COMMUNITY DEVELOPMENT SOCIETY Spring 2016 Issue 20
Editor Craig A. Talmage
Managing Joyce Hoelting
Editorial Assistant Aleem Mohammad
Designer Maaz Mohammad Community Development Society 2
EDITORIAL
Revitalizing Practice: Introduction to a Refreshed Community Development Practice
Craig A. Talmage, Ph.D. The journal, CD Practice, began in 1994 with I invite you to open this issue of the revital- Visiting Assistant Professor a mission to provide community devel- ized Community Development Practice and Entrepreneurial Studies opment practitioners access to innovative enjoy our four contributions. The contri- Hobart and William Smith Colleges approaches, techniques, and tools, which butions appear in the order they were Geneva, New York have demonstrated success in community submitted for review to the journal. They development (and related fields). These also provide a strong mix of quantitative various approaches, techniques, and tools and qualitative approaches for community developed and presented could be readily development practice. Please share this applied by the journal’s readers. They also new issue with your friends and colleagues. epitomized Community Development Society’s “Principles of Good Practice.” The The first article, “Are we using all the journal was eventually made available on tools in our toolkits? Considering video the Community Development Society's recordings for community development,” website (http://comm-dev.org/) and presents readers with a call to incorporate continues to be distributed to Community video recordings into the research and Development Society members and evaluation strategies. The article provides friends for free. a theoretical and practical grounding for this tool that can capture community Over the past nineteen issues, we have members’ stories and experiences at a broached and investigated a number of relatively low cost. Please note that this topics from gathering together around article was previously accepted under a controversial issues (see Hustedde, 1994) to previous editor of the journal. conducting virtual facilitated discussions (see Loveridge, Nawyn, & Szmecko, 2013). The second article, “Uncovering hidden The journal has explored topics across both rental properties” walks readers through the private and public sectors. It has also a procedure using Microsoft Excel (and ventured to provide insights that apply to potentially other spreadsheet programs) both rural and urban practitioners. to better understand the tenure transition of properties. The procedure can help Today, the journal has the opportunity practitioners unearth and record rental to capture the attentions of even more properties in their local areas. The reader practitioners across the globe. It can also is also walked step-by-step through the be a place for researchers or bi-vocational process, so that he or she can start attain- individuals (for example, pracademics) ing the benefits of this procedure in his or to coalesce, share, and apply information her own community. not often found in traditional research journals. This intersection between The third article, “Community-responsive research and practice is expressed in our behavioral health research: Translating twentieth issue of the journal, and this data for public consumption and decision conversation must not cease in the future. making,” provides a new way of under- standing data for those who work in In order to reach a wider audience, the behavioral health, specifically those who abbreviation of CD will be removed in focus on mental health and substance future publications and the name will be abuse issues. The authors share the story expanded to its full form. This strategy of their national project team that collect- makes it easier for readers to discover ed and delivered data to local community the journal through Internet searches. I teams and the lessons they learned from believe that this strategy will help build their different dialogues. the rapport of the journal and draw a broader readership. The fourth and final article, “Commu- nity coaching: Insight into an emerging practice,” speaks to the challenges around Community Development Society 3
References change in communities. The article Hustedde, R. J. (1994). Community issues describes the supporting role that gathering: A tool for resolving contro- community coaching plays in assisting versy, CD Practice, 1, 1-7. that change. The authors share the experi- ences of and lessons learned from over Loveridge, S., Nawyn, S., & Szmecko, L. twenty community development profes- (2013). Conducting virtual facilitated sionals across the United States. These discussions, CD Practice, 19, 1-9. lessons help practitioners and researchers better understand the emerging practice of community coaching. Finally, it is again my pleasure to unveil the revitalized Community Development Practice to you. I would like to personally thank all previous CD Practice editors: Kenneth Pigg, David Darling, John Gruidl, Michael Dougherty, and Joyce Hoelting. Michael Dougherty and Joyce Hoelting still provide editorial and review support to the journal. I also would like to thank all those who have reviewed articles and provided feedback to increase the quality of our contributions. I apologize if I have missed anyone in these regards, but thank you to all the Community Development Society members and friends for your continuing research and practice. If you are interested in reviewing future submissions or submitting an original manuscript, please contact me at [email protected]. You can also contact me with general inquires as well. Thank you and please enjoy this twentieth issue of Community Development Practice. Cordially,
Craig Talmage Community Development Practice Editor 5 Are We Using All the Tools in Our Toolkits? Considering Video Recordings for Community Development
Craig A. Talmage Richard C. Knopf
Mikulas Pstross
14 Uncovering Hidden Rental Properties
Brian Mikelbank Joan Chase
36 Community-Responsive Behavioral Health Research: Translating Data for Public Consumption and Decision Making
Courtney A. Cuthbertson Jane Kolodinsky
Assa Dembélé Kelly Hamshaw
John Leatherman Holly Larson Lesko
Scott Loveridge Mary Beth Dunkenberger
Jessica Tess Nancy White
Suzanne Lo Ann Sherrard
Bob Stephens Christina Boyd
49 Community Coaching: Insight into an Emerging Practice
Daniel Kahl Patricia Holmes
Mary Emery Community Development Society 5
Are We Using All the Tools in Our Toolkits? Considering Video Recordings for Community Development
Craig A. Talmage, Ph.D.* Abstract Keywords Arizona State University Partnership for Community Development This CD Practice article calls for the Community Development Practice, [email protected] greater incorporation of video record- Video Analysis, ings into community development Video Recordings, research and practice. We present video Qualitative Methods Mikulas Pstross recordings as both an alternative and Arizona State University complementary tool to capture stories Partnership for Community Development and experiences from community [email protected] members. We outline the key benefits of video recordings for community devel- Richard C. Knopf, Ph.D. opment research and practice and reflect Arizona State University on them based on our own experiences Partnership for Community Development at Arizona State University. Finally, we [email protected] encourage other community develop- ment professionals to increase their use 411 N. Central Ave. Suite 550 of this relatively inexpensive yet often P (602) 496-0550 | F (602) 496-0953 overlooked tool. *Denotes Corresponding Author Community Development Society 6
Video Research in the Introduction Community Development Record
“The range of what we think and do It has been said that video captures the Video recordings have also helped is limited by what we fail to notice. “community spirit” (Stillman, 2005, p. community members learn how their And because we fail to notice that we 82); however, we have not been able individual actions (nonverbal and verbal) fail to notice, there is little we can do to find many examples where video is are interpreted by others, particularly to change; until we notice how failing being exclusively used in the field of colleagues and peers (Rook & McDonald, to notice shapes our thoughts and community development.This article 2012). For example, Rook and McDonald deeds.” will highlight times when video record- (2012) noted that peer video analysis ings have been used in closely related was a great reflective tool for educa- (R.D. Laing, 1967, as cited by Kayrooz & fields to community development. tors. Video also allows researchers and Trevitt, 2004, p. 170) Moreover, the field has work to do when practitioners to monitor feelings and it comes to documenting successes and behaviors by creating an audio-visual Community development researchers learnings from utilizing video record- record of individual and group actions, and practitioners strive to find the ings . In this article, we will contribute interactions, and reactions that can be best ways to capture the stories and such documentation and encourage dissected and discussed in the interest experiences of community members. We greater use of video recordings. of development. Earlier, Anderson and encourage citizens, community members, Melchior (1995) suggested that interactive groups, and organizations to use their Saunders (1976) first used video record- videos could be used to help community own capacity to strive for and achieve ings for planning and development in members gain knowledge of pertinent positive change in their communities community development literature. He issues in their communities and connect (Talmage, 2014; 2015). To do so, we should used videotape to let youth view their better with fellow community members. utilize the most efficient, effective, and experiences during a local government impactful methods and tools possible. day. Saunders (1976) documented the reflections of the youth on their local This article reminds researchers and government day experience after they practitioners about an often overlooked had watched a video of it. Saunders’ tool in our toolkits: Video recordings. (1976) research remains viable today. Video recordings have the potential to After viewing and discussing individual give us full pictures of the experiences reactions, Saunders (1976) concluded that and stories of community members youth and leaders could use the youths’ and more (e.g., attitudes, interactions). reflections to motivate them to become Keeping these notions in mind, we more involved in their communities and reflect on our own experiences using to determine how to make such experi- video recordings and explore the merits ences more engaging in the future (see of video recordings in research and also Kudva & Driskell, 2009). practice for community development. Community Development Society 7
Our Experiences Shared through Two Different Projects
In our research, we used Griffith’s (2013) Video is an interactive medium that list of behaviors to analyze our weekly can be watched and re-watched; edited community development research team and re-edited over time (Erickson, 2007; meetings and to better understand which Lemke, 2007). Thus, video recordings can portions are most effective or engaging. be compiled and reconfigured to support We accompanied these video recordings longitudinal community endeavors and with online follow-up questionnaires to endeavors, as well as endeavors that collect the very same information. Using engage community members in telling both retrospective and observational stories. If the purpose of storytelling in methods, we found that we could use community development is to encourage videos to analyze which portions of communities to continue to ask questions our meetings were most successful after we leave (see Pstross, Talmage, & in capturing the attention and Knopf, 2014), then video recordings may participation of attendants. be a helpful tool in our toolkits. Online self-reported moments of For example, in 2014, a team of students engagement matched up well with our used video to capture and document own interpretations of the video record- stories of diversity in the downtown ings. For example, nonverbal behaviors Phoenix area (Talmage, Dombrowski, (e.g., smiling, eye contact, and posture) Pstross, Peterson, & Knopf, 2015). The lined up with the moments noted in the film was then shown to stakeholders of online questionnaire answers. Verbal that downtown community. The video behaviors such as speaking and laughing documentary complemented other (or not speaking and laughing) were also traditional scientific and alternative easy to tie to moments of engagement artistic approaches used in that or disengagement. We were able not community research endeavor, and only able to capture individual affects, reached community members who but also interactions among people. In might otherwise not have interacted with previous pilots, we found that retrospec- each other. They felt more comfortable tive methods (i.e., survey questionnaires, sharing their own stories and connect- interviews, and focus groups, discussed ing with each other at the showcase. We later) did not fully capture the nuances continue to use multiple short films and of these social interactions. student teams in our events to collect the undiscovered stories of diverse individuals Even with our basic skill levels regarding and groups in downtown Phoenix. video recordings and analysis, we found video recordings beneficial for improv- ing meetings. For example, we used the lessons learned in our video recording efforts to better understand the behav- iors of our fellow team members and ourselves. We contend that analyzing video recordings can be instrumental for community development workers for creating and evaluating community development programs. Community Development Society 8
A Brief Review of Retrospective and Observational Methods
The case for video is reinforced as we consider the importance of observation in community development research The limitations of retrospective methods can be countered using observational and practice. We begin by briefly Table 1 reviewing common retrospective and methods. It is one thing to hear another’s observational methods use in research Common Issues with recollection of an event, but it is a far and practice. Then, we consider how Retrospective Methods different thing to experience it. Obser- video recordings, an observational tool, vational methods allow data collection can be incorporated in community as events unfold. Researchers often development efforts. We conclude by SOCIAL DESIRABILITY BIAS take on participant observer roles, such providing recommendations for such The tendency of participants to offer as complete participant, participant as use of video recordings. ratings or answers they think their observer, observer as participant, and questioners will find more desirable complete observer roles (e.g., Creswell, Regardless of the context (e.g., person, 2000; Gold, 1958; Kearns, 2010). community, or event), attitudes and FUNDAMENTAL Observations can be used to count the behaviors in communities are commonly ATTRIBUTION ERROR measured using retrospective methods number of behaviors, to provide comple- The tendency of participants to mentary evidence to retrospective (e.g., Sachau, 2007). Retrospective overemphasize the role of personalities methods include questionnaires, inter- methods, and to provide contextual under- or internal characteristics in explaining standing for researchers and practitioners views, or focus groups where individuals a social situation are asked to recount their experiences (Kearn, 2010). Observers both watch and listen, and by doing so, are participants in or rate items from a list. Respondents ACTOR-OBSERVER BIAS usually tell us what they have done or some way. In fact, “Ultimately all observa- The tendency of participants to intend to do via scales or checklists on tion is a form of participant observation” overemphasize external characteristics a questionnaire. They might also make (Kearns, 2010, p. 12). Additionally, other and underemphasize their own person- some sort of hypothetical choice among sensations and perceptions might be alities or internal characteristics presented alternatives. experienced (e.g., eating community meals, experience food from a new culture, or Retrospective methods have advanced PSEUDOMEMORIES hearing cultural music). science, particularly so for communi- Fake memories usually created in our ty development research and practice, minds to fill in gaps in memories Observational methods have particular but they also have their limitations. advantages over retrospective methods. They provide a more in-depth access Table 1 outlines seven common errors SELF-SERVING ATTRIBUTION BIAS associated with retrospective methods. to the context in which individuals The tendency to take credit for positive Participant responses can be riddled experience social reality in their commu- experiences or success and blame with bias, as described in the first four nities. Observations can fill in gaps left others for negative experiences or common errors: (1) social desirability, by retrospective assessments. The main failures (2) fundamental attribution error, (3) disadvantage of observations, however, actor-observer bias, and, (4) self-serving is the amount of time that is required by attribution bias (see Coon & Mitterer, MISSING/INACCURATE researchers and practitioners who want 2011; Sachau, 2007). Respondents are INFORMATION to take advantage of them (Kayrooz & also unlikely to give a full picture of Our retrospective reconstructions Trevitt, 2004; Kearns, 2010; Morling, 2012). the factors that influence behavior and of reality are unlikely to completely Table 2 summarizes the advantages and attitudes; the claims made in this type of identify the factors that influence us, disadvantages of observational methods. research are likely to be incomplete or and the claims we make are likely inaccurate (e.g., Coon & Mitterer, 2011; incomplete or inaccurate Heider, 1958; Nisbett & Wilson, 1977). Finally, participants’ answers are often HALO/FLOOR EFFECTS The tendency to give inaccurately high deeply rooted in emotions that affect Derived from or low ratings in survey responses the accuracy of the responses we receive Heider (1958), Nisbett & Wilson (1977), (Heider, 1958; Ployhart, Schneider, & based on irrelevant influences, which Ployhart, Schneider, & Schmitt (2006), Schmitt, 2006). can restrict range or skew data Sachau (2007), Coon & Mitterer (2011). Community Development Society 9
Considering Video Recordings as a Tool for Observation
Video recordings emerged as a partic- Video recordings complement the ular tool for research and/or research researcher’s role. If minimal or no methodologies more than 80 years ago, participation is needed by the research- Table 2 when influential Kurt Lewin (1931) first er in the field, video recordings are a Advantages and Disadvantages connected his psychological work in justifiable substitute (Guest, Namey, & of Observational Methods filmmaking (Van Elteren, 1992). Even Mitchell, 2013). Video cameras can also be then, Lewin used video to analyze placed strategically in different locations behavior, present and illustrate his giving observers more control over the ADVANTAGES concepts to others, and maintain his situation to capture important moments, own personal records (Van Elteren, 1992). preventing misrepresentations and • Contextual understanding Since then, video recordings have been misinterpretations. • Direct and natural observations of primarily rooted in experiential and According to Forsyth, Carroll and Reita- behavior phenomenological research traditions (Lemke, 2007); however, they are now no (2009), “Video data can capture the • The ability to fill in the gaps of permeating other fields closely related to messiness and concomitant richness of spotting recall, which complements community development and increasing social life” (2009, p. 216). Video record- retrospective data in frequency of use (e.g., Derry, 2007; ings allow the researcher to visually and audibly analyze and interpret social • Access to insights regarding Lemke, 2007; Spiro, Collins, & Ramchan- dran, 2007). For example, in urban situations (Heath et al., 2010; Forsyth et behaviors that persons may hide or al., 2009). However rich a researcher’s not be aware of development and planning, we first saw video recordings used in larger-scale field notes are, video recordings have • Observations of uncommon, unantici- situations by Zube (1979). There is hope the advantage of replaying a situation pated, or rare but important events for blending these kinds of methods into to inform a more detailed analysis. community development efforts. Mehan (1993) claims that through video • Replication or further sampling is recordings, researchers are “able to see usually readily available Community development researchers and hear a different version of social and practitioners that have not infused life than is otherwise possible” (p. 103). DISADVANTAGES video recordings into their work may Knoblauch and Tuma (2011) write, “The be missing out on the wealth of data focus on action and interaction is linked • Misidentification by the observer that can be captured by a now relatively to the specific advantages of video as a • Reactivity of participants because of inexpensive tool (Pink, 2001a; 2001b). technical medium” (p. 417). the observer’s presence Video recording methods have been recommended for use in community In Table 3, we compare retrospec- • Unnecessary or too heavy focus on development since Spurr (1966), but tive methods (e.g., questionnaires, atypical or non-generalizable events the equipment used in Spurr’s (1966) interviews, and focus groups) and and non-random samples study with 8mm film – now an outdat- observational methods (e.g., pure observations and video). Compari- • Discipline, purpose, and reflexivity ed medium – would have then cost a sons are made regarding the following required by the researchers to avoid considerable sum. Video recordings aspects of research methods: (1) response perceptual distortions have since become more affordable, and thus they have become more prominent length; (2) sample size; (3) field work • Misrepresentation of or failure to in research (Pink, 2001b; Spiro et al., time; (4) auditory record; (5) visual attend to important data 2007). Now, researchers are beginning record; (6) analysis time; and (7) need for (i.e. observer bias) to take advantage of the video function- transcriptions. Both the aforementioned alities of their mobile phones, which literature and our own experiences • Substantial preparation time is informed this comparison. required for field work and may be easily accessible to researchers for observation and participants (Peyton & Poole, 2014). Video recordings contain a wealth of data Finally, video is easily compressible and that can be analyzed, though the analysis • Lack of control over the research portable with little to no loss in quali- can be challenging at times (Heath et al., situation or the researcher’s eye ty (Shrum, Duque, & Brown, 2005). For 2010; Holliday, 2000; Lemke, 2007). Many example, mobile phones can now be aspects of social activities can be analyzed Derived from Kayrooz & Trevitt (2004), used for both data capturing and editing from video recordings; these include, Padgett (2008), Kearns (2010), and (Peyton & Poole, 2014). Morling (2012). but are not limited to, visual conduct, talk, and props. Video recordings proved Community Development Society 10
Table 3 Comparison of Research Methods
Quantitative TYPICAL Qualitative Interviews Focus Groups Observations Video Questionnaires Questionnaires
Response Short Short Medium/Long Medium Varies Varies Length
Sample Large Large Short/Medium Medium Varies Large Size
Field Work Varies Varies Medium/Long Medium Long Flexible Time
Auditory None None If Recorded If Recorded If Recorded Built In Record
Visual None None If Recorded If Recorded If Recorded Built In Record
Analysis Short Short/Medium Medium/Long Medium Long Flexible Time
Transcriptions None None Required Required Notes Required Flexible
advantageous in Griffith’s (2013) study of recordings can also be used as a source interactions between mentally disabled for data triangulation, which is the use persons and their caretakers. During the of more than one type of data (Denzin, analysis, Griffith (2013, p. 30) designed 1978; Padgett, 2008). While users of video a check sheet of observable behaviors, recordings should and may maintain which included vocal behaviors (such audit trails, field notes, and reflexivity as loud breathing, crying, laughter), eye (see Pink, 2001b), analyses of record- expressions (staring, closing of eyes), ings might still be best performed by a facial expressions (smiling, frowning), third party to avoid misinterpretations body activities (stretching, turning head and misrepresentations (Heath et al., away), and gestures (nodding, shaking head, 2010). Those recorded should also be lifting of arms). Heath, Hindmarsh, and engaged in any analyses of the video Luff (2010) provide recommendations for recordings to make the process much analyses and emphasize that video record- more democratic (see Margolis, 1994; ings do not necessarily need to be textually Pink, 2001b). Additionally, sufficient time transcribed for coding and analyses, and discipline are crucial to prevent especially with the advances in software the observer from misunderstanding today (see also Griffith, 2013; Shrum et al., data observed and recorded. Precau- 2005). Finally, video recordings are rich tions need to be taken as well to prevent data sources, so data saturation may be those on film from reacting too much to reached more quickly than with traditional the presence of the observer (Kayrooz methods (Heath et al., 2010). & Trevitt, 2004; Kearns, 2010; Morling, 2012). Finally, ethical integrity must be Video recordings are trustworthy data maintained in the collecting, viewing, sources. They can be analyzed and and analyzing of video recordings (see re-analyzed using a variety of theoreti- Derry et al., 2010; Guest et al., 2013). cal-perspectives and can be scrutinized down to the most minute action, image, or detail (Griffith, 2013; Health et al., 2010; Holliday, 2000; Lemke, 2007). Video Community Development Society 11
Recommendations Conclusion
Table 4 provides a list of practical If we in community development want by communities for their own uses. recommendations for practitioners to remain cutting-edge, video record- Our work in communities is a visual using video recordings in community ings should be a method in our toolkits. endeavor; thus, we must take advantage settings. In addition to these practical Video recordings are an “innovation in of the full range of tools and techniques considerations, we recommend that research practice” (Shrum et al., 2005 that can better our communities in the video researchers and practitioners p. 18). Video analysis fights our human long-term, and video recordings must be take advantage of guides like those instincts toward reductionism; simply a tool in our toolkits. created by Pink (2001a), Shrum, Duque, put, looking for one single answer, and Brown (2005), Heath, Hindmarsh, solution, or process to our complex and Luff (2010), Knoblauch and Tuma problems. Video recordings bank the (2011), and Milne, Mitchell, and de Lange practical knowledge of our communi- (2012). These guides and others can help ties, allowing researchers, practitioners, those who use video recordings acquire and community members to see more the proper equipment, use appropri- of their worlds. They are an accessi- ate recording processes, and create ble, flexible, and democratic form of high-quality recordings. We must also data. They can be shared with funders, determine our own best practices for policy-makers, and other community video recording in our field. development stakeholders. They are records that can be kept and maintained
Table 4 Recommendations for Practitioners
DATA COLLECTION ENVIRONMENT CAMERA AND ANALYSIS • Minimize outside noise and possible • Find a viewpoint that will capture the • Take field notes and use sound sound interference. action. recorders. • Utilize extra lighting to deal with • Use multiple cameras to capture • Take notes of actions that occur undesired shadows. multiple angles. off-camera. • Choose rooms that allow for multiple • Consider a roving camera for moving • Utilize multiple observers for camera positions. action shots. note-taking and camera work. • Avoid rooms with windows that offer • Place the camera in a place where it • Utilize multiple coders for data visual distractions. does not draw attention to itself. analysis. • Preplan the locations of both the • Use an external microphone for • Choose a user-friendly video analysis sound and video recorders. higher sound quality. program. • Inform and gain permission from • Have extra memory cards and • Store on a secure server with lots of those being recorded. batteries on-hand. memory. Community Development Society 12
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Uncovering Hidden Rental Properties
Brian Mikelbank* Abstract Keywords Cleveland State University In a continuing effort to stabilize Housing Code Compliance, [email protected] neighborhoods after the housing crisis, Rental Registration, many municipalities are now focusing Tenure Transition Joan Chase more intensely on housing code Director of Place, DigitalC enforcement. Specifically, rental regis- Acknowledgements [email protected] tration ordinances are increasingly popular, addressing quality of life issues The authors are grateful to the Bill for residents, protecting the quality of Cervenik (former mayor), Frank the housing stock, and easing concerns Pietravoia and Jonathan Holody, related to the tenure transition of (former and current directors, neighborhoods. Unfortunately, at a respectively, of the Planning and time when budgets are particularly Development Department) and Charlie tight, these efforts can be time and Drazetic (Housing Manager) of the City labor intensive. By contrast, this article of Euclid for sharing their data and demonstrates a set of spreadsheet being partners in the research process. analyses to identify potentially The paper benefitted tremendously unregistered (or "hidden") rentals. from the comments of the reviewers Using only Microsoft Excel and public- and the guidance of the editors. ly available data, we implement these techniques for the city of Euclid, an inner ring suburb of Cleveland, OH.
* This denotes corresponding author. His email is: [email protected]. Community Development Society 15
Introduction
Many urban and inner-ring suburban The procedure described in this article The procedures we describe were used governments are struggling to sort can help cities find and register rental in Euclid, OH, an inner-ring suburb through the ongoing consequences of properties. We describe a procedure in the Cleveland metropolitan region. the housing crisis. Foreclosure, vacan- that uses three spreadsheet-based data Results show that despite an active cy, disinvestment, and abandonment procedures, tapping commonly available and long-standing rental registration all represent direct threats to commu- municipal property records, to identify ordinance, as many as half of the city’s nity vitality. Given the strain these rental properties. These procedures might rentals may be unregistered, potentially conditions place on fixed or declining be used as an initial effort to establish a harming the city’s housing, neighborhoods, community resources, there is a partic- rental registration program, or as one that and development efforts, while forgoing ular need for strategies that are both identifies “hidden rentals” – properties the benefits and revenues of the program. proactive and efficient in addressing that are “hidden”, either intentionally these challenges in neighborhoods or or unintentionally, from a city’s existing even entire communities. rental registration ordinance. This procedure speaks primarily, but This article addresses one specific part While rental registration programs directly, to the Community Develop- of that challenge – tenure transition. are not new, it is particularly import- ment Society’s Principle of Good Practice Traditionally owner occupied neigh- ant now for communities to consider of employing a “full range of action borhoods are becoming increasingly routine ways to ensure compliance. strategies to work towards long-term renter occupied. This could be an area Rental properties comprise an increas- sustainability and well-being of the of concern for municipalities for several ing portion of the housing stock, and community (Community Develop- reasons. For example, residents might be this increase may well attract a new ment Society, 2015).” For communities anxious that an increase in rental proper- generation of inexperienced or unscru- impacted by the housing crisis, stabi- ties will mean a decrease in the quality of pulous landlords. Similarly, renters will lizing neighborhood housing markets life and stability of their neighborhood. comprise a larger portion of the residen- is inextricably linked to a community’s Additionally, the dynamics of investment tial population, making non-compliance sustainability and well-being. Efficient and maintenance differ between owner a larger quality of life issue for commu- and effective strategies are necessary and renter occupied properties, and this nities. Community development to disrupt the spiral of decay initiat- has implications for the quality of the challenges will mount if non-compliance ed by the crisis before it gains enough housing stock, which in turn impacts issues spiral into issues of nuisance momentum to erode the very resources value and property tax collections. properties, vacancy, and abandonment. necessary for the task. Many cities are turning to rental By addressing the issue proactively, registration ordinances to monitor the leaders send several important messages rental market (Entrepreneurship and about their vision for the future of their Community Development Clinic, 2013), communities. They can signal that the much in the same way as they previously city: turned to vacant property registration ordinances when vacant properties • is aware of and responsive to changes became a concern. (For an excellent occurring in their community; overview see Lee et al., 2013.) These • understands the importance and ordinances can leave cities with implications of housing stock changes compliance issues, however, since it is for residents and neighborhoods; unlikely that all landlords will voluntari- ly register. The situation is even more • won’t passively allow the concerning if “problem” landlords fail to community or its residents be register. An investigation detailed in the victimized by unfavorable market Columbus Dispatch, for example, found conditions or market actors. that almost 13,000 landlords failed to regis- ter with the county auditor as required by state law (Riepenhoff, et al., 2013). Community Development Society 16
Why Care About Registered or Unregistered Rentals?
From a municipal perspective, there are Several outcomes are possible when several advantages to rental property communities experience a decrease license and registration efforts. Registra- in owner occupiers and an increase in tion collects contact information for the investor-owners. Spivak (1991) estimat- owner and/or local property manager so ed two statistical models to explain that cities can notify them of any issue the transition of individual housing relating to the property or its tenants. units from “standard” condition to Licensing processes can facilitate interi- “substandard” condition in Providence, or and/or exterior inspections, assuring RI. Models included fourteen predic- that the property is safe and violation tor variables covering the spectrum free. Communities can also educate of structural, neighborhood, market, registered rental property owners and ownership characteristics. Wheth- about fair housing, local ordinances, or er or not the property was owned landlord/tenant responsibilities. by an absentee landlord was “…the most important factor in determining These efforts protect tenants, maintain residential maintenance and upkeep the quality of rental housing stock, decisions…(p. 643).” and ensure that rental property and its tenants are “good neighbors.” Looking Mallach (2010), who focused on the out for tenants is a worthwhile endeav- distressed property investor, identi- or, considering that rental housing will fied four distinct types of investor: the often serve more vulnerable populations, rehabber, the flipper, and milker, and with less income, fewer resources, and the holder. Considering the market limited housing choices. Maintaining dynamics of different cities, he notes the quality of the rental housing stock that weak market cities, like those of likely also retains its value. Ensuring that the Cleveland region, are most likely to the property and its tenants are “good attract the most harmful of these types neighbors” contributes to neighborhood – the milker. The milker buys low value quality and quality of life, value, and distressed properties to rent and invests stability. “Bad neighbors” contribute to little in improvements or maintenance. blight and flight, which erode neighbor- After one to three years, the milker hoods in a way that is rapid, contagious, walks away from the property, having and difficult to reverse. extracted any remaining value, leaving behind a blighted property for the A major transition from owner to renter neighborhood to deal with. households could have a substantial impact on a community’s buying power. Nationwide, the median household income of renters is only 48% that of owner households (U.S. Census Bureau, 2013). Communities that transition to primarily renter occupied structures, therefore, could see a substantial shift in the goods and services available to its residents. The severity of this shift can be minimized by protecting the quality and desirability of the community’s rental stock. Community Development Society 17
A process for finding hidden properties
Ways to identify rental properties range Context: The City of Euclid, Cleveland, percentage basis, inner ring suburbs saw from simple to complex. To start simple, and its Inner and Outer Ring Suburbs the largest gains in vacant properties a city might publicize its landlord and and in the percentage of housing units rental property requirements through Euclid is an inner ring suburb located that were renter occupied. Meanwhile, existing channels (newsletters, public along Lake Erie, directly east of the City inner ring suburbs saw double digit information boards, website, public/ of Cleveland in Northeast Ohio. In many percent losses in owner occupied units. government television, etc.). Or, a city ways Euclid is typical of the dynamics might provide a housing hotline or a occurring in inner suburban commu- Thus, while the data for this analysis focus web-reporting option to gather infor- nities across the country, especially on Euclid, OH, the housing challenges mation about rental properties. In those surrounding legacy cities. There they can address are by no means isolated his discussion of rental registration is increasing interest in the fate of these to Euclid, or even to similarly situated programs, Mallach (2010) outlines a “inner ring” or “first suburb” locations suburbs of northeast Ohio. Any munic- model for identifying unregistered because they commonly miss out on the ipality with access to common property rentals that relies heavily on community resources aimed at urban ills, as well as data could use these methods (or varia- input. Neighborhood associations could the prosperity enjoyed by their outer tions of them) to identify, confirm, or get involved in gathering information, ring counterparts. Puentes and Warren contact specific groups of property owners channeling it to the appropriate city (2006) highlight the shared history of within their jurisdictions. department. However, unless public these post-war suburban locations, input is sought in a carefully sequenced whose “fast-growth” decades of the 1950s Data and Methods or targeted manner, the response could and 1960s are now more than a half-cen- For the reasons stated, we assume that overwhelm the ability of a housing/code tury in the rear view mirror. They also municipalities want to be aware of all of enforcement unit to respond in a timely highlight regional characteristics of first its rental properties, and that they face fashion. The community’s enthusiasm suburbs, finding those in the Northeast time-constraints. The analysis we offer for participating in a housing solution and Midwest to be “almost exclusively considers the trade-off between the time could easily turn to frustration if it slow, or no growth places (p. 10)”. inputs and value of the outputs. The appears that no action has been taken methods presented here can be accom- based on the information gathered. Euclid is one of 18 municipal members of the Northeast Ohio First Suburbs plished with spread sheets and a bare Instead, a city might choose to take Consortium (www.firstsuburbs.org). minimum of time. There are certainly a data-based approach, using data it Details of the consortium are covered fancier, more complex methods, but this already has to identify potential rentals. elsewhere (for example, Keating and approach is aimed at the sweet spot where If utility data are available, it might be Bier, 2008), but it is helpful to look at the methods are useful and effective, yet possible to identify situations where conditions in the Cleveland area for accessible and not very time consuming. the service address (the rental) is not context. Table 1 shows population and You could put more into doing this, but the same as the billing address (for housing indicators for the City of Euclid, the return to that additional effort might example, when a landlord is responsible the City of Cleveland, for the remaining not be proportional. for a utility instead of the tenant). If the 17 first suburb communities, and for the city collects an income tax, a mismatch remaining 39 other (or “outer”) suburban For input data, we used only a between the resident name and the communities. These 58 municipalities county-level property parcel file. It property owner name might signal comprise Cuyahoga County. included the characteristics of the a rental property. parcel, any structures on the parcel, Table 1 shows a fairly consistent pattern and ownership information. Similar The process described in this paper is where the City of Cleveland shows the data are often available directly from a good starting point because it relies most severe indicators; outer suburban county governments, either by direct on data that are often publicly available communities show the most favor- download or by request. Our specific and methods that are accessible, or even able, and Euclid and other first suburb data were downloaded from a regional easily learned for the uninitiated. consortium (FSC) communities fall in community data system (NEO CANDO, the middle. Between 2000 and 2010, for 2013). We managed and analyzed these instance, the City of Cleveland lost 17% data in Microsoft Excel. From these of its population, outer suburbs gained data we derived three simple indicators 2%, first suburbs lost 8%, and Euclid of potential rental activity: multi-unit, lost 7%. Cleveland lost housing units, multi-owner, and business owner. while outer suburbs added them and first suburbs remained the same. On a Community Development Society 18
Table 1 Select population and housing indicators for Cuyahoga County Communities.
Other Cuyahoga Other Cuyahoga City of Cuyahoga Euclid County Suburbs County Suburbs Cleveland County Total (n=17) 52,717 455,497 407,361 478,403 1,393,978 Total Population 48,920 420,681 413,706 396,815 1,280,122 -7.2% -7.6% 1.6% -17.1% -8.2%
26123 203610 171314 215856 616903 Total housing 26037 204222 183968 207536 621763 units -0.3% 0.3% 7.4% -3.9% 0.8%
1770 10905 7553 25218 45446 Vacant housing 3352 21711 11598 40046 76707 units 89.4% 99.1% 53.6% 58.8% 68.8%
14478 125152 128815 92535 360980 Owner occupied 12259 112549 133157 73911 331876 housing units -15.3% -10.1% 3.4% -20.1% -8.1%
9875 67553 34946 98103 210477 Renter occupied 10426 69962 39213 93579 213180 housing units 5.6% 3.6% 12.2% -4.6% 1.3%
52,717 52,717 52,717 52,717 52,717 Percent renter 48,920 48,920 48,920 48,920 48,920 occupied 13.3% 9.4% 6.6% 8.6% 6.2%
The multi-unit indicator was perhaps as being owned by a single Jane Smith. Co., Limited, Ltd, Assoc, Inc, Corp, Invest, the most straightforward. We used this Second, a single person using variations Prop, Management. We filtered for any indicator following the simple reasoning of their name would not get flagged in part of the field, so that, for example, the that the owner is unlikely to reside in all our data. For example, if “Joseph Smith” filter for “Prop” would identify owners units of a multi-unit residential build- owned one property as “Joseph Smith,” with the words “Property” or “Properties” ing, and that the remaining units are one as “Joe Smith”, and one as “J. Smith,” in their names. likely to be rented. The property input those properties would not be flagged as file contained both a land use code and a owned by the same person. Finally, if Joe number of units code. Used together, it and/or Jane Smith owned one residen- was possible to identify all 2, 3, and 4 unit tial property in Euclid and the rest of residential buildings in the study area. their residential properties outside of Cuyahoga County, the Euclid property We used property information for the would also not be flagged. This might entire county in creating the multi-own- be more of a concern for cities spatially er indicator. Properties were identified situated as Euclid is, at the border of its as a potential rental if an owner of a 1 to 4 county. Additionally, even if a person unit residential property in Euclid owned does own multiple residential properties, another residential property not just s/he might actually live in one of the in Euclid, but in the entire county. Our Euclid properties. thinking was that the owner of multiple residential properties was unlikely to be For our final indicator, business occupying all of them. This indicator was owner, we filtered the data to identify likely the coarsest of the three indicators owners with common business names we constructed. First, in a county of in an attempt to identify professional over 1.2 million people, there are likely landlords, and hence, non-owner occupi- homeowners of the same name. Our data ers. While one could certainly compile would flag, for example, all properties a longer list, we settled on filtering for owned by anyone named “Jane Smith” 12 search terms: LLC, L.L.C., Company, Community Development Society 19
Working in Excel
As we’ve said, we started with a county- Using this same filtering function, we multiple properties in different cities, wide parcel file, which can be obtained began our search for rental properties, but not Euclid. Brown owns one directly from the county, or from NEO first searching for multi-unit properties property in Euclid, and Davis owns CANDO, an online community data based on the LAND USE CODE field. We one property outside of Euclid. These system. Parcel files will typically have a filtered for land use codes of 4090, 5200, combinations are created simply to wide variety of fields, most of which are 5300, and 5500. Next, we created a new show how different types of owners-city not necessary for this exercise. To start, field called MULTIUNIT, and for parcels combinations are (or are not) selected. we reduced the overall volume of data with those land use codes assigned a value Our goal in this hypothetical example we were working with by keeping only of 1, indicating that those were multi-unit is to identify the Euclid properties of R. relevant fields having to do with owner- parcels. This is shown in SLIDE 5, where Smith and D. Johnson, owners of multi- ship, land use and number of housing you can see only multi-unit properties ple residential properties, at least one of units, deleting the rest. A screenshot of remain, and all of them have a “1” in the which is in Euclid. these data in Excel is shown in SLIDE new MULTIUNIT field. 1. Examining SLIDE 1 serves as a helpful We started by selecting the OWNER reminder that data are not perfect, as For the business owner indicator, we also column, and then from the Excel’s Condi- there are parcels with missing data. used the filter function, but based on a text tional Formatting drop-down, selecting filtering of the OWNER field. It is import- “Highlight Cell Rules,” and then “Dupli- Having eliminated unnecessary variables ant, however, to remove the MULTIUNIT cate Values…” This is shown in SLIDE 10. (columns) in our data, the next step was filter we just created, because we want to This will highlight the owners who own to eliminate unnecessary records (rows). identify business owners of all relevant multiple properties in the county (not We need only the parcels relevant to our properties, not just multiunit properties. highlighting Brown and Davis who each search for residential rental properties. This is accomplished by returning to the own a single property). Next, we turn For Euclid, that meant 1-4 unit residential dropdown menu of the LAND USE CODE again to the Filter option (under the DATA properties because larger properties are field, and selecting “Clear Filter From tab). After turning on the filter (look again covered by a separate ordinance, and are “LAND USE CODE”, as shown in SLIDE 6. for the drop-down menus in each field) less likely to be unregistered. In Cuyahoga Both single and multiunit records we have two filters to accomplish. First, County, these are covered by five land use should again be visible. filter on the OWNER field by clicking on codes: 5100 (single family residential), 5200 the drop-down menu in that field, and (two family residential), 5300 (three family After adding a BUSINESS OWNER field, selecting Filter By Color, and selecting residential), 5500 (1-6 unit apartment filtering is accomplished by clicking on the the appropriate color (it is pink in SLIDE buildings), and 4090 (residential OWNER dropdown menu, then selecting 11). Then, filter on the CITY filed, select- condominiums). We used the “units” field “Text Filters” and then “Contains…”. In the ing “Euclid” to identify just the parcels to select only those apartment buildings example shown in SLIDE 7, we filtered for in Euclid, and assign a “1” to the MULTI with 4 or less units. owners containing the terms L.L.C. or LLC. OWNER field. These are the properties After assigning a “1” to these properties in in Euclid, shown in SLIDE 12, owned by Our selections were accomplished using the BUSINESS OWNER field, the result is someone who also owns other residential Microsoft Excel’s filter function. Under shown in SLIDE 8. We repeated this step properties inside or outside of Euclid (but the DATA menu, clicking the FILTER for each of our search terms, being sure to within the county of which the parcel option adds a drop-down menu at the clear the filter between each search. records are based). Although these could top of each column (see SLIDE 2). Clicking Finally, we used Excel’s conditional have easily been identified manually in on the drop down menu for the column our simple example, the same is not true you wish to filter will list all of the values formatting and filtering to accomplish our multi-owner indicator. Because this for the full file containing hundreds of present in that field. For example, clicking thousands of individual parcel records. on the LAND USE CODE drop-down, process is a bit more complex, and because all land use codes will be shown, and the volume of data is much greater As a result of this process, for each by default, selected as shown in SLIDE (since we are searching county-wide, not residential parcel in the city, we know if 3). Checking only the land use codes of just city wide), it is demonstrated on a zero, one, two or three potential rental interest will remove the records without hypothetical set of data, shown in SLIDE indicators were met. As a final step, the those particular land use codes, as shown 9. This example is constructed to demon- City of Euclid shared with us their actual in SLIDE 4). We used this same procedure strate how multi-owners are identified. rental registration list. That afforded us based on the UNITS field to select apart- Note that Smith owns multiple properties, the luxury of comparing our list of poten- ment buildings with 4 or fewer units. both inside and outside of Euclid, while tial rentals with the list of properties that Johnson’s multiple properties are both in were actually registered as rentals with Euclid. Properties owned by Williams are the City of Euclid. all in Cleveland, while Jones owns Community Development Society 20
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Findings
Table 2 shows the frequency with which residential properties met the criteria of the three potential rental indicators. Table 2 Multi-owner was the most frequent, at Properties Identified as Potential rentals 1,499. This means that the owners of these properties also own residential proper- Potential Rental Indicator Parcels Identified ties elsewhere in Cuyahoga County. Our business owner list turned up 964 proper- Multi-Unit 604 ties. Finally, 604 properties met our Multi-Owner 1,499 multi-unit criteria for potential rentals. The total number of parcels identified is Business Owner 964 2,614 . Note that this is fewer than the sum Total Parcels Identified 2,614 of the individual indicators, since more than 400 parcels met the conditions of Note: The total is not the sum of the individual indicators because more than one indicator. many properties had more than one indicator. Perhaps more interesting than the overall numbers of Table 2 is how the properties on this potential rental list compare to the rental properties actually registered in substandard housing. There are neigh- Next, a staged approach might be best, with the City of Euclid. Figure 1 shows the bors to these 550 properties at risk of the where from the remaining properties, “capture rates” of each indicator, and of all spillover effects of unmaintained, blighted the city first identifies a distinct subset identified parcels. The capture rate is the properties. From a financial perspective, of properties, say multi-unit properties, percentage of potential rentals that are the city loses the rental registration fee of or properties that met more than one actually registered rentals with the city. For $200 per hidden property per year. If the indicator criteria. Then, they could contact example, our analysis identified 604 multi- number of unregistered rentals is 550, not property owners in a spatially sequenced unit properties, of which only 55% are on counting any of the nearly 900 identified and concentrated manner. This might the city’s rental registration list. At 41%, multi-owner properties, the city would be help coordinate the inspection process that proportionally fewer multi-owner proper- forgoing more than $100,000 annually. Of would likely result. ties are registered. On a percentage basis course, rental registration isn’t designed to be a cash-cow, but those additional resourc- The city needs to be prepared for the it would seem that the city has the hardest volume of resulting responses, and to offer time with rental registration compliance es would support staff hours necessary to carry out the required services. Moreover, a variety of responses. For example, if among these multi-owner properties. At properties are in foreclosure, for sale, or the other end of the spectrum, it seems that if cities are typically in the situation of having to do more with less, this would vacant, the city can introduce owners to the business community is well-aware of the appropriate city requirements. The city the requirement to register rental proper- be a situation where cities would do more (expand the rental program) with more should also have a process in place when ties, as 71% of business owner properties owners simply ignore the city’s notice. are registered with the city. (resources flowing from increased regis- tration fees) while providing additional Finally, some property owners will be able Of all the potential rentals identified, only benefit to the community. to demonstrate that they actually live in about half (49.6%) are registered with the the house, and it is not a rental. These city. Taking a conservative approach of Not all of the potential rentals identified inconvenienced residents will need to see assuming only the unregistered business here will actually be rentals. It would be the potential benefits of the city’s efforts to owner and multi-unit properties are unwise to contact all of 1,318 property identify unregistered rental properties. owners at once. First, the city should actually rentals (and ignoring for now Once the process is complete, the next the multi-owner indicator), the city is cross-reference the properties on the hidden rental list with those that are decision is when to repeat it. A commu- potentially missing 550 properties from its nity might choose to undertake this type rental registration list. already in its rental program (as above) or already “in the system” in some other of filtering annually or every 6 months. From a community development perspec- capacity. The property owner might Alternatively, parts of the process might be tive, there are roughly 800 rental units in have filed for a point of sale inspection monitored regularly. For example, it might these 550 structures that are not undergo- as part of the sale process, or might have be possible to monitor property transfer ing annual inspection. Potentially, there already registered as a vacant property, records on a regular basis, flagging multiple are households in these units that are living or as a foreclosure. owners or business owners. Coordina- tion with other housing programs might Community Development Society 34
Summary also provide regular updates to the rental The housing stock of a city is a critically to having a rental registration ordinance, registration list. Ideally, as the community important asset, inextricably linked to all of which are fortified by maximizing regularly and proactively enforces compli- community well-being. Cities often pass compliance. Renters will benefit from ance, the task will become less and less new ordinances, and new tools to protect the increased and sustained quality of difficult because property owners will learn residents and their housing assets when the units they occupy. Owner occupiers that non-compliance isn’t an option, or at the housing market changes. Moreover, will benefit from the increased quality least not an easy or long-term option. municipal resources are often in decline. and value of the residential structures This highlights the need for approaches in their neighborhoods. Investors/ landlords will benefit from a healthier that can maximize market that may well yield higher rents compliance and Capture Rate of Potential Rental and lower turnover. The city will reap Figure 1 community impact Indicators the many benefits that spill over from a while minimizing strong housing market. Multi-Unit 55% 45% Registered demands on city resources (or ideally, The process described intentionally uses Multi-Owner 41% 59% Not Registered while proportion- commonly available data and software to identify properties that are potentially Business Owner 71% 29% ally increasing revenue). not in compliance. While we attempted Total Parcels 49.6% 50.4% to highlight and demonstrate some of the Identified The process important steps in analysis, the internet is 0 500 1000 1500 2000 2500 outlined here might full of tutorials implementing these same “catch” the investor functions. Internet searches for “Excel looking to get around the requirement tutorial for beginners”, “Excel tutorial and send an important message to other filtering”, and “Excel tutorial conditional property investors: if you don’t come formatting” will reveal enough videos to us, we’ll come to you. In fact, Euclid master the analysis presented here, and recently amended its ordinance to turn the Excel novice into a well-seasoned include a stiffer penalty for not register- user. Also keep in mind the potential ing voluntarily. The penalty essentially for partnerships with local colleges and doubles the cost of registration. universities. This analysis was initially conducted (at no cost to the city!) as part of Alternatively, seasoned investors simply a student research paper. may not know the rules. One of the recommendations made to the City of Finally, while this article focused on the Euclid was to prominently feature the rental dynamics related to the housing responsibilities of being a landlord in crisis it is important to recognize the Euclid on the city website, including changing role of renting in today’s rental registration. The hidden rental housing market. The home-owner- property list might also find inexperi- ship rate (64% at the end of 2014) has enced landlords. In Euclid, these often been on a steady decline since 2004 include adult children renting the house (Callis and Kresin, 2015). Additionally, of a deceased parent, and former owner the home-ownership preferences of occupiers who choose to rent their previ- Millennials seem to be quite different ous residence rather than sell it. It is in than those of previous generations (The everyone’s best interest that the city reach Council of Economic Advisers, 2014). out to these inexperienced new landlords. These trends should have us viewing the Now the city offers a free “landlord orien- rental market not as the less fortunate tation training” several times a year. cousin of the owner occupied market, but as an opportunity to rethink and reposi- It is important to remember that the tion our neighborhoods and cities for the end goal isn’t to punish those that aren’t residential landscape of the future. registered, but to maximize compliance while being mindful of the resources used to do so. There are many benefits Community Development Society 35
References
Callis, R.R., and M. Kresin. 2015. The Council of Economic Advisers. 2014. Residential Vacancies and Home Owner- 15 Economic Facts about Millennials. ship in the Fourth Quarter 2014. U.S. Executive Office of the President of the Census Bureau News. U.S. Department United States. of Commerce. Washington D.C. U.S. Census Bureau; American Commu- Community Development Society. 2015. nity Survey, 2013. American Community Principles of Good Practice. www. Survey 5-Year Estimates, Table S2503; comm-dev.org/about-us/item/86- generated using American FactFind- principles-of-good-practice, accessed er;
Community-Responsive Behavioral Health Research: Translating Data for Public Consumption and Decision Making
Courtney A. Cuthbertson* Abstract Keywords Michigan State University The community behavioral health field Community behavioral health, focuses on multidimensional mental Community partnerships, Assa Dembélé health and substance abuse issues Data visualizations, Michigan State University that exist in a challenging contextual Data reporting, environment. To make appropriate Engaging stakeholders, John Leatherman intervention choices, decision-mak- Kansas State University ers must be informed about issues, the relative magnitude of the issues, and the Scott Loveridge key determinants that affect the issues. Michigan State University This article explains how a national project team worked with ten commu- nities to collect and analyze primary and Jessica Tess secondary data, and to create compel- Michigan State University ling presentations to deliver this data to community leaders. Dialogue with local Suzanne Lo community teams enabled the national Virginia Polytechnic Institute and project team to create and modify data State University visualizations that provide clear indica- tors and labels, as well as relevant data comparisons. Working iteratively with Bob Stephens local teams ensured that the informa- Garrett County Health Department, tion shared was clear and compelling for Garrett County, Maryland stakeholders so that they could use it to build a broad-based consensus around Jane Kolodinsky community behavioral health priorities. University of Vermont
Kelly Hamshaw University of Vermont
Holly Larson Lesko Virginia Polytechnic Institute and State University
Mary Beth Dunkenberger Virginia Polytechnic Institute and State University
Nancy White Virginia Polytechnic Institute and State University
Ann Sherrard University of Maryland
Christina Boyd Hope and Wellness Resources, Jetmore, Kansas
* This denotes corresponding author. Her email is: [email protected]. Community Development Society 37
Introduction
Government agencies spend millions of Community involvement is a component dollars annually compiling and publish- of research that creates meaningful ing health data to inform communities improvements to community health about their local situation and trends. problems (Ahmed & Palermo, 2010; Few, however, actually know how these Baker, Homan, & Kreuter, 1999; Dickert & data are used or whether they are used Sugarman, 2005; Spoth, 2007). Involving at all. This article describes the process community members in health research of partnering with ten pilot commu- has led to improvements in community nities involved in a national Substance wellness (Cook, 2008; Lindamer et al., Abuse and Mental Health Services 2009). Engaging community partners Administration (SAMHSA) and USDA as equal stakeholders in the research National Institute of Food and Agricul- process creates respect for the issues ture (USDA NIFA) sponsored project and values surrounding health within (2013-48765-21544). The goals of the each locale (Ahmed & Palermo, 2010), project were to identify which infor- because local partners have insights into mation and data sources local leaders the context of local health issues and actually use to determine local processes that conventional research behavioral health needs and priorities, approaches, including evidence-based and to enhance the use and utility of practices, may fail to capture adequately that data. Team members sought the (Kirmayer, 2012). Additionally, involving most compelling ways to use graphics community partners in the research and data visualizations to engage a broad process can ensure that the products cross-section of community leaders and outcomes of research will best fit in conversations about the important the needs of the community (Broussard, mental and behavioral health Radkins, & Compton, 2014; Khodyakov et problems in their locales. al., 2014; Lindamer et al., 2009; Scharff & Mathews, 2008). Research that is sensi- Often, data about mental health and tive to the local context is increasingly substance use is produced by organiza- common in health-oriented projects tions outside of communities that take (Dickert & Sugarman, 2005), and allows several years to collect, aggregate, clean, for place-based perspectives that identi- and finally release for general use. This fy community health needs and local creates a lag between data collection and assets to address them. publication. Moreover, these datasets are usually gathered at the national or Using a webinar format, the national state level and in yearly or multi-year team created a responsive research intervals. This limits their usefulness to project that tailored each community’s communities when leaders want to track data to their unique circumstances and trends and respond quickly, and when context, simultaneously uplifting the they want to assess the effectiveness of Community Development Society’s (CDS) their response (e.g., for program evalu- Principles of Good Practice as described ation). Data collected at the community herein. In this paper, we describe the level or by the communities themselves, overall project, data collected, data however, may suffer from a lack of presentation, and how the national team comparability across communities or worked with local CAPE teams to make nationally. When released, data are the data most useful in the community often in a format that does not capture priority setting and subsequent action the public’s imagination, yielding limited around behavioral health. response to issues that may be hindering the community’s development path. Community Development Society 38
The CAPE Project Data Assembly
Community Assessment and Education In each pilot community, local teams national datasets. The survey instru- to Promote Behavioral Health Planning worked with the national team to ment was reviewed by the national team, and Evaluation (CAPE) is a partnership construct, pilot-test, and administer a technical advisory committee, and local between SAMHSA, USDA NIFA, and the behavioral health priority survey via teams for face and content validity. The Regional Rural Development Centers online questionnaire. The purpose of overall response rate was 44.5% (N=1,034). (RRDC). The project’s aim was to gener- the survey was to determine community The survey questionnaire was distribut- ate a collection of benchmark data for behavioral health priorities and to find ed using Qualtrics, including automated community behavioral health, with out where community leaders look for reminders to those who did not complete special attention to how local leaders data to inform their decision-making. the online questionnaire when origi- obtain and use such data to establish Respondents included a broad cross-sec- nally requested. Given the population priorities in their communities. A team tion of community leaders including, but and demographic variability represent- from the North Central Regional Center not limited to, hospital administrators, ed across the pilot communities, each for Rural Development (later referred to substance abuse/mental health treat- community had a different sample size. as the “national team”) – including the ment professionals, elected officials, Table 1 identifies participating communi- project investigator, two postdoctoral law enforcement, parks and recreation ties and illustrates the response rates. fellows, and a social media specialist administrators, and senior services -- led the project. A technical adviso- administrators. Participant lists were In addition to primary data collec- ry committee was recruited to assist generated by local teams, who provid- tion, the national team assembled the national team. It included faculty ed contact information to the national secondary data related to county- and and extension specialists from eight project team. Local teams were encour- state-level behavioral health, which land-grant institutions. aged to solicit as many local leaders as included excessive alcohol consumption, possible to complete the survey, which alcohol-related automobile accidents A national request for proposals was resulted in a variety of respondents and deaths, tobacco use, depression, issued to recruit pilot communities. from each community. poor mental health days, teen pregnan- Local teams responded to this open cy, sexually transmitted diseases, and call for proposals to participate in the The survey included seventeen questions many other community behavioral project. All teams were required to that asked leaders to identify specific health conditions. Secondary data include members at land-grant univer- community behavioral health priorities, were included to compare how close- sity systems. Through the competitive data sources related to those priori- ly community leaders’ perceptions of application process, ten pilot commu- ties, and their familiarity with several behavioral health priorities from the nities (i.e., local teams) were selected by the national team. Communities were chosen based on the demonstrat- ed capacity of local teams to complete the project, as well as geographic and Table 1 CAPE survey response rates by county demographic heterogeneity. The pilot communities were located in ten states: Nevada, New Mexico, Nebraska, Missou- Community N Contacted N Responses RESPONSE RATE ri, Louisiana, Tennessee, Virginia, West Blount County, TN 103 67 65.05% Virginia, Maryland, and Vermont. Each local team was made up of one to four Chittenden County, VT 225 81 36.00% people who were well-positioned and Clark County, NV 333 148 44.44% experienced in reaching out to the broader community. Doña Ana County, NM 114 59 51.75% Finney County, KS 228 129 56.58%
Garrett County, MD 116 66 56.90%
Kanawha County, WV 126 56 44.44%
New River Valley, VA 445 195 43.82%
Orleans Parish, LA 470 160 34.04%
Pettis County, MO 175 77 44.00% Community Development Society 39
STATE-SPECIFIC
Table 2 • Kansas Department of Transportation • New Mexico Clearinghouse on Data Sources Sexual Abuse and Assault Services • Kansas Health Matters • Tennessee Department of Safety • Kansas Bureau of Investigation and Homeland Security Crash Data • Louisiana Coalition Against • Tennessee Department of Health NATIONAL Domestic Violence Report • Vermont Highway Safety Alliance • Maryland Department of Transporta- • Behavioral Risk Factor Surveil- tion Motor Vehicle Administration • Vermont Agency of Transportation Data lance System • Maryland Department of Health • County Health Rankings and Mental Hygiene • Vermont Department of Health • National Highway Traffic Safety • Missouri Student Survey • Healthy Vermonters 2020 Administration • Missouri State Highway Patrol • Vermont Center for Justice Research • Centers for Medicare & Medicaid • State of Missouri Department of • Virginia Department of Services Health and Senior Services Motor Vehicles • Web-Based Injury Statistics Query • Nevada Department of • Virginia Department of Health and Reporting System Transportation • Virginia Department of Criminal • CDC National Center for HIV/ • Nevada Department of Public Safety Justice Services AIDS, Viral Hepatitis, STD, and TB Prevention • University of New Mexico • Virginia Department of Social Geospatial and Population Studies Services • CDC WONDER Traffic Research Unit • West Virginia Department of • Kids Count • New Mexico Department of Health Health & Human Resources • American Foundation for • New Mexico Bureau of Vital • West Virginia State Police Suicide Prevention Records and Health Statistics Uniform Crime Reports
survey aligned with objective indicators data to enable the local pilot teams to about prevalence of behavioral health engage with the broader, non-academic conditions. The published data came audience of community leaders. from sources such as County Health Rankings, the Behavioral Risk Factor Surveillance System (BRFSS), Centers for Medicaid and Medicare Services, and state departments of highway safety 1. Table 2 displays the full list of second- ary data sources. Once the final list of data was determined, the national team created visual representations of these
1 Unfortunately, data varies substantially among states, so some states had much more data available at the county level. One indicator from the community survey, nonmedical use of prescription drugs, was very difficult to find, while other indicators, such as child abuse, were available at the county-level for some communities and only at the state-level for others. Even when data about a topic existed for some indicators, the specific metric varied at times, meaning that two communities may not be comparable. (Example: Child abuse may be rate of child abuse per 1,000 children, or it may be number of substantiated claims of child abuse.) More information about data indicators and sources can be found at the CAPE Project website (http://www. healthbench.info). Community Development Society 40
Data Presentation
Over the course of the project, the (Figure 3) were four-quadrant graphs national team created two-page with x- and y-axes that assembled all of snapshot reports as well as a fifty to the available behavioral health indica- sixty page extended profile for each tors in one graph, comparing county or community. The snapshot reports were community rates to the state average meant to be eye-catching so that they and across time. The position of each engage local stakeholders in conversa- indicator was based on the degree to tions about mental health and substance which the indicator was getting better use, whereas the extended profile or worse over time (x-axis) and the reports included more comprehensive degree to which the county or commu- information from the survey as well as nity indicator was doing better or worse secondary data. In total, the nation- than the state for the most recent year of al team created ten extended profile data. Indicators in each quadrant were reports with 308 visualizations of local color-coded to display overall perfor- health indicators from both primary and mance: county or community behavioral secondary data, not including earlier health indicators performing better than drafts or versions that were tested for the state and getting better over time community use/approval. were green; those performing worse than the state and getting worse over The visual representations of the second- time were red. Indicators getting better 2 ary data took three forms: Trend graphs, over time but still performing worse speedometer graphs, and scatterplots. than the state, or indicators getting The trend graphs (Figure 1) showed worse over time but better than the state the level of the indicator, such as a rate were both yellow. One example of each or number of cases, for each year that graph is included below. the data were available. Community, state and national (if available) trends were depicted as well as a linear trend for the community. The speedometer graphs (Figure 2) showed how the pilot communities were faring compared to other communities in their state for each individual behavioral issue. The speed- ometers were in a half-doughnut shape, divided into thirds. Each third, repre- senting the bottom, middle, and top third of rates of behavioral health indicators, was designated by a different color (red for worst third, yellow for middle third, or green for best third of counties in the state). A black needle was positioned to indicate the pilot community rate or level for the behavioral health issue in question compared to other counties or communities in the state for the most recent year available. The scatterplots
2 Visual representations were created for the secondary data to show the situation at a given point or change over time. Because the primary data were collected from only one point in time, similar visualizations were not possible. Primary data were summarized in tables and a narrative as part of the extended profile report. Community Development Society 41
Figure 1 Example trend graph using data from the Behavioral Risk Factor Surveillance System (based on 24 counties).
Figure 2 Example speedometer graph using data from the Behavioral Risk Factor Surveillance System (based on 24 counties). Community Development Society 42
Figure 3 Example final format scatterplot. Community Development Society 43
Figure 4 Initial version of scatterplot for Finney County, Kansas
Figure 5 Example bar graph using data from the Behavioral Risk Factor Surveillance System (based on 24 counties). Community Development Society 44
Dialogue with Local Pilot Teams Feedback and Action
The national CAPE team focused on Several themes arose in feedback that would be useful to also know what the making the data products useful to the the national team received. These national mean was for each indicator to individual communities by engaging in included the need for clarity, relative provide a larger context. For example, dialogue with each local team about their comparison, and ease of interpretation. Clark County, Nevada, is home to needs, wants, and preferences in present- Most communities emphasized the approximately 75% of the state’s popula- ing information to their communities. importance of clear labels and the need tion. The behavioral health trends in After creating the initial visual represen- for non-academic audiences to quickly the county drive the state statistics, so tations of data, the national CAPE team understand and interpret each image. comparisons to national statistics were conducted webinar meetings with each In response to suggestions offered by important. The national team collected of the pilot community teams to review the local pilot teams, the national team additional secondary data in this case to their community’s data. Engaging local created clearer descriptive labels for the compare Clark County to all counties in pilot teams with the national team about indicators. For instance, an indicator the United States with a population of the data representations adhered to the of percentage of Medicare recipients 900,000 or greater. Making this change first CDS Principle of Good Practice, diagnosed with depression had a short- is an example of how the national CAPE promoting active participation of all local ened label “Medicare Depression” which team adhered to the third CDS Princi- CAPE team members to create something was changed to “Depression: Medicare ple of Good Practice: incorporating the that would engage the broader commu- Recipients”; an indicator of poor mental interests of community members. nity and help to positively affect the lives health days in the past month was of community members impacted by changed from “Mental Health” to “Poor There was not a one-size-fits-all result behavioral health issues. Mental Health Days.” for the presentation of behavioral health information across the ten pilot commu- The meetings were scheduled to last for The first iteration of the scatterplot nities. For instance, most local teams one hour and took place using Adobe showed bubble indicators that were sized were interested in having data about ConnectTM, an accessible web-based based on the number of people impacted teen pregnancy. For some local teams, tool that allows participants to meet or experiencing the particular behavior- however, seeing teen pregnancy data across distances with decreased time and al health issue (Figure 4). The different parsed for different age groups such expense (Loveridge, Nawyn, & Szmecko, sized markers on the scatterplot had as under 15 years and 15 to 17 years was 2013). Using an online presentation the unintended effect of making the more informative. Several of the pilot system enabled the national and local image more challenging to interpret. communities were located in towns with teams to review the visual presentations Based on community feedback, all major universities, leading local teams together in real time and to assess the scatterplot indicators were edited to to ask whether it was possible to remove effectiveness of data visualizations. The be a uniform size. college students from data about heavy online webinar review format helped or binge drinking3. the national CAPE team meet the second Comparing the initial version (Figure 4) CDS Principle of Good Practice: engaging to the final versions (Figure 3), changes The national CAPE team made most community members in learning about made include standard indicator size, of the requested changes to the trend community issues and their impacts, short and easily understandable labels graphs, speedometer graphs, and scatter- because some of the pilot team members with lines connecting labels to indicators, plots, but in some cases was limited by were unaware of behavioral health clear axis labels, and a descriptive legend. the availability of data. For instance, the national CAPE team was unable to trends or had not previously seen data Another theme from feedback was the presented in such a fashion. locate county-level data on illegal drug need for data comparing the county or use and non-medical prescription drug community situation with some broader use (also referred to as prescription drug reference group. Originally, all local abuse or recreational prescription drug data was compared only to statewide use) for most of the pilot counties. Aside data. Some local CAPE teams felt it
3 The Behavioral Risk Factor Surveillance System (BRFSS) was our source for data about alcohol consumption. The BRFSS defines heavy drinking as regular daily consumption of more than two alcoholic beverages for men and more than one alcoholic bever- age for women, whereas binge drinking is defined as consuming more than five alcoholic beverages for men or more than four alcoholic beverages for women on a single occasion. It includes adults over 18 years of age and excludes people living in group housing, such as college dorms. Thus it could possibly include college students over 18 living off campus. Community Development Society 45
Response from Local Teams from data that were wholly unavailable, data and determine whether progress The feedback from local teams highlights some indicators had only limited data toward improvement is occurring. Excel a number of issues related to conduct- available. In these cases, the national was selected as the program to create ing research with communities and the team provided as much information as the trend graphs, speedometer graphs, effectiveness of data visualization. All possible to each pilot community. For and scatterplots because it is more easily of the local teams were enthusiastic example, bar graphs were included in accessible to non-academic audiences about sharing the secondary data and lieu of trend graphs when data for a than statistical data packages such as CAPE survey data with leaders as well behavioral health indicator was available Stata or SPSS. The instructional manual as broader audiences in their respec- for three or fewer years. An example is helped fulfill the fifth CDS Principle of tive communities. Some teams were shown in Figure 5. Good Practice, of being open to a variety concerned about the general state of data of action strategies to support long-term literacy among community members. After several rounds of dialogue sustainability, by showing local CAPE This was resolved when we talked with between the national and local CAPE teams how the data were assembled to local CAPE teams who were aware of data teams, the data were assembled into create the visualizations and encourag- literacy abilities within their commu- tailored PowerPoint presentations to ing them to create similar graphs in the nities, and made visualizations more enable each of the local CAPE teams to future. user-friendly. All of the local teams felt present locally-relevant data and infor- the trend graphs were easy for most mation to their community leaders and community leaders to understand, as stakeholders. Local teams were encour- this type of visual representation of aged to edit and revise the presentations data was commonly reported in the to make them more relevant to commu- media. The speedometer type graphs, nity members. Each local CAPE team although unfamiliar to some local teams, held a meeting with community leaders received positive responses and local and stakeholders between September teams felt they would be good tools to and October 2014. Encouraging the generate discussion among community local CAPE teams to hold community leaders. The scatterplots were perceived meetings to share data and informa- by several local teams as quite complex, tion, along with supporting local CAPE containing too much information to team members’ presentations, helped understand quickly, especially for the national CAPE team accomplish the non-academic community leaders and fourth CDS Principle of Good Practice: members who do not often deal with working actively to enhance the leader- data. To aid in quick comprehension of ship capacity of local CAPE teams as the scatterplots, additional labels were community leaders. added and enlarged to draw attention. The national CAPE team included the For example, a plus sign on the right side trend graphs, speedometer graphs, and of the scatterplot indicates that a trend scatter plots as part of a compilation was getting better and a minus sign on of data for each individual commu- the left side of the scatterplot indicates nity in the form of extended profiles, a trend was worsening. One local team which were 61 pages long on average. leader felt that if community members The national CAPE team also created a had to work too hard to understand the manual with instructions on how to use image, they would quickly abandon the Excel to create the behavioral health effort. The team responded by moving graphics. Both the extended profiles and the scatterplot from the beginning of the manual are available on the project the presentation (a preview of data) to website (www.healthbench.info). When the end (summary). Local team feedback new data become available, the local indicated that moving the scatterplot to teams will be able to replicate the graphs the end meant the audience had already to provide a consistent trend series of had a chance to understand the many data sources within the chart, making it easier to understand this graph. Community Development Society 46
Example Community Impacts
In a few cases, local teams asked for The national CAPE team informal- Similarly, the local CAPE team in Finney secondary data to be compared on a ly followed up with each of the local County, Kansas, used the data products different scale (geographically small- teams after the project had concluded to to enhance public awareness about er or larger), or to split the indicator examine the impact of the project. All of behavioral health issues in their commu- based on a characteristic such as age or the local teams held meetings with inter- nity. The CAPE project, community, college student status. Limitations of ested individuals and groups from the survey, and data findings appeared in the secondary data source meant that community to present findings and gener- multiple local and regional news outlets. such changes were not always feasible. ate discussions of next steps. A sampling of The data stimulated discussions among Data from secondary sources is limited those findings is presented here. local service agencies about behavior- in scale to community-relevant geogra- al health issues, built cohesion among phy such as counties. Secondary data The CAPE Project had a positive impact community health coalition partners, from multiple sources may not contain on the local community in the New River and mobilized the community to articu- comparably measured and framed Valley, Virginia, by allowing key commu- late broad community behavioral health indicators to allow for analyses across nity leaders to come together outside of priorities. The data visualizations were communities and between the communi- their specific areas of work to discuss useful in starting conversations among ty and the nation. For instance, for most behavioral health issues broadly impact- community leaders and will be used by users, data from the BRFSS is suppressed ing the region. The data visualizations social service agencies to bolster funding for counties with a population under shared in presentations, reports, and applications that deal with behavioral 1,000 people or where there are too brief publications, captured the atten- health issues in the county. few cases. As another example, child tion of community leaders and guided abuse and neglect data is often collected robust discussions. The project’s local In Garrett County, Maryland, the local by state agencies, but it is reported in team leaders shared the data visualizations team used the CAPE findings to connect different units, e.g. per thousand versus with their networks and engaged conver- with local news media, to generate percent of total reports 4. sations with stakeholders at the local and conversation in the community, and state level, commenting that it was useful to place behavioral health concerns on to see the data in new ways. Using CAPE the broader community agenda. The data and reports, the local team submitted local team appreciated the opportuni- a new funding application for state-sup- ty to provide input about which chart ported mental health services. formats were most effective. Through the feedback process, the final versions Community leaders in Chittenden of the data visualizations were compre- County, Vermont, worked together with hensive, easy to read, and helped provide the national CAPE team to make the final a clear description of the behavioral data visualizations most appropriate health issues in the community. to the context. The model of national coordination with local on-the-ground researchers and practitioners helped the data visualizations fit the behavioral health situation in the county. Leaders in Chittenden County felt the speedom- eter graphs that compared the county to the data of other counties in the state effectively conveyed data to those interested in behavioral health. The findings of the CAPE Project are helping local community members work on behavioral health through collaborative projects with local organizations such as the United Way and outreach to local government officials.
4 See footnote 2. Community Development Society 47
Limitations Conclusion
One limitation of this initiative was that Overall, local CAPE teams wanted While the data collected and analyzed secondary data were not available for methodologically sound, clear and for CAPE were specific to community all of the behavioral health indicators detailed data about community behav- behavioral health issues, other commu- included in the survey of community ioral health indicators to share with nity development practitioners could leaders, so cross-community comparisons local leaders and community members. easily make use of the same strategies of perceptions of priorities and preva- Through the process of presenting for creating data visualizations for any lence or incidence data were not possible. data to and engaging in a dialogue number of community attributes such Additionally, the secondary data were with community teams, the national as number of owner occupied housing lagged by at least two years, meaning it CAPE team was able to create respon- units, unemployment, use of social is possible that the community leaders’ sive data presentations that reflected assistance programs, or number of perceptions of behavioral health priorities local concerns while meeting all five locally-owned businesses. As a one-time were based on more recent developments CDS Principles of Good Practice5. To online survey, this strategy could be within the community that had not yet promote active participation for commu- easily replicated in other communities been captured through formal survey nity leaders and members to influence that are willing to recruit partici- mechanisms such as the BRFSS. decisions about behavioral health in pants, distribute the survey, monitor their communities, the national team its completion, and analyze the data. As previously mentioned, the format of held webinars and attended in-person Results can be analyzed in easily acces- the data meant it was not always possible meetings to disseminate data and create sible Microsoft Excel software. That the to subdivide the secondary data into dialogues around behavioral health. This survey was administered online provides categories that would be most meaning- process engaged community members in additional confidentiality for partici- ful to the local teams. For instance, understanding what behavioral health pants. It is important that, regardless the Finney County, Kansas team was issues were in their communities, and of data sources used, presentations and aware of the community’s concern how perceptions compared to statistical reports are tailored to speak to commu- about teen pregnancy. They requested evidence of behavioral health problems nity concerns and to the nuances of that the national team divide the teen in their respective locales. Through local context so the data can best serve pregnancy indicator by age groups, but an iterative process in the creation of community needs moving forward. the national team was limited to the the visualizations, the national team age groups provided in the secondary incorporated the diverse perspectives These findings may change the way data data as the teen pregnancy rate was not of community leaders and members. is used nationally if the field chooses to available for each year of age. For other Preparing the visualizations for commu- make data more useful to local groups communities, such as New River Valley, nity presentations in editable format working toward change in behavioral the national team was not able to parse allowed community leaders to enhance health or other issues. Although this out college-aged or college-attending their leadership capacity and share the phase of the CAPE Project will not be students from samples of binge and visualizations in a relevant way. The duplicated, a new effort is underway to heavy alcohol consumption. national team remained open to using overcome the issue of lagging data. The a variety of visualization techniques new effort is currently testing a commu- throughout the process to best serve nity early-warning monitoring system each community. Drawing from the that draws in data that is updated on CDS Principles of Good Practice helped a biweekly or monthly basis to create the project be attentive to the diverse analytic reports and signal increases in interests of community members and to mental health and substance use indica- engage community leaders in multiple tors so that public health officials and steps of the data gathering, visualization, other concerned community members and reporting process. may take action.
5 The CAPE project web site (http://www.healthbench.info) includes the “how-to” manual on obtaining data and making the visual representations found in this article, as well as reports for each participating community. Community Development Society 48
References
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Community Coaching: Insight into an Emerging Practice
Daniel Kahl, Ph.D.* Abstract Keywords University of Kentucky Often, community groups or coali- Community, tions intending community change call Coaching, Mary Emery, Ph.D. upon community development profes- Change, University of South Dakota sionals to provide support outside of Development information, technical assistance, or Patricia Holmes, M.S. consultation. Some community devel- The Ohio State University opment practitioners describe this supportive role as community coaching. In 2014, 26 community development professionals from across the United States gathered to explore assumptions, experiences, and processes related to community coaching in a pre-con- ference gathering of the Community Development Society annual conference. This report summarizes the details and insights from that gathering to help us further understand the important practice of community coaching.
* This denotes corresponding author. His email is: [email protected]. Community Development Society 50
Background Discussion Format
The art of convening citizens to address coaching work specifically focuses on The event was called a Community local concerns is a hallmark of commu- the effective function of the coalition Coaching Chautauqua. The Chautauqua nity development work. Community (Brown, Pitt, & Hirota, 1999). Emery, was designed to be highly participatory groups or coalitions are often formed to Hubbell and Salant (2005) describe through posed questions and organized address concerns related to community a community coach as, “a guide who discussions to explore community health, economics, violence prevention, supports communities and organiza- coaching practice. Questions explored or other issues. Identifying and imple- tions in identifying and achieving their the context in which coaching has been menting the best approaches to help goals” (p. 1). The coach is not the leader used and the community development citizens organize to solve their own of project work, but acts in a supporting philosophies that underlie the practice. problems has long been the dilemma of role to assist the coalition. For example, The discussion explored what coaches community development practice and the coach may assist the coalition do, how they do it, and what tools coach- professionals (Bowling & Braham, 2002; with self-assessment and follow-up to es found useful in their coaching work. Cohen, Higgins, Sanyal & Harris, 2008). support effective group interaction and To investigate current practices and function, assuming that a well-func- assumptions about community coaching, Community development professionals tioning coalition will be more likely the conveners of the Chautauqua used may be called upon to assist a coalition to achieve their intended outcomes. several processes to spark conversation at specific points of the development In addition, the coach encourages the and elicit feedback. Questions were process, such as when groups need coalition to consider the best practices developed by the workshop facilitators facilitated planning or assistance with for engaging the broader community in in advance to initiate discussion. Patricia addressing group conflict. Sometimes, their project efforts (Emery et al. 2005). Holmes, Family and Consumer Sciences professionals are asked to provide Coaching the coalition for improved County Educator and Extension Coach leadership to assist the group in their community engagement processes is at The Ohio State University served as completion of a project. Increasingly, also believed to enhance success with the facilitator. Because of the wide range however, community development their intended community change goals. of community coaching approaches, the professionals find themselves called Practitioners have thus adopted the term facilitator began the investigation into to these groups to do more than just community coaching. coaching by focusing on the differences provide information, advice, or specif- in coaching approaches. The facilita- ic facilitated services. Over the past In a preconference gathering at the tor asked the participants questions several decades, the practice of effec- 2014 Annual Meeting of the Commu- related to key concepts of community tive community development has nity Development Society in Dubuque, coaching. Participants were asked to evolved from the community devel- Iowa, 26 community coaches from across move to locations in the room that best opment practitioner as expert armed the United States gathered to further described their coaching along a line with technical solutions to a more explore community coaching practice that represented a continuum of possible supporting or guiding role, which and assumptions. The meeting format responses. Respondents then participat- allows the community members to provided a means for participants to ed in small group discussions to describe be their own experts (Matarrita-Cas- share how this practice is being used the coaching context that influenced cante, & Brennan, 2012). Fittingly, the in different settings and to share best their approach, followed by a report art and craft of community coaching practices and insights into successful out to the full group. Comments were has emerged as framework to support community coaching. This paper offers captured from these conversations on community members through change a summary of that meeting and insights flip charts. At the end of the workshop, efforts. In this new model, the practi- into coaching as an emerging practice participants were asked to respond to tioner-as-coach engages the community and focus for community development these same questions on paper to ensure group in discussions that allow the professionals working with coalitions that all perspectives were captured. This group to find solutions that work best that intend to create community change. report thus represents the summary of for their community. the written and recorded responses from Coaching can support improvements in the participating practitioners. functionality among group members, so that they may work more effectively with each other, and coaching can help the group engage meaningfully with their broader community. Frequently, Community Development Society 51
Insights on an emerging practice: The spectrum of Community Coaching.
The context of coaching The role of the coach fit cleanly into any one of these catego- ries. While providing information and The workshop opened with questions Chautauqua participants were invited to facilitating processes is a component of to assess the level of participant experi- place themselves on a continuum (Figure their work, the overall consensus was ence with coaching and the contexts in 1) to represent how they would describe that the coaching relationship was more which community coaching has been the focus of their coaching work. complex than these categories suggest- applied. Participants represented a range ed. When asked to describe their work, of community coaching experience, coaches specifically described their roles from individuals with less than one year Figure 1. as mentor, connecter, assessor, devil’s to those with more than ten years of Illustration of continuum advocate, teacher, reflection guide, experience. About half of the group was of coaching interaction convener, evaluator, and supervisor. relatively new to coaching with only one Coaching Directed to Other descriptive terms used to describe to three years of coaching experience. the role of coaching included truth-tell- Only three of the participants held more Personal Performance er, silence-holder, and dream-helper. than ten years of experience. Partici- pants represented coaching projects from Group Function When asked about assumptions that eleven states and twelve tribal communi- guide their coaching, the distinction ties in the United States. Organizational Efficiency from consulting became clearer. Many participants indicated that “the commu- The facilitator asked about the primary Community Involvement nity knows best” and “the community impact intended from the coalitions they members should be the decision making were coaching. Participants highlight- authority”. All agreed that the coaching ed a range of focus areas: community The resulting clustering of participants relationship is based on mutual respect health, rural development, water quality, reflected their primary focus: organi- between the coach and community organization coaching, tourism, refugee zational efficiency (five participants), members. While the coach may be the resettlement, community arts, nonprofits personal performance (individual) “guide on the side,” the communi- and neighborhood groups, and regional coaching (six participants), coaching for ty members possess the answers and economic development. community involvement (seven partici- ultimately must lead the change. pants), and coaching for improved group Most participating coaches were connect- function (nine participants). More than Participants were asked to describe ed with higher education and particularly half of the respondents indicated that the level of structure in their coaching Cooperative Extension community they worked with small groups, but practice. Choosing how to best describe development programs. Some private their coaching included a combination their work between “fluid” approaches vs. community consultants were also of coaching interactions ranging from more “scripted” processes, it became clear represented. In most cases, coaching individual and group, to group and that there are a variety of approaches to was a component of a grant or research community. While the coaching interac- coaching. Most identified their coaching project. A few participants said they were tion was taking place at different levels, as a fluid approach, describing coaching involved in projects organized by local the ultimate outcome of the coaching as being responsive to questions that government or non-profit organizations. was community-oriented change in all arise and to the will of the group. Almost of the above circumstances. an equal number, however, indicated Coaches were asked how they connected that their coaching tended to include with community groups to establish the To explore the role of coaching more some form of structured format, often coaching relationship. The majority of thoroughly, participants were asked through facilitation of reflection or the coaching relationships represented how they describe their work. None of planning activities. A few indicated in this workshop were initiated when the coaches described themselves as that they have a formalized or scripted university representatives asked commu- a leader. Most participants identified approach to interaction, but noted that nities to participate in research projects. their role as one of a process facilitator. the coached group often “breaks the Five workshop participants indicated that Participants were asked if they saw their script”. One participant commented, “I the communities contacted the coach- coaching as consulting work, facilita- think it must be fluid, but not without ing service provider with a request for tion work, or if they would describe order. It seems to me that building assistance. Funding sources for the coach- it as “something else”. Most partici- relationships and trust: helping the group ing services included grants, university pants noted this was difficult to answer function effectively, and identifying the support of staff, and direct payment to because all of those descriptions were existing community situation and assets the coach by the community. accurate; their coaching did not really must come early in the coaching process.” Community Development Society 52
Processes used by coaches (focus groups, etc.) to identify coach- Some coaching situations include ing needs. Others indicated that they working with a collection of partnering The coaches were then asked what struc- collect written reflection from coalition community organizations. For organiza- tured processes or models they use in members. Some coaches noted they use tional level outcomes, coaches identified their coaching practice. Coaches indicat- written feedback and/or structured change indicators including the number ed a variety of techniques, philosophies assessment tools. of partner organizations, adopting and activities they integrate. The list of established organization plans with processes included: Evaluation of coaching success SMART goals, an overall improvement in understanding of the “bigger picture • Appreciative Inquiry The final set of questions posed by the Chautauqua facilitator focused on how of the organization”, project achieve- • Community Capitals Framework coaches measure their success. Questions ment as an indicator of an outcome, focused on four levels of impact; and increase in community recognition • Asset mapping individual, group, organization, and for the organization. Participants also • Clinical pastoral education: “The community (See Table 1). assessed changes in overall functioning, Reflective Practitioner” timeliness, and sustainability. Not every coach measured individual • Communication and small group models change. The participating coaches that When asked how coaches were measur- did measure individual change indicated ing community-level change affiliated • Field guide (6 R’s model) that they assessed changes in attitude, with coaching, we discovered a variety of indicators being tracked. Indicators • Solution focused increased awareness or understand- ing, change in levels of participation, were mentioned specific to the goals • Technology of participation and new leadership roles accepted. of the convening group. These includ- Others noted that recording the “Ah ed indicators such as changes in water • Art of hosting – ha!” moments served as an indica- quality, the presence of healthy foods in food pantries, or specific health indica- • Circle process tor of coaching success. Some coaches noted that changes in coalition member tors. However, positive outcomes also • University of Minnesota Civic behavior were documented through included changes in engagement – who Engagement Model (to embed civic collected incident reports, and others was doing the work, how the work engagement in public issues) noted change was evident through the was being done, and the impact of the creation of plans and/or changes in plans work itself. Coaches measured chang- • Strategic planning of coalition members due to the es in participation or engagement of community members, partner organi- • Dot voting, priority ranking interaction with the coach. zations, and collaboration with other • Small group The most common way that coach- towns or organizations (regional work). es measured impact was through They tracked how the community was • Incorporating breaks capturing changes in group behavior. acting differently through changes in Coaches tracked changes in the coali- • Strategic Doing levels of community cooperation, newly tion structure, including tracking for shared community outcomes, changes • Social Change Model greater parity and representation in in self-determination, and changes in the coalition of the local communi- the community’s ability to move projects • Improvisational processes ty demographics as well as tracking forward. Other indicators included new • Reflective questioning (and a form changes in levels of participation in the initiatives undertaken, involvement similar to the “alternatives and conse- group. Coaches reported watching for in strategic planning (shared plans quences” model of situation analysis changes in group function, including adopted), and the number of completed and action planning) increases in shared responsibility for community projects. projects and work, times people come • Community organizing back to the group for assistance, changes in the speed at which work gets done, Participants were asked how they assess and shared decision making. They also the needs of the groups they work with. mentioned reduced conflict and increased Many described their primary methods cooperation. Participants also suggested as listening and observing. However, that the group could assess the shared sense several coaches mentioned that they of cohesion, trust, and improvements in also use organized listening sessions communication as measures of success. Community Development Society 53
Table 1 Methods of Tracking Change Suggested by Coaches
Individual/Personal Group Function Organization Community
Increased awareness or Number of partner Who plans and does Parity/membership changes understanding organizations the work
Increase in group action/ Adopting specific Increase in participation Overall participation participation (SMART) goals
Increase in Improved understanding Levels of involvement New leadership roles responsibility to group of the organization (increase per participant)
Increase in rate work is Organizational participation/ New learning “Ah-Ha!” Project achievement accomplished involvement
Less conflict/incidents in Reduced conflict/increased Increased community Levels of internal group function cooperation recognition community collaboration
Improved confidence in Trust and group cohesion Timeliness of work completion Collaboration with other towns role with initiative
Sustainability of commitment Improved communication Adopted shared goals to effort
Improvements in overall Increase in speed/ability to Plans created and accepted functioning move projects forward
New initiatives/projects Projects accomplished completed Community Development Society 54
Conclusions
The Community Coaching Chautau- Methods of assessing impact of coaching qua was a forum to explore how can include tracking change in individu- practitioners support and encourage als, tracking changes in the group being community change efforts through coached, tracking changes in organiza- coaching. Listening to coaches revealed tional structure and process, and tracking a diversity of focus, expectations, and community-level changes. The develop- strategies used to coach groups toward ment and application of tools and processes distinct goals. While the situation and to measure and document coaching related community goals influenced the strat- changes is an important contribution to the egies utilized, the participants in this field of community development. forum asserted that coaching was an approach to community development As community development profession- that enhanced the collective work of als place less emphasis on consulting community members organized for and more emphasis on helping to build purposeful change. agency and capacity of community members, community coaching skills The coaches’ explanation of their philos- will increase in use. The approach of ophies and approaches to community community coaching will continue coaching expressed in this forum mirror to gain clarity and definition as more and support the Community Develop- community coaches share methods, ment Society Principles of Good Practice ideas, and effective strategies as they . Participants agreed that their coaching have done through this Chautauqua. was rooted in deep respect for commu- nity members, and that the control of the community change process lies with the coalition. Participating community members, not the coach, must provide the leadership to drive the change. Coaches also recognized that effective coaching encourages inclusivity and seeks full participation of community members. How coaching took place varied by context and location, however, there was agreement that sustain- able community change efforts must consider the implications of the change. The community coaches’ role includes helping the coalition to reflect on these considerations in light of who benefits, and who carries the burden of the economic, social, environmental, human and/or political aspects related to the intended change. The processes coaches used to support the work of coalitions varied widely, as did the formality of coaching structure. This reflects the importance of being open to using a range of action strate- gies, tools and methods appropriate for the community situation. Community Development Society 55
References
Bowling, C. J., & Brahm, B. A. (2002). Shaping communities through exten- sion programs. Journal of Extension, 40(3). Online at: http://www.joe.org/ joe/2002june/a2.php/index.php. Brown, P., Pitt, J., & Hirota, J. M. (1999). New approaches to technical assistance: The role of the coach. Chapin Hall Center for Children at the University of Chica- go. Cohen, K., Higgins, L., Sanyal, N., & Harris, C. (2008). Community coach- ing: Answering the call for innovative approaches to community-based development initiatives. Community Development, 39(4), 71-82. Emery, M., Hubbell, K., & Salant, P. (2005). Coaching for community and organizational change. Online at: http://www.kenhubbell.com/pdfs/ coaching_for_community_and_organi- zational_change.pdf. Retrieved May, 10, 2007. Matarrita-Cascante, D., & Brennan, M. A. (2012). Conceptualizing community development in the twenty-first century. Community Development, 43(3), 293-305. Community Development Society 56
Call for Papers
Community Development Practice Community Development Society’s Tips for Writing Community an on-line peer-reviewed publication of Principles of Good Practice Development Practice articles: the Community Development Society (CDS) As a part of the CDS beliefs, the organi- Consider your reader. zation follows the core Principles of Good Practice. Submissions should describe a tool, The purpose of Community Devel- resource or practice that would be useful • Promote active and representative opment Practice is to describe and to community development practi- participation toward enabling all promote appropriate and useful tools, tioners or anyone interested in the field community members to meaningful- resources, and practice(s) for all aspects of community development. ly influence the decisions that affect of community development. Readers their lives. Organize the content. of Community Development Practice papers should be able to take lessons • Engage community members in Submissions should include an introduc- from, adapt, and/or use the tools, learning about and understanding tion describing why the tool, resource resources, or practice(s) described. community issues, and the econom- or practice is important, a description All presented tools, resources, and ic, social, environmental, political, of that tool, resource or practice, and an practice(s) must be grounded in commu- psychological, and other impacts explanation of its use and limitations. A nity development (or other related associated with alternative courses of suggested format is: fields’) theories, frameworks, and/ action. Background information. The or methods that have a demonstrated • problems, issues and situation that record of positive impact in/for • Incorporate the diverse interests and preceded your community develop- communities. We especially cultures of the community in the ment practice to be presented. welcome submissions focusing on community development process; and disengage from support of any effort innovations in practice. • Why the program or practice was that is likely to adversely affect the chosen. Community Development Practice disadvantaged members of a commu- focuses much more on the “how” of nity. • How the program or practice was strategy and implementation, including implemented, and how did it meet the Work actively to enhance the key ingredients for success and possible • CDS Principles of Good Practice. (This leadership capacity of community pitfalls to avoid. Community Develop- should be the bulk of the discussion.) ment Practice submissions should be members, leaders, and groups within aligned with the Community Devel- the community. • What outputs were generated, what were the known outcomes, what opment Society’s Principles of Good Be open to using the full range of • major obstacles were overcome/ Practice (provided) and should clearly action strategies to work toward the avoided (how?), what was learned? document methodology, data-driven long-term sustainability and well results, success stories, resources and/ being of the community. • How might you change the practice in or lessons learned. While the journal is the future? much more practice-oriented, citations of research and resources are expected • Conclusions and applications. Tell in every manuscript. Successful readers how to apply your work in submissions and published manuscripts their communities or how to adapt should also reference the Principles your work. Also, communicated of Good Practice. what future work is needed to better understand community development practice. Community Development Society 57
Length How to submit or for more information: Optimal length is generally 3,500 words for an article. Since it is published The editor in chief of Community Devel- electronically, the number of words opment Practice is Craig Talmage. For is flexible, but should be sufficient to more information, or to submit material, present solid coverage of the issue. contact him at: Writing style should hold the reader’s attention. Photos, graphics, and illustra- Craig Talmage tions are encouraged when they support Visiting Assistant Professor of Entrepre- understanding of the content provided. neurial Studies Hobart and William Smith Colleges Process: Editor in Chief, Community Develop- The papers will be blind reviewed by ment Practice two to three community development practitioners who have volunteered [email protected] to review and who have expertise that Office: 315-781-4597 relates to the subject matter presented in the paper. The goal will be to have the The managing editor of Community decision on the submission within two Development Practice is Joyce Hoelting. months of receipt. For more information, contact her at: Joyce Hoelting Assistant Director University of Minnesota Extension Center for Community Vitality Managing Editor, Community Develop- ment Practice [email protected] Office: 612-625-8233 (Special Note: Michael Dougherty of West Virginia University, former editor of Community Development Practice, remains with the online journal as an advisor and reviewer.) Community Development Society 58
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