Dailey Drafts Concept Paper On Community Research and Engagement By Don E. Dailey, Ph. D.   The following is a concept paper presenting ideas for a Center on Community Research and Engagement. The purpose of the Center is to build community-wide capacity to address poverty as a complex problem and to address poverty and economic development as part of an interrelated set of issues. The Center integrates field research, evaluation studies, meta-analysis and reviews of research, and technical assistance (TA) with the aim of empowering communities to harness and develop their own capacity to create systems change. The paper begins with an analysis of poverty, its complexity as an interlocking set of problems, and its relationship to economic development. This analysis serves as the basis for discussing community-wide capacity to develop and implement strategies that target these issues. Finally, the paper draws from this analysis to outline ideas for research, evaluation, and technical assistance focused on building community capacity. Overriding conclusions: • Complex social problems may require complex solutions. • Complex solutions should be developed and implemented as part of a coherent local system characterized by community-wide capacity, not as a fragmented collection of local efforts. • Communities are now facing problems for which there are no easy answers. Rather than moving quickly to a single silver bullet, communities can learn from research and evaluation, learn from each other, and engage in creative inquiry that helps them make sense of problems and design programs, polices, and tools for taking action. • This is a challenging venture and communities vary in the degree to which they have the human, political, social, and economic capacity to successfully initiate such transformation without external support. In response to these conclusions, the Center is discussed as a research and TA partner for community development, with a common set of measures tailored uniquely for different communities - urban and rural. Poverty as an Interlocking Set of Problems Though poverty is a complex problem with tragic human dimensions, most of us think about poverty in the barest economic terms. The US uses two slightly different measures of poverty: 1) the poverty threshold, based on the "thrifty food plan" by the U.S. Department of Agriculture; and 2) poverty guidelines, a simplification of the poverty thresholds used to determine eligibility for a number of programs. Poverty thresholds are used mainly for statistical purposes and research, such as preparing estimates of the number of Americans in poverty each year. Poverty guidelines are issued at the beginning of each year, generally in February or March, and are used to determine eligibility for poverty programs and health plans. When people talk about the "federal poverty level," or "federal poverty line," they are usually referring to guidelines, unless it is in a research-oriented context. Thresholds and formulas represent a dividing line of financial resources which individuals and families can fall above or below. Those below are poor, and those above are not. Interestingly, the definition of poverty used in various nations differ from one another. There is not one measure or definition of poverty in an absolute sense, and any measure of this nature will be shaped in part by political values and arbitrary decisions. In light of the variance likely to occur if each community, group, or individual were empowered to design their own formula, arriving at a uniform formula is important as a guiding point for public assistance. Still, the dividing line is unsatisfactory when we start to consider what Shipler (2005) and others refer to as the “working poor,” who may not fall below the threshold but nevertheless live in poverty. This challenges us to step back and ponder more deeply what it really means to be poor, absent a formula. Shipler (2005) contends that poverty is not a single problem, but an interlocking set of problems related to income, physical resources, physical health, mental health, education, literacy, transportation, housing conditions, environmental conditions, norms for behavior, and culture. Amarta Senn reframes poverty in a related fashion by focusing on human capability measured by education, health, housing, transportation, and food security. In this broader sense poverty exists as an individual or family involuntarily lacks the capacity to achieve their goals, either because of low income, education, health, housing conditions, or exposure to unhealthy environmental conditions. From this perspective each of us may suffer from some aspect of poverty, though individuals with limited access to income and other financial resources are more likely to experience these challenges. Interlocking problems of poverty reinforce each other and weave together a larger complex problem. Individuals and families immersed in poverty may begin their life with dreams, but will more than likely come to feel overwhelming despair. Pregnant mothers living in conditions of poverty are less likely to receive prenatal care, guidance on nutrition, develop sufficient levels of Vitamin B, and experience higher levels of stress. They are more likely to smoke cigarettes and consume alcohol during pregnancy. These factors affect the health of the child as they are born. If we begin life with a gap in our life’s prospects, that gap increases over one’s life. Challenges in the home environment such as stress, abuse, violence, learned aggressive behavior, alcohol, unstable shelter, unhealthy living conditions, and poor nutrition take effect. Limited opportunities for language arts development, exposure to the “professional culture,” travel, and advanced technology mitigate the capacity for children to enter school prepared. As such, they are less likely to attend class (on time), develop good study habits, turn in homework, and are more likely to exhibit aggressive behavior that meets with disapproval in institutions valuing professional culture. Schools and teachers respond with various models for sorting, which can help some students make progress, though others become neglected. The neglected are more likely to drop out of school, face unemployment, engage in crime, and become physically and mentally ill. This is a vicious cycle that involves a large web of interrelated factors. There are exemplars who somehow move beyond these problems and attain success. We can learn from their experiences and the factors that made a difference in their progress. At the same time, these are outliers whose experience cannot be easily generalized for the vast population living in poverty. For families experiencing sustained intergenerational poverty, the opportunities for climbing out of poverty can be daunting. There is no one culprit, but rather a complex set of problems which may require complex solutions and enduring persistence. Recent Economic Conditions While these issues are long term, the recent economic crises is intensifying problems associated with poverty and reports indicate that a new population of professionals and working poor are emerging. Unemployment data for the US, Virginia and selected local communities near Washington and Lee University indicate a significant rise in unemployment (see table 1). Table 1: Trends in Unemployment, 2004 to 2009 Year 2009 2008 2007 2006 2005 2004 United States 9.8 6.0 4.6 4.6 5.1 5.5 Virginia 6.6 4.1 3.0 3.0 3.5 3.7 Rockbridge County 5.6 4.0 2.9 2.7 3.1 3.2 City of Lexington 9.2 6.2 4/6 4/6 5.1 5.4 Buena Vista City 8.7 5.1 3.6 3.3 3.7 4.0 *As of September 2009 Source: Bureau of Labor Statistics, http://www.bls.gov/cps/cpsaat1.pdf These data show that unemployment for the US has increased from 5.5% in 2004 to 9.8% in 2009. Our research in local communities in Virginia also indicate that the demand for social services has almost doubled over the past year in some sites. These conditions are attributed to loss of jobs, poor market conditions for finding a new job, real estate foreclosures, and an increase in the cost for utilities. For some, receiving food from a public or church-run food pantry allows them to pay their other bills for another month. For others, circumstances and problems are much worse. At the same time, due to reductions in state funding, some analysts believe social service jobs and related services are expected to be cut across the state in the coming year. Community-Wide Capacity As these problems intensify, communities are facing the dilemma that poverty is a complex problem shaped by a number of interrelated factors, and poverty and economic development are highly related. Despite this relationship, communities usually do not address these problems as part of a coherent plan. Furthermore, the interlocking set of problems that define poverty are often addressed through services delivered in an isolated vacuum. Essentially, they lack community-wide capacity to identify problems related to poverty, formulate effective community-wide strategy, design and implement systems that address interrelated problems, and empower the human and financial capital existing in their community to reframe problems and pursue collective action. Given the conditions of the new economy, this last point may be especially significant. Are we experiencing a short term crises, or have we entered an era that requires new conceptions of poverty and economic development? Communities are facing challenges and questions of this nature for which there are no easy answers. Community Initiative: Research, Engagement, and Action In light of these issues, this is a pivotal time to frame and move forward with ideas for a Center on Community Research and Engagement. Ideally, the Center will provide a comprehensive program of research, community engagement, and community action that helps urban and rural communities strengthen their capacity to work as a whole community in addressing problems related to poverty, human capability, and economic development. From the Center’s perspective, community-wide capacity consists of the intellectual, social-cultural, and structural foundations necessary to come together as a whole community to solve community problems and deliver services in a holistic manner. This entails shared awareness of common problems, shared knowledge of factors contributing to these problems, as well as promising strategies for addressing them, and structures that provide frequent opportunities for collaboration, co-learning, and shared decision-making among community leaders and residents. This mission will be pursued through four overarching goals necessary to build community capacity for action and change: Increase Awareness of Problems: Gather data and conduct needs assessments that identify the prevalence of poverty, conditions of poverty, and gaps in service. Help communities use these data to raise awareness and galvanize action. Individuals respond to information about poverty in different ways. Some are genuinely surprised that poverty exists in their community, or surprised by the challenges associated with poverty. Others may be cognizant of poverty, but do not accept responsibility for these problems. Still, as individuals become more aware of poverty in their community, there are a number of reasons why they start to care. From one perspective, concern is raised about the degree to which growing levels of poverty challenge economic development. The capacity to solve problems, rethink strategies, and innovate depend largely on human and social capacity. Each of these factors are potentially diminished by poverty. Poverty also brings cost to communities related to healthcare, crime, public education, and social services. For others knowledge of poverty raises concerns about social justice and fairness. Concerns about social justice are raised when we learn about the conditions in which people are living, and the extent to which individuals living in poverty are disadvantaged in their access to high quality healthcare, education, shelter, or a fair trial in the judicial system. Increase Knowledge of Effective Practices: Conduct research, evaluation studies, and reviews of promising practices that can strengthen the capacity of communities to address the interlocking problems of poverty. Addressing problems related to poverty and social justice requires that communities have the essential knowledge and skills needed to form good strategies and implement effective programs. These efforts can be strengthened as communities become aware of promising strategies and interventions. In this regard communities can learn from each other and from research. Strengthen Collaboration as Whole Community: Host and facilitate community forums and develop structures for varying sectors of communities to collaborate in sharing and learning from each other, review research and evaluation findings, and collectively develop and implement effective research-based strategies. Collaboration and collective action is easier said than done. Different agencies and sectors of most communities have their own agendas, priorities, values, and their own terminology. Collaborating may also involve sacrificing aspects of one’s agenda and communicating across cultural divisions. Despite these issues, promising systems for collaboration and collective change have emerged through the Annie E. Casey Foundation, No Wrong Door, and systems that integrate education, health, social and judicial systems. As agencies come together and begin to discuss emerging and long term issues, as well as promising systems and practices in other communities, new ideas and strategies can develop. Strengthen Community Financial Capacity: Identify grant opportunities and facilitate collective community efforts to develop compelling grant proposals. Several communities need to develop better capacity to procure grant funding and critical judgment in how to allocate resources in order to move forward economically and become a revitalized culture. In seeking support from state and Federal agencies, national foundations, and individuals, communities need to develop a database documenting needs of the poor and agencies serving them, as well as clearly defined strategies for which funding is needed. A collective approach to procure external funds will likely strengthen proposals for particular types of grants, and leverage expertise and good ideas existing across the community. Model for Holistic Community Research and Engagement Cutting across these goals are three strategies: research, engagement and action. Research is used as a focal point for engaging community leaders and residents in community-wide collaborative inquiry, deeper understanding of problems, and opportunities to begin identifying an agenda for future action. Primary field research, evaluation studies, and summaries of other research help community leaders engage in forums that identify promising programs and form effective strategy. During the action phase the community and Center consultants work together in developing strategies, adopting new policies, and implementing projects tailored to fulfill the community’s action agenda. This vision is one that positions the Center to serve as a model for engaging the community, researchers and technical assistance providers as a team throughout the entire change process, from research to policy deliberation to change in policy and practice. At each phase of the change process “Learning Circles” can be implemented that draw on the unique expertise, skills, and experience each partner brings to this process. This creates a holistic model for community research and engagement.

* * * * *