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volume 17, 2010–2011 an hks student publication The Harvard Journal of African American Public Policy does not accept responsibil- ity for the views expressed by individual authors. No part of the publication may be reproduced or transmitted in any form without the expressed written consent of the editors of the Harvard Journal of African American Public Policy. © 2011 by the President and Fellows of Harvard College. All rights reserved. Except as otherwise specified, no article or portion herein is to be reproduced or adapted to other works without the expressed written consent of the editors of the Harvard Journal of African American Public Policy. ISSN# 1081-0463 ii SUPPORT THE REVIEW ACKNOWLEDGMENTS The Harvard Journal of African American The editorial board of the Harvard Public Policy (ISSN# 1081-0463) is a Journal of African American Public Policy student-run journal published annually at would like to thank the following the John F. Kennedy School of individuals for their generous support Government at Harvard University. An and contributions to the publication of annual subscription is $10 for students, this issue: $20 for individuals, and $40 for libraries Richard Parker, Faculty Advisor and institutions. Additional copies of Martha Foley, Publisher Volumes I–XVI may be available for $10 Lori Goldstein, Copy Editor each from the Subscriptions Department, Diane Sibley, Graphic Designer Harvard Journal of African American Ace Creative, Production Public Policy, 79 JFK Street, Cambridge, David Ellwood, Dean of the John F. MA 02138. Kennedy School of Government Donations provided in support of the Harvard Journal of African American Public Policy are tax deductible as a nonprofit gift under the John F. Kennedy School of Government at Harvard HJAAP 2010–2011 EDITORIAL University’s IRS 501(c) (3) status. Please BOARD specify intent. Editor-in-Chief Send address changes to: Tristan Allen Harvard Journal of African American Managing Editor Public Policy Nura Sediqe 79 JFK Street Cambridge, MA 02138 Senior Editor, Commentaries Sorby Grant Or by e-mail to: [email protected] Senior Editor, Interviews Gabrielle Wyatt Senior Editor, Articles Erica Harrison At-Large Editor Samantha Williams At-Large Editor Racheal Chimbghandah

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Call for Papers Deadline: December 10, 2011

The Harvard Journal of African American Manual of Style. Footnotes are not Public Policy is a student-run publication accepted. All figures, tables, and that facilitates informed public policy charts should be submitted as entirely decision-making processes by providing separate files. innovative analyses of and solutions to the problems facing the African American IN ADDITION, ALL AUTHORS community. We are currently accepting MUST OBSERVE THE FOLLOWING: submissions for Volume XVIII to be • A cover page with the submission title, published in spring 2012. author’s name, mailing address, e-mail Manuscripts are accepted from all policy address, daytime telephone number, and areas, academic disciplines, and related a brief biography organizations. In addition to articles, the • A 100-word abstract journal welcomes essays, lectures, • An electronic copy of the article on a speeches, community-based initiative formatted CD in any version of Microsoft profiles, symposia, position papers, Word interviews, and book reviews. The journal Authors are required to cooperate with seeks innovative and solution-oriented editing and fact-checking. strategies that address the relationship between policy making and the political, MAIL ENTRIES TO: social, and economic environments Harvard Journal of African American affecting African Americans at local, state, Public Policy and national levels in the United States. John. F. Kennedy School of Government The deadline for submission is December at Harvard University 10, 2011. 79 John F. Kennedy Street Cambridge, MA 02138 SUBMISSION GUIDELINES To be eligible for the editorial review: CONTACT US WITH ANY • Articles must be original and QUESTIONS AT: unpublished. Tel: (617) 496-8655 • Articles should be 5 to 30 double-spaced Fax: (617) 384-9555 pages. E-mail: [email protected] • Articles should be formatted in any Web site: www.hks.harvard.edu/HJAAP/ version of Microsoft Word. • References and endnotes should be formatted according to the guidelines and author-date system of the Chicago iv CONTENTS 1 Editor’s Remarks

FEATURES 3 Political Cynicism and the Black Vote by Erica C. Taylor 11 Actuating Equity: Historical and Contemporary Analyses of African American Access to Selective Higher Education from Sweatt to the Top 10 Percent Law by Julian Vasquez Heilig, Richard Reddick, Choquette Hamilton, and Laurel Dietz 29 Identity and Public Policy: Redefining the Concept of Racial Democracy in Brazil by Krystle Norman

ARTICLE 43 Opportunity Beyond Affirmative Action: How Low- Income and Working-Class Black Male Achievers Access Highly Selective, High-Cost Colleges and Universities by Shaun R. Harper and Kimberly A. Griffin

COMMENTARIES 61 Acknowledging Black Male Privilege by Wendell Marsh 65 A Seat at the Table: Place-Based Urban Policy and Community Engagement by Hayling Price

INTERVIEWS 75 U.S. Foreign Policy in Africa: A Public Address by Condoleezza Rice Compiled by Natasha Sunderji

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AFRICAN AMERICAN POLICY REVIEW ANNOUNCES THE RELEASE OF VOLUME XVII The 2011 volume features forward-looking articles, frank interviews, and reflective commentary. Fill our the form below to reserve your copy of the HARVARD JOURNAL OF AFRICAN AMERICAN PUBLIC POLICY now! NAME (print) ADDRESS CITY STATE ZIP Payment: r $20 individuals r $40 institutions r Payment enclosed (make checks payable to “Harvard University”) Mail order forms to our office: Harvard Journal of African American Public Policy John F. Kennedy School of Government 79 John F. Kennedy Street Cambridge, MA 02138 Tel: (617) 496-8655 | Fax: (617) 384-9555 Email: [email protected]

vi editor’s remarks

EDITOR’S REMARKS Every year, the Harvard Journal of African American Public Policy is proud to share submissions on a wide range of issues affecting the African American community and the African diaspora. This year, our editorial board is proud to present remarkable commentaries and articles from subject matter experts who chronicle some of the issues most pressing to the diaspora. We are also pleased to highlight a portion of the November 2010 dialogue between former U.S. Secretary of State Condoleezza Rice and students from the Harvard University community. Our goal with this volume is to spark discussion among practitioners, policy makers, and academ- ics on how to recognize issues that continuously impact Blacks and, most importantly, on how to bring about resolve. We are proud to feature three articles that address policy areas of growing concern. Erica Taylor chronicles political cynicism and alienation that continues to adversely impact the Black vote while Julian Vasquez Heilig, Richard Reddick, Choquette Hamilton, and Laurel Dietz detail the educational obstacles Black men face in Texas. In addition, Krystle Norman gives insight into the struggle to promote the nuanced idea of racial democracy in Brazil. She gives a synopsis of the role Afro-Brazilians play in the country’s democracy and also proposes viable policy recommendations to increase the political responsibility of Blacks in Brazil. This year, the journal also includes an analysis by Shaun Harper and Kimberly Griffin of the access of Black males to higher educa- tion. Wendell Marsh explores the paradox of Black male privilege and gender bias within the Black community. Finally, Hayling Price, a community organizer in Washington, DC, discusses the impact of social and urban policy on community engagement. The 2011 Harvard Journal of African American Public Policy is grateful to all the professionals and experts whose submissions have helped to make Volume XVII great. The journal staff, copy editors, and Harvard University administrative support have been invaluable. Lastly, it is our readers who give the journal its pur- pose. Our hope is that you share the policy ideas and use the policy recommendations for constructive discourse. In this way, we hope to make it increasingly less necessary for the citizens of the world to continually fight redundant battles for the right to coexist. Again, thank you for your continued support of the Harvard Journal of African American Public Policy.

Tristan Allen, Editor-in-Chief Harvard Journal of African American Public Policy

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2 feature article

article, which uses the terms African American and Black interchangeably, analyzes a regression model that suggests cynicism—and specifically political alienation—may positively affect African American voting behavior. In other words, where there are higher cynical attitudes among Black voters, there is also Political Cynicism higher African American voter turnout. The results show a distinct need for and the Black Vote innovative efforts to motivate the Black by Erica C. Taylor vote. Voting frequency in America has declined Erica C. Taylor is a doctoral candidate at the over time, and numerous studies have Manship School of Mass Communication at examined the factors affecting voter Louisiana State University. Her research turnout. These studies have outlined interests include public relations, new several variables impacting turnout media studies, and African American issues. including socioeconomic deterrents, Her primary research interest is in crisis apathy, and various psychological communication, and she is currently deterrents such as voter intimidation and completing her dissertation titled “HBCU the belief that one vote does not make a Crises and Best Practices in the Discourse of difference. The same studies define Renewal: A Crisis Communication Case political participation by many compo- Study of Three Institutions.” This study nents. Though these studies identify a examines the crisis communication practices lack of interest in political participation of three Historically Black Colleges and among Americans generally, within the Universities. Taylor’s professional back- overall decline in American voting ground is in higher education and freelance frequency is a tendency for an even public relations and corporate greater drop-off in African American or communication. Black voter turnout (this article uses the terms African American and Black interchangeably). Historic race relations ABSTRACT: challenges in the United States along with African American political behavior is an current racial inequality are likely factors understudied dimension of the American in creating low Black voter turnout. electorate. In some ways, Black voting behavior and voting frequency parallel Historically, tense race relations in the mainstream trends, but there are notable United States have adversely affected differences. These differences are due African American voter turnout. After the largely to socioeconomic factors and the Civil War, relationships between Blacks troubled history of Blacks in America. and Whites were strained in ways that had The continued inequality among many direct political effects. W.E.B. Du Bois aspects of Black society, as compared to (2003, 42), author of The Souls of Black mainstream society, causes many African Folk, originally written in 1903, described Americans to be cynical of American the effects of societal ills on Black society politics and the political system. This as “1. [t]he disfranchisement of the

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Negro, and 2. [t]he legal creation of voters perceive equality to have distinct status of civil inferiority for the been achieved. Negro.” Du Bois believed Whites should grant equal rights to Blacks and accept a REVIEW OF LITERATURE AND THEORY new and integrated society. For Blacks, he Contrary to popular belief, Blacks vote said, “black men of America have a duty proportionately with White Americans to perform, a duty stern and delicate . . . even though the Black population is more by every civilized and peaceful method we politically inactive overall by an absolute must strive for the rights which the world count. However, there are differences in accords to men, clinging unwaveringly to which factors prompt the populations to those great words which the sons of the exercise their vote. Sidney Verba and Fathers would fain forget” (Du Bois 2003, Norman H. Nie (1987, 151) conducted a 47). Du Bois wanted Blacks to demand study titled “Participation in America: what America’s Founding Fathers deemed Political Democracy and Social Equality.” “unalienable” rights: “life, liberty, and the Their multidimensional, comprehensive pursuit of happiness” (Du Bois 1903, 47). research examined a large scope of Du Bois’s reflections on Black political American voter participation, among participation demonstrate his idealistic which was Black political participation. view of how African Americans should The authors found “blacks . . . participate cooperatively be enthusiastic about taking less than whites, but not substantially less part in the political process. and they participate roughly equally with whites in the electoral process. . . . When African Americans’ forced fight for they participate they can be quite active.” equality has been long, complicated, and stressed. Strained relationships with While Verba and Nie attribute low mainstream politics have molded Black socioeconomic conditions as having an political behaviors. The teachings of Du effect on Black voting behavior and Bois—compressed with those of many political participation, several other other Black intellectuals, activists, studies examine the role of political pragmatics, and organizers—fueled the cynicism and alienation on voter turnout. civil rights movement and the passing of Robert E. Agger, Marshall N. Goldstein, laws that enhanced racial equality such as and Stanley A. Pearl (1961, 493) surveyed the Voting Rights Act. These accomplish- a small town in Oregon in 1959 in order ments, though necessary, are not suffi- to measure cynicism. Their article, cient to deduce that full racial equality “Political Cynicism: Measurement and now exists in America. Some patterns still Meaning,” defines cynicism in a political plague the American electorate. A key participation context as political potency, racial difference between the political “a feeling that one does exercise some activism of the 1960s and today is the power in the complicated, mass democ- trend in African American voting racy.” They write further, “[i]t is assumed behavior. Specifically, where African that those people who feel personally American voters perceive there to be a impotent tend to place their trust in continuous battle for equality they are politicians and the political process while driven to vote with greater frequency than those who feel potent would tend to place in situations where African American their trust in themselves to the derogation of politics and politicians.” In other

4 the political implication of social capital words, citizens who do not feel they can Richard D. Shingles (1981, 77) defines personally impact the democratic process Black consciousness as “the awareness are more likely to vote in hopes that among blacks of their shared status as an elected representatives make changes on unjustly deprived and oppressed group.” their behalf and then that they as citizens He also writes, “the primary reason black can begin to change their environment. consciousness has such a dramatic effect on political participation is that it Priscilla L. Southwell (2008, 131) further contributes to the combination of a sense explores this topic in a study of combined of political efficacy and political mistrust data from the American National Election which in turn induces political involve- Study from 1964-2000. She writes, ment.” Using an ANOVA test of national “attitudinal factors” such as cynicism survey data, Shingles (1981, 85) found a “contribute as much to the explanation of significant effect (p<.001) of what he calls the voting decision as do the standard “High-Initiative Conventional Policy demographic and contextual explanations Behavior,” a correlation of internal of voter turnout.” She describes political political efficacy, political trust, and their cynicism or “distrust” as a dimension of joint effect. alienation, along with “powerlessness, or inefficacy” and “meaninglessness, or a In another related study, Priscilla L. perceived lack of government responsive- Southwell and Kevin D. Pirch (2003, 913) ness” (Southwell 2008, 133). The results found a significant (p≤.01) effect of of a logistic regression show a significant cynicism and voter turnout among Black effect, where p<.01, of meaninglessness, respondents only. They conducted a powerlessness, and cynicism on voting. probit analysis of voter turnout based on However, when these variables were run 1996 and 2000 National Election Study together in the study’s regression model, data. In their research, cynicism is defined cynicism was the only dimension found as “the belief that the government is not to have a positive (.003) effect on voting producing policies according to expecta- (Southwell 2008, 136). tions” (Southwell and Pirch 2003, 911). The results reveal cynicism has a positive John S. Jackson (1973, 878) directly (.169) effect on African American voting confronts African American cynicism in behavior and has no significant effect on his “Alienation and Black Political the full data set or on Whites only. Participation.” He surveyed nearly 500 African American college students in the HYPOTHESIS late 1960s under a hypothesis that Blacks Recognizing cynicism’s role in Black and college students are typically highly voting behavior and voting frequency cynical groups. The sample consisted becomes a key factor in American mostly of students attending Historically politics (Southwell and Pirch 2003, 913). Black Colleges but also included Blacks Politicians have been accused of ignoring attending predominantly White colleges the needs of their Black constituents and Blacks not attending college. Jackson and in turn these constituents often feel found a significant relationship (p<.001) they have little to no influence on the between high cynicism and high political electoral process. This trend is illustrated activity within this group. through the lack of politician interest in fulfilling campaign promises made to

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predominantly Black communities. The with middle options of “seldom (1),” complexity of race relations in America “part of the time (2),” and “nearly always and in American politics needs to be (3).” Several demographic variables were continually studied. African American used as independent variables along with public opinion is an important part of a six-question component to measure gauging the sentiments of the overall cynicism similar to the components used American electorate. by Jackson (1973) and Southwell (2008). The demographics from the data set were This article seizes the opportunity to given dummy values to represent particu- measure cynicism in terms of voting lar characteristics. Demographic catego- behavior within the Black community, ries included political philosophy (coded especially given the context of recent with “0,” “1,” or “2” dummy values for American politics. Specifically, this study “conservative,” “moderate,” and “liberal,” tests the following hypothesis: Political respectively); education (coded with “0-3” alienation, as a dimension of political dummy values for “less than high school,” cynicism, has a positive effect on African “some college,” “college graduate,” and American voting behavior. “postgraduate work or degree”); age group (coded with “0-3” dummy values METHODOLOGY for ages “18-29,” “30-44,” “45-64,” and This study relies on data from the CBS “over 64”); income (coded with “0-4” News/Black Entertainment Television dummy values for “less than $15K,” (BET) Monthly Poll conducted in July “$15-30K,” “$30-50K,” “$50-75K,” and 2004 when George W. Bush was the U.S. “over $75K”); marital status (coded with president. The Inter-University “0” or “1” dummy values for “have been Consortium for Political and Social married” and “never been married”); Research (ICPSR) collected data from religion (coded with “0” or “1” dummy African American respondents through a values for “Protestant” and “not random-digit dialing national telephone Protestant”); and religious attendance survey. ICPSR (n.d., ii) described this poll (coded with “0-4” dummy values for as “part of a continuing series of monthly “never,” “a few times per year,” “once or surveys that solicit public opinion on the twice per month,” “almost every week,” presidency and on a range of other and “every week”). political and social issues.” Cynicism was determined by analyzing In this study, an ordinary least squares survey responses to the following linear regression model was developed paraphrased questions: Is the country on from the CBS News/BET data to deter- the right track or going in the wrong mine the effect of cynicism on African direction? (0=wrong direction, 1=right American voting behavior among track); Do you believe George W. Bush registered voters. Only data from respon- was legitimately elected in 2000? (0=no, dents who self-identified as registered 1=yes); What are your feelings toward the voters was used. Registered voters were George W. Bush administration? coded (“0” for “not registered” and “1” for (0=angry, 1=dissatisfied but not angry, “registered”). Respondents’ self-reported 2=satisfied but not enthusiastic, 3=enthu- voting frequency was used as the depen- siastic); Do you approve of the job George dent variable. The dependent variable was W. Bush is doing? (0=no, 1=yes); Do you recoded from “never (0)” to “always (4),”

6 the political implication of social capital

Table 1 — Key Percentages for Dependent and Control Variables

Variable Key Percentage Voting Frequency 69.8% Always Registered Voters 88% Registered

Table 2 — Key Percentages for Selected Independent Variables

Independent Variable Key Percentages Political Philosophy 27.2% Liberal, 20.9% Conservative Education 31.7% High School Grad, 26% Some College Age Group 41.8% Age 45-64 Income 54.9% $15,000-$50,000 Right Track/Wrong Direction 93.2% Wrong Direction George W. Bush Legitimacy 2000 88.9% Bush Did Not Win Legit Bush Administration 50.5% Dissatisfied, But Not Angry George W. Bush Job Approval 88.5% Disapprove Florida 2000 49% More Likely Discount Black Vote 73.5% Probably So

Note: Italicized variables indicate cynicism components feel that the voting fiasco in Florida in national election activity. Finally, the 2000 is likely to affect the Black vote? notion of cynicism is highly subjective, (0=less likely, 1=no difference, 2=more even in the face of academic definitions. likely); Do you feel that there are some Nonetheless, this study is important people who purposely try to discount because it provides insight into how to and/or restrict the Black vote? (0=prob- better understand the viewpoints of the ably not, 1=probably so). Black voting base. There are notable limitations of relying RESULTS on the CBS News/BET Monthly Poll. The regression model reveals a statisti- Particularly, dependent variable bias is cally significant effect of cynicism on possible because voting frequency was African American voting frequency. Table self-identified and the percentage of 1 displays voting frequency and registered respondents who identified as “always” voter percentages. Table 2 displays key voting is subsequently skewed. percentages found in respondent data for Additionally, measuring cynicism is not the independent variables. As seen in an exact science and the proffered Table 3, the model supports the hypoth- measures of cynicism and alienation are esis that political cynicism positively derived from previous works that do not affects African American voting behavior. take into account the 2008 and 2010

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Table 3 — The Effect of Cynicism on Voting Frequency Among Blacks Linear Regression

B SE β Voting Freq. (Constant) 2.421 .239 Demographics Political Philosophy -.047 .045 -.037 Education .092 .029 .128* Age Group .281 .037 .288* Income .072 .028 .104* Marital Status .074 .074 .038 Religion .011 .079 .005 Religious Attendance .043 .023 .067 Cynicism Right Track .021 .163 .005 Bush Administration .015 .048 .012 Bush Job Approval .027 .120 .009 Alienation Bush Legit 2000 -.137 .113 -.047 Florida 2000 .225 .057 .139* Discount Black Vote .233 .070 .117* N=708 R2=2 Adjusted R2=.185 F=13.310* *p<.05.

The data shows that most African remaining cynicism components used in Americans are politically cynical, which is this model potentially capture “powerless- consistent with previous literature. ness” or “meaninglessness” according to However, only two of the cynicism the Southwell (2008) definitions. components (questions concerning Therefore, this research not only supports Florida in the 2000 election and the the hypothesis but also affirms literature discounted Black vote) loaded signifi- indicating political alienation determines cantly with positive effects on voting voting preferences for African Americans frequency. Yet both of these components and increases Black voting behavior. have a strong correlation (<.01) to the George W. Bush 2000 election legitimacy DISCUSSION question. Collectively, these three The results of this study support a components capture what previous conclusion that there is a clear sense of literature classified as political alien- cynicism among African Americans. The ation—one dimension of cynicism. The results also show a prevalent sense of

8 the political implication of social capital political alienation within that cynicism, would require a permanent catalyst to be which translates to some sense of created to increase Black voter participa- helplessness within the Black community tion and overcome the previous trends that it has little impact, if any, on from 2004. Perhaps more Black political American democracy. Because this candidates could offer Black voters alienation has been shown to have a greater options, possibly reducing the positive effect on African American level of cynical thinking and alienated voting behavior, these cynical perspectives perspectives. Or, evolving study in this need to be considered when developing area could address a Black population of strategy to affect Black voting outcomes. actual documented frequent and non- Strategy respecting the tumultuous frequent voters to gather a more realistic history of Blacks in America may be a determination and comparison of good place to start because the hope for cynicism on voting behavior. Further, a things greater, equal, and fair has moti- generalized cynicism index could be vated and mobilized the Black electorate developed to standardize study and previously to change its voting trends. measurement in this area. Finally, the effects of an African American president Starkly, the presidential election of 2008 and his efforts and image among Blacks and the midterm elections of 2010 have might be used to derive effects on shown an interesting narrative. There has cynicism. been a sharp increase in Black voter mobilization, enthusiasm, and participa- What becomes clear is that cynicism in tion followed by a return to the status quo the Black community cannot continue to described in literature. The Pew Research be the key motivating factor in voting if Center states, “the levels of participation African Americans truly wish to have by black, Hispanic and Asian eligible their voices heard in national politics. voters all increased from 2004 to 2008, This study is critical in Black political reducing the voter participation gap awareness and in the decision to establish between themselves and white eligible a Black political identity moving forward. voters. This was particularly true for black Something must be done about a distinct eligible voters. Their voter turnout rate portion of the American electorate that increased 4.9 percentage points, from continuously feels excluded from national 60.3% in 2004 to 65.3% in 2008, nearly political processes. As the American matching the voter turnout rate of white electorate continues to change, continued eligible voters (66.1%). . . . Nearly all and more robust studies will undoubtedly (95%) black voters cast their ballot for be welcomed. Democrat Barack Obama” (Lopez 2009). However, early reports from the 2010 elections show that Blacks were much less enthusiastic in most states. The election of President Barack Obama is likely an outlier occurrence given the compounding literature showing the standard of cynicism among Black voters remains relatively consistent. Significant change may be possible; however, it

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REFERENCES Agger, Robert E., Marshall N. Goldstein, and Stanley A. Pearl. 1961. Political cynicism: Measurement and meaning. The Journal of Politics 23(3): 477-506. CBS News/Black Entertainment Television. 2004. CBS News/Black Entertainment Television (BET) Monthly Poll, July. Inter- University Consortium for Political and Social Research version. New York: CBS News. Ann Arbor: Inter-University Consortium for Political and Social Research. Du Bois, W.E.B. 2003. The souls of black folk. New York: Fine Creative Media, Inc. Originally written in 1903. Inter-University Consortium for Political and Social Research (ICPSR). n.d. Description & citation—Study No. 4154 (www.icpsr.umich. edu/icpsrweb/ICPSR/studies/4154/detail). Jackson, John S. 1973. Alienation and black political participation. The Journal of Politics 35(4): 849-885. Lopez, Mark Hugo. 2009. Dissecting the 2008 electorate: Most diverse in U.S. history. Pew Research Center (http://pewresearch.org/ pubs/1209/ racial-ethnic-voters-presidential-election). Shingles, Richard D. 1981. Black consciousness and political participation: The missing link. The American Political Science Review 75(1): 76-91.Southwell, Priscilla L. 2008. The effect of political alienation on voter turnout, 1964- 2000. Journal of Political and Military Sociology 36(1): 131-145. ———, and Kevin D. Pirch. 2003. Political cynicism and the mobilization of black voters. Social Science Quarterly 84(4): 906-917. Verba, Sidney, and Norman H. Nie. 1987. Participation in America: Political democracy and social equality. Chicago: The University of Chicago Press.

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at predominantly White institutions, faculty mentoring relationships with students, diversity in higher education, and sociocul- tural adaptation of Black families. He is a 2010-2011 Woodrow Wilson National Fellowship Foundation Career Enhancement Fellow and a 2007 Ed.D. graduate of the Harvard Graduate School of Education. Actuating Equity: Choquette Hamilton is currently the Historical and Contemporary Executive Director for Student Diversity Initiatives and Director of the Multicultural Analyses of African American Information Center for the Division of Access to Selective Higher Diversity and Community Engagement at the Education from Sweatt to the University of Texas at Austin. Hamilton Top 10 Percent Law received her bachelor of arts in sociology and African and African American studies by Julian Vasquez Heilig, from the University of Texas at Austin, a Richard J. Reddick, Choquette Hamilton, master’s in elementary education from St. and Laurel Dietz Joseph’s University, and a master’s in government administration from the Julian Vasquez Heilig is an award-winning University of Pennsylvania. She is currently researcher and teacher. He obtained his working on her Ph.D. in educational policy Ph.D. in education administration and policy and planning. Hamilton’s research focuses analysis and a master’s in sociology from on college access for African American Stanford University. He also holds a students. master’s of higher education and a bach- Laurel Dietz is a doctoral student in elor’s in history and psychology from the educational policy and planning at the University of Michigan. He is currently University of Texas at Austin. Dietz received Assistant Professor of Educational Policy her B.S. degree in mathematics and French and Planning and African and African education at North Dakota State University Diaspora Studies (by courtesy) at the and M.A. degree in foreign language University of Texas at Austin. Vasquez education at the University of Texas at Heilig’s current research interests include Austin. She is an experienced secondary issues of access, diversity, and equity in mathematics and ELL teacher who has higher education. For more information on taught both in the United States and his research visit http://julianvasquezheilig. abroad. Her research interests are teacher info. preparation quality indicators including the Richard J. Reddick is Assistant Professor mentoring of beginning and pre-service of Higher Education at the University of teachers and how rhetoric influences Texas at Austin, where he coordinates the teacher preparation policy. M.Ed. Program in College and University Student Personnel Administration and ABSTRACT: serves as a faculty affiliate in the John L. The University of Texas at Austin Warfield Center for African and African (UT-Austin) opened its doors on American Studies. Reddick’s research September 15, 1883, under the premise focuses on the experiences of Black faculty that admission be equally accessible

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regardless of gender or religion its traditionally White flagship institu- (University of Texas 1975). Yet, the tions since Sweatt. The University of Texas incipient notion of equality at UT-Austin at Austin attempted to address the was limited as race could preclude entry. persisting underrepresentation of Jim Crow stipulated White students students of color on campus through attended White schools and Black several programs, including minority students attended Black schools— recruitment in the 1960s, diversity whether they be K-12 or institutions of recruitment plans negotiated by the U.S. higher education (State Department of Justice Department in the late 1970s, and Education 1935). Plessy v. Ferguson (1896) the implementation of affirmative action had legalized segregation as long as there in the 1980s. However, all of these proved were “separate but equal” institutions and to be false starts, and then, in 1996, facilities for Blacks. Since there were Hopwood v. Texas brought such targeted separate Black universities in Texas such efforts to a halt. The U.S. Court of as Prairie View State Normal and Appeals for the 5th Circuit decided in Industrial College (later called Prairie Hopwood that admissions practices View A&M) and Texas State University considering race at the UT-Austin School for Negroes (later called Texas Southern of Law were unconstitutional. In 1997, University), racial segregation at then Texas Attorney General Dan Morales UT-Austin was legal (Shabazz 2004). issued an opinion on the Hopwood case and applied its ruling to all areas in Before the 1950s, Blacks in Texas could higher education including admissions, not legally attend selective traditionally financial aid, and scholarships. White institutions of higher education, including the University of Texas at In response to the Texas attorney general’s Austin (UT-Austin), because of the interpretation of Hopwood, Texas House “separate but equal” doctrine (State Bill 588 was filed in 1997 by Irma Rangel Department of Education 1935). This (D-Kingsville) and passed during the changed when the U.S. Supreme Court 75th Legislature. The bill, created by a desegregated graduate and professional coalition of lawmakers, faculty members, schools in the landmark court case of and community activists, called for the Sweatt v. Painter (1950). Sweatt also set an automatic admission to any public important precedent for Brown v. Board university in Texas of any student that of Education (1954), which effectively graduated in the top 10 percent of his or overturned Plessy v. Ferguson (1896) and her class. The original intent was to the “separate but equal” doctrine in all promote geographic, regional, and racial public schools. Although these cases diversity by capitalizing on residential and ended de jure segregation for Black secondary school segregation in the state. students, access to higher education in In theory, HB 588 would be a race-neutral Texas, and elsewhere, remained a chal- admissions practice that would provide lenge due to the social and cultural greater access to selective higher educa- contextual barriers that resulted from tion to all qualified students in Texas. long-standing systemic and legal However, the question remains as to discrimination. whether the Top Ten Percent Plan (TTPP) The Lone Star State has struggled to created greater diversity relative to past increase racial and ethnic diversity within efforts. As a result, the purpose of this

12 feature article | julian vasquez heilig, richard j. reddick, choquette hamilton, and laurel dietz actuating equity

article is to understand the historical selective higher education in the midst of and contemporary access of Black the TTPP? Have TTPP Black students students to selective higher education in chosen to enroll in selective institutions Texas. In this analysis we use the state’s of higher education? Are there differences flagship institution: the University of in TTPP Black persistence and graduation Texas at Austin. by institutional selectivity? We begin with a literature review that HISTORICAL AND CONTEMPORARY examines the evolution of selective RESEARCH admissions, legislative enactments, and judicial decisions from Jim Crow to the Access, Opportunity, and Adjudication: TTPP. We follow this with the first 1952-1969 estimate of historical Black enrollment at The literature review begins in the 1950s UT-Austin. Using this unique data, we and details the role of legal enactments in conduct a representation analysis of the the context of the desegregation era and proportion of Blacks enrolled at the impact of those enactments on Texas’s UT-Austin relative to statewide popula- K-12 public schools and the UT-Austin. tion estimates at seven points in time over Specifically, we consider how pervasive the past seventy years. The second part of and hostile attitudes toward desegrega- our analysis examines whether the TTPP tion influenced the speed with which has increased Black enrollment at students of color had access to all levels of UT-Austin. We then analyze cross-sec- education in Texas. We then transition to tional data to understand Black TTPP the impact of the civil rights movement students’ college choice, persistence, and on access and opportunity. graduation rates. We conclude with a discussion factoring in contextual and In 1946, Heman Marion Sweatt, a Black historical events that have thwarted veteran, applied for, and was denied efforts to increase Black participation at admission to, the UT-Austin School of UT-Austin. Law. Sweatt filed suit against UT-Austin in Texas’s 126th District Court alleging Considering the continuing challenge of that this denial was an infringement of his the underrepresentation of Blacks at rights under the Fourteenth Amendment selective postsecondary institutions in the of the U.S. Constitution. At the time, United States and a shift away from there were no separate Black law schools thinking of racial grouping for pursuing in Texas (Lavergne 2010). After six claims against the state, a historical months, Judge Roy C. Archer of the 126th analysis aligned with contemporary data District Court decided that if the to contextualize key events and policies is UT-Austin Board of Regents created a important to illuminate the continuing separate first-class university law school struggle for equity in admissions for then the UT-Austin School of Law would Blacks. As a result, this article seeks to not be required to accept Blacks (Duren address the following questions: Has the and Iscoe 1979, 3). Sweatt appealed to the underrepresentation of Blacks in selective U.S. 3rd Court of Appeals, which sent the higher education in Texas improved case back to retrial. relative to their statewide population since the civil rights era? Have Black The Sweatt case is dissimilar from the applications and enrollment increased in Missouri ex rel. Gaines v. Canada (1938),

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University v. Murray (1936), Sipuel v. However, this notion of “all deliberate Board of Regents (1948), and McLaurin v. speed” became “all deliberate slowness” in Oklahoma State Regents (1950) Southern its implementation in Texas. Then higher education desegregation cases as Governor Allan Shivers saw the Brown the state of Texas sought to create a decision as a federal invasion into states’ “separate but equal” law school to head rights on the doctrine of “separate but off integration at UT-Austin. During the equal” and, as such, did not believe that appeal, the Texas Legislature approved the the schools in Texas needed to change to establishment of the Texas State reflect the Brown decision (Lavergne University for Negroes (TSUN, later 2010). called Texas Southern University or TSU) Then Attorney General John Ben in Houston. This new university was Shepperd, reacting to a Texas high court created to offer general and professional decision to permit the use of state funds programs equivalent to those offered at for integrated schools, stated that though UT-Austin for Blacks. On March 10, 1947, the case settled the law for the state, the the school opened, but Sweatt did not time frame for integration would be a attend due to TSUN’s inferior quality and community-by-community decision the NAACP’s desire to integrate White (Wilson and Segall 2001). This “slowness” institutions (Lavergne 2010). After the permeated into postsecondary institu- Texas Supreme Court refused Sweatt’s tions in Texas as well; although there was motion for a rehearing of his case, the to be eventual integration at all levels of NAACP filed the case at the U.S. Supreme the schooling system in Texas, the speed Court. The nation’s highest court ruled of integration was to be determined by on June 5, 1950, that the educational educational institutions and not the opportunity for Black and White law federal government (i.e., the U.S. students was not “substantially” equal to Supreme Court). meet the equal protection clause under the Fourteenth Amendment, thus, the In September 1954, four months after UT-Austin School of Law was required to Brown, it was UT-Austin’s policy, accord- admit Sweatt. ing to then President Logan Wilson, to accept Black graduate students only when Despite Sweatt, the official end of the Jim the particular programs were not offered Crow era arrived after the U.S. Supreme in the state’s Black institutions (Duren Court decision of Brown v. Board of and Iscoe 1979). In fact, one year after the Education (1954), which held that the Sweatt decision, Texas Southern Plessy v. Ferguson doctrine of “separate University (TSU), the new name for the but equal” was unconstitutional. Texas State University for Negroes, in Following Brown v. Board of Education concert with UT-Austin, was to provide (1955), the second Brown decision, the bachelor’s and master’s degree programs U.S. Supreme Court gave the responsibil- in arts, sciences, education, and business ity for integrating public schools to local and develop professional degree pro- officials under the scrutiny of the federal grams in pharmacy and law for Blacks. courts; in addition, these courts needed to UT-Austin would not be in competition ensure that local officials were making a for Black graduate students at TSU nor “prompt and reasonable start” with “all Prairie View A&M (originally called deliberate speed” (Ogletree 2004). Prairie View State Normal and Industrial

14 actuating equity

College). In other words, UT-Austin’s In response to civil rights legislation and School of Law would accept Black legal pressures to enact programs to students due to Sweatt, but it would not increase the enrollment of historically admit Black students into other graduate underrepresented minority students, programs that either TSU or Prairie View UT-Austin began two admissions A&M offered (Shabazz 2004). programs: the Provisional Admissions Program (PAP) and the Program for Black undergraduates were also excluded Education Opportunity (PEO) (Duren from undergraduate admissions at and Iscoe 1979; Goldstone 2006). First, in UT-Austin since they could find their 1962, the Board of Regents approved a majors in other postsecondary institu- plan to create PAP. This program was tions (Duren and Iscoe 1979). This designed to admit students who had not changed in July 1955 when the univer- met admissions requirements, including sity’s Board of Regents decided that the underrepresented minorities. The institution would completely integrate by program allowed participants to enroll September 1956. Again, UT-Austin during the summer session to demon- became a progenitor of access as the first strate their ability to perform well in a higher education institution in the South university setting. If the student could to decide to allow Blacks as undergradu- show that he or she could do satisfactory ate students. The regents’ decision came work in specific courses the student could only a few months before Autherine then qualify for admission to the univer- Juanita Lucy enrolled at the University of sity in the fall (Duren and Iscoe 1979). Alabama as well as a few months before Critics of PAP pointed out that the the U.S. Supreme Court voided portions program appeared to be aimed toward of Texas’s Constitution concerning middle-class students rather than segregation (Clark 1993). Integration had disadvantaged minorities, as students become inevitable. accepted into the program typically did There were a variety of structural factors not receive additional financial aid (i.e., legal environment, aptitude testing, assistance from the university. In addi- segregation) working in concert to limit tion, due to the intensity of taking twelve the enrollment of Blacks at UT-Austin. As credit hours in the summer, the university a result, the integration of public educa- administrators did not encourage PAP tion institutions after Sweatt and later students to work. Therefore, low-income Brown was a slow process. The U.S. students did not have the financial Supreme Court spurred integration but resources to pay for summer classes. As a did not achieve full implementation as result, the reach of the program was Texas public school districts and postsec- limited for Black and Latina/o students ondary institutions pursued integration (Goldstone 2006). on an incremental basis. For example, in Noting the failure of PAP, the university Austin, Texas, by the spring of 1964, only sought to create more access for Black 14 percent of Black students were and Latina/o students by creating the attending White schools in the Austin Program for Educational Opportunity Independent School District (Wilson and during the 1968-1969 academic year. Segall 2001). PEO’s goals were to help “educationally, culturally, and financially disadvantaged

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students” who, based on recommenda- the small pool of eligible Black and tions and interviews, could be successful Latina/o applicants by allowing admis- at the postsecondary level but were not sions of Latina/os and Blacks with lower able to demonstrate this aptitude on test scores to graduate and undergraduate entrance examinations (Goldstone 2006, schools. Whites across the nation began 147). Moreover, this program sought to to question whether their rights were compensate for inadequately funded and being violated by these practices and poor-quality K-12 schooling that many sought to limit affirmative action Black and Mexican American students mechanisms in the courts. Several U.S. were receiving in Texas that had not Supreme Court cases changed how adequately prepared them for success on universities were able to admit and standardized tests such as the ACT and allocate resources based upon race. There SAT (Goldstone 2006). are three major U.S. Supreme Court cases that had a significant impact on the use of During its first year, 1968-1969, there race in the admissions process at the were twelve Black and thirteen Latina/o undergraduate and graduate levels at students who attended UT-Austin under UT-Austin: Regents of the University of this program. Twelve of these students California v. Bakke (1978), Hopwood v. successfully returned to the university the Texas (1996), and Grutter v. Bollinger following academic year. However, despite (2003). These cases emphasized “strict this limited success and a recommenda- scrutiny” as states were required by tion from the Faculty Council to expand federal courts to show that the racial the program, in May 1969, PEO was classifications in law “served a compelling terminated by the Board of Regents. The and legitimate state interest” (Howard board declared that funds appropriated 1997, 33). by the state legislature and other local institutional monies should not be used In 1973, Allan Bakke, a White male for direct recruitment of students who applicant, was refused admission to the would not have been admitted to the University of California Davis Medical university otherwise (Goldstone 2006). School. In Regents of the University of Then Board of Regents Chair Frank C. California v. Bakke, he claimed that the Erwin stated in front of the Texas State medical school had denied him equal Legislature, “We are turning down protection under the Fourteenth thousands of applicants from Irish, Amendment because sixteen seats were Scotch, Yugoslav . . . and other descents” reserved for economically disadvantaged because they did not meet the university’s minority students. The U.S. Supreme admissions standards but “at the same Court decided that Bakke should be time deliberately admit Afro-Americans allowed into the medical school but that and Mexican Americans who fail to meet “although race or ethnicity should not these same standards” (Morrison 1969 as demand inclusion or exclusion, minority cited in Goldstone 2006, 148). racial or ethnic status could constitute a ‘plus’ in an applicant’s file” (Bickel Admissions Tests and the Backlash: 1998, 10). 1970-1997 While Bakke was under review at the U.S. During the 1970s and leading into the Supreme Court, the U.S. Office for Civil early 1980s, UT-Austin sought to remedy Rights (OCR) began a civil rights review

16 actuating equity of Texas higher education in February Latina/os, the increase was only thirteen 1978. The OCR eventually found that students during the same time frame Texas had not eliminated vestiges of de (Texas Higher Education Coordinating jure segregation (Moses 2001). After Board 1986). Gerald Wright, Texas Higher thirty months of negotiations, several Education Coordinating Board’s Director court orders, and discussions with two of Equal Opportunity Planning, argued state administrations, the State of Texas that minority students were not enrolling agreed to develop a voluntary higher into postsecondary institutions because education desegregation plan (Moses their access was “limited by a conjunction 2001). A period of foot-dragging ensued, of social, financial, and political barriers” and by 1983, facing a forty-five-day (Texas Higher Education Coordinating ultimatum from the Adams v. Richardson Board 1986, 6). court to develop a desegregation plan, then Texas Attorney General Mark White From Hopwood to 10 Percent: encouraged state leaders to adopt a 1997-Present voluntary plan of action to diversify Texas Nearly fifty years after the landmark higher education to “forestall” a direct Sweatt case, Cheryl J. Hopwood and federal order to desegregate Texas colleges Stephanie C. Haynes, two White females, and universities (Hopwood v. Texas applied to the UT-Austin School of Law. 1996). The state responded by creating When they were rejected, they filed a the Texas Educational Opportunity Plan lawsuit in U.S. District Court stating that (TEOP), also known as the Texas Plan they were denied their constitutional (Texas Higher Education Coordinating guarantee of equal protection under the Board 1988). law when “less qualified” minorities were admitted. Both claimed that although In all, there were three Texas Plans: the they had met the school requirements for first in 1983, the second in 1989, and a admittance, the law school had “preferen- final iteration in 1994 (Scott and Kibler tial” admissions policies for Black and 1998). Each was designed to strategically Latina/o applicants (Goldstone 2006). address the lack of diversity at Texas’s Haynes was dismissed from the suit on traditionally White postsecondary February 11, 1993, and ultimately, institutions. Over the course of five years, Douglas Carvell, Kenneth Elliott, and the goal of the first Texas Plan was to David Rogers, three White males, joined enroll an additional 2,432 Black and 3,190 the existing lawsuit as plaintiffs alleging Latina/o undergraduates, 240 Blacks and claims similar to those of Hopwood 463 Latina/os in graduate programs, and (Kauffman and Gonzalez 1997). 100 more Latina/os and Blacks in professional studies at traditionally White The U.S. Court of Appeals for the 5th Texas public universities (Texas Higher Circuit ruled in Hopwood that any Education Coordinating Board 1983). consideration of race or ethnic back- However, by 1986 UT-Austin and its peer ground by the UT-Austin Law School to universities realized that they were not achieve a diverse student body did not meeting their goals. For instance, in the apply under the Fourteenth Amendment. 1984-1985 academic year, at UT-Austin, In addition, “the use of race . . . simply there were only about 100 more Black cannot be a state interest compelling undergraduates than in 1977-1978. For enough to meet the steep standard of

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strict scrutiny” (Hopwood 1996, 49). This Grutter, once top 10 percent admissions ruling had major implications for all are completed, UT-Austin is able to affirmative action policies at postsecond- consider race and ethnicity in the ary institutions in the 5th Circuit. Then admissions process under the category of Texas Attorney General Dan Morales “other factors.” In theory, the combina- instructed all public Texas colleges and tion of the TTPP and affirmative action universities to function on a “race-neu- should have increased Black enrollment tral” basis in regard to all their procedures relative to past efforts. and policies such as recruitment, reten- tion, financial aid, and tutoring. METHODOLOGY In order to gain an understanding of how In reaction to the Hopwood court decision Black undergraduate enrollment at and to encourage minority representation UT-Austin changed in response to the at UT-Austin and Texas A&M University, selective higher education admissions in 1996 the state legislature passed House policy and civil rights history considered Bill 588 (the Top Ten Percent Plan), which in this article, we conducted an analysis of was then signed into law by Texas UT-Austin Cactus yearbooks. We then Governor George W. Bush. Under this examined contemporary data to descrip- statute, a Texas student who graduated in tively consider recent enrollment trends the top 10 percent of his or her class in Texas higher education since the received automatic admission to any state Hopwood era to understand the impact of college or university. As with any new the legislatively mandated TTPP admis- policy, there were arguments on both sions policy. sides of the issue. Proponents of this plan argued that this law would increase the Historical Black Enrollment number of minority students at Texas Early in the research process, discussions A&M University and UT-Austin, the two with the UT-Austin Admissions and public flagship campuses; opponents Registrar’s Office revealed that the contended that the program would only university did not gather data by race work if secondary schools remained until the 1970s. To facilitate the estima- segregated and the state avoided dealing tion of historical Black enrollment, a with this issue. Others argued that novel data-gathering process using the accepting all top 10 percent students UT-Austin Cactus yearbook was utilized. would lower the quality of education at The Cactus yearbook has served as the these universities since the plan needed to “pictorial record of change” at the accept students from “weaker” schools UT-Austin since 1894. (Goldstone 2006). To estimate Black enrollment, the In 2003, race as a criterion amongst many researchers studied yearbook portraits. in the admissions process was reaffirmed Visual assessment of photos as a research by the U.S. Supreme Court in Grutter v. method is utilized across disciplines. John Bollinger, as the court ruled constitutional Collier Jr. and Malcolm Collier demon- the University of Michigan Law School’s strated that for many decades visual “narrowly tailored” use of race in anthropologists have been concerned admissions since it was not prohibited by with “visual observations and the insights the Equal Protection Clause (Grutter v. that can be gained through the use of Bollinger 2003, 320). As a result of

18 actuating equity camera records” (1999, 1). Social psychol- dramatically reduced the number of ogists have utilized phenotype analysis to students choosing to take yearbook understand attitude and social cognition photos, which limits the reliability of for many decades (Livingston and Brewer yearbook-derived data in recent years. 2002). Notably, we believe this article is the first to use phenotype analysis to Contemporary Black Enrollment estimate and analyze the historical We used institutional data from enrollment of Black students. UT-Austin’s Office of Information Management and Analysis and Office of A structured research process was used to Admissions to examine overall Black develop longitudinal data estimating enrollment since 1996’s Hopwood. To Black enrollment at UT-Austin. Each page understand the enrollment of Black TTPP of the Cactus student section was ordered students across the state, we utilized data by class and contained the student name, from the Texas Higher Education hometown, and student photograph. To Coordinating Board (THECB), the state organize the data collection, we consid- agency responsible for planning for ered the portrait together with surnames improvement of higher education in the and hometown, and then counts by race/ state of Texas. The THECB data includes ethnicity and gender were determined more than fifty public universities and page by page. To check the authenticity of colleges. The breadth of the data makes it the work and moderate validity threats, possible to consider TTPP Black students’ several research team members conducted higher education outcomes. We conduct checks by independently examining descriptive analysis of cross-sectional photos for coding consistency. A limita- TTPP Black students’ college choice, tion of the work is that the counting persistence, and completion. method is not infallible, but it is perhaps the best approach available to estimate FINDINGS historical enrollment of Blacks. Blacks first matriculated into graduate The historical admissions data-gathering programs at UT-Austin in the early 1950s. process was conducted in fifteen-year Undergraduate admissions came a few increments tracking backward from years later in 1956 (Shabazz 2004). As Hopwood (yearbooks from 1997, 1982, enrollment of undergraduate Blacks was 1967, 1952, 1937). The researchers also not allowed until 1956, there were no conducted an additional yearbook count Black undergraduate students attending beyond the five fifteen-year time frames the university in the 1937 and 1952 to understand the impact of the TTPP on counts (see Table 1). Black enrollment in 2001, five years after In 1967, arguably near the height of the Hopwood. Of note, we concluded the civil rights movement, Table 1 shows that yearbook counts in 2001, as there was an less than 1 percent of the student popula- important change in yearbook policy tion was Black (.4 percent each for male (University of Texas 2001b). Typically and female). The first UT-Austin collected there were 14,000 to 15,000 pictures in admissions data by race available is for the Cactus yearbooks. However, near the fall 1972, when there were 326 Blacks out start of the decade, the free sittings were of a student population of 39,900 or .8 transferred to orientation and were no percent (University of Texas 1976). longer a midyear tradition. This change

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Table 1 — Estimates of UT-Austin Black Enrollment and Underrepresentation

Year Black Black Black Census Black Percentage Male Female Total 1937 0.0% 0.0% 0.0% 14.4% 14.4% 75.3 1952 0.0% 0.0% 0.0% 12.7% 12.7% 5.9 1967 0.4% 0.4% 0.8% 12.5% 11.7% 8.4 1982 0.9% 1.8% 2.7% 12.0% 9.3% 10.4 1997 1.3% 2.1% 3.4% 11.5% 8.1% 100.0 2001 1.2% 2.5% 3.7% 11.5% 7.8%

Enrollment data from University of Texas 1937, 1952, 1967, 1982, 1997, 2001b. Census data from Gibson and Jung (2002).

Therefore, despite civil rights legislation statewide population in the 1980 Census and a friendlier legal environment, by about 9 percent. UT-Austin continued to have an By 1997, the backlash against affirmative extremely low enrollment of Black action had increased to a crescendo. The students. Relative to the 1970 Census, Bakke decision in 1978 followed by Blacks were underrepresented by about Hopwood in 1996 spurred on the opposi- 12 percent (see Table 1). tion. The year after Hopwood, the By 1982, civil rights directives—in yearbook analysis suggests Blacks were 3.4 particular Title VI and affirmative action percent (1.3 percent male and 2.1 percent enforced by the Adams court—sought to female) of the total student population at provide wider access for students of color, UT-Austin (see Table 1). The yearbook though societal barriers affecting pro- counts are similar to matriculation data spective entrants such as inequitable K-12 released by UT-Austin showing Black education remained. Furthermore, enrollment at 3.5 percent (University of despite the noble intentions of the belated Texas 1998). As shown in Table 1, Texas Plans and other outreach programs, considering the 2000 Census, Blacks were UT-Austin had not met its promised goals about 8 percent below their statewide for diversity. As shown in Table 1, a population. review of the 1982 Cactus revealed that It is interesting to note that during the 2.7 percent (.9 percent male and 1.8 first year of the implementation of the percent female) of the student population Top Ten Percent Law (1998-1999), the at the university was Black. Notably, this university data on enrollment propor- was the first year in the analysis where the tions was 3.5 percent for Blacks estimated proportion of Black females (University of Texas 2001a). In 2001, enrolled exceeded males. We estimate that several years after the implementation of Black male enrollment was half of female the TTPP, the yearbook count estimates enrollment. Nearly fifteen years after the the proportion of Blacks at 3.7 percent of civil rights movement, Blacks remained the student body. Since 1996, the year- underrepresented compared to their book analysis illustrates that Blacks

20 actuating equity

Table 2 — Top 10 Percent College Choice, Texas Public Universities (Freshman Entering 2000-2003)

Year and University Type White Black Latina/o 1999-2000 Top-Tier University 58.0% 29.6% 40.6%

Other Texas University 42.0% 70.4% 59.4% Grand Total 100% 100% 100%

2000-2001 Top-Tier University 61.6% 31.1% 41.8% Other Texas University 38.4% 68.9% 58.2% Grand Total 100% 100% 100%

2001-2002 Top-Tier University 58.7% 28.6% 38.8% Other Texas University 41.3% 71.4% 61.2% Grand Total 100% 100% 100%

2002-2003 Top-Tier University 60.9% 29.0% 40.5% Other Texas University 39.1% 71.0% 59.5% Grand Total 100% 100% 100%

1999-2003 Top-Tier University 59.8% 29.5% 40.3% Other Texas University 40.2% 70.5% 59.7% Grand Total 100% 100% 100% appear to show a modest increase in Percent Plan. In 2008, Black students enrollment at UT-Austin. However, made up 5.6 percent of all incoming Blacks remained vastly underrepresented freshman and Latina/os made up 19.9 relative to their statewide population (see percent, representing an increase of 2.9 Table 1). and 7.3 percentage points from 1997, respectively (see Figure 1). Top Ten Percent Plan We will now turn to contemporary Ten years of institutional data shows that THECB data on enrollment in Texas Black and Latina/o student enrollment public institutions of higher education to has increased in the midst of the Top Ten

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Figure 1 — Percentage of First-Time Enrolled Applicants by Race at UT-Austin (Source: Office of Information Management and Analysis, final enrollment analysis for fall 2008.)

further examine TTPP Black students midsized public institutions in Texas enrolled in all public institutions in the enrolling between 10,000 and 30,000 state of Texas. students and 77 percent for smaller institutions with less than 10,000 students We begin by comparing the cross-sec- between 2000 and 2006 (analyses not tional college choice patterns of histori- shown). cally underrepresented minority students to White students in Texas (see Table 2). Table 3 shows that TTPP students who Across all time periods, Whites show the attended top-tier universities in Texas largest percentage of TTPP students tend to have higher persistence rates choosing UT-Austin or Texas A&M, compared to all other institutions in which are the top-tier universities Texas, an average of about 10 percent represented in Table 2, over all other between years and race. This aligns with Texas universities. Of eligible TTPP the literature that shows Black persistence students, about 40 percent of Latina/os is impacted by demographic factors and students and 30 percent of Blacks choose institutional selectivity (Alon and Tienda the two flagship universities. As a result, 2005; Reason 2009). Notably, while the 70 percent of eligible Black and 60 overall gap remains relatively stable for percent of eligible Latina/o students Whites and Latina/os, the gap between turned down the opportunity to attend Black students attending flagships and the most selective institutions of higher attending all other institutions expanded education in Texas despite their preferen- from 7.5 percent to 12 percent from 2000 tial admission. This is an important issue to 2008. This suggests that as more TTPP that will require further qualitative Black students enrolled in less selective research to understand why this disparity public higher education institutions in is occurring. What we do know is that Texas, their persistence steadily declined. TTPP Black public higher education The historical graduation gap also exists enrollment increased 28 percent for between TTPP Black and White students.

22 actuating equity

Table 3 — Top 10 Percent College One-Year Persistence, Texas Public University Selectivity (2000-2008)

Year University Type White Black Latina/o 2000-2001 Top-Tier University 94.9% 93.3% 93.9% Other Texas University 86.3% 85.8% 86.2%

2001-2002 Top-Tier University 95.8% 95.0% 91.9% Other Texas University 87.9% 85.2% 84.1%

2002-2003 Top-Tier University 95.0% 93.2% 92.0% Other Texas University 86.0% 84.9% 86.8%

2003-2004 Top-Tier University 94.8% 92.9% 92.1% Other Texas University 87.0% 87.8% 85.8%

2004-2005 Top-Tier University 96.1% 93.8% 93.8% Other Texas University 86.2% 83.1% 82.9%

2005-2006 Top-Tier University 95.9% 93.8% 93.0% Other Texas University 86.5% 82.9% 84.6%

2006-2007 Top-Tier University 95.5% 92.5% 92.6% Other Texas University 86.6% 80.0% 84.8%

2007-2008 Top-Tier University 95.7% 93.7% 92.4% Other Texas University 86.5% 81.6% 83.2%

The gap for the four cohorts averages to graduate from less-selective institutions about 11 percent for TTPP students at the (gap averages about 5 percent). The top-tier institutions of higher education overall gap within groups for cohorts (see Table 4). At about 16 percent, the entering between 1999 and 2003 is also average gap of the four cohorts is even quite substantial by institutional selectiv- larger between White and Black TTPP ity: 17 percent for Whites and Latina/os students attending non-flagship institu- and about 22 percent for Blacks. tions of higher education. While the Considering that 70 percent of Black graduation rates are nearly the same for TTPP students do not attend Texas’s Black and Latina/o TTPP students at flagship universities, this large graduation UT-Austin and Texas A&M (an average rate gap has a disproportionate impact. gap of about a tenth of a percent), on average, more Latina/os than Blacks

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Table 4 — Top 10 Percent Six-Year Cohort Graduation Rate at Texas Public Universities (Freshman Entering 2000-2003)

Year and University Type White Black Latina/o 1999-2000 Top-Tier University 87.7% 77.8% 77.9% Other Texas University 69.4% 52.3% 57.6%

2000-2001 Top-Tier University 87.3% 80.3% 74.6% Other Texas University 72.2% 52.0% 59.3%

2001-2002 Top-Tier University 86.5% 72.0% 77.8% Other Texas University 68.6% 57.2% 59.6%

2002-2003 Top-Tier University 87.4% 75.2% 75.4% Other Texas University 70.5% 56.7% 60.5%

1999-2003 Top-Tier University 87.2% 76.2% 76.4% Other Texas University 70.1% 54.7% 59.4%

DISCUSSION 2004). Although by 1956, 104 Black undergraduate and graduate students The question of why integration at were accepted at UT-Austin, “unwritten UT-Austin has struggled from the Sweatt policies” termed them second-class period to the current day is mired in de citizens (Duren and Iscoe 1979). Certain jure, de facto, and societal factors. First, instances at the university became social the dismantling of Plessy in Texas took factors that greatly affected the reputation place in a context of what historian of UT-Austin, especially in Black commu- Amilcar Shabazz (2004) termed “massive nities. For example, opera superstar resistance”: procedural and legal foot- Barbara Smith Conrad was denied the dragging until as late as the mid-1960s. opportunity to perform as the lead in a Even when legal victories had been campus production in 1956 (Hames secured in federal courts, UT-Austin’s 2010), and UT-Austin had the dubious responses tended to follow the letter, but distinction of being the last all-White not the spirit, of the law. The initial national championship football team in TSUN Law School (the “Basement 1969 (Royal and Wheat 2005). With a College”) was certainly separate but far strong state network of Historically Black from equal (Goldstone 2006; Shabazz

24 actuating equity

Colleges and Universities free from such midst of the TTPP, the establishment of historical baggage (Willie et al. 2005), an administrative Division of Diversity many TTPP Black students opted to and Community Engagement, and the attend these institutions. The experiences recent founding of the Department of of many early UT-Austin Black students African and African Diaspora Studies, can be summarized in the words of which promises to enhance scholarship alumnus John Hargis: “lonely and and research integral to the Black unpleasant” (as quoted in Goldstone community, are considerable achieve- 2006, 46). ments for UT-Austin. Campus iconogra- phy of the present day includes statues of While these events might seem distant to the Reverend Dr. Martin Luther King Jr., some, it is apparent that these wounds congresswoman Barbara Jordan, and NFL have yet to heal in the Black community. Hall-of-Famer Earl Campbell. And in a Historian Dwonna Goldstone noted that redemptive effort, the pioneering Black “many observers believe that UT-Austin UT students (known as “The Precursors”) and Texas A&M have not adequately have returned to share their experiences addressed the negative racial climate that with the campus and local community. still exists on both campuses” (2006, 153). Today, the voice of the university in She further discussed the experiences of a public relations spots—formerly news student that struggled to make the icon Walter Cronkite—is Barbara Smith decision to attend UT-Austin: Conrad, the same woman at the center of When it came time to select a college, the opera controversy of 1956. [the student’s] family and friends Has UT-Austin come full circle? Will warned him not to go to UT “because, Black TTPP students continue to choose quite frankly, the environment of UT is non-flagship universities? Will the known for racism among black people. reduction of the TTPP to the top 8 Hopwood, and other recent incidents percent for the freshman class of 2011 in the past, have put African Americans reduce the enrollment of Blacks at in a certain mindset about UT. A lot of UT-Austin? Researchers and policy older people told me not to come here.” analysts will need to closely monitor how (as quoted in Goldstone 2006, 153) these efforts, along with an increasingly conservative social and political climate, Incendiary comments like UT-Austin law constricting state budgets, and declining professor Lino Graglia’s 1997 statement appropriations, affect Black recruitment, that “Blacks and Mexican-Americans are enrollment, retention, and graduation not academically competitive with rates. It is still an open question as to Whites” because they grow up in cultures whether UT-Austin will live up to its that “seem not to encourage achievement” Texas constitutional billing as a “univer- (as quoted in Goldstone 2006, 153) echo sity of the first class” for all its citizens. racist beliefs of yesteryear. It is always risky to attempt to predict what the future holds; however, recent events give rise to the possibility that historic rifts are starting to heal. The rise in African American enrollment in the

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REFERENCES testament of hope. Edited by Mildred Garcia. Adams v. Richardson, 351 F.2d 636 (D.C. Cir. State University of New York Press. 1972). Kauffman, Albert H., and Roger Gonzalez. Alon, Sigal, and Marta Tienda. 2005. Assessing 1997. The Hopwood case: What it says and the “mismatch” hypothesis: Differences in what it doesn’t. In Affirmative action’s college graduation rates by institutional testament of hope. Edited by Mildred Garcia. selectivity. Sociology of Education 78(4): State University of New York Press. 294-315. Lavergne, Gary M. 2010. Before Brown: Heman Bickel, Robert D. 1998. A brief history of the Marion Sweatt, Thurgood Marshall and the commitment to inclusion as a facet of equal long road to justice. Austin: University of Texas educational opportunity. In Responding to the Press. new affirmative action climate. Edited by Livingston, Robert W., and Marilynn Brewer. Donald D. Gehring. Jossey-Bass. 2002. What are we really priming? Cue-based Brown v. Board of Education of Topeka, 347 versus category-based processing of facial U.S. 483 (1954). stimuli. Journal of Personality and Social Brown v. Board of Education of Topeka (II), Psychology 82(1): 5-18. 349 U.S. 294 (1955). McLaurin v. Oklahoma State Regents, 339 U.S. Clark, E. Culpepper. 1993. The schoolhouse 637 (1950). door: Segregation’s last stand at the University of Missouri ex rel. Gaines v. Canada, 305 U.S. 337 Alabama. New York: Oxford University Press. (1938). Collier, John, Jr., and Malcolm Collier. 1999. Morrison, Mark. 1969. Regent Erwin supports Visual anthropology: Photography as a research project info while defending board’s PEO method. Albuquerque: University of New stand. Daily Texan, August 22. Mexico Press. Moses, Greg. 2001. The first investigation and Duren, Almetris M., and Louise Iscoe. 1979. the first Texas plan (http://gmoses.tripod.com/ Overcoming: A history of black integration at tcrr/history.htm). the University of Texas at Austin. Austin: Ogletree, Charles J. 2004. All deliberate speed: University of Texas Press. Reflections on the first half-century of Brown v. Gibson, Campbell, and Kay Jung. 2002. Board of Education. New York: Norton. Historical census statistics on population Plessy v. Ferguson, 163 US 537 (1896). totals by race, 1790 to 1990, and by Hispanic Reason, Robert D. 2009. Student variables that origin, 1970 to 1990, for the United States, predict retention: Recent research and new regions, divisions, and states. Table: Texas — developments. NASPA Journal 46(3): 482-501. Race and Hispanic Origin: 1850 to 1990. Working Paper No. 56. Washington, DC: U.S. Regents of the University of California v. Census Bureau. Bakke, 438 U.S. 265 (1978). Goldstone, Dwonna. 2006. Integrating the 40 Royal, Darrell, and John Wheat. 2005. Coach acres: The fifty-year struggle for racial equality royal: Conversations with a Texas football at the University of Texas. Athens: The legend. Austin: University of Texas Press. University of Georgia Press. Scott, Felicia J., and William L. Kibler. 1998. A Grutter v. Bollinger, 539 U.S. 306 (2003). case study: The effects of the Hopwood decision on student affairs. In Responding to Hames, Mat (director). 2010. Film: When I the new affirmative action climate.Edited by rise. Los Angeles: Allentown Productions. Donald D. Gehring. Jossey-Bass. Hopwood v. Texas, 78 F.3d 932 (1996). Shabazz, Amilcar. 2004. Advancing democracy: Howard, John R. 1997. Affirmative action in African Americans and the struggle for access historical perspective. In Affirmative action’s

26 actuating equity and equity in higher education in Texas. Chapel Wilson, Anna V., and William E. Segall. 2001. Hill: University of North Carolina Press. Oh, do I remember! Experiences of teachers Sipuel v. Board of Regents. 332 U.S. 631 during the desegregation of Austin’s schools, (1948). 1964-1971. Albany: State University of New York Press. State Department of Education. 1935. Public school laws of state of Texas, 1935 (no. 345, volume XI, no. 5). Austin: State Department of Education. Sweatt v. Painter, 339 U.S. 629 (1950). University of Texas. 1937. The 1936 Cactus Yearbook. Austin: Texas Student Publications. ———. 1952. The 1952 Cactus yearbook. Austin: Texas Student Publications. ———. 1967. The 1967 Cactus yearbook. Austin: Texas Student Publications. ———. 1975. General information, University of Texas at Austin, 1974-1975. Austin: University of Texas. ———. 1976. Statistical handbook, Austin: Office of Institutional Studies. ———. 1982. The 1982 Cactus yearbook. Austin: Texas Student Publications. ———. 1997. The 1997 Cactus yearbook. Austin: Texas Student Publications. ———. 1998. Statistical handbook, Austin: Office of Institutional Studies. ———. 2001a. Statistical handbook, Austin: Office of Institutional Studies. ———. 2001b. The 2001 Cactus yearbook. Austin: Texas Student Publications. University v. Murray, 169 Md. 478 (1936). Texas Higher Education Coordinating Board. 1983. State submits revised desegregation proposals. Coordinating Board Report, viii. ———. 1986. Minority recruitment showing little result. Coordinating Board Report, xxi. ———. 1988. New Texas plan to encourage minority enrollment. Coordinating Board Report, xxiii. Texas House Bill 588 Act, 75 Texas Legislation. Education Code §51.801-.807 (1997). Willie, Charles V., Richard J. Reddick, and Ronald Brown. 2005. The Black college mystique. Lanham, MD: Rowman & Littlefield Publishers.

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this article develops a normative view of racial democracy and puts forth recommendations that will help facilitate its expansion. While physically the presence of Afro- Latinos throughout the Latin American diaspora cannot be denied, access to resources, equal protection under the law, Identity and and political representation continue to Public Policy: be restricted and, in some countries, Redefining the Concept of justified by law (Cottrol 2007). Essentially, the continuing struggle of Afro-Latinos to Racial Democracy in Brazil obtain these basic rights can be seen as a by Krystle Norman major pitfall of society, but more gener- ally, it illustrates the degree to which Krystle Norman is a recent graduate of the inequality in Latin America still persists University of Maryland, College Park, where today. Since the census is used to deter- she received her master’s degree in public mine the allocation of federal funding, policy. In 2008, she received her bachelor’s provide social services, and guide the degree from the University of Maryland in creation of infrastructure projects, it Spanish language and literature and a serves as a means to not only address certificate in African American studies. Her inequalities but also understand the research interests include conflict areas, implications of identity on public policy. social policy, identity issues, human rights, Simply stated, recognition of identity is foreign policy, and parallels between critical to effective policy making, communities within the African diaspora. especially within the context of a country as racially diverse as Brazil.

ABSTRACT: HISTORY OF AFRO-LATINOS In Brazil, the notion that raced-based While many Americans have learned inequalities have crippled the social, about the history of slavery and racial economic, and political progress of inequality that lies at the very core of the Afro-Brazilians is one that is quickly African American struggle in the United denied by those who are committed to States, the experience of Afro-Latinos and Gilberto Freyre’s concept of racial their plight for racial equality has not democracy. However, when disparities received nearly as much attention between “White” and “Black” Brazilians (Cottrol 2007). Considering the fact that are noted, it is difficult to attribute them Latin America is home to the largest solely to class and not race. By analyzing population of Africans living outside of important concepts coined by two Africa itself (Andrews 2004), it is a distinguished sociologists, W.E.B. Du Bois tragedy that their struggle has been and Gilberto Freyre, this article explores seemingly overlooked. the way in which identity affects the The lineage of African ancestry in Latin ability of public policy to address America was created from the millions of inequalities in Brazil. From that dialogue, West African slaves who were traded as

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property and survived the Middle abolitionist movement, the ramifications Passage, the journey from Africa across of slavery continue to reverberate the Atlantic (Andrews 2004). In the early throughout Latin America today, demon- sixteenth century, European traders were strated by the injustices in regards to responsible for the first large influx of access to health care, education, resources, slaves into the hemisphere. These Africans and employment (Ribando 2005). went to the island of Hispaniola, which now is comprised of the Dominican PLIGHT OF AFRO-BRAZILIANS Republic and Haiti. Over the subsequent Recent studies have shown that there is a 400-year period, it is estimated that about “strong and persistent correlation” twelve million slaves would come to the between socioeconomic disparities and hemisphere and be subjected to a life of the extent to which someone is classified hard labor, discrimination, and exploita- as or self-identifies as Afro-Latino tion (Postma 2003). Brazil’s role in the (Ribando 2005, 5). For the purposes of history of slavery in the Western hemi- this article, individuals that have any sphere is undeniable, especially when African ancestry will be referred to as scholars estimate that almost half of Afro-Brazilian or Black, while those African slaves were sent to Brazil, as individuals who do not have any African compared to the 6 percent that would ancestry will be referred to as White eventually end up in the United States Brazilians. Black or Afro-Brazilian will (Russell-Wood 1982). As George Reid also be used as an umbrella term that Andrews writes, “During the period of broadly encompasses those Brazilians slavery, ten times as many Africans came who are not White, including people of to Spanish and Portuguese America (5.7 mixed race and those whose phenotypes million) as to the United States (560,000)” would suggest their African ancestry (2004, 3). For many years, the African (even if they do not self-identify as such). slaves were overworked, killed, and then In broad-based surveys conducted by replaced to sustain the vicious cycle of organizations such as the Inter-American slavery. As the development of Central Development Bank, investigators found and South America and the Caribbean that Afro-Latinos constitute a dispropor- became more reliant on the revenues tionate amount of the poor given their generated from harvesting cash crops, overall population in Latin America. They West African slaves continued to be in make up almost 40 percent of the region’s high demand (Andrews 2004). poor, yet only constitute a third of Latin It was not until the abolitionist move- America’s total population (Ribando ment gained momentum that the 2005). With regards to Brazil, a household international community began to pay survey conducted in 1999 found that attention to the suffering caused by Afro-Latinos constitute 45 percent of the intergenerational slavery and exploita- population, yet they represent about 65 tion. However, while most Latin percent of both the poor and extremely American countries decided to abolish poor citizens (Htun 2004; Ribando 2005). the institution of slavery upon indepen- To continue, Black Brazilians can expect dence in the early 1800s, slavery in Brazil to earn about half of the income of their would remain robust until 1888 (Andrews White counterparts on average and are 2004). In spite of the triumphs of the more likely to be victimized by police

30 identity and public policy brutality and human rights abuses (Telles Whitening of a region through the 2009). Additionally, Afro-Brazilians are settlement of large groups of Europeans) more likely than Whites of the same ultimately exacerbated the rate at which income to live in areas of concentrated Afro-Latinos were marginalized (Cottrol poverty (Telles 2004). In a more direct 2007). Psychological remnants from the comparison with their White counter- slavery paradigm continued to perpetuate parts, more than half of Afro-Brazilians the problematic notion that, among other lack housing with adequate sanitation, things, lighter skin was synonymous with while only 28 percent of White Brazilians economic and social mobility. This are confronted with this issue (Htun ideology was reinforced when European 2004; Ribando 2005). With regards to settlement was encouraged and the White education, a twenty-five-year-old elite began to solidify its influence over Afro-Brazilian has, on average, 2.3 years the political, economic, and social sectors less schooling as compared to Whites, and of society (Andrews 2004). As stated by the illiteracy rate for Afro-Brazilians is Robert Cottrol, “If the national ethos almost three times that of their White dictated that the nation was white, it was counterparts (Htun 2004; Ribando 2005). all the more prudent, particularly for The media also serves as another medium those of mixed ancestry, not to declare an through which racial discrimination and African heritage. Thus mestizaje [racial stereotypes are perpetuated. Although mixing] and blanqueamiento Afro-Brazilians constitute roughly 45 [Whitening] both contributed to the percent of the population in Brazil, pronounced unwillingness of many television shows and advertisements Afro-Latinos to identify as such, even employ majority White actors and when phenotype made such identification models, reinforcing the idea that White and the resulting discrimination inescap- Brazilians are the standard for beauty and able” (2007, 4). success in Brazil (Telles 2009). Since the combination of Europeans, Native Americans, Spaniards, and IDENTITY ISSUES IN BRAZIL Africans created such a hugely multieth- Afro-Latinos have struggled to mitigate nic citizenry in Latin America, this the tensions that have emerged surround- grouping made it all the more difficult to ing their mixed racial heritage. For rigidly define class and political status instance, in the early 1900s Latin (Andrews 2004). According to Andrews, America’s response to European pressures the Afro-Latino population experienced to “civilize” was to suppress and/or hide both “Whitening” and “Blackening” its African heritage, encourage White phases because it lacked an appreciation migration into the region, undergo a and understanding for its own racial “modern European-style” transformation identity (2004, 10). Due to societal of its urban landscapes, and promote pressures, Afro-Latinos were forced to European values and culture in order to create an identity that was both accept- “Europeanize Latin American societies” able to themselves and the larger (Andrews 2004, 119). European diaspora. As a result, social This strong desire for all the societal gains status and economic privilege were that were thought to accompany “blan- determined by one’s light skin color and queamiento” (a term used to describe the closeness to a European phenotype.

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Society would systematically devalue Simply stated, identity is critical to policy, Blackness, which encouraged individuals and this is particularly evident when to disassociate with their African ancestry, examining how identity issues in Brazil even when their phenotype would suggest have affected the census. In an effort to otherwise (Cottrol 2007). In this way, formulate and implement targeted public Brazil was able to maintain a “rigid, racial policies to try to address the needs of the hierarchy” that reinforced the supremacy Afro-Brazilian population, in the next of White Brazilians (Telles 2004, 230). census conducted in 1995 the Brazilian government decreased the number of IMPLICATIONS OF IDENTITY ON categories used in the racial classification PUBLIC POLICY portion of the survey (Ribando 2005). As With the difficulties presented by a result, former Brazilian President self-classification and identity, disparities Fernando Henrique Cardoso helped between White and Black Brazilians have usher in a series of affirmative action and been documented, yet still underesti- antidiscrimination legislation, which has mated (Cottrol 2007). Accordingly, there been characterized by many as a “positive have been efforts by the Brazilian byproduct of this census reform” government to try to address the multi- (Ribando 2005, 6). tude of identities that have emerged due Specifically, in the past two decades Brazil to the lack of a rigid, nationally accepted has implemented more antidiscrimina- racial classification system. Findings from tion legislation and signed international a census compiled in 1991 found that protocols against institutional racism. In there were more than one-hundred 2001, Brazil pushed to implement different categories that individuals used affirmative action measures both in to define their racial identity (Reichmann government employment and in the 1999). Some of the categories used to university admissions process. describe varying degrees of African, Furthermore, former Brazilian President European, and Indian ancestry among Luiz Inácio Lula da Silva integrated an Brazilians included “negro, preto, pardo, all-time-high number of Afro-Brazilian moreno, mulato, trigueño, zambo” ministers; the establishment of the (Cottrol 2007, 3). Furthermore, citizens Secretariat for Racial Equality also helped were not only asked how they classified legitimize Brazil’s commitment to themselves, but they were also surveyed addressing racial inequality (Dzidzienyo on how and why they would classify other and Oboler 2005). Ultimately, the issue of people in their community. It was evident racial identity has a significant impact on from this census that information the government’s ability to address racial gathered about racial classifications was inequalities that persist in Brazil. heavily influenced by the makeup of an individual’s community, the extent to DIALOGUE ABOUT IDENTITY ISSUES which individuals were exposed to other The works of two distinguished sociolo- communities with dissimilar racial gists, W.E.B. Du Bois and Gilberto Freyre, demographics, as well as their under- can be examined as a way to understand standing of their own heritage. In fact, the the construction of contemporary propensity of the government to discour- identities throughout the African age its citizens from grouping themselves diaspora. Through an examination of has been long criticized (Htun 2004).

32 identity and public policy their works’ impact on the discussion of African American culture and identity on identity, concepts critical to my and affirmed that both a reconciliation of normative view of racial democracy dueling identities and perseverance will be revealed. despite all odds is the “history of the American Negro” (2005, 8). Double W.E.B. Du Bois, a distinguished African consciousness speaks to the duality of American sociologist, coined the concept identity and refers to the condition of of double consciousness in The Souls of Black consciousness after emancipation: Black Folk, which was originally written in as an awareness of one’s self-identity 1903. As Du Bois affirmed in this seminal coupled with the awareness of seeing work examining the sociological under- one’s identity through the eyes of others pinnings of the African American (Du Bois 2005). While these two identi- experience, “The problem of the twenti- ties may be very different, the alternative eth century is the problem of the color view of oneself essentially becomes an line — the relation of the darker to the inescapable part of identity. The concept lighter races of men in Asia and Africa, in of double consciousness emerged as a way America and islands of the sea” (2005, to understand the influence of stereotypes 17). From this quote, one can understand perpetuated by Whites and their effects Du Bois’s keen recognition of the impact on the Black experience and identity, the of race on societal relations. On the other internal conflict of being both African hand, Gilberto Freyre, a noted Brazilian and American, and the prevalence of sociologist, was first associated with the racism and discrimination that ignored, notion of “racial democracy” in The persecuted, and ostracized African Masters and the Slaves, although he never Americans from mainstream society. Du explicitly employed the phrase in this Bois states, “It is a peculiar sensation, this work. In this book, he argued that a series double consciousness, this sense of always a special circumstances allowed Brazil to looking at one’s self through the eyes of transcend the need to create rigid, racial others, of measuring one’s soul by the categories that would lead to tense race tape of a world that looks on in amused relations; miscegenation among Whites, contempt and pity” (2005, 7). Africans, and the indigenous peoples, close relations between masters and slaves While the need to grapple with these two during colonialism, and a strong, yet consciousnesses may have been a burden complex, national identity facilitated the for African Americans initially, it served creation of a superior race (Freyre 1933). as a coping mechanism for those who felt While Freyre seemingly is credited with caught between two worlds. In describing coining the term “racial democracy,” the hopes and desires of African Arthur Ramos, Roger Bastide, and Americans, Du Bois explains, “He Charles Wagley are also given credit for [African Americans] would not Africanize popularizing the term throughout the America, for America has too much to Western hemisphere (Souza and Sinder teach the world and Africa. He would not 2005). bleach his Negro soul in a flood of white Americanism, for he knows that Negro Double Consciousness blood has a message for the world” (2005, Du Bois’s description of double con- 8). Accordingly, Brazil’s effort towards sciousness put forth a profound analysis Whitening society has affected the way

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Brazilians view themselves and the way based prejudice and discrimination that others view them. In that sense, Du existed (Simpson 1993; Souza and Sinder Bois would reaffirm that Afro-Brazilians 2005). Scholars have also characterized should not Whiten themselves because Freyre’s notion of racial democracy as they have a unique “message” to contrib- dogma seeking to create the perception of ute to society. a “color-blind” or “raceless” Brazilian society (Kingstone and Power 1999, 249; Undoubtedly, there is a strong parallel in Janoski et al. 2005, 194). This concept the way that race and racism has affected gained popularity during the 1930s and both the Afro-Brazilian and the African early 1940s during the time that other American psyches. In the same way that multicultural countries were experiencing African Americans grapple with the heightened racial tensions. Brazilians duality of their identity, I will incorporate would use Freyre’s notion of Brazil’s this concept into my normative vision for racial democracy to criticize those democracy in order to help Afro- countries like the United States that Brazilians grapple with the duality of struggled with race-based discrimination their identity. However, the danger of and inequality. By the 1990s, the preva- double consciousness becomes evident lence of Freyre’s concept of racial when individuals consciously conform or democracy was diminishing from the alter their identity to cater to the expecta- public paradigm as Brazil became more tions of another person or group. democratic. In addition, a dynamic Black Ultimately, the inclusion of this concept consciousness movement that maintained will help reconcile the need for both an a small following received national identity from the “other” (which would attention in Brazil for heavily criticizing be the census racial categories) and the Freyre’s popular idea of racial democracy, identity of “self” (which would preserve which finally caused the issue of race to one’s individual freedom to choose his or be brought back into the national her identity). dialogue (Telles 2004). Racial Democracy Freyre’s concept of racial democracy In its most commonly accepted defini- would significantly impact how Brazil tion, the term racial democracy has been addressed inequalities between White and used to describe the tranquility of race Black Brazilians. On the one hand, some relations between “the Black and White” have applauded Brazil’s efforts in mani- within Brazil. Racism in Brazil was argued festing a strong sense of pride among its to be nonexistent, which helped the nationals by adopting the notion of racial country become the poster child for democracy as the official ideology. As a efforts to move past slavery and toward result, all Brazilians were thought to be racial reconciliation. Essentially, Freyre considered equal (no one group was perpetuated the theory, which would superior to another), therefore the soon become known as the “official prevailing idea became that no ideology,” that Brazil was “above race” group should receive special treatment (Simpson 1993, 33). In other words, this through policies such as affirmative ideology affirmed that the construct of action. However, other scholars race did not exist, which therefore have found Freyre’s idea extremely negated the possibility that both racially problematic (Hanchard 1994). By

34 identity and public policy denying the possibility of race as a factor into my recommendations for successful in a discussion of inequality, many issues implementation. subsequently manifested. Even though the government has made more of an effort NORMATIVE VIEW OF to implement policies to address inequali- RACIAL DEMOCRACY ties over the past twenty years, it is After reviewing the concepts coined by evident that disparities still both Freyre and Du Bois as well as their remain. Furthermore, Michael George impact on the dialogue about identity, I Hanchard concludes that exclusion of have created a normative version of racial race from the public discourse has democracy that incorporates Du Bois’s diminished the overall effectiveness of concept of double consciousness and targeted policies that seek to correct for allows public policies to address dispari- social and economic inequalities ties while letting individuals maintain the (1994). In other words, while progress has freedom to choose their own identity. been made, it remains to be seen whether Racial democracy should be defined as a Brazil can truly overcome the socioeco- democratic polity that acknowledges the nomic and psychological impacts that the importance of a diverse citizenry; concept of racial democracy have educates its citizens about the value of caused. In addition, Freyre’s notion of heightened cultural understanding; racial democracy could have a negative empowers those who have been histori- impact on the extent to which cultural cally marginalized with respect to access studies are taught both in the school to resources and mobility through a system and within the Brazilian home strengthening of their political voice and (Hanchard 1994). Since accepting Freyre’s presence in the deliberative decision- concept of racial democracy has caused making process; and is willing to sacrifice some Afro-Brazilians to ignore their time and resources in order to remain African heritage, this sense of denial committed to addressing issues of continues to prevent them from identify- inequality. Before coming to a conclusion ing within the broader struggle of those on my normative vision of racial democ- belonging to the Pan-African community racy, I had to understand the implications (Dzidzienyo and Oboler 2005). of two different extremes. One extreme In a broad-based survey of White Brazilian would be a complete removal of the attitudes, researchers found that while 89 concept of race from the public discourse. percent believed that racial prejudice This extreme would parallel Freyre’s existed, only five percent said that it existed notion of having a “raceless” Brazilian in significant ways. In addition, 43 percent society. The other extreme would be to said Blacks were only good at sports, and allow the government to establish strict 47 percent believed the old saying that a racial categories without public input. “good Black is one that has a White soul” However, I realized that neither extreme (Persons 2003, 43). In this way, the myth of would be ideal for my vision of racial racial democracy has not been entirely democracy. Individuals’ identities are far refuted, which is why I believe it should be too complex for either extreme to fit into reinterpreted. Below I discuss how I my theory on what a racial democracy arrived at my vision of racial democracy as should be. Arguably, either one of these well as some of its features before moving extremes could reinforce inequalities that

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persist in society or suppress the fact that affect historically marginalized groups in other aspects of an individual’s identity a way that reconciles racial tensions; are more salient than ethnicity, such as strengthen national identity; and build gender and class. coalitions across geographic and ethnic boundaries. As defined here, racial Double consciousness (keeping the democracy would not mean the exercise individual’s identity as the primary and of color-blindness or clinging to a the government category as the second- superiority complex that excludes a ary) should be understood as an impor- nation from scrutiny. Rather, it would tant feature of my vision of racial mean recognizing the differences of democracy. The “other view” of one’s others as various threads in the rich fabric identity (Du Bois 2005), which causes the of society. The acceptance of such a emergence of the secondary conscious- robust form of racial democracy is ness, should be acknowledged as a way of essential as it serves as the underpinning understanding the role of racial classifica- for the basis of sustainable reform. tions in creating targeted policies to Ultimately, by incorporating the concept address racial inequality. However, it of double consciousness into my vision of should not be accepted if an individual racial democracy, I will be able to stress feels that his or her primary identity is the ability for individuals to identify or to more salient. My vision of racial democ- be classified as a larger group to help racy would give the government a focus public policy address inequality while still for addressing inequalities while preserv- allowing individuals to maintain the ing individual freedom to embrace one’s cultural freedom to define themselves as complex identity, which may not identify something different. ethnicity as the most salient element. It would also allow for the implementation To promote racial democracy, the of policies to alleviate inequalities while government should maintain its system of strengthening the national identity by providing a fewer number of racial recognizing a plurality of individuals with classification categories on census complex identities. Afro-Brazilians should questionnaires. This will allow the be free to define their complex identity as government to continue to focus its they see fit and weigh their ethnicity in policies. Undoubtedly, the fact that relation to other parts of their identity. Afro-Brazilians self-identified in more Ultimately, the secondary identity (unlike than one-hundred different categories how it was defined by Du Bois for African speaks to the complexity of identity in Americans) would be seen as a positive Brazil. I believe that using the most rather than a negative construct. It would popular racial categories that describe be the acknowledgement (not acceptance) those citizens of African descent com- of this secondary identity, utilized in the bines the opportunity for Afro-Brazilians racial classification system, that would to self-identify racially with the need for seek to address racial inequalities. the government to target its policies by decreasing the number of options The goals of racial democracy should be available on the census. For the purpose to reduce concentrated poverty; increase of the census, an Afro-Brazilian should be political access while establishing and defined as anyone who has any known sustaining mechanisms within the African ancestry in his or her family democratic structure to revisit issues that

36 identity and public policy

(both immediate and extended), even if would not only strengthen racial coali- his or her phenotype suggests otherwise. tions but also strengthen the national identity. No matter how the current status However, some Afro-Brazilians may of Afro-Brazilians is analyzed, the choose to deny their African heritage in disparities call for a restructuring of the an effort to protect their families from national identity that not only recognizes stereotypes, ostracism, and discrimina- the nuances in cultural identities but also tion. These individuals would likely seeks to correct for historical inequities. choose the “other” option on census Additionally, bridging groups through the questionnaires and/or write in an merging of racial categories will help alternate response. Here is where self- develop a rich pluralism and will bring identification becomes critical to the people together. In realizing its responsi- success of the census. Ultimately, without bility to reconcile the desire for solidarity buy-in from Afro-Brazilians to support with the recognition of a robust, diverse the inclusion of census classification, their citizenry, Brazil will find that my norma- lack of responsiveness or cooperation will tive theory on racial democracy has the undermine the ability of the census to balance between diversity and solidarity capture pertinent social, economic, and that will prove to be the most political information that will help in appropriate. more effectively addressing the inequali- ties that disproportionately affect OPTIONS FOR STRENGTHENING Afro-Brazilians. RACIAL DEMOCRACY IN BRAZIL I am compelled to think that an adoption of my vision of racial democracy would Change the Public Paradigm strengthen the broader coalition of about Race non-White minorities in Brazil as a The public paradigm is very important to whole. As minority groups, they must the effectiveness of the call to action to focus on the commonalities in their the masses to address the issue of race in struggles, unify their efforts toward Brazil. Paradigm shifts can be socialized equality, and confront social injustices through public education, oral tradition, with the notion that the pursuit of the and public campaigns. They should empowerment of small groups will also emphasize the need for my vision of empower the efforts of the collective. In racial democracy and promote the addition, with a profound understanding concept of double consciousness as a way of the complex historical roots and to reconcile the need for racial categories multifaceted culture, my normative with individuals’ cultural liberties to theory would allow for the construction choose (or not choose) their own identity of identities, which not only allows for (Sen 2004). Apart from legal reforms, more targeted social action but also what is necessary and arguably most reinforces a commitment to an individu- important is a drastic paradigm shift al’s cultural liberty. Public policies that away from the notions about a “raceless” address inequalities would be able to Brazil. Since it will most likely take some more effectively target injustices that time to come to a national consensus exist. I would also expect that the about the most appropriate approach to recognition of racial divisions and the addressing race, we can expect that emphasis of commonalities across groups changing the public paradigm will require

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patience, time, and persistence. In the Therefore, an increase in political end, reforms coupled with a shift toward involvement for Afro-Brazilians will my normative theory of racial democracy generate new perspectives that may not will create the foundation needed for have previously been explored, help more Brazil to combat racial inequalities with equally distribute resources, and assist in sustainable success. the crafting of policies that address the needs of Afro-Brazilians, which will bring Increase the Political Involvement race-based initiatives and public policies of Afro-Brazilians to the forefront of the public agenda. Unequal access to education is one of the main catalysts that has created a lack of Encourage Diversity Initiatives Coupled politically competitive Afro-Brazilians. with Antidiscrimination Legislation Cloves Luiz Pereira Oliveira confirms Institutions should feel compelled to hire that, overall, “Afro-Brazilian candidates or elect officials so that their staff were drafted from the working class, represents the diverse citizenry of Brazil. whereas Whites came from the upper- As seen in many of Brazil’s soccer teams, middle and middle-class” (1999, 173). As diversity can be achieved without strict a result, disparities in education levels not affirmative action policies, especially for only prevented more Afro-Brazilians from jobs (such as in sports) that are heavily becoming political candidates but also based on performance and talent. impacted their ability to compete with Especially with regard to recruitment for wealthier and more educated candidates universities, as well as private- and in the political arena (Oliveira 1999). For public-sector jobs, I believe that imple- example, Salvador is the third-largest city menting antidiscrimination laws coupled in Brazil, a former colonial capital, and with more diversity outreach efforts the center of Afro-Brazilian culture, yet it would be the most appropriate. However, has never had a democratically elected if it seems that the need for diversity Black mayor (even though Afro-Brazilians initiatives is being taken seriously, the constitute more than 85 percent of the government could incentivize institutions population there). Edvaldo Brito, the only to adopt such initiatives. I would prefer Afro-Brazilian to have served as the this option to affirmative action policies, mayor of Salvador, was appointed by because I feel that diversity should not be Brazil’s former military dictatorship forced; it should be encouraged. However, (Duffy 2009). On a national level, “in this option is extremely contingent on the 2003, Brazil, a country with 45% of its realization of the first option. If Brazilians population claiming some African were to understand the importance of ancestry, 27 congressmen of a total of 594 addressing racial inequality, they would self-identified as Afro-Brazilian” (Ribando feel more compelled to incorporate 2005, 10). This statistic shows that how diversity initiatives and outreach into even though more congressmen had a their recruitment practices. By example, phenotype that reflected their African government should start to more heavily ancestry, for fear of being negatively recruit from communities of color characterized they openly denied their because it could provide the momentum ancestry. Accordingly, this denial has only that other sectors need in order to do the further impacted an already disempow- same. ered Afro-Brazilian community.

38 identity and public policy

Implement Affirmative without economic democracy, without Action Policies socio-psychological democracy—the Implementing affirmative action policies democracy whose types combine freely to increase diversity in both government in new expressions, accepted, favored, and universities could also be an option and stimulated by the organization of for achieving a normative view of racial society and creation—what can mere democracy. Brazil has made the creation political democracy be, if not a hoax? of affirmative action policies in university (Souza and Sinder 2005, 123) admissions one of the major focal points of its efforts to address social inequality. I thought that in that place that Freyre As of 2008, almost fifty different universi- described as “sweeter than any other” I ties had adopted affirmative action would find a thriving Black middle class policies (Telles 2009). While the imple- with a unique appreciation for African mentation of quotas or other affirmative heritage and culture,and heightened action policies may have increased the political and social activism. However, presence of Afro-Brazilians with respect after conducting ethnographic research to universities, I do not think they would in Salvador, I found a small, politically be fair and/or easily accepted in other uninvolved Black middle class, an evident areas such as in sports or in government. commodification of African culture to Especially among supporters of meritoc- serve tourist interests, and a White racy and universalism, affirmative action Brazilian minority elite with concentrated policies are seen to be very controversial political power and wealth. I also realized (Telles 2009). If Afro-Brazilians obtain the importance of my own sense of positions on sports teams or in govern- double consciousness and how it helped ment through affirmative action policies, me understand how society viewed me, those individuals may be seen as unde- without letting that negatively impact the serving or unqualified. This may increase freedom I had to define my own identity. racial hostility toward Afro-Brazilians Both recognition of race and an imple- from the rest of society, which may mentation of policies would expand racial disagree with the special treatment that democracy and strengthen the national affirmative action would afford certain identity while preserving the pluralism of individuals. complex identities. Ultimately, because of Salvador’s unique demographics and POTENTIAL STARTING POINT history, I feel that this city could serve as In an excerpt from Freyre’s first speech in a starting point for the adoption of my Salvador da Bahia, Brazil, in 1943 to the vision for normative racial democracy. students attending the Bahia Medical School, he described their state of CONCLUSION “democracy”: Despite attempts to eliminate racism from the public discourse, it is alive and Here [in Bahia] one finds, in an flourishing in Brazil, and the current atmosphere that is sweeter than any status of Afro-Brazilians can be seen as a other in Brazil, the results of ethnic by-product of its legacy. As prominent democracy, inseparable from social development ethicist Amartya Sen stated, democracy. And without social “A country does not have to be judged to democracy, without ethnic democracy, be fit for democracy, rather it has to

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become fit through democracy” (1999, 4). Development. Journal of the Inter- Accordingly, Brazil can become more fit American Foundation 28(1):2-5. through racial democracy, as it has been Daniels, Cora. 2004. Black power inc.: defined in this article. Even though the The new voice of success. New Jersey: persistence of inequalities between John Wiley & Sons. “White” and “Black” Brazilians can be attributed to a number of factors, Du Bois, W.E.B. 2005. The souls of black changing the public paradigm and folk. New York: Pocket Books Printing. strengthening the political voice of the Originally written in 1903. Chicago: A.C. Afro-Brazilian are two of the most McClurg & Company. instrumental ways that racial democracy Duffy, Gary. 2009. Racial legacy that can be achieved. haunts Brazil. BBC News, November 4 Harriet Tubman once said, “If I could (http://news.bbc.co.uk/2/hi/8338593. have convinced more slaves that they were stm). slaves, I could have freed thousands Dzidzienyo, Anani, and Suzanne Oboler, more” (Daniels 2004, 36). Accordingly, if eds. 2005. Neither enemies nor friends: Freyre had been able to convince Latinos, Blacks, Afro-Latinos. New York: Brazilians that race did exist through his Palgrave Macmillan. concept of racial democracy, perhaps Afro-Brazilians could have made a Freyre, Gilberto. 1933. The masters and stronger effort to address racial inequali- the slaves: A study in the development of ties earlier, and these inequalities would Brazilian civilization. Samuel Putnam not exist at the rate that they do today. (trans.). Berkeley: University of California While Brazil will never be able to com- Press. pletely transcend the notion of race, Janoski, Thomas, Robert Alford, ignoring it in the name of solidarity will Alexander Hicks, and Mildred A. only continue to impact all of its diverse Schwartz, eds. 2005. The handbook of citizenry, not just Afro-Brazilians. political sociology: States, civil societies, Ultimately, the inclusion of double and globalization. Cambridge University consciousness in my normative vision of Press. racial democracy will not only help the government implement targeted social Hanchard, Michael George. 1994. policies but also preserve individual Orpheus and power: The Movimento Negro freedoms so that Afro-Brazilians can of Rio de Janeiro and São Paulo, Brazil, achieve true igualdade—equality. 1945-1988. Princeton: Princeton University Press. REFERENCES Htun, Mala. 2004. From “racial democ- Andrews, George Reid. 2004. Afro-Latin racy” to affirmative action: Changing state America 1800-2000. New York: Oxford policy on race in Brazil. Latin American University Press. Research Review 39(1): 60-89. Cottrol, Robert. 2007. Coming into their Kingstone, Peter R., and Timothy J. own? The Afro-Latin struggle for equality Power, eds. 1999. Democratic Brazil: and recognition. Grassroots Actors, institutions, and processes. Pittsburgh: University of Pittsburgh Press.

40 identity and public policy

Oliveira, Cloves Luiz Pereira. 1999. Telles, Edward. 2004. Race in another Struggling for a place: Race, gender, and America: The significance of skin color in class in political elections in Brazil. In Brazil. New Jersey: Princeton University Race in contemporary Brazil: From Press. indifference to inequality. Edited by ———. 2009. Brazil in black and white: Rebecca Reichmann. University Park: Discrimination and affirmative action in Pennsylvania State University Press. Brazil. PBS, June 1 (www.pbs.org/wnet/ Persons, Georgia A., ed. 2003. Race and wideangle/lessons/brazil-in-black-and- democracy in the Americas. Transaction white/ Publishers. discrimination-and-affirmative-action- in-brazil/4323/). Postma, Johannes. 2003. The Atlantic slave trade. London: Greenwood Press. Reichmann, Rebecca, ed. 1999. Race in contemporary Brazil: From indifference to inequality. University Park: Pennsylvania State University Press. Ribando, Clare. 2005. Afro-Latinos in Latin America and considerations for U.S. policy. Library of Congress. Congressional Research Service. Russell-Wood, A.J.R. 1982. The Black man in slavery and freedom in colonial Brazil. Oxford: Palgrave Macmillan in associa- tion with St. Antony’s College. Sen, Amartya. 1999. Democracy as a universal value. Journal of Democracy 10(3): 3-17. ———. 2004. Cultural liberty in today’s diverse world. United Nations Development Programme (UNDP) Human Development Report. Simpson, Amelia. 1993. Xuxa: The mega-marketing of gender, race, and modernity. Philadelphia: Temple University Press. Souza, Jessé, and Valter Sinder. 2005. Imagining Brazil. Lanham: Lexington Books.

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42 feature article

instances, declining) rates of enrollment among Black male undergraduates. This article presents findings from two-to- three-hour individual interviews with Black undergraduate men who grew up in low-income and working-class families and later enrolled in one of eighteen predominantly White private postsecond- Opportunity Beyond ary institutions. We describe the policies and programs that enabled these men to Affirmative Action: successfully navigate their way to and How Low-Income and through these colleges and universities, Working-Class Black Male and we then offer implications for Achievers Access Highly higher-education policy. Selective, High-Cost Colleges TEXT: and Universities In Beating the Odds: How the Poor Get to by Shaun R. Harper and College, Arthur Levine and Jana Niddifer Kimberly A. Griffin (1996) describe the complex lives and educational journeys of twenty-four Shaun R. Harper is on the faculty in the low-income students who gained Graduate School of Education, Africana admission to a range of postsecondary Studies, and Gender Studies at the institutions, including elite universities. University of Pennsylvania. He also is Few qualitative studies of undergraduates director of the Penn GSE Grad Prep from similar socioeconomic circum- Academy, an initiative that prepares Black stances have since been published, thus undergraduate men for graduate study in much remains to be known about such education fields. His Ph.D. in higher students and which programs, policies, education is from Indiana University. and institutional practices enable them to Kimberly A. Griffin is an assistant access1 particular sectors of postsecond- professor and a research associate in the ary education. Emphasis most often is Center for the Study of Higher Education at placed on exploring barriers rather than Pennsylvania State University. Her Ph.D. in facilitators of college opportunity for higher education and organizational change lower-income and minoritized2 popula- is from UCLA. tions (St. John et al. 2011). This has been especially prevalent over the past decade ABSTRACT: in published research and public dis- course concerning the participation of Published research on college access, Black male students in American higher particularly at highly selective and education. high-cost private postsecondary institu- tions, focuses primarily on barriers for One of the authors of this article, Shaun underrepresented student populations. R. Harper (2006), found that Black men Higher-education scholars and policy comprised only 4.3 percent of all students makers have been especially concerned in enrolled at institutions of higher educa- recent years about stagnant (and, in some tion in 2002—the exact same as in 1976.

harvard journal of african american public policy | volume 17 | 2010–2011 43 feature article | shaun r. harper and kimberly a. griffin

The most significant gains in degree Delaney 2002; McDonough 1997; attainment during this time period were McDonough 1998) and to enroll at elite at community colleges. More recently, colleges specifically (Bowen and Bok Harper (2011) reported that between 1998; Hurtado et al. 1997). William 1994 and 2008, an increase of one Black Bowen et al. (2005, 135) found that while male undergraduate was accompanied by socioeconomic status (SES) had little an increase of five White male students. influence on whether students were The overwhelming majority of Black men admitted to or performed well at highly attend less selective regional state selective institutions, it shaped the process institutions, community and technical that prepared them to engage in the colleges, and Historically Black Colleges application process; thus, they observed, and Universities. “the odds of getting into this highly competitive pool in the first place depend Myriad socioeconomic factors help enormously on who you are and how you explain, at least in part, the low rates at grew up.” which Black male students enroll in highly selective colleges and universities. Parents’ levels of educational attainment For example, in comparison to their and financial resources have been closely White counterparts, fewer Black families linked to admissions behaviors and access can afford to live in neighborhoods with trends (Bowen et al. 2005; Fitzgerald and high property values and well-resourced Delaney 2002). Black students are less neighborhood schools (Massey and likely than their White and Asian Denton 1993; Massey et al. 2010). The American peers to have college-educated continuation of residential segregation in parents (College Board 1999). Parents the United States concentrates Black with higher levels of formal education are students in public K-12 schools that have often better positioned to provide key fewer resources, lower per-student information and assistance that improve expenditures, fewer advanced placement their children’s college preparation and courses, and less experienced teachers competitiveness, such as hiring private than the suburban schools many White tutors and college counselors, ensuring students attend (Frankenburg and Lee their children take college preparatory 2002; McDonough 1998; Orfield 2001). classes, and arranging college visits This leads to measurable differences in (McDonough et al. 1997; Rowan-Kenyon the quality of Black students’ educational et al. 2008). Don Hossler et al. (1999) experiences, leaving many insufficiently found that parental education levels also prepared to engage in competitive college had strong effects on the formation and admissions processes (Chang 2000; actualization of college aspirations. Griffin and Allen 2006; Solórzano and Among ninth-graders in their study, 86 Ornelas 2004; St. John 2003). percent of students whose parents had a bachelor’s degree or higher intended to One of the authors of this article, enroll in college after high school; Kimberly A. Griffin et al. (2010), found comparatively, 59 percent of students that over a thirty-three-year period, Black whose parents neither graduated from male undergraduates increasingly came high school nor attended college had from affluent families. Comparatively, plans to enroll. lower-income students are less likely to apply to college generally (Fitzgerald and

44 opportunity beyond affirmative action

Hossler et al. (1999, 106) also found and retention rates among lower-income significant relationships between the undergraduates. Terrell L. Strayhorn’s types of postsecondary institutions (2008) study focuses on their retention students chose (technical schools, once enrolled, but there appear to be no community colleges, and four-year published studies that explicitly examine institutions) and their parents’ income how lower-income Black male students levels. Accordingly, “about 19 percent of finance or navigate their way to postsec- the students whose parents’ income was ondary institutions, elite or otherwise. below $15,000 attended a four-year As policy makers, researchers, and the school, whereas more than 58 percent of American public continually consider the students whose parents’ income was ways to expand college opportunity for more than $45,000 attended a four-year low-income and minoritized students, school.” Similarly, Hurtado et al. (1997) one particular policy issue is recurrently found that only 25 percent of students debated. Bowen and Bok (1998, 10) from the highest income group in their contend that affirmative action has “led to sample had not applied to college by the striking gains in the representation of end of twelfth grade, compared to more [minoritized persons] in the most than half of their counterparts whose lucrative and influential occupations.” In parents earned less than $14,999. spite of this, numerous scholars (e.g., Specifically concerning Blacks, those in Allen 2005; Fischer and Massey 2007; the lowest income category applied to Harper et al. 2009; Ibarra 2001; Schmidt significantly fewer colleges and universi- 2007; St. John et al. 2001; Tierney 1996; ties than did their more affluent same- Trent 1991; Yosso et al. 2004) have written race peers. about the contested use of race-sensitive The ability to pay and financial aid are college admissions practices. Reportedly, major determinants of whether and opposition is especially pronounced at where students choose to pursue postsec- selective institutions that have garnered ondary education (McPherson and reputations for conferring upon their Schapiro 1998; Perna 1998; Perna 2006). graduates comparatively higher levels A study by Laura W. Perna and Marvin A. of career and financial success (Bowen Titus (2004) suggests that financial aid and Bok 1998; Bowen et al. 2005; awarded by institutions may influence Katchadourian and Boli 1994; Massey students’ choices of particular four-year et al. 2003; Stevens 2007). Hence, in many colleges and universities. In their sample, ways, disagreements over affirmative high school graduates from the lowest action are about who deserves access not socioeconomic quartile who were only to these institutions but to positions awarded financial aid were more likely to amongst our nation’s socioeconomic elite enroll in private (and presumably as well. higher-cost) institutions than public One by-product of resistance to the colleges and universities within their state. continuation of affirmative action in Notwithstanding its well-documented higher education is that minoritized role in college access, some scholars (e.g., students are often presumed to have been Breneman and Merisotis 2002; Perna otherwise unqualified for admission. That 2000) have argued that financial aid on its is, many of their White peers and profes- own is insufficient in increasing access sors maintain that were it not for affirma-

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tive action, those students would not have METHODS been afforded undue access to an elite institution (Solórzano et al. 2000). Even Data Source and Research Design high-achieving minoritized students are This article is based on findings from the not immune to these stereotypes (Charles National Black Male College Achievement et al. 2009; Fries-Britt 1998; Fries-Britt Study (NBMCAS), the largest-ever and Griffin 2007; Fries-Britt and Turner empirical research study of Black under- 2001; Strayhorn 2009). graduate men.3 Data was collected from 219 students at forty-two colleges and Moreover, Sharon L. Fries-Britt (1997) universities in twenty states across the and Harper (2009) posit that this is one country. Six different institution types of the most widely held misconceptions were represented in the national study: about Black male collegians, especially public research universities, highly those from urban communities and selective private research universities, lower-income backgrounds. Ironically, historically Black private colleges and little is known about how Black male universities, historically Black public students with the fewest financial universities, liberal arts colleges, and resources actually get to highly selective comprehensive state universities (see four-year colleges and universities. Table 1). Understanding more about the policies, programs, and institutional practices that This study was guided by the phenom- enable them to access elite and expensive enology approach to qualitative inquiry, institutions could be instructive for policy which focuses on understanding and makers and others who endeavor to close describing the “lived experiences” of racial and gender gaps in postsecondary people who have encountered a similar participation. In this study, we look at the phenomenon or been exposed to a experiences of students who could be common set of conditions (Creswell perceivably among the least likely to 2007; Patton 2002). A phenomenological enroll in high-cost colleges and universi- account gets inside the experiences of a ties. Much of the literature on Black male person or group of people and describes collegians focuses on their underachieve- what participants have experienced, how ment and what they lack in terms of they have experienced it, and their sense college preparatory resources, social and making regarding various effects relative cultural capital, and school agents who to the phenomenon (Moustakas 1994). support their achievement (Brown, The researcher and readers of a phenom- forthcoming; Cohen and Nee 2000; enological study should be able to say, Gordon et al. 1994; Harper 2009). Hence, “I understand better what it is like for an anti-deficit reframing of Black men’s someone to experience that” college access—understanding enablers (Polkinghorne 1989, 46). In this study, rather than barriers to their matriculation the phenomenon is being a Black male at elite, high-cost, private institutions— achiever from a lower-income or work- was the fundamental aim of this study. ing-class background who attended an expensive predominantly White private postsecondary institution. Given the deficit orientation of most research on college access for lower-income students

46 opportunity beyond affirmative action

Table 1 — National Black Male College Achievement Study Participating Institutions

Institution Type College/University Public Research Universities University of Illinois at Urbana-Champaign Indiana University University of Michigan Michigan State University The Ohio State University Purdue University Highly Selective Private Research Universities1 Brown University Columbia University Harvard University University of Pennsylvania Princeton University Stanford University Historically Black Private Colleges and Universities Clark Atlanta University Fisk University Hampton University Howard University Morehouse College Tuskegee University Historically Black Public Universities Albany State University Cheyney University of Pennsylvania Florida A&M University Norfolk State University North Carolina Central University Tennessee State University Liberal Arts Colleges1 Amherst College Claremont McKenna College DePauw University Haverford College Lafayette College Occidental College Pomona College Saint John’s University (MN) Swarthmore College Vassar College Wabash College Williams College Comprehensive State Universities California State Polytechnic University, Pomona California State University, Long Beach City University of New York, Brooklyn College Lock Haven University Towson University Valdosta State University

1 Only low-income and working-class participants from these institutions were included in analyses for this article.

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and repetitive examinations of stagnant Sampling and Data Collection postsecondary participation rates among Criterion sampling methods were used in Black male collegians, a better under- this study (Patton 2002). Administrators standing of how Black males successfully (e.g., presidents, provosts, and deans of navigated their way to highly selective students) nominated and senior student institutions was one aim of the NBMCAS. leaders (e.g., student government association presidents) helped identify Sites who they considered to be the best This article is based on a subset of participants, specifically Black male participating institutions in the undergraduates who met the following NBMCAS, specifically the eighteen highly criteria: earned cumulative grade point selective predominantly White private averages (GPAs) above 3.0; established colleges and universities—twelve elite lengthy records of leadership and liberal arts colleges, five Ivy League engagement in multiple student organiza- institutions, and Stanford University. tions; developed meaningful relationships Table 2 presents Black male undergradu- with campus administrators and faculty ate enrollment rates as well as tuition fees outside the classroom; participated in of the participating colleges and universi- enriching educational experiences (e.g., ties. As shown, with the exception of study abroad programs, internships, Claremont McKenna College, the service learning, and summer research representation of Black males in the programs); and earned numerous undergraduate student population merit-based scholarships and honors in increased at each institution between recognition of their college achievements. 1998 and 2008. The liberal arts colleges enrolled, on average, thirty-six Black men Each Black male achiever participated in a in 1998 and fifty-two in 2008. An average two-to-three-hour face-to-face individual of 182 Black men attended the private interview on his campus; when necessary, research universities in 1998, compared to follow-up interviews were conducted via 248 a decade later. telephone. A semistructured interview technique was used, which simultane- During the 2008-2009 academic school ously permitted data collection and term, the average annual cost of atten- participant reflection (Holstein and dance and on-campus residency at the Gubrium 1995). Although standard participating institutions was $48,674. questions and interview protocol were At more than half (61.1 percent), a used, discussions often became conversa- bachelor’s degree for a student who tional, thus allowing participants to matriculates and lives on campus four or reflect on their educational experiences. more years exceeds $200,000. Across the Some interview questions pertained participating colleges and universities, an directly to students’ socioeconomic average of 13.5 percent of all undergradu- backgrounds and navigational journeys to ates received Pell Grants, which are and through their respective postsecond- federal financial aid awards given to ary institutions. Prior to the interview, America’s neediest college students. each participant completed a demo- Lastly, it is noteworthy that Saint John’s graphic questionnaire that included University and Wabash College are both several questions about his academic single-sex institutions. experiences (before and during college),

48 opportunity beyond affirmative action

Table 2 — Black Male Undergraduate Enrollments and Tuition/Fees at Participating Institutions

Fall 1998 Fall 2008 Fall 2008 Undergraduates Undergraduates Tuition/Fees2 % % $ Amherst College 3.0 4.4 50,230 Brown University 2.6 2.9 50,560 Claremont McKenna College 2.2 1.9 50,990 Columbia University 2.8 4.0 51,406 DePauw University 2.4 2.6 42,175 Harvard University 3.3 3.6 50,250 Haverford College 1.1 3.8 51,637 Lafayette College 2.3 3.1 49,188 Occidental College 1.9 2.8 50,409 Pomona College 1.6 3.4 49,745 Princeton University 3.0 3.3 49,830 Saint John’s University (MN) 0.4 1.4 37,616 Stanford University 3.6 5.0 51,760 Swarthmore College 3.3 3.4 50,381 University of Pennsylvania 1.9 3.0 51,299 Vassar College 1.4 1.5 51,370 Wabash College 5.0 5.9 37,750 Williams College 3.4 3.9 49,530

2 On-campus residency including room, board, and institutional estimates for books and supplies. family structure and SES, leadership and structure (single parent, two parents, out-of-class experiences, and postcollege etc.), number of residents in one’s educational and career aspirations. household most immediately prior to college enrollment, and parents’ current Participants positions of employment. Participant Across the eighteen sites, forty-two demographics for the subsample are participants reported that they were from provided in Table 3. As indicated, more low-income and working-class back- than 70 percent were from families in grounds. In addition to choosing from which neither parent had attained a among four economic options (low- bachelor’s degree. income, working-class, middle-class, and affluent) on the aforementioned preinter- view questionnaire, other proxies for determining SES included mothers’ and fathers’ educational attainment, family

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Table 3 — Participant Demographics

Socioeconomic Status N % Low-Income 16 38.1 Working-Class 26 61.9 Class Standing First-Year Students 2 4.8 Sophomores 16 38.1 Juniors 8 19.0 Seniors 16 38.1 Family Structure Single Parent 19 45.2 Two Parents 21 50.0 Caregiver 2 4.8

Mother Father Parents’ Education Level % % No College 40.5 50.0 Some College 35.7 21.4 Bachelor's Degree 16.7 16.7 Master's Degree 7.1 11.9

Data Analysis ents were helpful for identifying Several techniques prescribed by Clark programs, policies, and practices that Moustakas (1994) were used to analyze enabled college access; these were later the data collected from interviews with clustered into three thematic categories, the men in the subsample. We first which we present below. As an additional bracketed our thoughts and assumptions step, we used Harper’s (2007) trajectory as we read each line of the participants’ analysis method to understand what each transcripts; the margins of the transcripts participant experienced along his were marked with reflective comments navigational journey to and through his regarding our presumptions and initial respective college or university. Relevant reactions. After bracketing, the transcripts stories from the participants’ trajectory were sorted and key phases were linearly summaries were used to corroborate the arranged under tentative headings in the three thematic categories. NVivo qualitative data analysis software program. This process resulted in the FINDINGS identification of invariant constituents No participant was knowingly given (Moustakas 1994), which were subthemes preferential treatment or awarded points that consistently emerged across partici- for his race in the college admissions pant interviews. The invariant constitu- process; however, thirty-nine of the

50 opportunity beyond affirmative action

Table 4 — Most Common Access Enablers

Type Example Web Site Specialty high school contexts Prep for Prep www.prepforprep.org and independent school access initiatives for urban youth Collaborative college access and The Posse Foundation www.possefoundation.org talent identification programs for urban youth Institution-based no-loans and Stanford University www.stanford.edu/dept/finaid zero-contribution initiatives forty-two participants reported having “regular” public schools in their home been accused by White peers of being neighborhoods; instead, many were unfairly admitted to their respective afforded access to magnet schools that institution via affirmative action policies emphasized particular academic special- and practices. The pervasiveness of this ties (science, technology, performing arts, stereotype begs the question: how etc.) and promoted a strong college-going did these men gain access to elite culture. In most instances, these K-12 and expensive private colleges and schools had competitive admissions universities? Table 4 shows the three processes. Other achievers like Bali, a major programmatic and policy initia- senior4 at Brown University, spoke of tives that participants recurrently initiatives that provided opportunities for reported in the interviews. Although a lower-income urban youth to attend variety of initiatives were mentioned, high-tuition private high schools that these three were discussed most often and enrolled few minoritized students. described most extensively by partici- Bali grew up in New York and was the pants. In this section, we present illustra- first person in his family to attend a tive examples from our interviews of how four-year postsecondary institution. Black male undergraduates in our study Unfortunately, the shaping of college- were affected by these efforts to increase going expectations did not occur at home, college access for lower-income students. in part because his parents were absent Prepped for the Elite for much of his upbringing. Bali was raised primarily by his grandmother. His Participants across all eighteen campuses aunt found out about Prep for Prep, a in the NBMCAS described a range of program whose mission is to identify and precollege programs to which they were nurture students from socially disadvan- introduced as middle and high school taged backgrounds who would benefit students. However, the majority of from attending independent schools in low-income and working-class students at New York City and private boarding highly selective private institutions, schools throughout the Northeast. especially those who grew up in urban Participation in this program enabled Bali communities, attributed their college to leave his resource-deprived public readiness and access to unique K–12 school to attend Phillips Academy schooling environments. Few attended Andover, the same boarding school from

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which the sons of U.S. Presidents John F. Prep for Prep and targeted scholarships Kennedy and George H. W. Bush gradu- for low-income urban youth afforded ated, Bali noted in his interview. Prep for them exposure to resources and “college Prep made it possible for a teen with a knowledge” they otherwise would not perceivably bleak future to experience a have received. Consequently, they were school with a long-standing legacy of prepared to engage in competitive college preparing its students for admission to admissions processes. Corey, a elite postsecondary institutions. In Swarthmore student, contended: “You addition to having a guidance counselor don’t go to these Ivy League–caliber high at Andover, the program also assigned schools and then not go to college.” him a counselor who aided in his college choice process. Bali ultimately applied to Postsecondary Possibilities for Harvard, Yale, Stanford, Cornell, and My Posse and Me seventeen other institutions, mostly elite Although only one-quarter of the liberal privates. “I never would have even known arts colleges in the sample had established I could have applied to those schools were formal partnerships with the Posse it not for Prep for Prep,” he said. Foundation, the Posse Scholars program was discussed in deeply meaningful ways Leslie, another participant who began among several Black male achievers on Prep for Prep when he was thirteen years those campuses. For example, every old, offered the following: participant from DePauw University I honestly feel if I had stayed in public (including Wagner, below) was a Posse school, I wouldn’t be at Princeton Scholar from New York City. Each today. I’d probably be at some received a scholarship from the founda- unranked college—not that those are tion combined with other forms of bad schools, I just think the opportu- institutional aid to cover the cost of his nity of being able to go to Deerfield attendance. In addition to providing Academy and go through Prep for Prep financial assistance, Posse also prepared gave me chances I wouldn’t have had in these and other urban students for public schools. successful transitions to postsecondary institutions where they would be minori- Prep for Prep counselors helped shape tized; Posse unmasked and celebrated Leslie’s postsecondary choice set and paid their talents prior to college entry; and for his college visits. Penn, Princeton, the foundation sent them to institutions Georgetown, Harvard, Yale, and Wesleyan in “cohorts” with others from similar were among the eleven universities to socioeconomic backgrounds. which he applied. He felt his guidance Consider the following interview counselor at Deerfield was “responsible exchange with a student named Wagner: for getting everyone into college,” whereas his Prep for Prep counselor was “respon- Wagner: The factor that ultimately sible for getting me into the best college” made me decide to come to this college [participant’s emphases noted]. Like was that I won a $100,000 full-tuition Leslie and Bali, others from the private scholarship. So once I got that, I said, research universities and liberal arts “Hey, why not? They provided the colleges believed their access to elite money in giving me a chance to get this private high schools via initiatives like

52 opportunity beyond affirmative action

so-called wonderful education—why help me?” She persisted and insisted not at least give it a try?” that I apply to community colleges. It Interviewer: Are you saying that got to the point where I had to rip the were it not for Posse [Foundation], you application up and threw it at her. I’m may not have come to DePauw? not going to apply. After that we didn’t Wagner: If it weren’t for Posse, I have any more talks about college. It never would have thought about going wasn’t until I got the Posse scholarship to a private college. In my family there that she tried calling me in to show me was no money; I didn’t want to pay off to other parents. But yet two weeks loans. My parents told me I’d be paying prior, she couldn’t help me out with for my own education, so I applied to finding any colleges. SUNY [State University of New York] and CUNY [City University of New While he was adamant in his refusal to York] schools. I definitely would not apply to community colleges, Kareem was have applied to a place as expensive as fairly certain that he would not have DePauw. Never. ended up at DePauw had it been left to his guidance counselor and if he had not Brandon characterized the program as his received the assistance from Posse. Jerrell “savior”; reportedly, it changed his life. had a different experience with his He predicted that at least thirty-five of the counselor; she introduced him to the fifty-two Black undergraduate men Posse Scholars program and supported enrolled at DePauw during the time of his his interest in applying. Despite spending interview were Posse Scholars. the majority of his childhood in the Accordingly, it was the primary point of Vanderveer housing projects in Brooklyn, access for most low-income and working- Jerrell always knew he wanted to attend class Black male students. Despite Posse’s college; however, he never imagined role in creating access for diverse popula- enrolling in an expensive private univer- tions, Kareem clarified that “Posse by no sity in rural Indiana. Like the four from way is affirmative action for minorities; DePauw, other Posse Scholars in the there is a rigorous and competitive sample spoke similarly about the pro- selection process.” Although he main- gram’s profound effects on their college tained a 3.3 GPA and an extensive record access experiences. of high school leadership experiences, Kareem’s guidance counselor attempted No Money, No Problem to limit his postsecondary options to Two Harvard participants, Bryan and community colleges. He reflected on the Tariq, shared a variety of common following: characteristics: both maintained 3.6 cumulative GPAs, were extremely active When I went to her [the guidance on campus and held leadership positions counselor], she told me to only apply in multiple student organizations, and for community colleges. To me, aspired to attend law school upon applying to community college would completion of their bachelor’s degrees. have been a failure after I had worked Perhaps more interesting are the circum- so hard. One day I told her that I’m not stances from which they emerged. Both applying. I told her I want to apply to attended predominantly Black public better schools and asked, “How can you schools, one in Detroit and the other in

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Baltimore. Although one was raised by Michael, said, “That is the only way I was two parents and the other in a single- able to come here from South Central Los parent home, poverty was a shared reality Angeles.” Another achiever commended of their upbringing. Despite these odds, the introduction of his university’s both students were not only offered no-loans initiative: admission to one of the most highly I am so thankful for it. If I had to pay regarded universities in the world but also over $200,000 to come to Penn, I would were awarded the financial aid that not have been able to come. For real, I ultimately made their matriculation would have gone to a public university possible. Were it not for the university’s in Maryland, where I probably still policy that students whose parents earn would have had to take out loans, just below a certain income threshold may not as many. The University of attend at no cost, both Tariq and Bryan Pennsylvania generously made a way believe extensive student loan debt would for me to afford to be here but not have been required to finance their Ivy making me take out loans in an League education. amount that is probably quadruple the A reporter from the New York Times value of my mom’s home. wrote a feature story about Anthony Jack one week after his graduation from Across the institutions, initiatives such as Amherst College (Rimer 2007). Therein these were mentioned most often among she explained how Tony and other participants as the most significant undergraduates from low-income enablers of college access. backgrounds were able to access elite private postsecondary institutions with DISCUSSION AND POLICY tuition and fees that exceeded $40,000 IMPLICATIONS annually. In his interview with the In 2003, U.S. Supreme Court justices NBMCAS, Tony indicated that the ruled narrowly in favor of the continued financial aid package was the biggest use of particular forms of affirmative factor in his choosing Amherst over the action in college admissions (Gratz v. flagship public research university in his Bollinger 2003; Grutter v. Bollinger 2003). home state of Florida. He also praised the However, Justice Sandra Day O’Connor college’s president for a perceivably said: “We expect that 25 years from now, authentic expression of commitment to the use of racial preferences will no longer college opportunity for lower-income be necessary to further the interest students. approved today” (Schmidt 2007, 223). In other words, she forecasted an end to Other participants had similar reports affirmative action by 2028. If there were and reactions to aid efforts on their no policy or race-sensitive practice to respective campuses. For example, four ensure their participation, how would men from low-income and working-class future generations of Black men and backgrounds at Stanford each talked other minoritized students access elite about the importance of the university’s institutions of higher education? The income-threshold aid initiative: students findings of this study suggest that some whose parents earn below $60,000 are not high achievers whose parents earn below expected to contribute anything toward particular income levels will make their their educational expenses. A student,

54 opportunity beyond affirmative action way to these colleges and universities via Given that Black students and their initiatives targeted specifically at lower- parents (especially those from lower- income students, including Whites. income backgrounds) often possess Participants attributed their college access comparatively little understanding of not to affirmative action but to efforts like college costs and financial aid options Prep for Prep, the Posse Scholars pro- (Perna 2006), it is important that gram, and two particular forms of information about college opportunity institution-based financial aid. These initiatives such as those identified by initiatives influenced access at all levels, participants in this study be made more from readiness to college choice to widely known. It is noteworthy that all financing high tuition costs to persistence the men in Prep for Prep and Posse were from freshman through senior year. from urban areas, which is sensible given the foci of those two programs. Federal Without at least one of these resources, grants could help create similar initiatives lower-income students at the eighteen for low-income and working-class liberal arts colleges and highly selective students in rural communities, especially private research universities in the in Southern states where postsecondary NBMCAS unanimously reported that participation gaps between Black men they would not have matriculated at those and others are most pronounced (Harper institutions. In some ways, this simultane- 2006; Harper 2011; Perna et al. 2006). ously confirms and extends findings Two related shortcomings of programs offered in Hossler et al.’s (1999) study. such as these are cost and capacity; that is, These men indicated they would have they can only accommodate relatively chosen other perceivably less prestigious small cohorts of students given the institutions based on what they and their extensive financial investment and parents could afford. They believed partnership parameters with a limited several other Black men from their number of participating institutions. families, high schools, and home commu- State policy makers should make funds nities would have enrolled in college had available for partnerships between high they too been afforded access to the same schools and public postsecondary preparation, partnership, and financial institutions that strengthen college resources. The present study also makes readiness in ways similar to the Prep for known how the participants were able to Prep and Posse models. One aspect of this transcend socioeconomic barriers that necessitates increases and improvements typically limit enrollment at expensive in public school guidance counseling private institutions. Consistent with Black resources. Much can be learned from how students in another study (Perna 2000), Prep for Prep counselors aid in students’ the Black male achievers were reluctant college search and choice processes. (in most cases, unwilling) to accrue large Perhaps these approaches could be amounts of student loan debt. Simply incorporated into state licensure and being admitted to Harvard or one of the recertification standards for guidance other seventeen institutions on its own counseling professionals. was deemed insufficient—the financial resources were a necessity for them to Although this study is focused on enroll in college. private colleges and universities with large endowments, much about their

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investments in lower-income students investments to make college attendance could be instructive for federal and state possible for these students. And second, policy makers. For example, income- while a broader set of policy implications threshold initiatives could help increase was offered in the previous section, the access to elite public institutions (mean- transferability of findings from this study ing state flagships and research universi- are limited to institutions that host the ties). For sure, this proposal is in direct Posse Scholars program or have enough opposition to others currently calling for resources to fund zero-contribution/ decreases in federal Pell Grants and income-threshold initiatives and enact reduced state support for public postsec- no-loans policies. ondary institutions. A substantial number of participants in this study were able to CONCLUSION attend their respective colleges and As written in Harper et al. (2009, 405): universities because their families earned Many academic programs and annual incomes below certain amounts. admissions policies that were [suppos- As Peter Schmidt (2007) notes, one major edly] designed to increase college problem with these institution-level aid access for African Americans have initiatives is that too few minoritized received great opposition and been students are beneficiaries. More should be criticized for giving these individuals done in public policy to eliminate the an unfair advantage over White burden of cost and reduce loan debt for students. Unsurprisingly, once these lower-income persons and populations programs were halted, there were that historically have been underrepre- dramatic decreases in the number of sented at the most elite and expensive students . . . the programs were state universities. This study suggests that originally intended to serve. doing so would be an important policy response to the long-standing stagnation Despite the Supreme Court’s ruling for of Black men’s postsecondary continued use of particular forms of enrollments. affirmative action in the University of Michigan Law School case (Grutter v. LIMITATIONS Bollinger 2003), numerous scholars (e.g., This study has at least two limitations. Allen 2005; Fischer and Massey 2007; First, because the NBMCAS was not Schmidt 2007) predict that critics will entirely focused on how participants continually endeavor to permanently financed their college education, inter- dismantle affirmative action policy and view data was not corroborated with race-sensitive college admissions prac- actual financial aid records; in other tices. Thus, to increase access to the public words, this article is based on students’ good of higher education, policy makers self-reports of efforts and initiatives that must become more aware of other enabled them to enroll at high-cost initiatives that enable underrepresented institutions. However, without seeing the students to afford college and then must itemized details of their aid packages, we invest in those efforts at levels that permit had no way of determining how Pell larger numbers of lower-income persons Grants, the Federal Work Study Program, to enroll and succeed. Like Schmidt and other traditional forms of need-based (2007), our concern is that too few aid were combined with institutional

56 opportunity beyond affirmative action students benefit from institution-level aid African American communities. American initiatives presently offered at elite Behavioral Scientist 43(7): 1159-1206. high-cost institutions. More needs to be College Board. 1999. Reaching the top: A report done to replicate and increase the of the national task force on minority high capacity of efforts such as those that achievement. New York: College Board enabled opportunity beyond affirmative Publications. action among Black men in our study. Creswell, John W. 2007. Qualitative inquiry and research design: Choosing among five REFERENCES approaches. 2nd ed. Thousand Oaks, CA: Sage Allen, Walter R. 2005. A forward glance in a Publications. mirror: Diversity challenged—access, equity, Fischer, Mary J., and Douglas S. Massey. 2007. and success in higher education. Educational The effects of affirmative action in higher Researcher 34(7): 18-23. education. Social Science Research 36(2): Bowen, William G., and Derek Bok. 1998. The 531-549. shape of the river: Long-term consequences of Fitzgerald, Brian K., and Jennifer A. Delaney. considering race in college and university 2002. Educational opportunity in America. In admissions. Princeton, NJ: Princeton Condition of access: Higher education for lower University Press. income students, edited by Donald E. Heller, ———, Martin A. Kurzweil, and Eugene M. 3-24. Westport, CT: American Council on Tobin. 2005. Equity and excellence in American Education and Praeger Publishers. higher education. Charlottesville: University of Frankenburg, Erica, and Chungmei Lee. 2002. Virginia Press. Race in American public schools: Rapidly resegregating school districts. Cambridge, MA: Breneman, David W., and Jamie P. Merisotis. The Civil Rights Project, Harvard University. 2002. Beyond money: Support strategies for disadvantaged students. In Condition of access: Fries-Britt, Sharon L. 1997. Identifying and Higher education for lower income students, supporting gifted African American men. In edited by Donald E. Heller, 113-133. Westport, Helping African American men succeed in CT: American Council on Education and college: New directions for student services, Praeger Publishers. edited by Michael J. Cuyjet, 80: 65-78. San Francisco: Jossey-Bass. Brown, Anthony L. Forthcoming. “Same old stories”: The Black male in social science and ———. 1998. Moving beyond Black achiever educational literature, 1930s to the present. isolation: Experiences of gifted Black colle- Teachers College Record 113(9). gians. Journal of Higher Education 69(5): 556-576. Chang, Mitchell J. 2000. The relationship of high school characteristics to the selection of ———, and Kimberly A. Griffin. 2007. The undergraduate students for admission to the black box: How high-achieving Blacks resist University of California-Berkeley. Journal of stereotypes about Black Americans. Journal of Negro Education 69(1): 49-59. College Student Development 48(5): 509-524. Charles, Camille Z., Mary J. Fischer, Margarita ———, and Bridget Turner. 2001. Facing A. Mooney, and Douglas S. Massey. 2009. stereotypes: A case study of Black students on Taming the river: Negotiating the academic, a White campus. Journal of College Student financial, and social currents in selective colleges Development 42(5): 420-429. and universities. Princeton, NJ: Princeton Gordon, Edmund T., Edmund W. Gordon, and University Press. Jessica G. G. Nembhard. 1994. Social science Cohen, Cathy J., and Claire E. Nee. 2000. literature concerning African American males. Educational attainment and sex differentials in Journal of Negro Education 63(4): 508-531. Gratz v. Bollinger 539 U.S. 244 (2003).

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ENDNOTES 1 In this article, “access” refers to college admission as well as the financial assistance necessary to matriculate and persist through baccalaureate degree attainment. 2 “Minoritized” is used instead of “minority” throughout this article to signify the social construction of underrepresentation and subordination in U.S. social institutions, including colleges and universities. Persons are not born into a minority status nor are they minoritized in every social context (e.g., their families, social fraternities, and churches). Instead, they are rendered minorities in particular situations and institutional environments that sustain an overrepresenta- tion of White persons. 3 The study upon which this article is based was funded by research grants from Lumina Foundation for Education, the National Association of Student Personnel Administrators, the American College Personnel Association, the National Academic Advising Association, the Pennsylvania State University College of Education, the Pennsylvania State University Africana Research Center, and the Pennsylvania State University Children, Youth, and Family Consortium. 4 Each participant in this sample has graduated from his respective college or university. Class years used in this article reflect their status at the time interviews were conducted. With the participants’ permission, their real names are used.

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When I began to read the writings of Black intellectuals such as W.E.B. Du Bois and Frantz Fanon, I started to see what I was up against more clearly. With the help of philosophical and liberationist lenses, the alienation and double consciousness forced upon me by my position under a system of uneven privilege came into Acknowledging Black focus. By the time I enrolled in Morehouse College, I was ready to rebel Male Privilege against the superstructure, to demolish by Wendell Marsh the tower of power and privilege that held me prisoner in its basement. Wendell Marsh is a DC-based freelance Despite my ability to identify every case journalist specializing in Africa and the in which I pulled the short straw of Middle East. He returned to the United privilege, I would typically fail to States in December 2010 after spending acknowledge those moments when I was sixteen months in Egypt as a Fulbright actually more privileged in relation to Fellow where he studied Arabic. He studied other people. I could concede that some English and French at Morehouse College. others had it harder than me, that some He can be found online at www.theafrabian. others had to fight more for what they com. wanted. For instance, I was aware that a kid growing up in a Mogadishu, Somalia, It’s a strange sensation to discover that slum was disadvantaged on a scale much you—a Black man in America, with all bigger than my own. However, this was of the connotations that label brings with purely empirical knowledge; I could not it—are privileged. This realization is as appreciate the profoundness of these profound and disturbing as when you experiences of others, and I could not first discovered that you grew up in a empathize. system that places you in a caste Paradoxically, my first year at the male- without privilege. centered cosmos of Morehouse College, As a child growing up in Georgia, racial an all-male historically Black institution, inequality confronted me at an early age threw feminism in my face. At first, I when a close friend’s mother told me that didn’t know how to deal with it. The she did not want me playing with her son “disgraceful machinations of the White as we had reached the age when people man” were rightfully denounced in my had to “stick to their own kind.” eyes. This was a rallying point I could support without hesitation. However, the Besides race, my socioeconomic group women from Spelman College, a also tended to remind me that I lacked Historically Black College for women privilege. More people in my family have across the street from Morehouse, were police records than college degrees. If telling me that I oppressed them—that I, privilege means having the odds to in my own dominated existence, domi- succeed in your favor, I felt like I was nated others. running a race with shackles on my feet.

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Like an ambivalent postcolonial product, printed a report that described the most I was able to divorce who I was from an talked about incident as a case of remorse inherent system of inequality that I and not rape, the males felt vindicated supported. I would say, “You Black and the women felt silenced, as usual. feminists have got it all wrong. Black men In a talk given at his alma mater in aren’t your oppressors. We are in the same February 2010, R. L’Heureux Lewis, a boat as you. You all should be more Morehouse alumnus and an assistant productive by fighting the system of racial professor of sociology and Black studies inequality.” I feared that this new division at the City College of New York, cited a that the womanist and “the feminist similar experience in his freshman year mystique” had wedged between Black that got him thinking about Black male women and Black men was another ploy privilege. For Lewis, Black male privilege by Whites to keep us divided and keep is defined as a system of built-in and their power and privilege. often overlooked systematic advantages It did not occur to me that Black women that center the experiences and concerns were a part of an even larger group that of Black men while minimizing the power required solidarity, a population that that Black males hold. Since then, the claims more than half of humanity: blogosphere, Twitter, and other forums women. have also considered the concept. In short, I could not empathize with But perhaps an even better way of feminism because it defied my carefully understanding Black male privilege is crafted self-image of being without through the Black Male Privilege privilege, a lack that had granted me a Checklist developed by Jewel Woods certain degree of immunity within the (2008), coauthor of the groundbreaking Black context. Don’t Blame It On Rio: The Real Deal Behind Why Men Go to Brazil for Sex. A rash of sexual assaults surfaced at the Among the entries on his checklist are “I Atlanta University Center during my don’t have to choose my race over my sex second year. A group of Spelman students in political matters” and “I have the decided that they could not, in good privilege of believing that before slavery conscience, let the accusations of serial gender relationships between black men sexual assault go unheard by the institu- and women were perfect.” tions of Spelman and Morehouse, the institutions whose very existence and But the Black male privilege concept is relationship acts as a symbol for the Black important for an even more popular topic woman and Black man. These women in the media about Black people today: had no idea that, by speaking out, they the marriage crisis. As Lewis explains in would unearth a swell of anger and hurt an NPR interview, Black women are among their peers, particularly their forced into behaviors because they are Morehouse brothers. competing for a perceived limited resource: Black men (Martin 2010). This Verbally combative Morehouse students sense of scarcity (high rates of imprison- fell easily into a lazy groupthink, asking ment and the achievement gap) creates how dare the Spelman students protest on Black male privilege and is a twin result Morehouse’s campus and affront its of White male privilege. manhood. When the local newspaper

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During my junior year, I headed to France man who called the sky purple, the where I lived in what the French like to ridiculousness of my statements escaping call a quartier multicultural—a low- my imbibed meditations. income area of town where groups of all It wasn’t until I was able to recognize my ethnicities overcome racial differences privilege as an American with a global only to succumb to economic inferiority. perspective that I was able to also see my My block was firmly North and West privilege as Black man in a strictly African. American context. Everyday, I would see the gars, or home- I have learned that we cannot just boys, slanging hashish to make ends meet. condemn others for the privilege that These guys, my neighbors, are the ones they won with the birth lottery, because, that the media blames whenever there is a no matter who we are, in some way we riot in Paris. Under French President receive a bigger piece of the privilege pie Nicolas Sarkozy’s xenophobic reign, some than someone else. For many Black men, friends lived with the burden of proving that slice is much bigger than we may their citizenship even though they were want to think. French by three generations. I was shocked by the great hypocrisy of French It is only by acknowledging this greater society. How could the same culture that web of privilege and inequality that we produced such scathing critiques of can start to undo the chains of history. inequality by its scholars produce such Blacks in America are uniquely qualified grave inequalities in its own streets? for this task because, with the experience of those without privilege and with the Yet I never once questioned the same type tools of the privileged, we can build a of hypocrisies I supported at home by not world where privilege disappears. addressing my privilege to, let’s say, not worry about being sent to Mexico if I REFERENCES couldn’t prove my citizenship on the spot. Martin, Michel. 2010. Black male privilege? With practically a day’s notice, I flew to NPR, March 4 (www.npr.org/templates/story/ Morocco before starting my semester in story.php?storyId=124320675). Senegal. Conversations with curious Woods, Jewel. 2008. The black male privileges Moroccans revealed that, for them, a trip checklist. Jewel’s blog, August 11 (www. to my home country of the United States jewelwoods.com/node/9). would require months of visa applica- tions and interviews, that is, assuming that they had the financial means. But American mobility is assured by the color of our passport and the content of our credit card. Soon after, I was in Senegal, trying to tell a taxi driver about how much privilege I didn’t have, how hard it was for us as he drove me away from one of Dakar’s nicer nightclubs. He stared at me through his rearview mirror, eyeing me as he might a

harvard journal of african american public policy | volume 17 | 2010–2011 63 LGBTQ POLICY JOURNAL at the harvard kennedy school Subscription Form LGBTQ POLICY JOURNAL ANNOUNCES THE RELEASE OF VOLUME I The 2011 LGBTQ Policy Journal staff is proud to present our inaugural issue. This first volume features timely essays, candid and engaging interviews, and cutting-edge commentaries, including: • An explanation from the policy counsel of the National Center for Transgender Equality of the need for fair and accurate identification for transgender people. • An analysis of LGBTQ youth and their experi- ences in the child welfare and juvenile systems. • An examination of the needs and policy issues related to HIV and the aging LGBT popula- tion. • An inquiry into anti-LGBT bias in Chinese-speaking Americans in Southern California. • A roundtable discussion moderated by Timothy Patrick McCarthy and including commentaries from Desiree Flores, Arthur Lipkin, Rev. Irene Monroe, and Glennda Testone on the health and safety of LGBTQ youth. Fill out the form below to reserve your copy of the LGBTQ POLICY JOURNAL at the Harvard Kennedy School. NAME (print) ADDRESS CITY STATE ZIP Payment: r $10 for students and low-income individuals r $25 for individuals and nonprofits r $40 for institutions Please enclose payment and make checks payable to “Harvard University”; write LGBTQ Policy Journal in the note field. Mail order forms to: Martha Foley c/o LGBTQ Policy Journal at the Harvard Kennedy School 79 John F. Kennedy Street John F. Kennedy School of Government at Harvard University Cambridge, MA 02138 Tel: (607) 342-7994 | Fax: (617) 384-9555 Email: [email protected]

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in a variety of settings, this organizing approach has proven to be especially effective in enhancing the capacity for the public to communicate its priorities to policy makers (Putnam 1995). In urban revitalization initiatives, this strategy also plays a key role in local governance structures, which Robert J. Chaskin and A Seat at the Table: Clark M. Peters identify as “formal Place-Based Urban Policy and mechanisms to engage citizens and to Community Engagement facilitate coordination and collaboration among service providers, community by Hayling Price development practitioners, businesses, and local government” (1997). In the Hayling Price serves as Policy Director of the context of antipoverty initiatives, these National Human Services Assembly, an structures leverage social capital in association of the nation’s leading national low-income neighborhoods and allow non-profits in the fields of health, human citizens to influence the policies that and community development, and human impact their well-being. In practice, this services. He received his bachelor’s degree often entails the deployment of surveys at the University of Pennsylvania, where he and focus groups targeting neighborhood majored in urban studies with a focus on residents. It also involves the incorpora- government and public policy. Price serves tion of these stakeholders into the on the board of the Ase Academy, an long-term deliberative process that guides African-centered cultural and academic the community-based efforts. enrichment program for secondary students. While federal social programs often call He is also a contributing writer to PolicyMic, for extensive needs assessments that an online platform that promotes high-qual- require resident engagement, community ity political discussion among diverse young involvement tends to decline after initial thinkers. His research interests include the outreach activities. Primarily operating in politics of place-based community develop- minority communities, these antipoverty ment and the nexus of social service and initiatives are hampered by lapses in education in youth development initiatives. communication that result in dissonance regarding the needs, priorities, and culture of low-income communities. TEXT: Accordingly, outreach efforts accompany- Public participation has been defined as ing such programs should be subject to “the practice of consulting and involving thorough assessments of the terms and members of the public in the agenda- levels of citizen engagement. Citing the setting, decision-making, and policy- need for accountability, Gene Rowe and forming activities of organizations or Lynn J. Frewer (2004) have suggested institutions responsible for policy that rigorous scientific evaluation development” (Rowe and Frewer 2004). methods should be incorporated in While this civic engagement strategy has these public participation exercises. been employed in the United States to Providing standard guidelines for public empower underrepresented communities

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participation would hold local officials a comprehensive strategy for urban accountable to stakeholders to a greater revitalization since such reforms were extent than federal authorities have institutionalized under former U.S. traditionally required. As the Obama President Lyndon B. Johnson’s Great administration rolls out its comprehen- Society platform, which included the War sive urban agenda, it is essential that on Poverty (Lester 2009). While urban federal policy makers and local leaders renewal and other early place-based learn from past missteps and seize the initiatives emphasized infrastructure over opportunity to meaningfully incorporate human development, efforts informed by residents in place-based work. By clearly the Johnson administration’s approach defining the terms of resident engage- have understood the “ecological sensibil- ment, strongly encouraging the extension ity that recognizes that problems are of resident participation through pro- multifaceted and require holistic solu- gram implementation, and measuring the tions” (Ryan 2008). This work has taken extent and effectiveness of this engage- on a broader context and come to ment, policy makers can maximize the encompass physical and social revitaliza- empowering and transformative potential tion since Johnson’s historic reforms were of these policy interventions. initiated in the 1960s. The Great Society agenda in the 1960s, including the THE EVOLUTION OF THE URBAN Comprehensive Employment Training AGENDA IN U.S. DOMESTIC POLICY Act, Job Corps, Head Start, and Model On the federal level, urban policy has Cities, shifted the paradigm of urban come to address “the twin problems of policy from place-centric to people-ori- poverty and racism and their progeny in ented. However, since the twilight of U.S. cities,” which generates geographi- Johnson’s Great Society policy platform, cally concentrated poverty (Persons there remained a significant dearth of 2004). This socioeconomic polarization strategic federal investment in urban has been proven to have “deleterious communities for decades. With decreased consequences for individuals and entire dependency on the votes of African communities, generating spatial inequal- Americans (who were the primary target ity and threatening the fiscal viability of population of these programs), political central cities” (Zonta 2005). Accounting support for this agenda waned during the for the residential segregation that isolates 1970s and 1980s (Persons 2004). The low-income, inner-city populations, some resulting divestment left inner cities policy makers have advocated for a without much-needed funding to place-based approach to urban policy in leverage local capital or investment. While order to alleviate severe economic the federal government returned to distress. Such a strategy is geared toward making strategic investments directly in specific geographic areas, “focusing inner cities during the 1990s, it lacked a resources in targeted places and drawing comprehensive approach to urban on the compounding effect of well-coor- revitalization until President Barack dinated action” (White House 2009). Obama took office. Observers have noted that the In an attempt to address the vexing cycle Obama administration is the first of intergenerational poverty, the Obama executive branch to openly embrace administration has developed a new,

66 a seat at the table multifaceted approach to these persistent residents (Patterson 1981). While these issues. Though the newly created White parameters suggested the potential for House Office of Urban Affairs has not promising outcomes, the unclear lan- played an active role in shaping policy, it guage around terms of engagement has catalyzed efforts to transcend institu- created power struggles between local tional silos between federal agencies and officials and residents. These groups also initiate comprehensive interventions to be lacked coherent vision from the outset, implemented on the local level. and community residents were largely Influenced by the legacy of Great Society disappointed with the limited results their initiatives, the Obama administration has efforts yielded. Although these early made a commitment to innovative attempts at stakeholder engagement were place-based strategies that incorporate a largely considered unsuccessful, they set a variety of partners at all levels of govern- precedent for subsequent urban policies ment. While the renewed emphasis on the generated at the federal level. collaboration is encouraging for inner Pursuing what critical scholars have cities, a critical piece of this policy’s termed a “stealth urban policy,” the development and implementation still Clinton administration’s revitalization rests on local actors. Acknowledging the agenda consisted of ostensibly “‘nonur- importance of local governance that ban’ program initiatives that were not accompanies devolution, federal officials perceived as directing benefits toward and local leaders must strengthen these cities” (Persons 2004). The central piece initiatives by studying the mixed results of this agenda was the Empowerment of place-based efforts of past decades. Zone (EZ) program, initiated in 1994. This interagency initiative granted Social THE CONTEXT FOR PUBLIC Services Block Grant funds and numer- PARTICIPATION IN FEDERAL ous tax incentives to selected areas in an URBAN POLICY effort to revitalize sluggish local econo- Central to the Johnson administration’s mies (Wallace 2003). The program community revitalization strategy were facilitated partnerships with local the community action programs created government, businesses, and communi- by the president’s Office of Economic ties that emphasized job creation and Opportunity (OEO). These initiatives business development solutions to local were intended to serve as “a device that issues. Like its predecessors in the would draw federal, state and local Johnson administration, the program programs together and meld them into an directly funded local initiatives and integrated assault upon the problems of required citizen engagement in the poverty” (Wolman 1972). In cities planning process. In this sense, the EZ nationwide, the community action initiative was the first major federal policy agencies created at the time to implement since the Great Society era to explicitly this work represented some of the first include resident participation. Moreover, federal investments in neighborhood- U.S. Department of Housing and Urban level stakeholder engagement. The OEO Development (HUD) guidance indicated suggested that at least one-third of the “residents must also play an active role in members of these bodies be low-income implementing and monitoring their plan community representatives and called for for revitalization through governance “maximum feasible participation” from

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structures that provide them with a real and say ‘this is not in our interests’” voice in decision making” (2009). (Rivera 2008). Although it was important Accordingly, cities applying for the EZ for the Empowerment Zone legislation to designation were evaluated based on the allow for local flexibility, it ultimately level of community engagement in the missed an opportunity to transition planning phases of the project. While the initial civic planning into a sustainable extent of inclusion varied across project governance structure. As one EZ partici- sites, HUD actively encouraged EZ cities pant noted in Chicago, “The general role to launch their programs with high of community participation was ill- levels of community participation. defined at best,” and this ambiguity Consequently, local organizations held allowed elected officials and business planning sessions with stakeholders leaders to supplant civic voices upon that allowed those individuals to convey program rollout (Gittell et al. 2001). their needs, concerns, and programming As federalism has evolved in response to suggestions to local government represen- changing needs in urban communities, tatives (Gittell et al. 2001). policy makers are faced with the challenge Despite these early achievements, a of setting broad guidelines that hold local comprehensive study of community officials accountable for engagement engagement across all urban EZ sites while providing a degree of autonomy. By concluded that “although the federal acknowledging this critical balance and government ensured a role for commu- heeding lessons learned from past efforts, nity groups during the strategy develop- federal place-based initiatives should ment process . . . they did not require that maintain program flexibility while participation continue during implemen- increasing the consistency of governance tation” (Gittell et al. 2001). In some structures across sites. With its compre- instances, local politicians were accused hensive Neighborhood Revitalization of thwarting community participation Initiative, the Obama White House efforts in attempts to preserve power. should draw from these examples and Moreover, mayors of all EZ cities seized provide for more clearly defined local control of program funding and reconsti- governance structures that better reflect tuted governance boards with appointees, the communities they serve. consolidating influence through the channels that were intended to distribute PLACED-BASED POLICY AND THE power more equitably. Contemplating the WHITE HOUSE NEIGHBORHOOD role of stakeholders in EZs in 2008, REVITALIZATION INITIATIVE Johnny Rivera, Upper Manhattan The latest phase of urban policy has seen Empowerment Zone board member, a “democratic devolution revolution” in offered, “Obviously people in low-income which “government serves as a powerful areas want to see their areas developed, catalyst and largely provides the funds but as part of those dreams and hopes, needed to create stable, ongoing, effective they want to be part of it. . . . Are we partnerships” (Benson et al. 2007). ostracizing, alienating, marginalizing this Leveraging partnerships with different group of people? Who represents this tiers of government and other institu- voice?” (Rivera 2008). He added, “People tional partners, the interdisciplinary have a right to speak up to public policy programs call for the convening of

68 a seat at the table numerous local actors. In all of these competition inspired by the work of the efforts, community outreach, input, and Harlem Children’s Zone. It supports leadership will be critical for success. partnerships across education programs With the Obama administration making and social services that seek to provide efforts to develop a coherent agenda comprehensive support to low-income across federal agencies, administrators children from birth through college to will be guided by the White House’s career. direction on place-based policy. • Byrne Criminal Justice Innovation — a In a series of joint statements to the heads Department of Justice initiative that aims of all federal executive departments and to prevent violent crime, substance abuse, agencies, a number of high-ranking and gang activity in designated areas White House officials announced the across the country. This would support Obama administration’s commitment to partnerships between local law enforce- place-based work. These messages ment agencies and community-based stressed that it would be important for organizations. agencies to coordinate with “state, local, • Community Health Centers — a and tribal governments, faith institutions, decades-old Health and Human Services nonprofit organizations, businesses, and (HHS) program that targets underserved community members at-large as collabo- communities nationwide. rators” (White House 2009). The mes- • Behavioral Health Services — an HHS sages also affirmed that the federal strategy for mental and addiction government would “continue applying disorders that integrates a number of place-based principles to existing policies, home and community-based interven- potential reforms, and promising tions to provide wraparound services. innovations” (White House 2010). These “promising innovations” include an array While federal guidance makes a generic of programs under the recently unveiled suggestion to include community White House Neighborhood members in these efforts, there has not Revitalization Initiative. Building on the been a targeted or highly visible effort to previous federal urban platforms, the emphasize public participation in this agenda is rooted in the belief that work. However, some local efforts “bridging gaps and reducing duplication engaged in this work can provide exam- will lead to a more efficient delivery of ples of how appropriate community services” (Ryan 2008, 140). The initiative’s engagement is manifested in practice. key programs, all of which seek to engage Informed by these early successes local governments, include: experienced in the planning phase, subsequent federal regulations can bolster • Choice Neighborhoods — a HUD opportunities for civic inclusion and initiative that builds on the work of ensure that this commitment is authentic HOPE VI by transforming distressed and sustainable across project sites public housing into mixed income nationwide. development. This program would also offer support services to promote positive outcomes for families. • Promise Neighborhoods — a Department of Education grant

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A PROMISING START FOR • Three nonprofit agencies active in the RESIDENT INCLUSION community One site that recently gained support In their feedback on the successful from the White House Neighborhood proposal, Department of Education Revitalization Initiative serves as a strong evaluators noted that the DC effort case in best practices for community “demonstrated an ability to attract a engagement. In 2010 the Cesar Chavez diverse perspective by the people serving Public Charter Schools for Public Policy on the Advisory Board and the engage- was one of twenty-one applicants to ment of the community” (U.S. receive a planning grant from the U.S. Department of Education 2010a). The Department of Education for a Promise committee’s overall response also Neighborhood. The Washington, DC, indicated that inclusive governance school’s $500,000 award is intended to remains a priority for the selection fund one year of planning activity criteria of federal evaluators. focused on creating a holistic youth development pipeline. Thus far the In addition to developing a sound program has emphasized what research- decision-making strategy reflected in its ers would classify as true public participa- proposal, the DCPNI has excelled at tion, which is characterized by “a high soliciting feedback and incorporating level of empowerment of the public and a citizen concerns into its planning process. direct input into the decision process” While these engagement efforts allay (Rowe and Frewer 2004). The program’s skepticism and encourage buy-in from documentation states, “Planning for the residents, they also serve the practical implementation of DCPNI [DC Promise purpose of equipping planners with Neighborhood Initiative] will emphasize nuanced understandings of community the inclusion of key community and needs and assets. Still in the early stages, school partners and stakeholders” and “a the program has engaged with research strong resident voice and participation” professionals and volunteer staff to solicit (DC Promise Neighborhood Initiative input from families in the community in n.d.). This inclusion was reflected in a a variety of ways. Relying on local diverse advisory board, which is made institutions and informal networks, the up of: program’s leadership has taken a cultur- • An honorary chair ally competent approach to connecting with citizens that is neither patronizing • The school CEO nor excessively prescriptive. After • One resident from each of the six reaching out to this population, the neighborhoods in the zone footprint DPCNI advisory board has given resi- • Two representatives from DC dents an opportunity to serve alongside government elected officials, policy experts, and • Three Advisory Neighborhood Council funders in ten subject-specific Results (ANC) commissioners representing Driven Work Groups. These groups, neighborhoods in the zone footprint ranging in topic from student safety to college access, will continue to meet • Three funders throughout the planning year “to develop • Four policy and continuum experts a plan to implement, monitor and collect data on solutions” (DC Promise

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Neighborhood Initiative n.d.). The pervade all relevant federal agencies program also hosts monthly community pursuing place-based policy and give dinners that update residents while traditionally disempowered communities soliciting input and providing newcomers an opportunity to experience increased with an opportunity to get involved. participation in the local governance Finally, DCPNI holds periodic workshops process. and focus groups that directly engage youth and their families throughout the CONCLUSION AND POLICY planning year. These discussions have RECOMMENDATIONS helped gauge the assets, challenges, and Federal place-based urban policy must opportunities facing the community with remain committed to local flexibility respect to a proposed “cradle to college” while addressing the need for consistency pipeline of educational and social in governance. As the needs of different services. communities can vary greatly, effective policies under this umbrella should By pursuing these extensive outreach and permit a considerable degree of local inclusion measures, this place-based autonomy. However, as previous neigh- initiative has earned the trust and borhood-based efforts have been derailed goodwill of many local residents while by local politics that consolidated providing them with an opportunity to influence among the political elite, these authentically contribute to the planning policies must provide for long-term, process. While the leadership has taken meaningful public participation in proactive steps to remain inclusive, it unambiguous terms. This would combat remains to be seen if this high level of the undemocratic practice of rendering community participation will continue key stakeholders “passive recipients of into the implementation phase. information from the regulators or In its Notice Inviting Applications, the governing bodies” charged with imple- Department of Education states that menting policy (Rowe and Frewer 2004). Promise Neighborhoods applicants must By crafting more nuanced legislation that “build community support for and would require extensive and sustained involvement in the development of the public participation, federal policy plan, which includes establishing out- makers can engender high standards of comes for children in the neighborhood accountability for local governance and that are communicated and analyzed on oversight. With these considerations in an ongoing basis by leaders and members mind, I offer the following suggestions to of the community” (U.S. Department of inform the development of antipoverty Education 2010b). However, if prior neighborhood-based policy: federal involvement is any indication, this • Continue to encourage engagement requirement will not necessarily be with community residents on completing emphasized or enforced in the later stages needs assessments, developing localized of the project. In order to craft sustain- solutions, and creating governance able solutions to the youth development strategies. Informed by the best practices crises they seek to address, federal officials of past efforts, leaders of geographically must follow up with strong action focused revitalization initiatives should supporting the sustained involvement of remain committed to seeking participa- community residents. This theme should tion from zone residents. This entails

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strategic outreach extending beyond community residents by choice, current advisory board members that targets the regulations do not require the necessary neighborhood at-large. Through vision- degree of inclusion that many exceptional ing sessions and focus groups, key practitioners have promoted. Recognizing informants from throughout the commu- that local politics can supersede commu- nity should be able to supplement the nity interests in the absence of transpar- work of professional researchers and ency and oversight, appropriate evaluators with nuanced insight into guidelines should allow for procedural existing assets and unique challenges checks and balances between residents, facing the community. These individuals community organizations, local govern- should also be empowered to help shape ment, and any other interest groups the strategies created to address issues represented in governing coalitions. they help identify. Finally, they must play • Develop a method for evaluating public a role in determining how the governance participation that holds local officials structure of the program is organized so accountable for maintaining inclusive that they can sustain participation upon governance practices. The task of program rollout. evaluating participation efforts separately • Require the formation of diverse from project outcomes presents a serious advisory boards with clearly defined challenge, as governance procedures offer roles for all stakeholders in program little quantitative data that can fuel planning and implementation. Place- assessment. However, policy can address based policies should provide for sustain- this concern by creating a baseline set of able feedback and oversight mechanisms requirements for engagement and that allow residents of target areas to requiring independent evaluators to voice concerns during and beyond the measure local success in this area. planning phases. This would promote Potential benchmarks include the transparency and extend authority to a percentage of residents included in governing body made up of residents governing bodies, the resident participa- with decision-making power. While tion rate in needs assessments, and the federal agencies have generally encour- frequency of stakeholder meetings during aged this work in the past and continue to project rollout. Standardization of these do so, lack of explicit guidelines and methods will allow cross-site comparison systematic enforcement has prevented and promote the proliferation of best citizens from maintaining a strong practices. influence in local governance. Without overstepping the federal role in neighbor- REFERENCES hood engagement, policies should ensure Benson, Lee, Ira Harkavy, and John Puckett. that sufficient neighborhood representa- 2007. Dewey’s dream: Universities and tion is sustained throughout the duration democracies in the age of education reform. of these efforts. Policy can shield these Philadelphia: Temple University Press. initiatives from exogenous interests and Chaskin, Robert J., and Clark M. Peters. 1997. co-optation by explicitly delineating and Governance in empowerment zone communi- protecting the roles of residents and ties: A preliminary examination of governance community leaders. While leaders of in fifteen empowerment zone communities. Chapin Hall Center for Children at the some community-based policy imple- University of Chicago. mentation efforts have empowered

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DC Promise Neighborhood Initiative. n.d. Wallace, Marc A. 2003. An analysis of DCPNI proposal summary (www.dcpni.org/ presidential preferences in the distribution of documents/Federal%20Proposal%20 empowerment zones and enterprise commu- Summary.pdf). nities. Public Administration Review 63(5): Gittell, Marilyn, Kathe Newman, and Francois 562-572. Pierre-Louis. 2001. Empowerment zones: An White House. 2009. Developing effective opportunity missed. Howard Samuels Center, place-based policies for the FY 2011 budget. Graduate Center of the City University of New Memorandum for the Heads of Executive York. Departments and Agencies, August 11 (www. Lester, Patrick. 2009. Tipping neighborhoods whitehouse.gov/sites/default/files/omb/assets/ to success. Alliance for Children and Families, memoranda_fy2009/m09-28.pdf). United Neighborhood Centers of America. ———. 2010. Developing effective place- Patterson, James T. 1981. America’s struggle based policies for the FY 2012 budget. against poverty 1900-1985. Cambridge: Memorandum for the Heads of Executive Harvard University Press. Departments and Agencies, June 21 (www. whitehouse.gov/sites/default/files/omb/assets/ Persons, Georgia A. 2004. National politics memoranda_2010/m10-21.pdf). and charitable choice as urban policy for community development. Annals of the Wolman, Harold. 1972. Organization theory American Academy of Political and Social and community action agencies. Public Science 594: 65-78. Administration Review 32(1): 33-42. Putnam, Robert D. 1995. Bowling alone: Zonta, Michela M. 2005. Housing policies and America’s declining social capital. Journal of the concentration of poverty in urban Democracy 6(1): 65-78. America. Social Service Review 79(1): 181-185. Rivera, Johnny. 2008. Interview by author, April 1, New York, NY. Rowe, Gene, and Lynn J. Frewer. 2004. Evaluating public-participation exercises: A research agenda. Science, Technology, and Human Values 29(4): 512-556. Ryan, Dan. 2008. Emergent temporal effects in community initiatives. Sociological Perspectives 51(1): 139-162. U.S. Department of Education. 2010a. Cesar Chavez Public Policy Charter High School technical review (www2.ed.gov/programs/ promiseneighborhoods/2010/trf/ u215p100090.pdf). ———. 2010b. Overview information: Promise Neighborhoods program. Federal Register 75(86): 24671-24684. U.S. Department of Housing and Urban Development. 2009. U.S. Department of Housing and Urban Development, Community Planning & Development (www. hud.gov/offices/cpd/economicdevelopment/ programs/rc/about/keyprincipals.cfm).

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Stanford University as a political science professor and the Thomas and Barbara Stephenson Senior Fellow on Public Policy at the Hoover Institution. In September 2010, Rice became a faculty member of the Stanford Graduate School of Business and a director of its Global Center for Business and the Economy. U.S. Foreign Policy Natasha Sunderji is a master in public policy candidate at the John F. Kennedy in Africa: School of Government at Harvard University. A Public Address by Her interest in public policy focuses on Condoleezza Rice health care delivery and management in the nonprofit sector, an interest she has Compiled by Natasha Sunderji pursued with consultancies in Canada, East Africa, and Geneva. She has a BASc in biomedical engineering from the University of Toronto. Condoleezza Rice spoke at the John F. Kennedy School of Government at Harvard University on November 30, 2010.

audience What’s the benefit to the United States of having responsible sovereign states in Africa?

rice The benefit of responsible sovereignty first and foremost is to Africans because those are countries that can deliver on food for their people, can deliver on education for their people, and can deliver on health for their people. So that’s the first and most important goal. But the international system, not just From 2005 to 2009, Condoleezza Rice the United States, is built on the expecta- served as the sixty-sixth U.S. Secretary of tion that you will be able to govern and State. Rice was former President George W. you will be able to control your borders, Bush’s National Security Advisor from 2001 for instance. Now we know that that’s until 2005, making her the first woman to imperfect in many places. But some places serve in that position. Before joining the are worse than others, such as Somalia. Bush administration, she was a professor of We almost had a war in December of political science at Stanford University 2007 because Somalia was unable to deal where she served as provost from 1993 to with its borders, and Ethiopia saw the 1999. In March 2009, Rice returned to threat from what was happening with

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the collapse of Somalia. So the interna- the ones that are going to need to tional system is very much dependent on continue. And perhaps Somalis can come responsible sovereigns. That’s in addition together around that. to it being good for the people. There have been talks from time to time that perhaps Somali land should audience subside or whatever but I see that as more Given that Somalia has been a failed trouble. I think that you have to build a state for more than twenty years, what central government there. is the future of the United States’ relation- ship with this country, and what can audience Somalis do? On January 9, 2011, Sudan will hold a referendum.1 How do we know that we will rice not see an increase in the tension between In order to have any chance to help a northern and southern Sudan given the failed state heal, you have to have a violence that has erupted in the region after plausible indigenous governing body. And similar political events? it’s why, whether it’s Afghanistan or the Balkans or Liberia, people look first to rice some sort of transitional government. It was certainly thought that the referen- The problem in Somalia is that it has dum of 2011 had the prospect of violence been extremely difficult to get this done. I and for a rather chaotic outcome. went to Addis Ababa to a summit to try Nonetheless it was believed, and I believe and bring a Somali government in and rightly, that without that prospect of a give it regional support. One thing you referendum and a decision on southern can do to substitute for the strength of a Sudan’s future, it was not going to be government is to give it regional support. possible to get a comprehensive peace But of course then you get into problems agreement [CPA] that would allow the with Ethiopia because the region is not killing to stop and allow people to start to very stable. I still think that the best bet develop. Of course the mechanism that for Somalia is to continue to try and work was put in place was to build a unified towards some kind of transitional government for that intervening period, government that can slowly build which was to try and deal with some of authority. There is some concern with the more difficult issues that were not such a weak government in, for instance, frankly dealt with during the negotiations training security forces, but I see no other themselves. For example, the distribution option than to train security forces for a of oil revenue, there was a basic formula, government like that, or you will have but precisely how it was going to be done mercenaries, or you will have regional was left to further negotiations, particu- powers constantly poking in. And finally larly in some of the most sensitive oil-rich as much as Ethiopia is a problematic state, areas. So there was a lot of work to do you’ve got to work with Ethiopia to try between 2005 and 2011. And I do have to and bring some stability in that region. say that I think that the problem in It’s really too early to even talk about Darfur didn’t set aside what was being economic development for Somalia done in the CPA, but it certainly turned because there’s no government to work the attention of the world and the with so I think those efforts are probably governments away from moving that CPA

76 u.s. foreign policy in africa forward. Now we have very little time to Union. But you’re right that anyone make those arrangements work. I know trying to address Africa in terms of policy that the Obama administration and needs to be very aware of the different particularly Susan Rice at the UN is very histories, the different people, and the much active in trying to move those different circumstances. issues forward, but there is no doubt that we lost a lot of time between 2005 and ENDNOTE 2011 in trying to tie down all of those 1 Results since the time of this discussion show aspects that were left unresolved in the that southern Sudan voted overwhelmingly negotiations that ended in 2005. I have to for independence in the January election. say too that I think that the southern Sudanese leadership has recovered from the death of John Garang [leader of the Sudan People’s Liberation Movement who died in a plane crash less than a month after becoming vice president of Sudan in 2005], but it took awhile. Now I think there’s good leadership there that’s doing its best, but time is running out. audience How do we prevent Africa from being treated as a uniform continent? rice One thing that we tried to do with, for instance, the Millennium Challenge, was to differentiate in Africa by whether or not a country and its leadership was governing wisely and whether it was investing in its people. So Ghana got a $450 million grant from the United States—not true of countries that did not have that profile. You’re right that you have to deal with African countries on their own merits; you also have to deal with them on their own circumstances. But regionalization is happening all over the world, not just in Africa. It’s true that the Organization of the American States is trying to have a more regional approach in Latin America. The European Union has taken regionalization to its most highly articulated level. So I don’t think there’s anything wrong with Africa trying to act in unity through the African

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