula id, laoreet ligula. Nulla lorem massa, consectetur vitae consequat in, lobortis at dolor. Nunc sed leo odio.