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Conceptualising social capital : case studies of social capital inputs into housing Chan, Helen G. 2003

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C O N C E P T U A L I S I N G S O C I A L C A P I T A L : C A S E STUDIES OF S O C I A L C A P I T A L INPUTS INTO H O U S I N G by H E L E N G. C H A N B.A. , The University of British Columbia, 1990 B.Ed., The University of British Columbia, 1992 A THESIS SUBMITTED LN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF M A S T E R OF ARTS in THE F A C U L T Y OF G R A D U A T E STUDIES School of Community and Regional Planning We accept this thesis as conforming to the required standard THE UNIVERSITY OF BRITISH C O L U M B I A November 2003 V © Helen G. Chan, 2003 In p r e s e n t i n g t h i s t h e s i s i n p a r t i a l f u l f i l m e n t of the requirements f o r an advanced degree at the U n i v e r s i t y of B r i t i s h Columbia, I agree that the L i b r a r y s h a l l make i t f r e e l y a v a i l a b l e f o r reference and study. I f u r t h e r agree that permission f o r extensive copying of t h i s t h e s i s f o r s c h o l a r l y purposes may be granted by the head of my department or by h i s or her r e p r e s e n t a t i v e s . I t i s understood that copying or p u b l i c a t i o n of t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l not be allowed without my w r i t t e n permission. School of Community and Regional Planning The U n i v e r s i t y of B r i t i s h Columbia Vancouver, Canada ii A B S T R A C T Social capital refers to material and symbolic resources that are accessed through social relationships and used for purposive actions. Conceptualising social capital as having four archetypal forms provides planners with an analytic and heuristic tool for considering the different resources that community and government actors bring to various projects and social endeavours. These forms of social capital are called bonding social capital (based on intra-community relationships), bridging social capital (based on extra-community relationships), institutional social capital (based on relationships established by the formal and informal institutions of society) and synergistic social capital (based on relationships between state and civil society actors). This quadripartite model of social capital was found to be useful in analysing the different socially embedded resources which were applied to housing initiatives for two distinct communities of people in Vancouver, British Columbia, Canada. One case looked at a seniors care home established for elderly Chinese people by a community-based organisation (CBO) known as the United Chinese Community Enrichment Services Society (S.U.C.C.E.S.S.). The second case examined community housing for adults with developmental disabilities that was supported directly by family members and a CBO called Mainstream Association for Proactive Community Living (MAPCL) and indirectly by an informal group known as the Parents Support Group for Families of Mentally Handicapped Adults. In both cases, the housing initiative relied on resources that were accessed through the intra-community ties of people united by a common ethnicity or interest in supporting adults with developmental disabilities. Necessary inputs for developing and sustaining the housing initiatives were also found in extra-community ties with the wider community and internationally-based professional associations; relationships with government actors at the municipal, provincial and federal levels; and predictable societal relationships established by legislation and norms of behaviour. A four-part model of social capital additionally serves as a planning tool to identify a broader range of resources and possibilities for policy intervention and to remind planners they work with multiple publics, must adopt a critical approach to community involvement and coproduction and should encourage governments to be active in shaping the institutional environment and engaging with individuals and community groups. T A B L E O F C O N T E N T S Abstract ii Table of Contents iii List of Figures vi Acknowledgements vii 1 Social Capital in Housing and Planning 1 1.1 Problem Definition: A Policy Context of Enablement and Partnership 1 1.2 Research Questions 3 1.3 Conceptual Approach to the Research 4 1.3.1 Social Capital as a Factor of Production 4 1.3.2 Inclusion of Institutions and Government 5 1.3.3 Housing as a Bundle of Attributes 6 1.4 Organisation of the Paper 6 2 Social Capital in Contemporary Housing and Urban Development Literature 8 2.1 Introduction to the Theory of Social Capital 8 2.1.1 Early References to Social Capital 8 2.1.2 Social Capital in the Sociology of Education 9 2.1.3 Social Capital in Political Science 12 2.2 Social Capital in Housing and Urban Development Literature 14 2.2.1 Significance of Social Capital for Urban Policy 15 • Establishing Causality (Agency, Ecological Fallacy and Research) 18 • Social Capital as a Context Specific Resource 20 • Social Capital as Policy Language 23 2.2.2 Relationship Between Social Capital and the Neighbourhood 25 • Effect of Social Capital on the Neighbourhood 25 • Effect of the Neighbourhood on Social Capital 29 2.2.3 Relationship Between Social Capital and Homeownership 31 • Policy Implications of Homeownership: The Organic Quality of Social Capital 33 2.3 Implications of the Literature for a Model of Social Capital 35 3 Conceptual Framework and Analytic Model 37 3.1 The Resource Aspect of Social Capital 38 3.1.1 Material and Symbolic Good 38 3.1.2 Individual and Collective Resource 38 3.1.3 Assets Approach to Production 39 3.2 Opportunity Structures for Social Capital 39 3.2.1 Embedded and Autonomous Dimensions 41 3.2.2 Micro and Macro Dimensions 43 3.3 Mobilisation of Social Capital 44 3.3.1 Expressive and Instrumental Actions 45 3.4 Multidimensional Analytic Model of Social Capital 46 3.4.1 Bonding Social Capital 48 3.4.2 Bridging Social Capital 50 iv 3.4.3 Institutional Social Capital 52 3.4.4 Synergistic Social Capital 55 3.5 Testing the Model of Social Capital 56 3.6 Research Methodology 57 3.6.1 Introduction to the Case Studies 57 3.6.2 Approaches to Measuring Social Capital 58 3.6.3 Methods of Data Collection 59 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors 63 4.1 Background 63 4.1.1 Ethnocultural Diversity and the Link Between Housing and Health 63 4.1.2 Cultural Competence in the Seniors Care Home and Adult Day Centre 67 4.1.3 Social Capital and the S.U.C.C.E.S.S. Care Home and Day Centre Project 71 4.2 Bonding Social Capital 71 4.2.1 S.U.C.C.E.S.S. as an Indicator of Social Capital in the Chinese Community 71 • Opportunity Structures and Access to Community Resources 72 • Individual Incentives for Maintaining Opportunity Structures 73 4.2.2 Changing Forms of Bonding Social Capital in the Chinese Community 74 • Example of Clan and District Associations in Vancouver 74 • Impact of Internal and External Forces on Forms of Bonding Social Capital 76 4.2.3 Reputation as a Symbolic Resource for Social Service Agencies 77 4.3 Bridging Social Capital 79 4.3.1 Replacing Bonding Social Capital with Bridging Social Capital 79 4.3.2 Accessing Bridging Social Capital Through Professional Networks 81 4.4 Institutional Social Capital 83 4.4.1 A Historical Deficit in Institutional Social Capital 83 4.4.2 Impact of the Institutional Environment on S.U.C.C.E.S.S 85 4.5 Synergistic Social Capital 87 4.6 Summary of Social Capital Inputs into S.U.C.C.E.S.S.'s Housing Project 89 5 Case Study 2: Care Networks in Community Housing for Adults with Developmental Disabilities 93 5.1 Background 93 5.1.1 Housing as Enabling or Disabling Space 93 5.1.2 Community Living 95 • Profile of Housing in the Family Home 96 • Profile of Housing in a Community Sponsored Group Home 97 • MAPCL in the Provision of Community Living Services 99 5.1.3 Social Capital and Community Living for People with Developmental Disabilities 100 5.2 Bonding Social Capital 101 5.2.1 MAPCL as an Indicator of Social Capital in the Developmental Disabilities Community 101 • Opportunity Structures Amongst Like-Minded Organisations and MAPCL Stakeholders 101 • Access to Individual and Collective Advocacy Resources through MAPCL 103 5.2.2 Resources in Family Ties 104 • Cost Effective Shelter and Services 104 • Home Control 105 5.2.3 Resources in Informal Ties: The Parents Support Group for Families of Mentally Handicapped Adults 106 V • Support Advocacy, Expressive Returns and Housing Options 106 • Diffusion of Intra-Community Opportunity Structures 109 5.3 Bridging Social Capital 110 5.3.1 Role of Bridging Social Capital in Community Living 110 5.3.2 Accessing Bridging Social Capital Through Professional Networks 111 5.4 Institutional Social Capital 112 5.4.1 Provincial and Municipal Regulation of Community Care Facilities 112 5.4.2 Institutional Change: Deinstitutionalisation 115 • Role of Parents and Advocacy Groups in Closing Institutional Facilities 116 • Convergence with Change in Federal Approaches to Social Programmes 117 5.5 Synergistic Social Capital 118 5.5.1 Respective Roles of the Provincial Government and Family Members 118 • MCFD 'Community Living Services for Adults' Branch 118 • Formal Recognition for the Role of Families 119 5.5.2 Role and Resources of Community-Based Service Providers 122 5.5.3 New Governance Model: 'Community Living British Columbia' 124 • Formation of Community Living British Columbia 124 • CBO Role in the Formation of the New Authority 125 • Strengths and Drawbacks of Community-Based Governance 127 5.6 Summary of Social Capital Inputs into 'Community Living' Housing 130 6 Utility of the Social Capital Model 134 6.1 Comparative Look at the Resources Embedded in Different Forms of Social Capital 134 6.1.1 Bonding Social Capital 134 6.1.2 Bridging Social Capital 134 6.1.3 Institutional Social Capital 135 6.1.4 Synergistic Social Capital 136 6.2 Social Capital Model as an Analytic and Heuristic Tool 137 6.2.1 Analysis of Macro-Micro Linkages: Effects of Institutions and Relationships with Government on Civil Society 138 6.2.2 Analysis of Micro-Macro Linkages: Effects of Civil Society on Institutions and Government Actors 139 6.2.3 Forms of Social Capital as Conceptual Categories 140 6.2.4 Analysis of Extra-Community Linkages 141 6.3 Social Capital Model as a Planning Tool 142 6.3.1 The Importance of Appropriate Language 142 6.3.2 Social Capital Model as a Guide for Planning Action 143 • Identify Resources 144 • Improve Availability of Resources 144 • Identify Areas for Intervention 144 • Plan in Multiple Timeframes 144 6.3.3 Social Capital Model as an Influence on Approaches to Planning 145 • Planning for Multiple Publics 145 • Critical Approach to Community Involvement and Coproducation 145 • Active Role for Government Actors 147 Bibliography 148 Appendix - Sample Interview Schedules 155 L I S T O F F I G U R E S Figure 1: Four-Part Typology of Social Capital .....48 Figure 2: Top Three Mother Tongue Languages in the Cities of Vancouver and Richmond 64 Figure 3: S.U.C.C.E.S.S. Simon K. Y. Lee Seniors Care Home and Chieng's Adult Day Centre 68 Figure 4: View of the Seniors Care Home From Shanghai Alley 88 Figure 5: Social Capital Inputs Into S.U.C.C.E.S.S. Seniors Care Home and Adult Day Centre 90 Figure 6: Centre Block at Woodlands School, New Westminster, British Columbia 94 Figure 7: Typical 'Vancouver Special' Houses 97 Figure 8: Social Capital Inputs Into Housing for Adults with Developmental Disabilities 130 vii A C K N O W L E D G E M E N T S I want to express appreciation to my principal research supervisor, Dr. Michael Leaf, for his words of support and discussion of ideas which were developed into this thesis. M y co-supervisor, Dr. Penny Gurstein, provided valued comments on a draft of the thesis for which I am deeply grateful. I am in debt to the anonymous individuals I interviewed for my research and my external examiner, Dr. Robert Collier, for generously sharing their time and knowledge. I would like to thank The Russell Family Foundation (TRFF) and Ft. Peter Oberlander for providing funding and an opportunity to present an earlier paper on social capital at the special session of the General Assembly for an overall review and appraisal of the implementation of the outcome of the United Nations Conference on Human Settlements (Habitat II). To Helen Cain and Geoff Reid, my intrepid guides in the mysterious world of academia and theory, thanks for the flashlight. Chumpol, Gordon and Susan, simply, thank you. Chapter 1 Social Capital in Housing and Planning • 1 1 S O C I A L C A P I T A L IN H O U S I N G A N D P L A N N I N G 1.1 Problem Definition: A Policy Context of Enablement and Partnership Two separate events in 1996 set out a new policy environment for social housing in Canada. In a budget with the theme 'Getting Government Right', the federal government announced it was time to define a more appropriate and effective role for itself in the modern economy and federation—one that would be more focused and affordable.1 The federal government announced plans to phase out its role in social housing and devolve this responsibility to provincial and territorial governments. Later that year, at the Second United Nations Conference on Human Settlements (Habitat II), Canada became a signatory to the Istanbul Declaration on Human Settlements. By doing so, Canada agreed to implement the Habitat Agenda, a framework of goals, principles, commitments and actions that aimed to achieve adequate shelter for all and sustainable human settlements (UNCHS 1996,1.2). As a signatory, Canada committed to a strategy of "enabling all key actors in the public, private and community sectors to play an effective role...in human settlements and shelter development" (UNCHS 1996, ILI.C.44). This enabling approach shifted focus away from direct production of shelter to regulatory, institutional and political reform. Enablement included objectives of decentralising authority and resources, encouraging the establishment of community-based organisations, and institutionalising a participatory approach to human settlements development (UNCHS 1996, III.C.45.C, g and h). National governments were advised to "create and strengthen effective partnerships with women, youth, the elderly, persons with disabilities, vulnerable and disadvantaged groups, indigenous people and communities, local authorities, the private sector and non-governmental organisations" (UNCHS 1996, IV.F.213). The Habitat lexicon of enablement and partnership took hold in Canada. When Chapter 1 Social Capital in Housing and Planning • 2 the mayors of Canada's largest cities declared homelessness to be a "national disaster" (Federation of Canadian Municipalities 1999, 1), rather than establishing national policies and programmes to combat homelessness, the federal government responded by simply offering funding to support local initiatives in a programme that was pointedly called the Supporting Communities Partnership Initiative. Many housing activists regarded the federal contribution as inadequate and called for a reinvigorated government role and federal leadership in addressing the issues of affordable housing and homelessness in Canada.2 A cynic might ask i f the ideas of enablement and partnership provide a convenient rational for government to do as little as possible. Partnerships are on the public agenda not only in Canada. In the United States, discussion about the importance of partnerships with non-governmental organisations has taken place with respect to the role of faith-based community organisations in providing social services. Soon after assuming office in 2001, the new president opened the White House Office of Faith-Based and Community Initiatives, which would be responsible for distributing federal funds to religious groups and charities in their efforts against poverty, addiction and homelessness. The president also directed federal agencies, including the Department of Housing and Urban Development, to identify ways in which faith-based organisations could participate in government social programmes and the federal regulations which obstructed them from doing so. While concerns were raised that this could blur the separation between church and state, the White House argued that social programmes run by faith-based organisations were successful because they were rooted in the community—that these organisations knew the people and had a network of relationships in the community.3 The call for enablement and partnership by the international community in the Habitat Agenda, as well as Canadian and American approaches to the provision of housing which Department of Finance, Government of Canada Web Site. Budget in Brief 1996. <http://www.nn.gc.ca/budget96/binbe/brief.pdf>. 2 National Housing and Homelessness Network, "Canada's Nation-Wide Housing Crisis Demands a National Solution: $2 Billion in New Funding for Social Housing", paper presented to the House of Commons Standing Committee on Finance, Pre-Budget Consultation (Ottawa: 27 September 2000), p. 2. Photocopy. 3 Eileen O'Connor, "Bush's Faith-Based Initiative", CNN.com, <http://www.cnncom/clmt/transcripts/2001^ ^ December 2001). Chapter 1 Social Capital in Housing and Planning • 3 emphasise a role for local organisations, necessitates that professional planners possess a framework for considering the relative importance of contributions made by community and goverriment actors and the institutional environment in which they operate. 1.2 Research Questions This paper explores the viability of using the concept of social capital to provide a framework for exploring the relative value contributed to housing initiatives by community and government actors and the institutional environment in which they operate. Social capital refers here to the material and symbolic resources embedded in social relationships that are accessed and used by actors for purposive actions, where social relationships include those established by individuals, groups and institutions.* This paper seeks to broadly answer the question: What productive value does social capital have and how should this resource best be conceptualised? The specific research questions are: 1. How does social capital contribute to developing and sustaining housing? 2. Does a quadripartite model of social capital, with intra-community, extra-community, institutional and state-society forms have utility as an analytic and heuristic tool? 3 . Does the concept of social capital have utility as a planning tool? I will seek to answer these questions through a case study approach, which documents the production of housing in two unrelated contexts and seeks evidence for the validity of the notion of social capital. One case examines housing for Chinese seniors with complex health needs and a second case examines housing for adults with developmental disabilities. Both case studies centre on the work of one specific community-based organisation—respectively, the United Chinese Community Enrichment Services Society (S.U.C.C.E.S.S.) and Mainstream Association for Proactive Community Living (MAPCL). 4 This understanding of social capital comes from the work of Nan Lin, a sociologist who defined social capital as "resources embedded in a social structure that are accessed and/or mobilized in purposive actions" (2001, 29). Lin asserted that like resources possessed by an individual, social capital may include material goods (e.g. land, houses, money) and symbolic goods (e.g. family name, reputation, fame) (43). Chapter 1 Social Capital in Housing and Planning • 4 Both cases are from the Vancouver area in the province of British Columbia, Canada. While the case studies focus on examples of housing in Vancouver, the research seeks findings about the concept of social capital that would be widely applicable to other substantive and geographic planning contexts. 1.3 Conceptual Approach to the Research People intuitively understand the basic idea of social capital, that relationships with colleagues, acquaintances, friends and family provide us with access to resources which we do not hold in our personal possession. Our relationships may provide us with information about a job opening, the offer of a couch on which to sleep, and solace and companionship in times of need. These resources have an economic value—the equivalent of a salary, the cost of a hotel room or the hourly fee of a counsellor—and may be our last resort before being forced to turn to the cold comforts of living on the streets. Instinct also tells us that relationships have to be nurtured, that we need to invest time, and even money, into sustaining these connections—whether by making long-distance telephone calls, going out for conversation over a restaurant meal or contributing to the latest office birthday gift collection. Intuitively, these relationships and embedded resources have neither intrinsically positive nor negative values attached to them. Positive or negative connotations are assigned by the observer. A friend's offer of a place to sleep may serve as a valued resource for an individual facing economic hardship, but the friendship may well arise from common membership in a criminal gang. 1.3.1 Socia l Capital as a Factor of Product ion These commonplace examples of investment in social capital and its mobilisation indicate the conceptual approach taken to the topic in this paper. In contrast to how some writers have used the term social capital, this paper decidedly does not equate social capital with either civic engagement or social cohesion. Here the concept of social capital is placed within general theories of capital, and is regarded as one of the resources or basic inputs used Chapter 1 Social Capital in Housing and Planning • 5 in the production of goods and services. In classical economics only land, labour and capital were viewed as inputs or factors of production. Capital generally referred to physical or real capital—the building, machines and other stored up or intermediate goods—which were used in the productive process. Some economists now include human capital—the education and training which adds to the productivity of labour—as a factor of production.5 Capital is said to have a number of characteristics: (1) it requires an investment or flow of resources to produce and build up its stock; (2) it implies delayed consumption; and (3) it increases productive capacity.6 Social capital arguably has these characteristics of capital and it is assumed to be a resource or factor of production in this research paper. 1.3.2 Inclusion of Institutions and Government Additionally, analysis of social capital in this paper is not limited to micro level concerns about networks and communities. This paper borrows from a basic tenet of New Institutional Economics (NIE), namely that institutions matter. Douglass North, a seminal theorist in NIE describes institutions as "the rules of the game in a society" or more formally as the humanly devised constraints that shape human interaction (North 1990, 3). Institutions are comprised of both formal rules (e.g. statute law) and informal constraints (e.g. norms of behaviour). Because they structure human exchange, institutions have economic and social consequences, chiefly by reducing uncertainty (6). As applied to this paper, the research will consider how institutions affect the relationships that come into existence and the transactions of social capital in a society. Distinct from institutions, government bodies will also be considered in this paper, both because of their roles in shaping the institutions of society and their roles as actors interacting with other groups and individuals in society. 5 Ake Blomqvist, Paul Wannacott and Ronald Wannacott, Economics, 2nd Canadian ed. (Toronto: McGraw-Hill Ryerson, 1987), 28-9 6 Ibid., 28-9 and Philip Hardwick, Bahadur Khan and John Langmead, An Introduction to Modern Economics, 5th ed. (Essex, England: Pearson Education Limited, 1999), 33. Chapter 1 Social Capital in Housing and Planning • 6 1.3.3 Housing as a Bundle of Attributes The international community affirmed at Habitat LI that adequate shelter meant more than a roof over one's head (UNCHS 1996, IV.B.1.60). This is the perspective taken in this paper, where housing is regarded as more than the physical attributes of shelter. Here housing refers to the "bundle of attributes" or services to which people gain access by living where they do (Leaf 1993). In the first case study on housing for Chinese seniors, these attributes include culturally appropriate health services and a location in a familiar and culturally valued neighbourhood. In the second case study on housing for adults with developmental disabilities, the attributes include trusted and knowledgeable personal care, physical integration into residential neighbourhoods and equal access to city services. 1.4 Organisation of the Paper This chapter has provided an introduction to the conceptual approach taken to social capital and housing in this paper. Intuitive examples were given to illustrate a conceptualisation of social capital as a value-neutral, productive resource having micro and macro dimensions. The next two chapters further develop the concept of social capital and provide an analytic model for examining socially embedded resources that contribute to housing. Chapter 2 reviews the use of social capital in housing and urban development literature in order to seek a rationale for the conceptual approach described above. The chapter makes the argument that discourse on social capital can be clarified by applying value-focused thinking to distinguish between end goals (the fundamental goals of policy and society) and means goals (the intermediate goals that provide a mechanism to, inter alia, achieve the fundamental goals) (Keeney 1992), and asserts that the concept of social capital is most useful when regarded as a resource or the means toward a more fundamental goal. Also, because much of popular discussion about social capital has been linked to civil engagement and social cohesion, I review how the concept has been used in the field of planning in order to derive a model of social capital that would be applicable in other Chapter 1 Social Capital in Housing and Planning • 7 substantive areas in addition to housing. The literature review categorises past research into three broad areas of focus, on (1) the significance of social capital for urban policy; (2) the relationship between social capital and the neighbourhood; and (3) the relationship between social capital and homeownership. Drawing on insight found in past literature, Chapter 3 develops a more complex picture of social capital by introducing concepts as they relate to social capital's operational components: (1) its qualities as a resource; (2) its sources and opportunity structures; and (3) its mobilisation for action. The chapter concludes with a synthesis of the concepts into a four-part model of social capital, which is based on a typology developed by Michael Woolcock, a social scientist with the World Bank. The typology has embedded and autonomous, and micro and macro dimensions, and is divided into four broad forms of social capital (bonding, bridging, institutional and synergistic). Chapter 3 also sets out the methodology used in this research. Chapters 4 and 5 comprise of stand-alone empirical studies on the social capital inputs that went into developing and sustaining housing for two distinct groups of people in the Vancouver area—Chinese seniors and adults with developmental disabilities. The analysis of both these cases is done using the model of social capital set out in the previous chapter. Chapter 6 summarises the findings from the case studies on the contributions of various social capital inputs into housing and draws conclusions about the utility of the quadripartite model of social capital as an analytic tool and a planning tool. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 8 2 S O C I A L C A P I T A L IN C O N T E M P O R A R Y H O U S I N G A N D U R B A N D E V E L O P M E N T L I T E R A T U R E 2.1 Introduction to the Theory of Social Capital 2.1.1 Early References to Social Capital1 Favorable conditions are demanded for the development of sociality and unfavorable conditions cause it to fall into atrophy and disuse...In no situation is this more noticeably manifested than in the rhythmic rise and fall of sociality in rural communities. Our parents relate with pride and affection their early reminiscences of the singing schools, the spelling bees, and the revival meetings of their youth...But with the passing of time, in the country districts other means of satisfying these social demands have developed...Under these conditions it is only natural...that the social gatherings of the past should disappear, and that social cohesiveness should be destroyed by a multitude of distracting forces. But it is also only natural that, once these distractions have been weighed and placed in their proper position in perspective, thoughtful rural leaders should seek to restore the values obtained in community organizations.2 The loss of sociality and a desire to restore the kinds of values obtained in community organisations is a theme which runs through contemporary discourse on civic engagement and social cohesion. But the concerns are not new, and what is interesting about the opening quotation is that it was written in 1920 in the editor's preface to a teacher training textbook called The Community Center. The book's author, L. J. Hanifan, was State Supervisor of Rural Schools in West Virginia. Hanifan wrote the book to provide teachers with advice on how to initiate campaigns to revive declining community social life in rural areas by utilising the school as a community centre. In a chapter titled "Social Capital—Its Development and Use", Hanifan used the term social capital to refer figuratively to the 'capital' provided by the "good will , fellowship, sympathy, and social intercourse among the individuals and families who make up a social unit". Hanifan argued social capital was a prerequisite for making community building possible because "in community building, as in ' A number of texts have previously covered the intellectual history of social capital, including Portes and Sensenbrenner (1996), Portes (1998), Woolcock (1998) and Feldman and Assaf (1999). 2 W. W. Charters, editor's preface to Hanifan (1920, vi). Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 9 business organization, there must be an accumulation of capital before the constructive work can be done" (Hanifan 1920, 78).3 The idea that social relations provide a resource necessary for achieving broader community goals was echoed by Jane Jacobs in her 1961 treatise on urban life, The Life and Death of Great American Cities. Jacobs wrote that successful mobilisation of city neighbourhoods at a district level was dependent on the formation of "hop-skip" relationships and links, which she described as those "working relationships among people, usually leaders, who enlarge their local public life beyond the neighborhoods of streets and specific organizations or institutions and form relationships with people whose roots and backgrounds are in entirely different constituencies" (Jacobs 1961, 134). Mark Granovetter (1973, 1375) would later liken Jacob's "hop-skip links" to his concept of "weak ties" which act as bridges between social networks. Jacobs also specifically used the term social capital in asserting that the stability of a neighbourhood and its ability to be self-governing were dependent upon a continuity of people who had forged neighbourhood networks. She wrote: "These networks are a city's irreplaceable social capital. Whenever the capital is lost, from whatever cause, the income from it disappears, never to return unless new capital is slowly and chancily accumulated" (138). 2 . 1 . 2 Social Capital in the Sociology of Education The references to social capital by Hanifan and Jacobs were one-off occurrences and the term did not gain wide usage until broader notions and more encompassing theories of social capital were developed. In contemporary academic literature, Pierre Bourdieu (1986) and James Coleman (1988) made seminal contributions to theoretical understandings of the concept of social capital, through their separate work in the sociology of education. Both were working in a field of study that seeks to understand the relationship between education and society, where education might be either a causal variable or an outcome variable. 3 The first two sections of this chapter were first published by Hanifan in "The Rural School Community Center", New Possibilities in Education, vol. L X V I I of The Annuals of the American Academy of Social and Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 10 Bourdieu believed that the structure and functioning of the social world, specifically its transmission and reproduction, could only be explained by considering the role both of material and immaterial forms of capital—including cultural and social capital, as well as economic capital. Whereas cultural capital (e.g. the accent associated with a social class, cultural knowledge, cultivation) provided the individual with a competence, social capital was linked to membership in a group. Bourdieu defined social capital as the "aggregate of the actual or potential resources which are linked to possession of a durable network of more or less institutionalized relationships of mutual acquaintance and recognition" (Bourdieu 1986, 248). According to Bourdieu, individuals and groups unconsciously or consciously endeavour to establish or maintain social relationships that are usable to them over the short and long term. That is, they seek to transform relationships based on happenstance, such as kinship or geographic ties, into more durable obligations that may be either subjectively felt (e.g. friendship) or institutionally guaranteed (e.g. rights) (249-50). Bourdieu argued the very exchange of material and/or symbolic resources (e.g. benefits obtained through relationships, prestige bestowed on members of an exclusive group) is what enacts, maintains and reinforces group identity and institutions such as the family, tribe, association or the like. "Exchange transforms the things exchanged into signs of recognition and, through the mutual recognition and the recognition of group membership which it implies, re-produces the group" (250). He also asserted that the different forms of capital are fungible, where one form can be converted or traded for another. For example, the time and care taken to personalise a gift transforms the purely economic aspect of the object into a demonstration of friendship, and effectively constructed social capital (253). Like Bourdieu, Coleman (1988) held that individuals purposively form relationships and social organisations and maintain them for the benefits provided. For Coleman, social capital provided the conceptual means to integrate the economic principle of rational action into analysis of social systems. He described social capital as having many forms, including obligations and expectations, information channels and social norms. For Coleman, all forms Political Science (Philadelphia, 1916), 130-8. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 11 have two elements in common: first, the capital is lodged in social structures—in the relations between and among actors; and second, it facilitates the actions of both individual actors and organisations ("corporate actors") (Coleman 1988, S98). To illustrate the idea that social capital is a resource used to achieve certain ends, Coleman cited the example of clandestine 'study circles' formed by South Korean student activists during the mid-1980s. These study circles constituted a type of social capital by providing the means through which radical ideas were transmitted and political dissent organised. Furthermore, social capital had also been instrumental in forming the study circles themselves, because these organisations were often based on the existing social ties of students who came from the same high school, hometown or church. Coleman drew a number of caveats from this example. First, social capital is value-neutral rather than intrinsically positive: From different points of view, the same study group could alternatively be associated with democratic ideals, political terrorism or crime (S99). Second, the concept of social capital provides the means to explain both the difference in outcomes for individual actors (i.e. the individual student's ability to protest) and the micro-to-macro transition from individual action to the formation of social structures (i.e. the study group functions both as an aid to individual protest, as well as the means to organise group revolt) (SI01). Third, the social capital arising from an organisation formed for one function can constitute a resource that is appropriable for completely different purposes, such as when the relationships of a church group are transformed into a student protest group (SI08). Coleman used the example of the Korean study groups to illustrate the concept of social capital, but his primary goal was to demonstrate the important role social capital played in the development of human capital in students. Coleman noted that differential school achievement is often attributed broadly to the 'family background' of children, but he asserted family background could be broken down into three different components: financial capital, human capital and social capital. Financial capital, or the family's income, provides a place for the child to study and materials for learning, while the parent's education constitutes human capital in its potential to offer a cognitive environment that aids in child learning (SI09). However, financial and human capital alone cannot adequately explain Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 12 school achievement, which Coleman argued was also dependent upon the social capital of the family. That is, Coleman asserted that school achievement is influenced by the strength of the relationship between children and their parents, wherein time spent together enables parents to convey their expectations for educational success and/or their own knowledge about school subjects. 2.1.3 Social Capital in Political Science The notion of social capital might have remained in academic circles i f it had not been introduced into popular consciousness through the efforts of Robert Putnam, a political scientist at Harvard University. Putnam caught the public's attention in 1995, when he published an article provocatively titled, "Bowling Alone: America's Declining Social Capital". In diverse venues—from a profile in People magazine to talk show appearances to a meeting at Camp David with then president, B i l l Clinton4—Putnam raised concerns that lower levels of civic engagement and declining social capital were adversely affecting the quality of public life and performance of social institutions in America (Putnam 1995, 66). Defining social capital as the "features of social organization such as networks, norms, and social trust that facilitate coordination and cooperation for mutual benefit" (67), Putnam argued social capital is fostered by civic engagement. Consequently, "bowling alone" with friends and family, instead of joining an organised bowling league, has political and social consequences. According to Putnam, this is because engagement in bowling leagues and other civic associations, such as parent-teacher associations or church groups, fosters habits of cooperation, social trust and collective action, which can then serve as a "cultural template for future collaboration" (67). These habits and attitudes, when transferred into other settings, were said to have comparable effects on good government, economic progress and social welfare (e.g. resulting in better schools or lower crime). 4 Louis Uchitelle, "Lonely Bowlers, Unite: Mend the Social Fabric; A Political Scientist Renews His Alarm at the Erosion of Community Ties", New York Times, 6 May 2000, sec. B, p. 9. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 1 3 Putnam drew his ideas from previous research on the establishment of regional governments in Italy in 1970 (Putnam, 1993a). The new regional governments developed noticeable differences over the twenty-year period of Putnam's study—some were corrupt and inefficient, while others were highly effective and innovative. Putnam found a correlation between the effectiveness of a regional government and local patterns of civic engagement, which in some regions could be traced back to the Middle Ages and the historical presence of guilds, religious fraternities and self-defence societies. In other words, social capital appeared to be a precondition for both economic development and effective government. Like the rippling effects of membership in bowling leagues, the historical pattern of civic engagement in specifically northern Italy, were argued to have fostered trust, information flows, and norms of acceptable behaviour and reciprocity, which then served to lubricate social and economic transactions, discourage impropriety and wrongdoing. The past experience of successful collaboration then provided communities with models for future collective action (173—4). Putnam's ideas had wide resonance because he conceptualised stocks of social capital as being characteristic of communities and nations, and not simply as a resource available to individuals and groups. The concept of social capital has since been applied in many different contexts. Community-based organisations have adopted 'building social capital' as a development strategy (Gittell and Vidal 1998). The World Bank began its Social Capital Initiative (SCI) to further knowledge about the impacts of social capital on the efficiency and sustainability of development programmes (World Bank 1998). While at the International Monetary Fund, social capital has been discussed in the context of institution-building and "second generation reforms", because of the capacity for behavioural norms, such as honesty, to reduce the transaction costs that are associated with formal coordination mechanisms like contracts or bureaucratic rules (Fukuyama 1999). However, because social capital has come to mean so many things to different people, it runs the risk of becoming completely meaningless. Equally damaging, social capital discourse often takes on an all too precious, reverential tone. In the words of Xavier de Souza Briggs, an urban policy specialist at the U.S. Department of Housing and Urban Development and Harvard University, social Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 1 4 capital has acquired a "circus-tent quality", where the term is used to refer to all things that are positive and social (Briggs 1998, 178). It is worthwhile at this point to survey contemporary literature to examine how social capital has been defined and applied specifically in the fields of housing and urban development. 2.2 Social Capital in Housing and Urban Development Literature The following reviews literature on social capital in housing and urban development to first, learn how the term has been defined and used in these fields of study, and second, to examine the strengths and weaknesses of different approaches to the concept. The aim of this literature review is to determine the features which should be included in the conceptual model of social capital employed in this paper and gain insight into (1) how social capital is a 'capital'; (2) how social capital works in different international contexts; and (3) how social capital relates to different contemporary urban development problems. Although illustrative examples of social capital research are limited here to housing and urban development, the analysis and general approach developed is intended to be applicable to other substantive areas of study. Comparison of previous research on social capital is complicated not only because writers have defined social capital in different ways, but also because they have broken social capital down into different components, indicators and units of measure; they have conducted research at different spatial scales—from building-level analysis to international comparisons; and they have cast research questions at different levels of abstraction—from the lower level, tactical concerns of individuals to the higher level, strategic focus of community and social planning.5 Nonetheless, the literature on social capital in planning-related issues can be categorised as falling into three broad areas of focus: (1) the place of 5 Woolcock and Narayan (2000, 239) have noted that deriving a single measure for social capital is probably not possible for several reasons, including because "the most comprehensive definitions of social capital are multidimensional, incorporating different levels and units of analysis". Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 15 social capital in contemporary urban policy; (2) the connection between neighbourhoods and social capital; and (3) the effects of homeownership on social capital.6 2.2.1 Significance of Social Capital for Urban Policy Since Robert Putnam first raised concerns about the implications of a possible decline in social capital in the United States, numerous articles have been published which integrate the concept of social capital into analyses of housing and urban development issues. A broad theme in recent commentary and research has been that the present is a time of pivotal change in urban policy, and this change in policy direction must include deliberation of social capital. For some, the focus of research has been to understand how social capital contributes to community development. As reflected in the following survey of articles which consider the importance of social capital in urban policy, researchers have employed different approaches to the concept in a wide range of topic areas. Let me begin by comparing two of the first articles that specifically used the term 'social capital' and discussed its relevance in urban policy. The concept was used by Keyes et al. (1996) to analyse the increased role nonprofit organisations began to play in the production of low-income housing in the United States during the 1990s, when federal subsidies for low-income housing development were curtailed and federal housing responsibilities were being devolved to the state and local levels. In comparison, Wilson (1997) examined ways in which planning education at universities and colleges has to change in order to meet needs in the twenty-first century for professional development planners who have the values and skills necessary to build social capital. While Keyes et al. defined social capital as the "ability of individuals and organizations to acquire resources through membership in networks and other social structures" (1996, 202), Wilson equated social capital with 'community' itself, where social capital—or the sense of community— was comprised of inter-personal trust, feelings of belonging and responsibility, and civic 6 Briggs (1998, 181) categorised previous research as having two different focuses: "(1) housing mobility and neighborhood effects and (2) the nature and importance of social capital for urban dwellers". Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 1o* engagement (1997, 745). These definitional differences result in markedly different approaches to the concept of social capital. Keyes et al. (1996) used the concept as an analytic framework for examining the importance of institutional support networks in the relative successes of nonprofit low-income housing producers in Boston and Minneapolis-St. Paul. The authors found that the most successful nonprofit housing organisations had strong social capital resources, where their ties to governmental, educational, philanthropic and private sector actors enabled them to bring together creative packages of financing, expertise and political support that were necessary for their housing projects. The authors identified four aspects of social capital which contributed to the support for and effectiveness of nonprofit housing producers: (1) long-term relationships of trust and reciprocity based on staff movement between positions in the nonprofit organisations and the community development departments of banks and local government administrations; (2) a shared vision amongst all actors that nonprofit organisations were ideal agents for creating housing and strengthening inner city communities; (3) mutual interest in the success of nonprofit partners on the part of local governments and charitable funding agencies, who were dependent upon nonprofits for the achievement of their own policy and programme goals; and (4) economic self-interest on the part of banks, state finance agencies and corporate investors, who faced financial losses if a housing project failed7 (211-2). After breaking down the institutional support enjoyed by nonprofits into constituent parts that function as social capital, Keyes et al. recommended ways in which institutional actors could most effectively assist nonprofits, for example, by not overaggressively offering support to the point of pressuring nonprofits into overextending themselves on housing projects. For Keyes et al. (1996) social capital was a resource that enabled nonprofits to be more effective in their goal to produce low-income housing. In comparison, for Wilson (1997), building social capital was a goal in itself. Wilson argued that whereas in the past 7 Private sector investment in building low-income rental housing is encouraged in the United States by a low-income housing tax credit programme (LIHTC) which was created in 1986 by federal legislation and is administered by state housing development or finance agencies. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • I 7 when interpersonal trust, feelings of belonging and responsibility and civic engagement were simply considered as by-products of community economic development, planners now must focus on building these qualities of a community for their own sake, because of findings over the past decade that "social capital creates local economic prosperity" (1997, 745). In her assertion that the research literature indicates social capital "has been eroding in the United States" and its deficiency is "pointed to as a major problem in less developed countries and newly emerging democracies", Wilson conveyed a sense of urgency in developing this new professional protocol for planners. However, she admonished this is not a job for the discredited "master planner" or technical expert because: Building cornmunity, or social capital, is not a technical problem requiring expert solutions. Nor is it a problem of resources. Social capital, unlike physical capital (machinery and equipment), financial capital and human capital, is free - it requires no natural resources, no machines, no bricks and mortar, no paid labour. It does not respond to large-scale social engineering. It is built in a very humble, piecemeal way through countless decisions of individuals about whether or not to get involved, and once involved how to proceed. (745-6) Instead, Wilson argued development planning professionals must develop collaborative process skills, so as to build social capital by: (1) promoting stakeholder participation; (2) valuing and measuring intangibles such as cultural identity, participatory practice or community values; and (3) facilitating personal and group learning. Wilson's approach to social capital is similar to that of Robert Putnam and others in their common focus on the connection between the concept of social capital, civic engagement and feelings of belonging. In a foreword written for an issue of Housing Policy Debate (1998), Putnam expanded on his earlier themes by describing the theory of social capital as a useful way to summarise patterns of social connectedness and civic engagement and their effects on social well-being and the community. In the same issue of the journal, Lang and Hornburg (1998) used Putnam's definition of social capital—the "norms and networks of civil society that lubricate cooperative action among both citizens and their institutions," (Putnam 1998, iii)—to frame their analysis of housing and urban policy in the United States. Lang and Hornburg suggested that in an era of welfare reform and devolution to locally based assistance, an emergent theme in research argues for responding to federal devolution by broadening the goals of housing policy to specifically include promoting the Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 1 8 "formation of social capital, or the 'glue' of civic networks that binds people to their communities" (1998, 2). Lang and Hornburg asserted housing policy is related to social capital because patterns of home ownership, housing development and building design serve to shape the nature of personal interaction and social networks, and thus affect the formation of social capital (8-10). Establishing Causality (Agency, Ecological Fallacy and Research) The divergent approaches taken by Keyes et al. (1996) and by Wilson (1997) and Lang and Hornburg (1998) provide a useful basis for discussion of different conceptual approaches to social capital that have been taken by researchers. Social capital theory has been criticised for its lack of theoretical development and failure to demonstrate causality in the transformation of the concept from a benefit realised by individuals and small groups (as conceptualised by Bourdieu and Coleman) to a quality or resource that is characteristic of entire communities and countries (their "stocks" of social capital as described by Putnam) (Portes and Landolt 1996; Foley and Edwards 1997; DeFilippis 2001; Portes 2000). This transformation has raised problematic issues of agency (DeFilippis 2001) and ecological fallacy (Lin 2001). In everyday speech it may be acceptable to speak cursorily about a community's stock of social capital, but in research and policy where causal relationships must be established, it may pose a difficulty in establishing 'the community' as an actor who possesses and employs social capital for specific purposes, say to achieve good government. As DeFilippis has commented: Communities are outcomes, not actors that exhibit any type of agency. As outcomes, communities "are not simply outcomes of the characteristics of those within them, they are also outcomes of a complex set of power-laden relationships— both internally, within the communities, and externally, between actors in the communities and the rest of the world" (2001, 789). Furthermore, when 'the social capital of a community' is aggregated from individuals' participation in organisations such as parent-teacher associations or church groups, Lin suggests there is "a danger of ecological fallacy", where conclusions drawn from one level are assumed to be valid for another (2001, 211). Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 19 In Keyes et al.l996, a causal relationship was proposed: specific actors were identified (e.g. nonprofit organisations, the community development departments of banks and local goveniment administrations); these actors developed a network of relationships that fostered subjectively felt resources (e.g. relationships of trust, a shared vision); and these actors used social capital to achieve their own goals (e.g. nonprofit organisations built low-income housing, local governments achieved their policy goals). In contrast, social capital was conceptualised by Wilson (1997) as a quality that was simply present in the community at large. Interpersonal trust, feelings of belonging and responsibility, and civic engagement, which Wilson equated with social capital, were not linked to any specific actors or social structures. Indeed, social capital was presented as appearing almost spontaneously— completely "free" and without any type of investment. Wilson argued that professional planners should work with people in the community to build social capital because this results in, amongst other things, economic prosperity. However, Wilson's argument is weakened because of its failure to propose any possible causal relationships or mechanisms by which social capital might act. In any case, research on the connection between elements of social capital identified by Wilson and economic prosperity is inconclusive. Using data from the World Values Surveys for a sample of twenty-nine market economies, Knack and Keefer(1997) found that: First, trust and civic cooperation are associated with stronger economic performance. Second, associational activity is not correlated with economic performance—contrary to Putnam's (1993) findings across Italian regions. Third, we find that trust and norms of civic cooperation are stronger in countries with formal institutions that effectively protect property and contract rights, and in countries that are less polarized along lines of class or ethnicity. So while trust and civic cooperation are associated with stronger economic performance, associational activity is not. Additionally, Knack and Keefer found that whereas "Putnam (1993) has suggested that dense horizontal networks reinforce trust and civic norms.. .[they] find that horizontal networks—as measured by membership in groups—are unrelated to trust and civic norms (controlling for education and income) and to economic performance". In other words, in the absence of a specific statement or proposition about the causal relationship between social capital, trust, feelings of belonging and responsibility and civic Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 20 engagement, Wilson's advice for planners to use collaborative process skills to build social capital appears to be vague and unfocused. Promoting stakeholder participation, valuing cultural identity and promoting group learning are important strategies for the planning profession, but it is unclear what these strategies have to do, i f anything, with social capital. Social Capital as a Context Specific Resource Setting out a causal relationship or specific purpose for social capital is a requisite in any discussion of the concept, because when transferred out of a specific context, social capital may have little value, and it cannot be assumed to have a positive effect in every instance (Briggs 1997; Edwards and Foley 1998). So while Lang and Hornburg (1998) acknowledge social capital may not always benefit society as a whole—pointing out that the same social networks which shape the identity of different ethic groups in Bosnia or the identity of racially homogenous neighbourhoods in American cities, are also the same ties which make outsiders feel unwelcome (7)—this proviso is lost in the overwhelming focus on the positive attributes of social capital. The broad assertion made by Lang and Hornburg that housing policy should promote social capital, raises questions about to whose benefit and for what purposes. Social capital fostered by a particular housing project or building design may not benefit the adjacent neighbourhood or have any applicability outside of the project. As Briggs (1997) argues, social capital may be organised along the same race, ethnicity, class or gender fault lines that are present in the society. That is to say, social capital is "value-neutral" and "has no right or wrong to it until some judgment is made about the ends to which we put it". In other words, restricting the concept of social capital to only its positive attributes or equating social capital with the sense of community, civic engagement or social cohesion, severely weakens the analytic and heuristic value of the concept. A number of writers have proposed avoiding this by using a narrower conceptualisation of social capital. Greeley (1997) and Edwards and Foley (1998) have suggested the social-psychological aspects of social capital discourse be dropped, and instead, "social capital should be conceptualised more narrowly as a social relational and structural resource characteristic of social networks and organisation, leaving aside the norms of reciprocity and trust that inspired Putnam but Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 2 1 that might more properly be considered a sort of cultural capital" (Edwards and Foley 1998, 135). Additionally, Lin (2001) has argued that "social capital, as a relational asset, must be distinguished from collective assets and goods such as culture, norms, trust, and so on. Causal propositions may be formulated (e.g., that collective assets, such as trust, promote relations and networks and enhance the utility of embedded resources, or vice versa); but it should not be assumed that they are all alternative forms of social capital or are defined by one another (e.g., trust is capital)" (26). However, divesting social capital of its social-psychological and collective aspects runs the risk of unduly narrowing the concept to exclude potentially valuable forms of socially embedded resources. Trust, norms of behaviour or commonly held values may indeed function as social capital in specific contexts, so to exclude all attitudinal or collective assets from the concept would weaken its analytic and heuristic value. However, as suggested earlier, a causal relationship and context must be specified. That is to say, goods such as trust or norms of behaviour do not exist on their own outside of a set of social relations, and thus, three components of social capital must specifically be delineated: (1) the resource itself; (2) the social structure in which it is embedded; and (3) the action or purposes for which the resource is used (Lin 2001, 29). As Edwards and Foley themselves have written, "norms and values held by individuals become social capital only insofar as they facilitate action by others" (1998, 129). This approach does not contradict Lin's assertion that trust, norms and so forth do not define social capital, because trust no more defines social capital than does the couch which is offered by a friend as a place to sleep. In the literature on neighbourhood revitalisation, Silverman (2001) showed how social capital can have social-psychological characteristics which function as resources within a specific set of social relations. Although Silverman unduly limited his conceptualisation of social capital to that of a "bond of mutual trust emerging from shared values that are embedded in parochial networks" (244), his approach to social capital demonstrates its heuristic value in learning why particular community organisations are able to work well with some organisations, but not with others. Silverman studied and compared seven community development corporations (CDCs) and ten charitable organisations Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 2 2 working in Jackson, Mississippi. Though both kinds of organisations worked in the same community, their programmes and collaborative partnerships differed in reflection of the disparate values and feelings of trust which existed between them. Silverman found the CDCs all held values associated with black capitalism, which focused on self-help and economic development in black neighbourhoods (252). In contrast, seven of the ten charitable organisations self-identified as faith-based agencies and had organisational cultures and activities which reflected a mission of service (256). The different values held by the two types of organisations and the trust generated from respective commonalities of values had an impact on the types of collaboration the organisations undertook. Silverman found that "black CDCs had a firm commitment to promoting black capitalism, and this orientation prompted the directors of these organizations to seek out collaborative partners who were similarly inclined. In turn, charitable organizations were predominantly faith based and service oriented; this predisposition prompted their directors to form partnerships with organizations whose primary mission was either to proselytise or provide basic assistance in poor communities" (258). The feelings of trust which arose out of shared experiences of racial discrimination and a mutual valuing of black capitalism functioned as social capital to enable CDCs to form strong collaborative partnerships with other groups within the black community; in contrast, interaction with groups from outside the black community were characterised as limited in nature—being less sustained and based on a specific need (259) . Similarly, faith-based organisations also distinguished between merely "collaborative efforts" and "true partnerships"—the latter being with others who held common religious values (260). The directors of both CDCs and charitable organisations cited differing values as obstacles to collaboration with other organisations or institutions. Because Silverman took the position that social capital was a value-neutral, context-specific resource for facilitating action, the concept provided an objective framework for analysing urban policy. Silverman cautioned against placing an undue emphasis on mobilising social capital in the nonprofit sector as a strategy for the implementation of urban policy. To begin with, Silverman argued there are no "generic forms of social capital that Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 23 can be transferred from one setting to another". Instead, social capital emerges from diverse interests and values in a community, making it "imperative that greater attention be paid to the underlying values that a given form of social capital is based on and their impact on community development i f it is to be mobilized for specific public policy goals" (263). Silverman also suggested "social capital is quite limited in its application". Though in his case study, social capital that was based on a common valuing of black capitalism and faith proved effective in local community work, Silverman questioned the broader applicability of these values and their ability to "facilitate the resolution of complex problems in a multifaceted metropolitan setting" (263). Social Capital as Policy Language The articles reviewed thus far all stress the importance of considering the place of social capital in housing and urban policy at the present point in time, which is seen as a critical juncture for government restructuring, devolution of state responsibilities, and deliberation on issues of governance and grassroots participation. The notion of social capital provides policy language and a conceptual framework for analysing and dealing with these broad changes. Social capital enables concerns about social relations and socially embedded resources to be brought to the policy table, because as Briggs has observed, social capital is an example of what Mark Moore calls a "powerful public idea", which encapsulates discussion about change in public life to such a degree that it mobilises people and institutions.8 Acknowledging the significance of social capital in contemporary urban policy is however, a distinct proposition from unjustifiably lauding the concept as policy innovation, since much of the discourse surrounding social capital is not a recent phenomenon. Taylor (2000) suggests there are lessons to be learned from the past to ensure discourse on social capital, which underlies the current shift toward partnerships and community leadership in urban regeneration, is differentiated from past policies and does not simply retread familiar and unsuccessfully travelled territory. Taylor notes similarities between the language of Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 24 current policy initiatives and urban renewal efforts in the United Kingdom during the late 1960s, which emphasised "joined-up thinking and community participation" and had key themes of building 'community' and coordinating service providers (1020). These early approaches were criticised for failing to address structural problems and ignoring economic solutions. In the 1980s, urban regeneration policies then turned to focus on the renewal of physical and economic infrastructure in disadvantaged areas. By the 1990s, urban policy in the United Kingdom "rediscovered the themes of community involvement and service co-ordination—although now refrained in a discourse of partnership, community capacity (or social capital) building and social inclusion" (1019). However, according to Taylor (2000) current discourse differs from the past in both interpretation and magnitude: Partnerships are now discussed in terms of governance and the inclusion of new players—as opposed to government. There is also a broader range of local agencies now involved in service provision and a previously unseen emphasis on partnerships at the central government level (e.g. funding for urban regeneration programmes made contingent upon evidence of partnerships and community involvement; the creation of an interdepartmental Social Exclusion Unit by the New Labour government to seek 'joined-up' solutions to social problems). For Taylor, current policy must differentiate itself from the past by relying on a "post-modern analysis of power, where empowerment is a matter of exploiting the paradoxes, tensions and contradictions of power" (1033). That is, policy implementation through partnerships and community leadership must be regarded as a constant process of navigation, because the process that brings community partners to the policy table may be the same one that undesirably reinforces the position of larger community agencies in relation to the smaller ones; co-opts dissent in the community and reduces risk-taking; lessens diversity by initiating changes such that community organisations begin to mirror the structure of public sector partners (1021-2); or strengthens a community organisation that is headed by a leader who is enamoured with personal power (1028). 8 Briggs (1997), quoting Mark Moore, "What Sorts of Public Ideas Become Powerful?" in The Power of Public Ideas, edited by R.B. Reich (Cambridge, Mass.: Harvard University Press, 1990). Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 25 2.2.2 Relationship Between Social Capital and the Neighbourhood A discernible theme in the literature on social capital in housing and urban development looks at the mutual impact neighbourhoods and social capital have on the other. Some writers have taken the view that poor neighbourhoods are lacking in social capital, and therefore, a goal of policy and urban development programmes should be to develop and increase social capital in the area. Other writers have approached social capital simply as an analytic and heuristic tool to examine the neighbourhood and its relationship with its residents. The two approaches to viewing social capital at the spatial scale of the neighbourhood can broadly be described as a difference between regarding social capital as a fundamental objective of policy or as a means to some social objective held by individuals or communities. Effect of Social Capital on the Neighbourhood The perspective that urban policy should promote the formation of social capital as a primary goal is evident in Temkin and Rohe's (1998) study of the relationship between social capital and neighbourhood stability. The authors asserted "neighbourhoods with higher levels of social capital, as measured by greater degrees of sociocultural milieu and institutional infrastructure, are more likely to remain stable over time" (84), as opposed to falling into decline, which they measured by the change in value of housing prices. For this reason, Temkin and Rohe advised community development practitioners to undertake the comprehensive task of building social capital in neighbourhoods instead of "focusing narrowly on housing development" (85). Temkin and Rohe (1998) conceptualised social capital in the neighbourhood as being comprised of two constructs: (1) the sociocultural milieu—residents' feelings of attachment to the neighbourhood and their sense of the neighbourhood as a special place within the city (65) and (2) the institutional infrastructure—the level and quality of political and organisational activities in the neighbourhood (69). Sociocultural milieu was measured by a range of variables indicating the sense of neighbourhood identity; feelings of loyalty to the neighbourhood; levels of 'neighbouring activity' that denoted trust (e.g. borrowing items Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 26 from neighbours); feelings of attachment and satisfaction with the neighbourhood; and opportunities for shopping, recreation and other social activities (68-9). Institutional infrastructure was measured by variables indicating the level of voting activity; the visibility and perceived effectiveness of neighbourhood organisations; resident participation in volunteer work; and the presence of major CDCs and public institutions in the neighbourhood (74-5). Temkin and Rohe posited that when a neighbourhood is under threat, residents are more likely to take defensive measures i f the neighbourhood has a strong sociocultural milieu, and these defensive measures are more likely to succeed i f the neighbourhood has strong institutional infrastructure (69-70). Temkin and Rohe's approach to social capital is problematic because of its failure to address the embedded quality of social capital, that is, to examine the specific social relations which give rise to resources which purportedly result in neighbourhood stability. Instead, their concept of social capital has what was earlier described as a circus-tent quality, where everything is included from the sense of neighbourhood identity, to opportunities for shopping, to resident participation in volunteer work. This approach seriously weakens the analytic and heuristic value of the concept of social capital. There is little new or insightful in learning that stable neighbourhoods have these wonderful attributes of community and we are left simply with the basic planning issue of how to build vibrant neighbourhoods. The language of social capital becomes superfluous. A more critical issue for our purposes here in reviewing the literature for normative approaches to social capital, is that Temkin and Rohe are confusing means objectives for fundamental objectives.9 Keeney (2001, 34) defines a fundamental objective as "an essential reason for interest in [a] decision situation"; it is the end objective or value that one cares about. In contrast, a means objective is a way to achieve the fundamental objective—in other words, a means objective is of interest primarily "because of its implications for the degree to which another (more fundamental) objective can be achieved". Temkin and Rohe argue community development programmes should focus on building social capital. However, the 9 Briggs (1998, 179) writes social capital is "a means to an end and not an end in itself. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 27 focus should really be on the fundamental objective of building vibrant neighbourhoods, for which the potential resources—and obstacles—might either be social, financial or physical. Simply put, Temkin and Rohe conceptualise social capital too broadly, and as a result, overstate its importance. Nonetheless, socially embedded resources can be instrumental in shaping the distinctive character of different neighbourhoods. A more reasoned approach, however, is to regard social capital on par with other economic, cultural or material resources that may shape a neighbourhood. This perspective is evident in research by Butler and Robson (2001), who employed the concept of social capital as a heuristic device to learn about the gentrification of three south London neighbourhoods. In the fifteen to twenty years preceding their research, the neighbourhoods of Telegraph Hi l l , Battersea and Brixton were transformed into desirable, middle-class residential areas. However, instead of developing into the stereotypical, homogeneous suburb, each neighbourhood developed a distinctive character. Butler and Robson attributed this to the differential deployment of social, cultural and economic capital by residents in each of the three neighbourhoods (2158). Drawing on Bourdieu's idea that contingent relations in a neighbourhood can be transformed into relationships of subjectively felt obligations, Butler and Robson defined social capital in their study as "the sum of actual and potential resources that can be mobilised through membership in social networks of actors and organisations" (2146). They asserted the middle-class residents in each neighbourhood differentially used the resources of local social networks and institutions, along with other economic and cultural resources, to create urban environments which consolidated their prosperity and achieved dissimilar ideals of city living (2146). Using in-depths interviews, Butler and Robson found that the middle-class residents of Telegraph Hi l l desired and took pride in creating the ambience of an urban village in their neighbourhood. Through a number of key local institutions (the primary school, community centre and its residents' association and park), residents of Telegraph Hi l l cultivated local social networks to a far greater degree than in the other two neighbourhoods. The social capital generated by these neighbourhood networks enabled residents to develop and Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 2 8 maintain the character and prosperity of their neighbourhood, for example, by holding neighbourhood festivals and lobbying for local services such as recycling facilities and road calming. Whereas the character and cohesion of Telegraph H i l l was realised by strong social capital in the neighbourhood, the neighbourhood of Battersea was characterised by Butler and Robson as being an area whose character was more determined by the deployment of economic and cultural capital than by social capital. Though social networks were present, they were less instrumental in shaping the identity of Battersea—here social capital "was more latent than actualised" (2155). The transformation of Battersea into an upper middle class neighbourhood with a busy nightlife (wine bars, restaurants and other leisure activities), an active residential housing market, and a plethora of public and private schools and nurseries, was facilitated by the common goals and synergy between local government and residents. While local government facilitated the development process by encouraging residential gentrification and granting licences to the 'right' kinds of leisure and educational activities, young professionals sought out the neighbourhood as a place to live that was conveniently close to central London, where they could raise their children and give them a high quality education. In contrast to strong social capital in Telegraph H i l l and latent social capital in Battersea, Brixton was characterised as having very weak social capital. However, the absence of social capital was not regarded as a negative quality by the high-income professionals who were attracted to the area. Instead, "Brixton appear[ed] to be the location choice of many middle-class households in flight from the normative aspects of social capital i t s e l f (2160). Butler and Robson's study of Brixton challenges many of the assumptions made about what is desired and desirable in an urban neighbourhood. Before Brixton acquired its recent reputation as a trendy area full o f heritage buildings, the neighbourhood had been a symbol of Britain's urban decay. A socially, culturally and ethnically diverse neighbourhood, middle-class incomers were attracted to Brixton for its alternative lifestyle and multicultural character—and concurrently, for its lack of norms and freedom from the obligations of social capital. However, Butler and Robson noted "there appears to be something of a gulf between a widely circulated rhetorical preference for Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 29 multicultural experience and people's actual social networks and connections" (2156). There is physical integration, but little interaction between different social and ethnic groups. Residents' associations and middle-class participation in interest- or action-groups are virtually non-existent. Butler and Robson described this as a "celebration of Brixton in the mind", where diversity is celebrated in principle, but people live separate lives in practice (2157). Butler and Robson's research has implications for deriving a normative model of social capital. While it may be desirable to build neighbourhood social capital as a means to enable residents to lobby for local services, build social cohesion in the neighbourhood or so forth, is important to keep in mind the utility of other forms of capital. Residents in different neighbourhoods may not find social capital to be as equally useful in attaining their neighbourhood goals, nor will they necessarily use available resources to work toward the same ideals for city living. Just as some people may flee the small town for the anonymity of big cities, not all people will want to live in an urban village where there is a strong network of ties and mutual obligations to one's neighbours. Effect of the Neighbourhood on Social Capital The perspective that views social capital as a means to an end is also evident, conversely, in the literature on how the neighbourhood affects individual level social capital. Briggs (1998) assessed the outcomes of a scattered-site housing mobility programme in Yonkers, New York, by looking specifically at the impact that moving into white, middle-to-upper income neighbourhoods had on the social capital of low-income African-American and Latino adolescents. As a result of a court order to desegregate its public housing, the city of Yonkers built two hundred public housing units on seven separate sites in the eastern part of Yonkers between 1990 and 1993. Previously, public housing had been concentrated in poor, minority-dominated neighbourhoods in the southwest part of the city. According to the court judgement, the concentration of all public housing in one area had the effect of creating a dual system of neighbourhood schools, which denied equal opportunities for education to children of colour. Belief that moving to a different neighbourhood would expand the social networks of disadvantaged adolescents and provide them with better Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 3 0 access to employment information was an underlying assumption of the scattered-site housing mobility programme. In his study, Briggs compared the social capital possessed by "stayers", youth who remained in the old neighbourhood, and "movers", youth who moved into newly constructed public housing in east Yonkers. He found the effects of moving were complex, making it impossible to make simple statements about the direct impacts of neighbourhood on the social capital of youth. Briggs (1998) focused on two forms of social capital available for individual action that he termed: (1) social leverage, which is used to 'get ahead' (e.g. a recommendation for a scholarship), and (2) social support, which is used to cope or 'get by' (e.g. an offer of assistance or emotional support) (178). The research found little difference between the social support and social leverage reported by movers and stayers. Instead, both forms of social capital were more significantly correlated with simply knowing an employed adult or a white adult. The movers did not derive any social leverage from living in a wealthier, more racially diverse neighbourhood. The social support they acquired in the new neighbourhood come only from other residents in the public housing complex. Rather than integrating into the new neighbourhood, movers retained ties to the old neighbourhood—for example, by travelling to their old neighbourhood for religious activities. According to Briggs, the research showed few clear neighbourhood effects on social capital and the results "argue against the application of simple ideas about neighborhoods or so-called strong communities as socializing agents" (209). Social contacts that are useful and available to youth are structured not only by the neighbourhood, but also by ethnicity, class and parent origins. Briggs concluded housing mobility programmes must consider: (1) the social resources available to movers, in addition to any other benefits of the new neighbourhood; and (2) the possibility that the programme/neighbourhood might have dissimilar effects on different forms of social capital—for instance, increasing social leverage while decreasing social support. Forrest and Kearns (2001) also looked at the connection between the neighbourhood and the social capital of individuals who live within a bounded area. Their research interest was part of a broader query about what role, i f any, the neighbourhood plays in contemporary urban life. While concerns have been raised that information technology, Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 31 globalisation, increased social and ethnic diversity, and other processes of macro change are weakening social cohesion, Forrest and Kearns contended is it not apparent these macro changes are eroding the bonds of spatial proximity. In fact, these changes may be resulting in alternative trends, where for example, teleworkers develop a renewed interest in neighbourhood diversions or people deal with feelings of dislocation by turning to the familiarity of neighbourhood landmarks. For Forrest and Kearns, the neighbourhood provides a context for the production and maintenance of social capital, which they identified as one determinant of social cohesion.10 They posited that the neighbourhood provides a place for social interaction and may be particularly important for the social capital of groups such as the elderly or handicapped, who may have less diffuse social networks and spend more time close to home (2132). Forrest and Kearns also contended the neighbourhood is important because it acts as a receptacle for the social resources used by community organisations in self-help projects and the building of local institutions (2139). 2.2.3 Relationship Between Social Capital and Homeownership Social capital serves as one focus for a theme in housing literature that looks at the what La Grange and Yip (2001, 293) have called the "transformative power of housing tenure", that is, literature which explores the effects of tenure on people's attitudes, behaviour and activities. Saegert and Winkel's 1998 study of a programme to reprivatise buildings acquired by the city of New York through defaults on property taxes provides one example of such research on the effects of homeownership on social capital. In comparing buildings that were sold by the city of New York to tenants as co-ops; buildings that were sold to community groups, private landlords and the New York City Housing Authority; and buildings that remained in city hands, Saegert and Winkle found buildings with tenant-owned 1 0 While Forrest and Kearns (2001) regarded social capital as a resource for action rather than an intrinsically positive good [writing that social capital "is important not for its own sake, but for what one does with it, or can attain by it" (2141)], they nonetheless used Putnam's definition of social capital. They stated: "Putnam's well-rehearsed definition will suffice [...where] social capital refers to features of social organisation such as networks, norms and trust that facilitate co-ordination and co-operation for mutual benefit" (Putnam 1993 cited in Forrest and Kearns 2001, 2137). Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 32 co-ops had higher levels of social capital than any other building type." The higher levels of social capital in buildings with tenant owned co-ops had two benefits: first, the buildings were better maintained and had fewer crime problems, and second, residents provided each other with encouragement and assistance in seeking opportunities for higher education and employment (48). Saegert and Winkle asserted their findings made a case for considering the effects of homeownership on social capital in the formulation of housing policy. That is, policy makers should specifically confront the trade-offs between developing as many units as quickly as possible and "building community" and social capital through tenant co-op programmes, even though developing co-ops might require a greater investment of time, training and technical assistance (54-5). While Saegert and Winkle (1998) examined the implications of homeownership for residents at the building level, Glaeser and Sacerdote (2000) focused on the consequences of homeownership and building structure on the social capital of the wider community. The authors asserted single-family homeowners are more active citizens than residents of large apartment buildings. Without explicitly defining social capital, they used the term interchangeably with the notion of citizenship, and suggested homeownership creates incentives to improve one's neighbourhood and invest in social capital, therefore causing single-family homeowners to be more involved in local politics than apartment dwellers. According to Glaeser and Sacerdote, apartment dwellers are less motivated to get involved in local politics, because living in a large building, they are more insulated from problems with public infrastructure and neighbours and they can hand over any operational or political activities to an apartment manager (3-4). Glaeser and Sacerdote drew the conclusion that " i f building structure has an impact on citizenship, crime, and social connection then there are externalities associated with housing design. Housing policy should be made with these externalities in mind" (1). " Social capital was measured in the study by survey questions on: (1) informal building participation (e.g. assisting in maintenance work); (2) perceived prosocial norms (e.g. perception other tenants keep the building clean); (3) leadership activity (e.g. acting as a building representative at a neighbourhood meeting); and (4) participation in a tenant association (Saegert and Winkle 1998, 31). Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 33 Policy Implications of Homeownership: The Organic Quality of Social Capital Drawing broad policy conclusions from the impacts of homeownership on social capital may prove to be problematic, because housing serves other purposes that are more direct, and arguably more important, than its role in shaping social capital. For instance, converting publicly owned buildings into co-ops or limited-equity co-ops is important for its own sake, for the savings and asset accumulation that homeownership offers low-income people. However, i f an argument is made for developing a tenant-owned co-op because of its social externalities, the research and its policy implications are less clear. Saegert and Winkle (1998) found that residents in tenant-owned co-ops enjoy higher levels of social capital, which enables them to pursue educational and employment opportunities (48)—and by extension, residents in public rental housing have diminished access to these types of social capital. However, Reingold, Van Ryzin and Ronda (2001) drew different conclusions and found that public housing has little or no direct effect on the social capital and labour force activity of its residents. Using data collected in Detroit, Atlanta, Los Angeles and Boston, the researchers found that work experience, presence of children and health status are more influential factors in affecting the social capital and labour force activity of public housing residents (499). Not only are research findings mixed on the effects of housing tenure on individuals' social capital, but there are also differences in the trade-off individuals are willing to make in choosing a particular form of housing tenure. Saegert and Winkel (1998, 51) acknowledge in their article the possibility that some co-ops become torn by strife and some residents express the opinion that given other alternatives, they would not have chosen co-op living. So while co-ops may increase the level of social capital amongst building residents, housing conversion programmes are fundamentally about providing a choice of desirable housing to residents, and not everyone would choose the lifestyle and obligations that co-op living entails. Similarly, developing housing policy to take advantage of the social capital externalities of single-family residential housing, as is suggested by Glaeser and Sacerdote (2000), detracts from the more germane discussion about the housing choices that people want and the building forms that are desirable for a host of ecological or economic reasons. Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 3 4 This is not to say that housing policy should not address the social externalities of homeownership. It is, however, worthwhile to caution that housing policy which specifically targets the formation or use of social capital may be set up for failure, because of the organic quality of social capital. Social capital develops gradually and cannot be forced or directed by the state with any more certainty than the state can force or direct the people who engage in social relationships. La Grange and Yip (2001) considered this issue in studying the relative ineffectiveness of the Hong Kong government's policy to promote homeownership as a means to develop social capital to further their political goals related to people's sense of social belonging. Hong Kong had a large-scale public housing programme, but for ideological, political and financial reasons, the government became committed to increasing the level of homeownership in the run-up to Hong Kong's return to China in 1997, including by selling a substantial portion of its public rental stock (292). One of the foremost objectives of the 1987 Long Term Housing Strategy was to promote political stability by using homeownership as a means to nurture people's sense of social belonging, and thus stemming the tide of emigration that was taking place. However, La Grange and Yip found that tenure status was unrelated to people's sense of belonging to Hong Kong. The researchers questioned respondents on four components of social belonging, which were then used to derive a composite social belonging score: (1) involvement in community and political activities, (2) attitude toward the community, (3) social belonging as an emotional state, and (4) sense of 'Hong Kongness', as opposed to 'Chineseness' (299). These four components can be regarded in this specific context as indicators of social capital, in so far as the variables indicate social-psychological resources embedded in people's relationship with the entity of Hong Kong. La Grange and Yip compared the sense of belonging felt by homeowners and renters, but found tenure status had little significance when other variables were controlled. Respondents who had a higher sense of belonging simply tended to identify themselves as Hong Kong Chinese, be older, have higher incomes, and hold no foreign right of abode. La Grange and Yip concluded that assumptions about "the existence of an autonomous 'tenure effect' and prevailing assumptions about the precise impact of tenure on beliefs and behaviour are at Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 3 5 best arguable and at worst simply wrong" (307). They additionally found the educated and skilled residents the government was most interested in retaining were already homeowners, many of whom also had citizenship and homes in another countries. 2.3 Implications of the Literature for a Model of Social Capital The breadth of contexts in which social capital has been applied in the literature on housing and urban development suggests the concept is most useful and widely applicable when regarded as a productive resource used by actors for achieving specific ends. In other words, social capital should be regarded as a means to achieving a more fundamental objective. The actors who use social capital can range from an individual youth seeking information on educational or employment opportunities to a nonprofit organisation mobilising political or financial support to build low-income housing. Social capital does not appear spontaneously, but rather is only generated and maintained through an investment of time and other resources, which transforms contingent relations into more meaningful ones through which material or symbolic resources may be accessed. Social capital develops and functions organically, making it difficult in some cases to draw firm policy conclusions from research findings about how housing influences social capital or how social capital functions as a resource. As in the case of housing policy in Hong Kong, only tenuous connections could be found between housing tenure and the social capital that contributes to resident commitment to the community. As a resource, social capital is value-neutral and context-specific. For instance, no judgement can be made about the social capital that faith-based organisations employ until we see to what ends it is being used. Faith-based organisations may draw upon social capital to do service work with disadvantaged groups or alternatively, to proselytise. Depending upon one's point of view, both ends could be viewed positively, or the proselytising might be regarded negatively. Social capital is also context-specific. The trust and shared values which function as social capital and enable faith-based charitable organisations to collaborate with each other, may have limited utility in enabling them to work with dissimilar Chapter 2 Social Capital in Contemporary Housing and Urban Development Literature • 3 6 community development corporations and may not be applicable in the broader metropolitan or national setting. If, as some have argued, the habits of trusts and cooperation engendered by participation in community based organisations can be transferred into other contexts, and consequently have an impact on good government and economic development, then the causal relationship by which this occurs should be made explicit. Regarding social capital as a productive resource allows the concept to be applicable at different spatial scales and different levels of abstraction. Broad applicability is an important consideration in deriving a conceptual model of social capital. Accordingly, a model of social capital should be able to function as an analytic and heuristic device at different spatial scales, in the bounded area of a building, neighbourhood or country. The model should also be applicable at different levels of abstraction and allow for analysis of both the tactical concerns of individuals struggling to get by, as well as the strategic concerns of a government engaged in social planning. This is to say social capital should not be conceptualised as synonymous with micro level concepts such as civic engagement, because governments and institutions also have a role in shaping the formation and deployment of social capital. This was evident in the study of south London neighbourhoods, where the character of one was strongly influenced by civic engagement and the high level of social capital amongst residents; but social capital amongst the residents of a second neighbourhood was largely latent, because their goals were already being met by a local government who had similar development goals. The concept of social capital provides a broad tool for examining contemporary urban development problems. Social capital has been used in the literature to structure community studies in disparate international contexts—from gentrification in London, to community-based development work in Jackson, Mississippi, to social engineering in Hong Kong. A model of social capital should not only be applicable in different social, political or cultural environments, it should also serve as a prompt to question the power relations in different contexts: How do different groups relate to each other, to government and to other individuals? Social capital provides policy language for this discussion and it creates conceptual space for new actors in an era of devolution and changing ideas of governance. Chapter 3 Conceptual Framework and Analytic Model • 3 7 3 C O N C E P T U A L F R A M E W O R K A N D A N A L Y T I C M O D E L In surveying the literature for how social capital has been integrated into current thinking about housing and urban development, we find a diversity of approaches to conceptualising social capital. The research, which has ranged in focus from studying the local effects of national housing policy to examining the impacts of housing mobility on the social resources available to individuals, would suggest that a useful model of social capital should include both macro and micro dimensions. The literature also suggests the model should include different degrees of embeddedness—including both strong ties based on ethnicity, race or the neighbourhood and loose or nonexistent ties between divided social groups or residents in less cohesive neighbourhoods. Additionally, the theory on social capital indicates a model of the concept should delineate its constituent parts. Bourdieu's (1986) definition of social capital, as the "actual or potential resources which are linked to the possession of a durable network of more or less institutionalized relationships", makes reference to two distinct components of social capital: a resource aspect and a container aspect. Similarly, Nan Lin, a sociologist and specialist in Asian studies at Duke University, defined social capital as the resources embedded in a social structure that are accessed and/or used by actors in purposive actions (Lin 2001 , 25 and 29). Building upon this understanding of social capital, Lin contended a theory of social capital had to be able to do three things: First, it should explain how resources take on values and how the valued resources are distributed in society - the structural embeddedness of resources. Second, it should show how individual actors, through interactions and social networks, become differentially accessible to such structurally embedded resources - the opportunity structure. Third, it should explain how access to such social resources can be mobilized for gains - the process of activation. (29) Lin's representation of social capital as comprising of three parts—a resource, a structural and an action component—provides a conceptual device for ensuring dialogue on social capital stays focused on establishing causal connections and avoids motherhood statements which endow social capital with extraordinary, positive qualities. Identifying the particular resource, its opportunity structure and its mobilisation will underlie discussion on each of Chapter 3 Conceptual Framework and Analytic Model • 38 the four types of social capital that will be developed in this chapter. This chapter sets out the concepts and model of social capital, which will be used to analyse the socially embedded resources utilised in two cases of community initiated housing. 3.1 The Resource Aspect of Social Capital 3.1.1 Material and Symbolic Good Comparable to the kinds of resources an individual may possess, social capital comprises of both material and symbolic goods. Material goods refer to financial or physical resources, while symbolic goods are those resources to which people ascribe or attach meaning (e.g. knowledge, emotional commitment) (Lin 2001, 29). Whether material or symbolic, social capital resources are embedded in and accessed through social relations and social structures. Under the category of symbolic resources, I include the 'social-psychological aspects of social capital' which Greeley (1997) and Edwards and Foley (1998) suggested should be dropped from social capital discourse, because in some circumstances attitudinal resources such as trust, norms of behaviour or shared values can indeed function as social capital.1 However, these attitudinal resources are not synonymous with social capital—they can be conceptualised as social capital only i f the social structure in which they are embedded and the actions for which they are used are also identified. 3.1.2 Individual and Collective Resource Social capital can function as both an individual resource and a collective resource. Whether it acts as an individual or collective resource (or obstacle), depends on the context and level of analysis. For instance, while individuals might benefit personally from having neighbours offhandedly watch over their property or children—what Jacobs called having 1 The argument to discard the social-psychological aspects of social capital discourse was discussed earlier in Chapter 2 under the subheading Social Capital as a Context Specific Resource. Note that Norman Uphoff (2000, 221) has referred to these mental or attitudinal resources as "cognitive" forms of social capital. X Chapter 3 Conceptual Framework and Analytic Model • 39 "eyes upon the street" (1961, 35)—at a broader level of analysis, this informal security system can also function as a collective resource. Other city residents, knowing the safe reputation of the neighbourhood, would also benefit by feeling comfortable to walk down those same streets. 3.1.3 Asse ts Approach to Product ion Broadening our understanding of 'available resources' to include those which can be accessed through social relationships, as well as those held in the personal possession of individuals, gives us a more realistic view of the resources which may be used toward any human endeavour. Rather than viewing the residents of deprived neighbourhoods or poor communities only in terms of the material resources they are lacking, the concept of social capital enables us to consider the potential assets they have in each other (Woolcock 2001, 78). In policy research for the World Bank, Carolyn Moser identified social capital as an important class of assets the poor have in coping with poverty and reducing their vulnerability to the negative effects of ecological, economic, social or political change (Moser 1996, 2).2 For instance, Moser cited examples such as reciprocal arrangements between neighbours which enable households to share food, water and cooking duties; short-term credit arrangements which enable poor households to borrow money from neighbours or relatives to purchase food; or rural households sending children to urban relatives for schooling or employment. 3.2 Opportunity Structures for Social Capital In his theoretical work on social capital, Lin described social capital as having "significant structural character" (Lin 2001, 40). This means any discussion of socially embedded resources must necessarily consider the opportunity structure for accessing the resources. Lin posited individuals have differential access to embedded resources both 2 Note that Moser employs Putnam's (1993b) definition of social capital, as the networks, norms and trust that facilitate coordination and cooperation for mutual benefit. Chapter 3 Conceptual Framework and Analytic Model • 40 because of different social networks and the principle of homophily.3 The homophily or Wee-nie hypothesis postulates social interactions will tend to take place between individuals who have similar resources (39). People engage in homophilous relations with other actors who have a similar lifestyle, reputation, wealth and so forth. Heterophilous relations, the interactions between actors who possess dissimilar resources, tend to be less prevalent because a greater effort is required to assess the desirability of forming the relationship i f there is a disparity in resources. Lin noted there is rationality in forming any type of relationship, even heterophilous ones, because people value symbolic rewards as well as material ones. For instance, a lower status actor might seek the prestige of being associated with someone with a good family name, while a wealthy actor might form relations with less well resourced individuals or groups for the social approval or esteem of being regarded as charitable. In social capital literature, homophilous and heterophilous relations are more commonly been referred to as bonding and bridging relationships (Granovetter 1973; Putnam 1995 and 1998; Gittell and Vidal 1998; Narayan 1999; Woolcock 1999). Putnam wrote about the desirability of the bonds which formed between members of civic associations who meet face-to-face (1995), as well as the necessity for having bridging ties across cleavages in society (1998). Writers have generally used the term bonding social capital to refer to ties within groups and bridging social capital to refer to ties between groups. While homophilous/heterophilous or bonding/bridging provide useful language for categorising different types of relationships or structures through which social capital is accessed, additional concepts are needed for describing the degree to which these structures bind or constrain behaviour and action. 3 Lin's use of the homophily principle is a theoretical induction from research on patterns of friendship (Lazarsfeld and Merton 1954) and associations (Laumann 1966). Paul F. Lazarsfeld and Robert K. Merton, "Friendship as Social Process: A Substantive and Methodological Analysis", in The Varied Sociology of Paul F. Lazarsfeld, ed. P. L. Kendall (New York: Columbia University Press, 1954), 298-348; and Edward O. Laumann, Prestige and Association in an Urban Community (Indianapolis: Bobbs-Merrill, 1966). Cited in Lin (2001, 39). Chapter 3 Conceptual Framework and Analytic Model • 4 1 3.2.1 Embedded and Autonomous Dimensions Embeddedness and autonomy are two key concepts for delineating different dimensions of social capital (Woolcock 1998, 162). These terms provide useful language for describing the opportunity structures for social capital. Embeddedness refers to the degree to which behaviour and institutions are embedded in and constrained by social relations (Granovetter 1985), while autonomy refers to the complementary idea of disentanglement or insulation from the obligations of social relations (Evans 1995). The concept of embeddedness originated with the economic historian Karl Polanyi, who contended that in traditional societies the economy was embedded in and determined by social relations, but the reverse had become true with the development of self-regulating (liberal) markets, where social relations were subordinated to and defined by the economic system (Polanyi 1944, 57). The idea of embeddedness was used by Mark Granovetter in the field of sociology to argue for a more nuanced interpretation of economic behaviour, one which negotiated between undersocialised and oversocialised4 views of human action. In the undersocialised view, individuals are seen as making self-interested decisions without regard to surrounding social relations and social structures, whereas in the oversocialised view, individuals are seen as so constrained by social structures and socialised to prevailing customs and norms that they have no capacity to make independent decisions. Granovetter asserted both perspectives are flawed because they make the same assumption that people are fully atomised actors, who are unaffected by ongoing social relations. An assumption of atomised behaviour is made whether one believes individuals act in utilitarian self-interest or whether one believes they act slavishly according to internalised behavioural patterns (Granovetter 1985, 485). Granovetter argued, all "attempts at purposive action are instead embedded in concrete, ongoing systems of social relations" (487). So for example, Granovetter asserted it is ongoing personal relationships and networks, not morality, which are largely responsible for generating trust and discouraging 4 Granovetter cites Dennis Wrong for initiating this debate over an oversocialised view of human behaviour. In Dennis Wrong, "The Oversocialized Conception of Man in Modern Sociology", American Sociological Review 26, no. 2 (1961): 183-93. Chapter 3 Conceptual Framework and Analytic Model • 42 malfeasance.5 Individuals prefer to do business with people they already know or they ask friends for referrals because they value information from trusted informants about prior dealings with the person. The idea of embeddedness provides an explanation for this behaviour: first, individuals who are involved in a continuing relationship have an economic incentive to be trustworthy, so as to ensure future transactions; and second, a continuing relationship becomes imbued with "social content that carries strong expectations of trust and abstention from opportunism" (490). As Granovetter has noted, one would not expect family members to trample each other in escaping a house fire, but this is routinely the case in theatre fires, where patrons have no prior 'content-filled' relationships with each other (490). Peter Evans (1992; 1995) contributed to the theoretical development of the idea of embeddedness by contrasting it with the notion of autonomy. Evans compared state structures and state-society relations in predatory and developmental states, and found that predatory or rent-seeking (corrupt) states lack an autonomous bureaucracy. In predatory states, personal ties between individuals and office holders take precedence over the ties of constituents with the state as an organisation. In contrast, developmental or transformative states are characterised by two seemingly contradictory characteristics—the state is simultaneously embedded in a concrete set of social ties which bind it to society, while also possessing an autonomous bureaucracy which is insulated from rent-seeking groups and the exploitation of personal ties (Evans 1995, 12). In his research on the role of the state in promoting economic transformation, Evans (1995) credited the development of an information technology sector in South Korea, Brazil and India to the "embedded autonomy" of these states. Embeddedness was evident in the dense ties that existed between individuals in the state bureaucracy and in local industry. These ties provided the channels for conveying policy signals which initiated local informatics production and for renegotiating goals and policies over time. At the same time, 5 Granovetter contended the usefulness of 'generalised morality' in explaining economic behaviour is limited to highly unusual circumstances. Generalised morality might explain economically irrational transactions, such as if someone were to leave a tip at a roadside restaurant far away from home, but this would only be a plausible explanation if three conditions were in place: (1) the transactors were previously unacquainted, (2) they were Chapter 3 Conceptual Framework and Analytic Model • 4 3 the state was sufficiently detached from these ties, so as to keep a check on the creation of rents beyond an initial 'greenhouse' of tariff protection. Likewise, local companies were sufficiently unencumbered by their ties to the state, so that at the end of the 1980s, they began to internationalise their industry by distancing themselves from nationalist policies in favour of forming alliances with transnational corporations who had proprietary technology and global market power (16). 3.2.2 Micro and Macro Dimensions Grootaert (2001) has noted writers have taken different approaches to conceptualising the structures of social capital—from narrowly focusing on horizontal associations between people or vertical hierarchies within firms, to broadly examining the role of institutional relationships and government structures on economic development. Woolcock (1998) has more meaningfully characterised these different approaches to social capital as being dependent on whether one takes a bottom-up or top-down approach to development. A bottom-up approach would focus on micro level social capital available to individuals, groups and communities, while a top-down approach would examine macro level social capital made available through the institutions and structures of government. Woolcock suggests that conceptually, social capital must take into account both its micro and macro dimensions, so that for instance, the embedded and autonomous qualities of social capital are considered in both its micro and macro dimensions. This inclusive conceptualisation of social capital acknowledges that the distinction made between micro and macro approaches to development is rather an arbitrary one, since the state, markets and individuals are all integral actors in the process of development. Evans (1996b) contended that in a global economy dominated by market relations, governments and communities often have complementary roles. Rather than operating in separate or competing spheres, mobilised citizens working together with public agencies can enhance each other's unlikely to transact again, and (3) information about the activities of either was unlikely to reach others with whom they might transaction in the future (1985, 489). Chapter 3 Conceptual Framework and Analytic Model • 4 4 efficiency and development efforts (1130). Evans cited examples of irrigation and sewer services which could not be provided exclusively by either public or private means, where the service was coproduced, with government providing start-up costs and organisational support and the local community monitoring and maintaining the project. hi addition to the idea that synergies arise from the collaboration and division of labour between government and civil society, it is also advisable to include both micro and macro dimensions of social capital in a normative model of the concept because macro social structures have the capacity to shape micro structures and vice versa. Evans (1996b, 1034) has noted that the institutional environment can shape social relationships, for example, by creating an environment which allows civil society to thrive. Indeed, Foley and Edwards (1997, 554) have criticised Putnam (1995) for narrowly interpreting Alexis de Tocqueville's Democracy in America (1969) as a thesis purporting the vigour of American democracy was due to some innate propensity of Americans to form civic associations. Rather, Foley and Edwards interpret the Tocquevillian argument as one suggesting associational life arose in response to the social and political environment of the new nation. The egalitarian character (i.e. no hereditary leadership) and freedoms provided for under the political system, meant that associations were formed—and could form—as a means to carry out initiatives and cultivate leaders for public life. In Foley and Edwards' view, "the obligations, expectations, norms, sanctions, and authority of the state—not to mention its functions as information provider and organizational resource—constitute the ultimate institutionalization of social capital" (557). 3.3 Mobilisation of Social Capital A number of writers on social capital have stressed the importance of focusing on the structural aspects of social capital. Woolcock (1998; 2001) asserted definitions of social capital should focus on its sources rather than consequences, while Edwards and Foley (1998) contended social capital is best conceptualised in terms of relational or structural factors like networks or organisations. Portes (2000) additionally suggested that when the Chapter 3 Conceptual Framework and Analytic Model • 45 causes and effects of social capital are considered together as a collective trait, circular reasoning is bound to arise. None of these views represent the approach to social capital taken in this paper. I would suggest that if the concept of social capital were used primarily to refer to the sources or structures of this purported resource, then it would be far simpler to dispense with the terminology of social capital and talk plainly about the importance and value of relationships and networks. However, it is the very idea that resources do not have to be in the possession of individuals to have value, which is the intriguing aspect of the concept of social capital. Resources that are only accessible through social relations also have value to the individual. And why do resources have value? Because resources, no matter in whose possession, are used by individuals to do something. So while Portes justifiably deconstructed the elements of social capital into, first, the social relationship which allows people to gain access to resources, and second, the amount and quality of those resources (Portes 1998, 3-4), the implicit understanding that resources are used purposively for action must also be made explicitly clear (Lin 2001). A circular definition of social capital is avoided when the effects of resource mobilisation are considered as the consequences of action and not equated with social capital itself. (This does not preclude the results of social capital from then functioning as a resource in another context.) It is necessary to explicitly state the purposes for which socially embedded resources are being used, or may be used in the future, in order to avoid the popular tendency to associate social capital and the formation of relationships and networks with sentimental ideas of community and togetherness. 3.3.1 Expressive and Instrumental Actions In sociology, a distinction is made between social ties that are formed for expressive purposes, as an end in themselves, and those that are instrumental or goal-oriented. A relationship formed because of feelings of affection is an example of the former, while a Chapter 3 Conceptual Framework and Analytic Model • 46 doctor-patient relationship is illustrative of the latter.6 Lin (2001) used this terminology as the basis for a typology of motivations for action. However, Lin contended people employ socially embedded resources purposively, whether they do so consciously or unconsciously. Thus expressive actions are taken not for their own sake, but for the purposes of maintaining one's resources. In contrast, instrumental actions are motivated by a desire to acquire additional resources. Expressive actions seek only sentiment and support and require no response other than public recognition or acknowledgement by others, while instrumental actions seek a response or action from others (Lin 2001, 45). For instance, resources accessed through relationships with neighbours could be used for instrumental and expressive purposes. The relationships could provide access to labour and be used instrumentally for informal childcare. The relationships could also convey the symbolic resource of mutual recognition of each other's property rights, which has the expressive purpose of legitimising one's claim to the property—this could prove especially useful i f one were a large landowner in an area with widespread poverty. 'Expressive action' provides language to describe motivations that are rational, but not necessarily economic. Together with the language of 'instrumental action', the utility of social relationships can be considered in a policy setting without straying into sentimentality. 3.4 Multidimensional Analytic Model of Social Capital This section sets out an analytic model of social capital which incorporates insights from how social capital has been used conceptually in housing and urban development literature, as well as incorporating Lin's (2001) assertion that the conceptual framework for social capital should include reference to (1) the specific resource, (2) the relations or social structure in which the resource is conveyed, and (3) the purposive mobilisation of the resource. This model uses the typology devised by Michael Woolcock, a social scientist currently with the Development Research Group at The World Bank. According to 6 "Expressive Ties aM lnstnirnental Ties'', in v4 £fc 1998). Oxford Reference Online, <http://130.94.78.150/views/ENTO (10 October 2002). Chapter 3 Conceptual Framework and Analytic Model • 47 Woolcock, social capital has four distinct but interrelated forms of social capital: (1) integration (embeddedness at the micro level), (2) linkage (autonomy at the micro level), (3) synergy (embeddedness at the macro level) and (4) organisational integrity (autonomy at the macro level) (Woolcock 1998, 164).7 I will adhere to the spirit of Woolcock's typology, but because one important contribution of the concept of social capital is to provide policy language for socially embedded resources, I have renamed three of the forms with more intuitive and commonly used terms. Integration, linkage and organisational integrity have been replaced respectively with bonding, bridging and institutional social capital. Synergy, which is commonly used in business and everyday speech, will continue to be referred to as synergistic social capital. Additionally, I make the assumption that each of the four types of social capital comprising this analytic model has three constituent parts: the resource, structure and purposive action identified by Lin (2001). However, given the innumerable things that can constitute a resource and the myriad of uses for different resources, in the explanations that follow, I will largely focus on the relations and opportunity structures which distinguish the different types of social capital. Specific examples of resources and their mobilisation will only be referred to where these have broader implications for policy. 7 Woolcock and Narayan (2000) credited two major research projects for developing contemporary theoretical understanding of social capital as it relates to economic development, on which the ideas of integration, linkage, organisational integrity and synergy are based. These were, first, a collaborative research project on the economic sociology of immigration, sponsored by the Russell Sage Foundation and led by Alejandro Portes, the findings which were published in Portes (1995); and second, a series of articles written for a project on social capital and public affairs, sponsored by the American Academy of Arts and Sciences and edited by Peter Evans, which were published in World Affairs 24 no. 6 (1996). Portes (1995) developed ideas related to social capital at the community level, while World Affairs examined state-society relations and the role of formal institutions. Note, however, that Portes (1998, 2) has asserted social capital "does not embody any idea really new to sociologists. That involvement and participation in groups can have positive consequences for the individual and the community is a staple notion, dating back to Durkheim's emphasis on group life as an antidote to anomie and self-destruction and to Marx's distinction between an atomized class-in-itself and a mobilized and effective class-for-itself...Tracing the intellectual background of the concept into classical times would be tantamount to revisiting sociology's major nineteenth century sources." See Portes and Sensenbrenner (1993) for an exposition of classic references to the impacts of social structures on economic action within groups, including the work of Karl Marx and Frederick Engels, Ernile Durkheim, Georg Simmel, Max Weber and Talcott Parsons. Chapter 3 Conceptual Framework and Analytic Model • 48 _/ macro dimension micro dimension / / \ \ x—' /_ cohesive \ \ \ / group ! I embedded dimension cohesive \ / group ! autonomous dimension Figure 1: Four-Part Typology of Soc ia l Capital Adapted from Michael Woolcock, "Social Capital and Economic Development: Towards a Theoretical Synthesis and Policy Framework," Theory and Society 27, no. 2 (April 1998): 151-208. 3.4.1 Bonding Socia l Capital Bonding social capital refers to resources that are accessed through embedded, intra-community relationships. Within collectivities, Portes and Sensenbrenner (1993) identified four sources of social capital8 or motivations for individuals within a collective to engage in expected group behaviour: 8 Portes and Sensenbrenner (1993, 1323) defined social capital as "those expectations for action within a collectivity that affect the economic goals and goal-seeking behavior of its members". The authors alternatively described the "sources" of social capital as four types of "economically relevant expectations". Note that in a subsequent book, Portes (1995, 12) refined his definition of social capital to "the capacity of individuals to command scarce resources by virtue of their membership in networks or broader social structures". Chapter 3 Conceptual Framework and Analytic Model • 49 1. value introjection - socialisation into commonly accepted values or beliefs, e.g. business morals associated with Protestantism, such as honesty, repayment of debt, frugality, industry and so forth;9 2. bounded solidarity - feelings of solidarity based on commonly experienced situational adversity, e.g. ethnically distinguishable immigrants banding together to cope with discrimination and provide mutual support; 3. reciprocity exchanges - expectations of a comparable return on previous good deeds based on a norm of reciprocity within the group, e.g. the return of favours; 4. enforceable trust - rewards and sanctions associated with membership in a group, e.g. the mechanisms of rotating credit associations. Portes and Sensenbrenner categorised the reasons why members of a group engage in actions expected by the collectivity, as arising out of principled motivations (for value introjection and bounded solidarity) or instrumental motivations (for reciprocity exchanges and enforceable trust).10 However, in the model of social capital developed in this paper, I will not use the categories of 'principled or instrumental' motivations, as I am not convinced that principles or altruism can adequately explain why people will form the relationships and social structures through which social capital is accessed. I find the language of 'expressive or instrumental' actions and ties to be more useful for both explaining why social capital is mobilised (part three of Lin's model) and how differential access—the opportunity structure—for social capital emerges (part two of Lin's model). While Woolcock (1998, 165) acknowledged Portes and Sensenbrenner's model is helpful in identifying some of the conditions under which social capital is formed, he asserted their work has shortcomings in its failure to provide normative guidelines for creating and harnessing the positive aspects of social capital and dissipating the negative aspects. Woolcock rhetorically asks do we encourage inter-group conflict and 9 From Max Weber, "The Protestant Sects and the Spirit of Capitalism", chap. 9 in From Max Weber: Essays in Sociology, edited and translated by H. H. Gerth and C. Wright Mills (1946; reprint, New York: Oxford University Press, 1958). Chapter 3 Conceptual Framework and Analytic Model • 50 discrimination? I would respond that the strength of the concept of social capital lies first and foremost in its utility as an analytic and heuristic tool—to break down and learn about a complex situation, including the tensions present in a community. Moreover, the previous literature review suggests many forms of social capital arise organically and are not readily amenable to policy manipulation, even i f policy makers were so inclined to encourage the formation of social capital for the benefit of the whole community. 3.4.2 Br idging Soc ia l Capital Bridging social capital refers to resources that are accessed through autonomous, extra-community relationships. Bridging can manifest through a social mechanism which Granovetter (1995) called decoupling, whereby individuals who initially benefit from coupling—the utilities drawn from the embedded ties of kinship, neighbourhood or other bounded communities—later attempt to distance themselves from the collectivity in order to resist excessive demands on their resources from other group members and to develop new ties free from social obligations. Though the relationships that generate bonding social capital may offer benefits, they may also convey costs to the individual, such as, social expectations to operate one's firm as a relief organisation rather than as a business—by employing an overly large staff or distributing profits instead of reinvesting in the business." Examples of individuals, who find utility in developing the more autonomous relations of bridging social capital, abound in the literature on ethnic and immigrant entrepreneurship. This decoupling can occur either from the individual's primordial group or from the surrounding majority society. Granovetter cited several examples of such research: entrepreneurs in China who left their native home to conduct business, in order to escape 1 0 Note that in later iterations on the sources of social capital, the terms principled and instrumental motivations were replaced with consummatory and instrumental motivations (Portes 1998) and then altruistic and instrumental sources (Portes and Mooney 2000). " Clifford Geertz, Peddlers and Princes (Chicago: University of Chicago Press, 1963), p. 123. Cited in Granovetter (1995, 135). Chapter 3 Conceptual Framework and Analytic Model • 51 from being surrounded by numerous relatives;12 Thais and Malays who secretly borrowed money from overseas Chinese traders, so as to escape the stigmatism in their community of being in a debtor-creditor relationship and to gain access to valuable information from an outside business network;13 and Chinese grocers in the Watts section of Los Angeles, who because of the social distance between themselves and the surrounding community, were able to engage in competitive practices that the black shopkeepers could not.14 Bridging social capital has utility, not just in the context of decoupling, but also in everyday circumstances, for the differential resources that can be accessed through weak ties—the ties between dissimilar individuals and groups. Granovetter (1973) posited a theory about "the strength of weak ties". He argued the stronger the tie between two individuals— as defined by time spent together, emotional intensity, intimacy and reciprocity of services— the more likely there would be overlap between the two circles of friends (i.e. a dense network of ties) and the more similar the two individuals would be. Consequently, the parties forming a strong tie would likely have access to the same resources and same sources of information. In contrast, "those to whom we are weakly tied are more likely to move in circles different from our own and will thus have access to information different from that which we receive" (1371). The utility of weak ties was evident in his empirical study of job changers in a suburb of Boston. Granovetter found that people who obtained their new job through information provided by contacts overwhelmingly reported only occasional or even rare communication with their contact, as opposed to frequent interaction (1371). Weak ties can serve not only as a bridge to different networks of resources and information for the individual—thereby effecting opportunities for mobility (Granovetter 1973, 1364), but from a macro perspective, "weak ties [also] play a role in effecting social cohesion" (1373). For unless strong ties are formed with everyone in the community, in the 1 2 Siu-Lun Wong, "Industrial Entrepreneurship and Ethnicity: A Study of the Shanghainese Cotton Spinners in Hong Kong (Ph.D. diss., Wolfson College, Oxford, 1979), p. 284. Cited in Granovetter (1995, 145). 1 3 Peter Gosling, "Chinese Crop Dealers in Malaysia and Thailand: The Myth of the Merciless Monopsonistic Middleman", in Linda Y. C. Lim and L. A. Peter Gosling, eds., The Chinese in Southeast Asia, Vol. I, Ethnicity and Economic Activity (Singapore: Maruzen Asia, 1983), p. 143-4; and Granovetter (1973). Cited in Granovetter (1995, 146). Chapter 3 Conceptual Framework and Analytic Model • 52 absence of weak ties, a community is likely to be fragmented, where "each person is tied to every other in his clique and to none outside" (1373). Weak ties which act as bridges between groups (though not all weak ties are bridges) are necessary for effective community organisation. Woolcock (1999) has linked the idea of weak ties to both the horizontal and vertical dimensions of development, and suggested it is imperative "that the activities of the poor not only 'reach out', but are also 'scaled up'" through alliances with sympathetic individuals in positions of power".'5 3.4.3 Institutional Soc ia l Capital Institutional social capital refers to the resources—the utilities offered by predictable patterns of behaviour and interaction—that are conveyed and accessed through relationships established or shaped by autonomous institutions in a society. Institutions reduce uncertainty and transaction costs (North 1995, 18), and thus function as a resource. So for example, the predictability of behaviour in a landlord-tenant relationship that is established and regulated by residential tenancy legislation, functions as capital in facilitating exchange between two strangers in the rental housing market. It allows landlords to feel comfortable with doing a minimal background check on prospective tenants and not feel compelled to monitor their property for damage on a daily basis. Tenants also benefit because a perfect stranger is willing to rent housing to them without being overly invasive. They can also feel comfortable with giving the landlord a damage deposit in the knowledge that it will not be kept without good reason. Formal institutions are a source of public goods only so far as the institutions are autonomous—that is, where the institutions have not been captured by rent-seeking groups in society and operate on a principle of broad equality amongst individuals and 1 4 Charles Choy Wong, "Black and Chinese Grocery Stores in Los Angeles' Black Ghetto", Urban Life 5 (1977): 439-64. Cited in Granovetter (1995, 147). 1 5 David L . Brown and Jonathan Fox, The Struggle for Accountability: The World Bank, NGOs, and Grassroots Movements (Cambridge, Mass.: MIT Press, 1998). Cited in Woolcock (1999, n.p., point no. 9). Chapter 3 Conceptual Framework and Analytic Model • 53 organisational actors.16 With bonding and bridging social capital, intuitively straightforward explanations have been offered for how and why some particular relationships will form. For institutional social capital, social relationships are said to be formed and shaped by institutions. One might then ask how and why institutions that provide public goods develop, when around the world we can see a diversity of institutions, including those of predatory states. Before we can consider why institutions form, we need to make a clear distinction between institutions and organisations. Again, borrowing the words of Douglass North: Institutions are the rules of the game of a society, or, more formally, are the humanly devised constraints that structure human interaction. They are composed of formal rules (statute law, common law, regulations), informal constraints (conventions, norms of behaviour and self imposed codes of conduct), and the enforcement characteristics of both. Organisations are the players: groups of individuals bound by a common purpose to achieve objectives. They include political bodies (political parties, the senate, a city council, a regulatory agency)[;] economic bodies (firms, trade unions, family farms, cooperatives); social bodies (churches, clubs, athletic associations); and educational bodies (schools, colleges, vocational training centres). (North 1995, 23) In the model of social capital used in this paper, 'government' is represented in two parts: first, under the form of institutional social capital as a sovereign actor who has a weighty influence on the formal and informal institutions which appear in a society; and second, under the form of synergistic social capital as one actor interacting with other actors in civil society.17 Turning back to the question of how and why particular institutions develop, new institutional economics (NLE) offers some insight. The broad perspective of NLE is that 1 6 Bates (1995, 30) wrote that "a good is a public good, as opposed to a commodity, if its consumption by one individual does not diminish the utility derived from its consumption by another: the consumption of the good is non-rivalrous and its provision non-excludable." 1 7 For greater conceptual clarity, I use the term 'institutional social capital' instead of 'organisational integrity', which Woolcock (1998) employs. Woolcock wrote that autonomy at the macro level refers to "institutional coherence, competence and capacity" (168), but he also argued organisational integrity is "short-hand for the Weberian thesis" (170), which (1) ties modernisation to the emergence of formal bureaucracies and the universal rule of law and (2) emphasises the role played by bureaucrats who are recruited and socialised into an organisational form characterised by meritocratic recruitment and promotion (169). However, given that bureaucracies and bureaucrats—who have the attribute of agency—do not so much determine the relationships between actors in civil society, as they do establish relationships with civil society actors, I would characterise the role of bureaucracy in this model of social capital as that of an actor who engages in a state-society relationships. This role of bureaucracies is best analysed in terms of 'synergistic social capital'. Within the conceptual space of synergistic social capital, it would be fair to analyse the degree to which the relationships that bureaucrats have with civil society actors are embedded or autonomous, in the same way that the relationships of an individual actor may be analysed for their degree of embeddedness or autonomy from others. Chapter 3 Conceptual Framework and Analytic Model • 54 existing institutions represent an agreement between transacting parties to reduce uncertainty in their exchanges. North contended institutions develop out of a process of ongoing, incremental economic change arising as a consequence of: ...the choices individuals and entrepreneurs of organisations are making every day. While the vast majority of these decisions are routine... some involve altering existing 'contracts' between individuals and organisations. Sometimes recontracting can be accomplished within the existing structure of property rights and political rules; but sometimes new contracting forms require an alteration in the rules. Usually existing informal norms of behaviour will guide exchanges, but sometimes such norms will gradually be modified or wither away. In both instances institutions are gradually being modified. Modifications occur because individuals perceive that they could do better by restructuring exchanges (political or economic). The source of the changed perceptions may be exogenous [factors that alter perceptions]... But the fundamental source of change is learning by entrepreneurs of organisations. (North 1995, 23) However, Robert Bates, a professor of government at Harvard University, has criticised the "bloodless" language of new institutionalism, for its "unwillingness to acknowledge the fundamentally political nature of its arguments" (Bates 1995, 45-7). Rejecting the idea that institutions arise from the decisions of autonomous, voluntarily transacting parties, Bates argued institutions are often imposed by the state. Granovetter (1985, 482) has also criticised NTE for presenting an undersocialised view of economic behaviour, but this is not a debate that can be entered into here. The short response to a meta question about the genesis of institutions is that this query lies beyond the scope of this paper. Institution building is an entire field of study which has import beyond its effects on social capital. It will suffice our purposes here to limit our examination of institutional social capital to: (1) how institutions can function as public goods and shape the social relationships in a society and (2) how institutions change because of the interaction of different actors in society. NTE offers a hypothesis for institutional change, which is that incremental institutional change occurs from the restructuring of exchanges—the mutual learning and recontracting that occurs between transacting actors, as they seek a new agreement or institutional form by which they can more efficiently attain their individual goals (North 1995, 23-4). Chapter 3 Conceptual Framework and Analytic Model • 55 3.4.4 Synergist ic Soc ia l Capital Synergistic social capital refers to resources that are accessed through embedded, state-society relationships. Conceptually, the role of government in synergistic social capital is that of an organisation which interacts with civil society in two ways: (1) as the sovereign actor who implements and delivers formal institutions which impact upon its citizens, and (2) as an actor who directly interacts with other individuals or groups in society. Peter Evans described two forms of mutually supportive state-society relations, or synergy, which can act as "a catalyst for development": (1) complementarity - the division of labour between government and private actors, who deliver dissimilar goods according to who has the comparative advantage, and (2) embeddedness - the direct ties between public officials and citizens, where day-to-day interactions build up a new set of resources, such as norms and loyalties between state and civil society actors (1996b, 1119-20). In the model of social capital developed in this paper, I will not use the categories of 'complementarity or embeddedness' to make a distinction between different forms of synergistic social capital; rather, I employ the approach and language of Granovetter (1985) in that all synergistic exchanges are embedded in a system of ongoing relations. Nonetheless, Evans' typology is useful in pointing out that in some cases, synergistic social capital arises out of the complementary relations formed between government and civil society actors: "Governments are suited to delivering certain kinds of collective goods which complement inputs more efficiently delivered by private actors. Putting the two kinds of inputs together results in greater output than either public or private sectors could deliver on their own" (Evans 1996b, 1120). Evans provided examples of complementarity, such as where the state delivers rule-governed environments that enable market exchange to take place, or where the state provides media publicity that encourages public-minded actions amongst certain professions, while individuals within the professions carry out the work themselves. Evans' typology also points out that in other cases, collaboration rather than complementarity provides the source of synergistic social capital. Evans cited examples of agricultural and health programmes whose success can be attributed in large part to the dense ties government agents have with the communities they serve, where for instance, Chapter 3 Conceptual Framework and Analytic Model • 56 bureaucrats live in the community, become subject to the same expectations of intra-community ties and are compelled to work closely with other community members to ensure the success of the project (1121). 3.5 Testing the Model of Social Capital The scholarship to date on the relationship between social capital and housing or urban development has been marked by disparate conceptualisations of social capital, rendering it difficult to be sure that any discussion of social capital is actually about the same topic. The model of social capital that is set out here—where each form of social capital has a resource, structural and action component; where there are embedded and autonomous, as well as, micro and macro dimensions to social capital; and where different types can be categorised into the four broad forms of bonding, bridging, institutional and synergistic social capital—is an attempt to bring some consistency to the discourse. This is not to suggest social capital discourse must necessarily address all dimensions and forms of social capital. Rather, the model serves to place the specific planning project or research initiative within a broader social capital context, from which the reader, participant or policy maker can make relational observations. However, this social capital model must be subjected to testing and falsification. Although the model is based directly on a typology formulated by Michael Woolcock (1998), in subsequent papers Woolcock has distanced himself from the model. Specifically, he has since placed less emphasis on the distinction between micro and macro dimensions of social capital. In Woolcock 1999, he emphasised only the role of community level social capital—that is, social capital with bonding, bridging and linking (vertical) forms—in the management of risks and shocks in developing economies. Later in Woolcock 2001, he suggested it might be advisable to relieve social capital of its intellectual burden by divesting the concept of its macro-institutional components and placing these issues under a separate rubric, such as 'social capabilities', 'social cohesion' or social infrastructure. The goals for the next two chapters are therefore to: (1) explore the relevance of social capital to the Chapter 3 Conceptual Framework and Analytic Model • 57 planning profession by examining the contributions social capital made to developing and sustaining housing in two separate case studies and (2) ascertain the utility of this quadripartite model of social capital. 3.6 Research Methodology 3.6.1 Introduction to the Case Studies These research goals will be addressed by applying the model of social capital to two case studies of housing in greater Vancouver. One case looks at a seniors care home and day programme centre that was initiated and run by a community-based organisation (CBO) called S.U.C.C.E.S.S. (as part of its move to become a multicultural organisation, the organisation emphasises its acronym rather than its full name of the United Chinese Community Enrichment Services Society). The second case examines community living housing for adults with developmental disabilities. While this second case study is structured around the work of a CBO called Mainstream Association for Proactive Community Living (MAPCL), because individuals with developmental disabilities live and work in the community, the case study also analyses the support role played by families and other informal CBOs, specifically, the Parents Support Group for Families of Mentally Handicapped Adults (PSG). Because social capital has so often been discussed in an international context, I wanted the case studies to also reflect international priorities. M y case studies were chosen based on the international commitments Canada undertook in 1996 by signing the Istanbul Declaration and agreeing to implement the Habitat Agenda. I decided to focus on housing for people with developmental disabilities and housing for seniors based on two paragraphs in the Preamble to the Habitat Agenda: Encountering disabilities is a part of normal life. Persons with disabilities have not always had the opportunity to participate fully and equally in human settlements development and management, including decision-making, often owing to social, economic, attitudinal and physical barriers, and discrimination. Such barriers should be removed and the needs and concerns of persons with disabilities should be fully integrated into shelter and sustainable human settlement plans and policies to create access for all. (Paragraph 16) Chapter 3 Conceptual Framework and Analytic Model • 58 Older persons are entitled to lead fulfilling and productive lives and should have opportunities for full participation in their communities and society, and in all decision-making regarding their well-being, especially their shelter needs. Their many contributions to the political, social and economic processes of human settlements should be recognised and valued. Special attention should be given to meeting the evolving housing and mobility needs in order to enable them to continue to lead rewarding lives in their communities. (Paragraph 17) With respect to housing for seniors with complex health needs, I specifically chose to look at a housing complex for Chinese seniors that was built in the historic area of Chinatown in Vancouver, because of objectives articulated in the Habitat Agenda to promote respect for diversity, accessibility and preservation of historic and culturally significant districts: People's need for community and their aspirations for more liveable neighbourhoods and settlements should guide the process of design, management and maintenance of human settlements. Objectives of this endeavour include... promo ting equity and respect for diversity and cultural identities, increased accessibility for persons with disabilities, and preservation of historic, spiritual, religious and culturally significant buildings and districts. (Paragraph 30) 3.6.2 Approaches to Measur ing Soc ia l Capital The World Bank began its Social Capital Initiative (SCI) in 1996 to support research on the definition and measurement of social capital. One specific goal of the SCI was to develop indicators for monitoring social capital and methodologies for measuring its impact on development (World Bank 1998, 3). However, at the conclusion of the project, Grootaert and van Bastelaer (2001, 10) wrote in a synthesis of the findings from the SCI: Clearly, a wide range of social capital indicators are available and have been used in the SCI studies to measure social capital and its impact. Each of these measures has merits in the specific context in which it was used. Due to the strong contextual nature of social capital, it is unlikely that it will ever be possible to identify a few "best" indicators that can be used everywhere. So while Grootaert and van Bastelaer (2001, 23) do suggest three broad classes of indicators for quantifying social capital (membership in local associations and networks; indicators of trust and adherence to norms; and indicators of collective action), their suggestions, as well as the efforts of other researchers (Narayan and Cassidy 2001; Grootaert et. al 2002) to develop consistent measures of social capital, have only limited applicability to my case Chapter 3 Conceptual Framework and Analytic Model • 59 studies. The contextual nature of social capital in these case studies, as well as the quadripartite model of social capital I employ, made it difficult to apply the social capital measurement tools that have been developed elsewhere for the purposes of enabling consistent monitoring of social capital and comparison across empirical studies. Instead, I took a fluid, qualitative approach to analysing relevant forms of social capital in these case studies. For data that was collected through interviews, I used developed interview schedules that were based in part on questions adapted from Krishna and Shrader's tool for Cross-Cultural Measures of Social Capital (2000) and their earlier Social Capital Assessment Tool (SCAT) (1999). Krishna and Shrader grouped their questions in order to develop a community profile, a household profile and an organisational profile for their research area. I adapted their questions to develop: (1) an individual/housing profile (for both members/active volunteers and non-members/non-active members of the CBO under study); (2) a community profile (for the 'Chinese community' and the 'developmental disabilities community'); (3) an organisational profile (for the CBO under study); and (4) an external/institutional profile. The questions used to develop these profiles provided the means to look for indicators of bonding, bridging, institutional and synergistic social capital. For instance, questions to develop the community profile could provide indicators of both bonding social capital within the community, as well as bridging social capital with individuals or groups outside of the community. The questions were fluid in that the responses could address any of the resource, structural or action components of social capital. 3.6.3 Methods of Data Col lect ion 1. Semi-Structured Interviews Three informal conversations, two semi-structured telephone interviews and ten semi-structured face-to-face interviews were conducted (two of these face-to-face interviews were with the same person). Ten of the conversations and interviews were conducted with female respondents and four with male respondents. I used a strategy of purposive sampling to select interviewees. The sample consisted of: (1) employees at the City of Vancouver and the Vancouver Coastal Health Authority who had knowledge of the target housing programme; (2) Chapter 3 Conceptual Framework and Analytic Model • 60 staff members of the target CBOs (S.U.C.C.E.S.S. and M A P C L ) ; and (3) members of the study population (members of the Chinese and developmental disabilities communities). Respondents in the first two categories of the sample were selected because of their specialist knowledge and particular responsibilities within the organisation, while respondents in third category were selected by a variety of means—including referrals, an Internet search and recruitment at a support group meeting. Given the relatively small sample size, the following makes no claim of conveying the full range of opinions that may be present in the respective communities. However, I did try to maximise variation within the sample in order to look for common patterns amongst different viewpoints. For interviews of staff members at the target CBOs, I selected respondents who could provide general information about the history and work of the CBO, as well as respondents who were directly responsible for the housing programmes. For respondents in the target communities who were not staff members of the CBO, I selected both respondents who were active in the CBO or were more likely to have a favourable view of it (i.e. an active volunteer or family members of a person in the CBO's housing programme), as well as respondents who had a more distant relationship with the target CBO (i.e. people who were knowledgeable about the CBO, but had chosen not to engage in active volunteer work or had expressed mixed views about the CBO). For these non-employee respondents, I was able to interview people who were extremely knowledgeable and active in their respective communities. For the S.U.C.C.E.S.S. case study, both community respondents were active volunteers in Chinatown with different organisations, including with clan and district associations. Both were seniors, who were well over seventy years of age. For the developmental disabilities case study, both sets of family members had adult children who were participants in M A P C L ' s programmes (one in a day programme and one in both a housing and a day programme). Both sets of parents were active in a support group that had no formal relationship to M A P C L . Each of the respondents was promised anonymity, so pseudonyms have been used and no information which could potentially identify the respondents' relationship or position with the CBOs has been included in the reporting and analysis of the data that follow. Chapter 3 Conceptual Framework and Analytic Model • 61 Specifically, programme names and job titles have not been identified because this information can be matched to individual names by viewing the organisations' web sites or calling their directories. Each semi-structured interview was conducted using an interview schedule that was adapted specifically for the respondent. Some of the questions were taken or adapted from the social capital assessment tools developed by Krishna and Shrader (1999; 2000). Other questions were added to collect context-specific data about policy changes, relationships with government agencies, the unique history or circumstances of the individual or CBO, and so forth. An important consideration in modifying each interview schedule was the time limit agreed upon for the interview. For CBO staff members, who granted twenty to thirty minute interviews, i f information were available from other sources, I would discard that particular area of inquiry given the limited time available. However, for interviews with community members, which lasted between one-and-a-half to two hours, I would ask questions to seek triangulation and confirmation of information I had from other sources. A l l of the interviews were conducted in English, with the exception of one that was conducted in Cantonese. Data was recorded by tape recording and note taking. The means varied because some interviews took place over the telephone or permission to record the interview was declined. One interview was hampered by language difficulties: the respondent's knowledge of only Cantonese and my lack of fluency and 'country accent'. In this instance, I turned off the tape recorder and took handwritten notes. 2. Participant Observation On two occasions I was a 'marginal participant' (Robson 1993, 198) at meetings of the Parents Support Group for Families of Mentally Handicapped Adults. At the first meeting, I spoke briefly about my research and reason for attending the meeting. During my presentation I was given an opportunity to recruit interviewees. I was later encouraged to attend a second meeting in order to share any ideas I might have on how the support group could move ahead on a housing project it was considering at the time. Since then I have attended three more support group meetings, as well as a meeting of the newly formed PSG housing steering committee. My role has in some ways become more of a 'complete participant' (198). The group asked me to come back to subsequent meetings because the Chapter 3 Conceptual Framework and Analytic Model • 62 notes I took for my research were useful to them in composing the minutes and report of their meetings. I also passed on information I had received on a 'Seed Funding' initiative by Canada Mortgage and Housing Corporation, the federal agency responsible for housing. They needed my assistance in writing the proposal, which they have since learned was successful in obtaining funding to develop a more detailed housing proposal. Parents who were not at the meeting where I introduced myself, as well as members of the housing steering committee from outside the PSG, do not know that my initial involvement was as a researcher. Because I was no longer collecting data and there was no appropriate opportunity to explain my presence, some people at these meetings may believe that I am a regular member of the PSG. I was also a passive observer at two public presentations where I collected data relevant to my research. On one of these occasions, at a lecture on pluralistic planning, I took on the role as a researcher was not known and I participated only as a member of the audience. At the second lecture, which was on ageing in different cultural contexts, I had to request permission to attend the lecture as it was given in a university class for health and human service providers. On that occasion, my role was one of 'observer-as-participant' (198), where my status as a researcher was known to some of the presenters, but I had no interaction other than as a regular audience member. I additionally made seven site visits that enabled me to collect descriptive observations on the characteristics of the homes of the relevant actors, the public image presented by the CBOs and the geographic and neighbourhood settings of the homes and facilities. 3. Document Collection and Content Analysis Documents provided a valuable source of data, particularly in regard to the historical background and sources of social capital in the target communities; policy changes over time; and the institutional environment which provides the source of institutional social capital. Some of these secondary sources of information included administrative and policy reports from various government agencies and departments; annual reports and publications of the CBOs; and taped television programmes. Each government agency and CBO in which I was interested had extensive web sites through which I was able to obtain current programme information, as well as past documents. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 63 4 C A S E S T U D Y 1: A N E T H N O - S P E C I F I C O R G A N I S A T I O N IN R E S I D E N T I A L H O U S I N G F O R S E N I O R S 4.1 Background 4.1.1 Ethnocultural Diversity and the Link Between Housing and Health To understand the context for this case study, it is necessary to first look at the population characteristics of Vancouver, and second, to discuss how a project funded by a health care authority is related to the issue of housing. With a population of almost two million people, Vancouver Census Metropolitan Area (CMA) is the third largest metropolitan area in Canada.' It is an urban centre that is characterised by ethnic diversity and a large immigrant population. In the 2001 census, 37 percent of residents in Vancouver C M A identified themselves as a member of a visible minority group and 38 percent of the population was born outside of Canada.2 Immigration has given Vancouver C M A a distinctive multilingual character. 725,370 residents have neither English nor French— Canada's two official languages—as their mother tongue.3 In the metropolitan area, English is the largest language group, followed in second place by Chinese.4 Ethnocultural diversity is particularly striking in Vancouver and Richmond, two municipalities which fall within Vancouver C M A and which together comprised the health region administered by what was formerly known as the Vancouver/Richmond Health Board ' Statistics Canada, Community Profile - Vancouver, from 2001 Census of Canada data, <http://wwwl2.statcan.ca>. Vancouver Census Metropolitan Area (CMA) comprises of thirty-nine municipal components, including the Cities of Vancouver and Richmond. Vancouver C M A had a total population of 1,986,965 in 2001. 2 Ibid. Statistics Canada uses language from the Employment Equity Act to define the visible minority population as "persons, other than Aboriginal peoples, who are non-Caucasian in race or non-white in colour". 3 Statistics Canada, Population by Mother Tongue, Census Metropolitan Areas, from 2001 Census of Canada data, <http://www.statcan.ca>. Mother tongue is defined as "the first language learned at home in childhood and still understood by the individual at the time of the census". 4 Note that many Chinese-Canadians will have grown up speaking English, as in the 2001 census data 342,665 persons identified themselves as Chinese in Vancouver CMA, but only 293,085 gave Chinese as their mother tongue. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 64 (V/RHB). 5 In Vancouver and Richmond, roughly one-quarter and one-third of residents respectively identify Chinese as their mother tongue. Figure 2: Top Three Mother Tongue Languages in the Cities of Vancouver and Richmond Percentage of Total Population and Number of Residents Vancouver 1996 2001 2001 Richmond 1996 2001 2001 English 52.83% 50.34% 271,665 English 52.65% 46.31% 75,665 Chinese 23.99% 26.07% 140,670 Chinese 29.26% 35.04% 57,255 Punjabi 2.54% 2.65% 14,290 Tagalog 2.06% 2.77% 4,530 Total 539,630 Total 163,400 From 2001 Census of Canada data. Compiled from Statistics Canada, Language Composition of Canada, <http://www12.statcan.ca> and "Mother Tongues: Lower Mainland in Transition," The Vancouver Sun, 11 December 2002, sec. A, p.5. Ethnocultural diversity not only shapes the character of Vancouver and the surrounding municipalities, but it also has an impact on the planning and delivery of social services. This was evident when following a regional review of mental health services, the V/RHB acknowledged the diversity of its population and approved actions designed to improve multicultural services (GVMHS 1999, 1). Accordingly, the Greater Vancouver Mental Health Service (GVMHS) developed a cultural diversity strategy to "help ensure accessible, acceptable and appropriate services by giving due consideration to cultural and linguistic diversity" (1). The resulting report issued in 1999 by the G V M H S ' s Intercultural Committee argued for improving services by adhering to a principle of 'cultural competence' in the planning of health services. The Committee wrote: 5 There has been considerable restructuring of health authorities in British Columbia. The health boards of Vancouver and Richmond were merged in 1996 to form the V /RHB, which was responsible for coordinating all aspects of health care services in the two municipalities, including continuing care services, hospitals, mental health services, public health and contracted funded agencies. In 2001 the V / R H B became part of a newly formed, larger regional body called the Vancouver Coastal Health authority, which includes the service delivery areas of Vancouver, Richmond and North Shore/Coast Garibaldi. In all instances, these health authorities were funded by the provincial Ministry of Health (now called the Ministry of Health Services). Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 65 Cultural Competence is a characteristic of individual service provision and of whole systems of care. Cultural competence involves attaining the knowledge, skills, and attitudes to enable practitioners and administrators to provide effective care for diverse populations, that is, to work within the person's values and reality conditions. Recovery and rehabilitation are more likely to occur when staff of the mental health system acquire and use knowledge and skills that are culturally compatible with the background of consumers, their families, and their communities. Cultural competence acknowledges and incorporates variance in normative acceptable behaviours, beliefs, and values in determining an individual's mental wellness/illness, and incorporates these variables into assessment and treatment. (GVMHS 1999, 2). The scope of the report was limited to the programmes and services of the G V M H S , but the Committee argued the report could be used as a basis for regional planning (GVMHS 1999, i). Within the GVMHS' s responsibilities, the Intercultural Committee set cultural competence standards in eleven areas, including housing: Housing Services was to take steps to insure that language and culture would not be a hindrance in receiving needed housing services, nor would a client's language or culture reduce the quality of services received. Housing Services was also to conduct a needs assessment in order to clarify the housing needs of clients from culturally and linguistically diverse backgrounds (GVMHS 1999, 15). The work done on cultural sensitivity in mental health housing services was later referred to in the V/RHB's comprehensive plan for housing services, which also recommended that sensitivity be shown to multicultural needs in housing, and where appropriate to "develop culturally specific resources" (V/RHB 2000, 40). The strategies adopted by the G V M H S and V/RHB are indicative of a growing recognition that delivery of housing and health services in the Vancouver area has to be cognisant of the cultural and linguistic needs of its clients. In addition to population diversity, a second matter for consideration in this case study is the relationship between housing and health: Why would this paper, purportedly on the role of social capital in housing, turn its attention to a facility that is funded by a health authority? While housing might not appear to be an obvious area of responsibility for a health authority, the V/RHB emphatically states its position as: The Vancouver/Richmond Health Board (V/RHB) has strongly supported the belief that housing is both a fundamental right and a critical determinant of a person's health. This link was reinforced by the Pubic Advisory Committees of the V/RHB, almost all of which identified housing as a key health-related issue. This report [V/RHB Strategic Plan for Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 6 6 Housing Services: A Discussion Document (2000)] provides a strategic plan to guide the planning, development, funding and evaluation of V/RHB related housing services.6 The Strategic Plan asserted that people who do not have safe, secure, affordable and appropriate housing will have a reduced quality of life and an increased need for other social and medical support and treatment services—and this increased need would add to the total costs of health and social services (V/RHB 2000, 6). The Strategic Plan identified a role for the V/RHB in both housing advocacy and development. The V / R H B was to advocate for affordable housing and work with all three levels of government to identify housing needs. Additionally, the Plan stated: "The V/RHB has a planning, development and funding role in supported, residential and emergency housing targeted to serve populations with identified health needs or health risks" (11). Supported housing refers to providing specialised support services in independent accommodation, while residential housing is defined in the Strategic Plan as "housing which provides a range of intensive, on-site support services to enable individuals who cannot live independently and/or who chose to acquire skills and confidence in a group setting to maximize their independence" (17). Residential housing includes facilities for: (1) intermediate care (IC)—a level of IC2 or IC3 refers to having a need for assistance in climbing stairs, bathing, etc. in combination with other significant health problems; (2) extended care—refers to a need for 24 hour care and assistance in transferring from a bed or chair; and (3) multi-level care—provides intermediate and extended care at several levels in order to facilitate the transition from one level of care to another and avoid disruptive moves that would be detrimental to the health of residents. Residential housing/care is part of the provincial Continuing Care Program, which provides supportive services for people whose ability to function independently is affected by health related conditions. Continuing Care also includes non-residential programmes such as adult day centres, which offer day programming to seniors who live in their own homes. The project initiated and operated by S.U.C.C.E.S.S. comprises of both a multi-level care facility and an adult day centre. Vancouver Coastal Health Authority on Vancouver CommunityNet, Housing Plan 2000, <http://www.vcn.bc.ca/vrhb/Housing_Plan_2000.htrn> (5 March 2003). Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 67 4.1.2 Cultural Competence in the Seniors Care Home and Adult Day Centre In September 2001, a unique facility opened in Vancouver's historical Chinatown. The facility, now officially called the S.U.C.C.E.S.S. Simon K. Y. Lee Seniors Care Home and Chieng's Adult Day Centre, was a multi-level care facility built to provide "a linguistically and culturally appropriate care facility" for Chinese-speaking seniors in Vancouver (S.U.C.C.E.S.S. Web Site 2003). Although capital funding for the facility was largely provided by the provincial Ministry of Health and its daily operations were to be funded by the V /RHB, the project itself was initiated by a community-based organisation known as S.U.C.C.E.S.S. and the facility is now operated by the S.U.C.C.E.S.S. Multi-Level Care Society. S.U.C.C.E.S.S. is one of the leading CBOs working with immigrants in metropolitan Vancouver. Established in 1973, it is a non-profit charitable organisation whose primary objective is "to assist new Canadians in overcoming language and cultural barriers, achieving self-reliance and contributing fully to Canadian society". Its services include an airport reception service, immigrant settlement assistance, employment and language training, family and youth counselling, youth leadership training, and women's and seniors' programmes (S.U.C.C.E.S.S. Web Site 2003). S.U.C.C.E.S.S., an acronym for United Chinese Community Enrichment Services Society, achieved its prominence because it was originally founded and is most closely identified with working on behalf of the Chinese community, the largest visible minority in Vancouver and the dominant group in recent immigration.7 7 In 2001, persons of Chinese ethnicity comprised 47 percent of the visible minority population and 17 percent of the total population in Vancouver C M A . The top three places of birth for immigrants living in Vancouver C M A , who arrived in Canada between 1991 and 1996, were Hong Kong, the People's Republic of China and Taiwan; in this five-year period, these three places of origin accounted for 50 percent of all new immigrants. The same three places of origin accounted for 34 percent of immigrants in the decade between 1981 and 1990 and for 35 percent of immigrants in 2001. From Statistics Canada, Statistical Profile of Canadian Communities - Vancouver CMA, compiled from 2001 Census of Canada data, <http://wwwl2.statcan.ca>; Informetrica, Recent Immigrants in the Vancouver Metropolitan Area, (Ottawa: Citizenship and Immigration Canada, 2000), 8; and Strategic Policy, Planning and Research, Facts and Figures 2001: Immigration Overview, (Ottawa: Citizenship and Immigration Canada, 2002), 34. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 68 Figure 3: S.U.C.C.E.S.S. Simon K. Y. Lee Seniors Care Home and Chieng's Adult Day Centre S.U.C.C.E.S.S. first raised the idea of building a seniors care home in 1989. While there was one other residential care facility in Vancouver for Chinese-speaking seniors at the time, the existing facility provided for only intermediate levels of care (IC). There was no extended care (EC) facility for higher level health needs that specifically accommodated the traditional and cultural values of Chinese-speaking seniors. Additionally, there was a one to two-year waiting list for admission to any extended care facility. With an estimated 18,000 people of Chinese or Asian origin over the age of sixty-five in the Vancouver/Richmond Health Region, S.U.C.C.E.S.S. saw a growing need for a culturally appropriate multi-level care facility that would allow seniors to continue living in the same residence as their level of care changed (S.U.C.C.E.S.S. Multi-Level Care Society [2000]). The S.U.C.C.E.S.S. Multi-Level Care Society was registered in 1995 as a non-profit society and given the task of developing the housing project. In 1998, the provincial government agreed to pay the bulk of the project's capital construction costs, the municipal government identified a building site and S.U.C.C.E.S.S. formed a Fundraising Cabinet to raise funds for the rest of the project costs. As the project moved forward, the provincial government agreed to contribute $14.5 million, while S.U.C.C.E.S.S. committed to raising an additional $3 million. S.U.C.C.E.S.S.'s portion was to pay for the balance of the project costs and the full costs of constructing an adult day centre within the facility, which had no Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 69 government funding. The 103-bed Seniors Care Home opened in September 2001 to provide residential care for seniors who had cognitive impairments (e.g. dementia) and health conditions assessed at IC2, IC3 and EC care levels. The Adult Day Centre, which is located on the ground floor of the building, opened and began offering programmes in December 2002 with privately raised funds. Earlier in the year, S.U.C.C.E.S.S. had held a benefit concert by a well-known Hong Kong pop singer and had elicited a $500,000 donation through a 'naming opportunity' at the Centre. However, in January 2003 after only one month in operation, the Adult Day Centre began to receive operational funding for twenty clients per day from the Vancouver Coastal Health Authority (into which the V/RHB had been amalgamated). The Centre—which has activity rooms, a kitchen and a dining room—provides respite care for seniors who are being cared for at home by family members. It offers day programmes for seniors along a continuum of care— from those who can take part in outings and baking activities, to those with dementia and IC3/EC needs. Because the programmes for each of these functional levels are for one or two days a week, the Centre can provide services for between forty and sixty clients per week. In the view of one administrator at S.U.C.C.E.S.S.'s adult day centre, the programmes offered there represent an alternative model for providing extended care outside of an institutionalised residential care setting. This is a model which enables seniors to continue living in the community for as long as possible. The Adult Day Centre also provides a means to deal with the long waiting list for a space in the Seniors Care Home, which was at two hundred people when the Day Centre began operating. Two administrators with the Seniors Care Home, who are both Chinese-speaking registered nurses, spoke about the importance of providing culturally appropriate services to their clients. They both attested to the improvements they saw in the health of some residents after they moved into the facility. One staff member addressed the importance of providing culturally appropriate food because many Chinese people believe food is endowed with medicinal or health inducing properties. There is widespread belief amongst Chinese seniors that "food is therapy". The other interviewee spoke about the vital role that language and an ability to hold conversations play in maintaining mental health. The provision of Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • y 0 linguistically appropriate service was important not only to the residents, but also to their family members. One administrator related the previous experience of some family members of the residents at the Seniors Care Home: The family members had negative experiences with mainstream care facilities because of their own inability to communicate with staff, so they took their parents back home and ended up with caregiver burnout. While one administrator at the Seniors Care Home cautioned against stereotyping Chinese seniors, her experiences at mainstream facilities has convinced her that cultural beliefs affect the way Chinese seniors look at health and housing, and thus have implications for how care has to be provided. She gave as an example, differences in the end-of-life decisions that seniors make. At the mainstream resident care home where she used to work, some 98 percent of the 236 residents had already made funeral arrangements. Most residents at the mainstream facility had given Level 1 or 2 'advance directives', which called for only those interventions that provide for comfort at end-of-life, while some had given Level 3 advance directives, which call for CPR. In contrast, at the 103-bed S.U.C.C.E.S.S. facility, less than ten residents have made funeral arrangements. Moreover, the minimum level of intervention asked for by residents at the S.U.C.C.E.S.S. facility was Level 3, with most giving advance directives of Level 4, which call for maximum interventions. According to the administrator, Chinese people also generally never talk about death, which makes it hard for care home staff to help the families of Chinese seniors. Chinese people do not want to die at home, because this is considered unlucky; instead, they want to die in a hospital. However, this is expensive and the direction in mainstream facilities is to move people home for palliative care. Staff at seniors care facilities need to be aware of these often unspoken beliefs i f they are to show sensitivity in working with Chinese seniors and deal with the impacts on service delivery. The Seniors Care Home is open to anyone who has been assessed by the Vancouver Coastal Health Authority as meeting the criteria of the provincial Continuing Care Program. However, because the facility was initiated by S.U.C.C.E.S.S. and has staff members who have intimate knowledge of the Chinese community, the Care Home is able to provide culturally appropriate service to Chinese seniors that encompasses more than the obvious differences of food and language. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 1 4.1.3 Social Capital and the S.U.C.C.E.S.S. Care Home and Day Centre Project What crosses people's minds when they walk past the S.U.C.C.E.S.S. Seniors Care Home and Adult Day Centre? Would they notice the environmental design features on the outside of the building that minimise opportunities for graffiti? Or would they be more likely to notice that the staff and residents appear to be mostly Chinese? Would passersby wonder why the facility was built in Chinatown and not in a more tranquil suburb? Would they question why the facility even existed at all? If asked to explain why this seniors care home has all the characteristics that it does, I suspect a substantial part of any answer would touch upon the impact of social capital on the project. Social relations and the material and symbolic resources embedded in those relationships can have just as much of an influence on the characteristics of a housing project as human capital (the expertise hired to design anti-crime features) or physical capital (the size of the piece of land the facility is built upon). The impacts of social capital can be direct, such as with the donations and knowledge of culturally specific needs that S.U.C.C.E.S.S. was able to acquire through its relationships with people in the Chinese community. However, the indirect effects of social capital are also relevant, because S.U.C.C.E.S.S. is not a fully atomised actor that operates in a social vacuum (Granovetter 1985). One might ask: Why was S.U.C.C.E.S.S. able to take on this project, as opposed to any other organisation from inside or outside the Chinese community? How was S.U.C.C.E.S.S. even formed? Again, these questions can be addressed in part by looking at different forms of social capital. The following provides an analysis of the direct and indirect effects of bonding, bridging, institutional and synergistic social capital on the Seniors Care Home and Adult Day Centre. 4.2 Bonding Social Capital 4.2.1 S.U.C.C.E.S.S. as an Indicator of Social Capital in the Chinese Community Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 2 Opportunity Structures and Access to Community Resources S.U.C.C.E.S.S. has extensive ties and information networks in the Chinese community. Its presence has grown from one location in Chinatown to twelve offices spread through five municipalities in the greater Vancouver region. Its web site profile proudly boasts a support network of more than 18,000 members and over 8,300 registered volunteers (S.U.C.C.E.S.S. Web Site 2003). S.U.C.C.E.S.S.'s volunteer-run, Chinese language newspaper, the Evergreen News, began in 1985 as free newspaper for seniors, but it has since evolved into a family paper covering topics from advice for new immigrants, to coverage of community issues, to updates on S.U.C.C.E.S.S.'s programmes and services. The newspaper is published monthly and has a circulation of 10,000. The presence of dispersed offices, membership and volunteer ties, and information networks provide the opportunity structures for accessing material and symbolic resources within the community—they are indicators for the presence of bonding social capital. S.U.C.C.E.S.S.'s extensive ties to the Chinese community provide the opportunity structures through which it raises the 30 percent of its $16 million annual budget that comes from community fundraising (S.U.C.C.E.S.S. Web Site 2003). It was through these same ties that S.U.C.C.E.S.S. was able to raise the $3 million needed to complete the Seniors Care Home and construct the Adult Day Centre, and then later, to successfully hold a benefit concert and secure a $500,000 donation to operate the Centre until funding was obtained from the Vancouver Coastal Health Authority. S.U.C.C.E.S.S. has forged particularly strong ties with seniors in the community by developing extensive programmes targeted at them. These include home visit programmes, day programmes at community centres, singing and dancing clubs, health promotion, conversation classes and so forth. The Evergreen News is run by seniors. The accompanying Evergreen News Club not only raises money for the newspaper, but also organises educational and social activities for its members. Through the relationships formed by programme participation, S.U.C.C.E.S.S. is put in a position to hear about the needs and concerns of seniors in the community. This enables the organisation to facilitate a dialogue through the media about its social service directions, for example, to discuss its current Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 3 project to build an assisted living unit in Richmond.8 As one administrator at S.U.C.C.E.S.S. commented, the Chinese community looks toward S.U.C.C.E.S.S. to provide a voice about needed services. Its move into health-related housing projects for seniors came about because the community trusted S.U.C.C.E.S.S. and looked to it for leadership in addressing concerns about the ageing population. S.U.C.C.E.S.S.'s role as a community advocate was also addressed at its 2000 Annual General Meeting. The Chairman reported to the meeting that S.U.C.C.E.S.S. had succeeded in obtaining government funding for a multi-level care home for seniors and was planning to obtain similar support for assisted housing. He added that S.U.C.C.E.S.S. had assumed a greater advocacy role over the years, in part because of a need to educate the public and in part because of increased expectations that S.U.C.C.E.S.S. would become "the forefront of the Chinese community".9 Individual Incentives for Maintaining Opportunity Structures Why is S.U.C.C.E.S.S. able to maintain relationships with members and volunteers who may not be directly benefiting from its programmes? These individuals may derive indirect benefits from their ties to S.U.C.C.E.S.S. by having the more prominent voice of a larger organisation advocating on their behalf about issues such as health and housing. However, this relationship between an individual and an organisational advocate for the community might be regarded as a rather tenuous relationship. One might ask, what are some of the more tangible exchanges of resources and benefits, which in the view of Bourdieu (1986), enact, maintain and reinforce the relationships that S.U.C.C.E.S.S. has with people in the Chinese community? Interviews with active volunteers in the community suggest that the opportunity structures for social capital are maintained because of the feelings of satisfaction that volunteers derive from working with S.U.C.C.E.S.S. One "To Keep Up With the Problems of an Aging Population, S.U.C.C.E.S.S. Accelerates Development of Seniors Services" (Chinese language), Evergreen News, October 2002, p. 1. Assisted living is a type of housing for individuals who are mentally competent and do not require full-time nursing care. Residents live in apartment-like settings with their own rooms, but have meal and housing keeping services and can have personal assistance such as bathing or taking medications. 9 S.U.C.C.E.S.S., "Minutes of the 27 t h Annual General Meeting of the United Chinese Community Enrichment Services Society", held 30 September 2000 (Vancouver: S.U.C.C.E.S.S., 2000). Photocopy. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 4 interviewee related how she was introduced to S.U.C.C.E.S.S. through its English language classes for new immigrants. Through S.U.C.C.E.S.S. she acquired both language skills and feelings of attachment to her adopted country—she vividly recalled being taken to Canada Day celebrations through S.U.C.C.E.S.S.'s programme activities. Even after completing her classes, the respondent said she wanted to maintain her ties to S.U.C.C.E.S.S. because of the satisfaction she derived from volunteering with the organisation. She expressed how unhappy she was after losing her spouse, but volunteering with S.U.C.C.E.S.S.'s Seniors Friendly Visit Program and knocking on doors to visit other seniors in their homes gave her feelings of peace and happiness. Now in addition to visiting seniors, this volunteer also participates in hobby clubs and fundraising activities, so that in effect she is engaged in activities related to S.U.C.C.E.S.S. on four or five days a week. 4.2.2 Changing Forms of Bonding Social Capital in the Chinese Community Example of Clan and District Associations in Vancouver There is nothing predestined or self-evident about the relationships S.U.C.C.E.S.S. has forged with people in the Chinese community. These relationships are the product of a specific social context, which is different from the social context of the past—and could well change again in the future. One interviewee, when asked what social ties constructed the identity of a 'Chinese community' in Vancouver, began by talking about his experiences prior to the end of the Second World War. He spoke firstly about the ties of physical proximity that arose from living in the "ghetto" of Chinatown, and secondly, about the importance of the ties new arrivals established with clan and/or district associations that were present in Vancouver. Upon arriving in Vancouver, the point of entry into Canada, the new arrivals would make contact with their clan association, which was a fraternity based on a common surname and ancestor. If there was no appropriate clan association, then the next place of call would be at the district association, whose membership was based on having Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 5 come from the same home district in China. 1 0 According to the interviewee, part of the motivation for seeking out one's family association was to pay respect to the previous generation—to buy joe seen. Moreover, when the new arrivals sought out the buildings owned by the clan or district association, they would have "a place to hang their hats" at a time when they had no money and no job. The interviewee described the arrangements in one clan association building: There were two rooms and a kitchen for the new arrivals. Each room had four or five stacks of bunk beds, and at one time, there were a hundred people living in there—all single men. For the early Chinese immigrants, the clan and district associations were a means to help each other out. The associations offered network access to invaluable psychological and economic resources, first providing immediate companionship, shelter and food, and then assistance to find employment and the means to be economically sound. Just as present day ties between the Chinese community and S.U.C.C.E.S.S. are forged out of a specific social context, so too were past ties and reliance on clan and district associations. Reliance on these associations could be attributed to both bounded solidarity arising from commonly experienced racism and economic hardship, as well as value introjection (Portes and Sensenbrenner 1993) coming from the "cultural baggage" carried by Chinese arriving in Canada during the late nineteenth and early twentieth centuries (Yee 1988, 10). The majority came from Say-yup, the Four Counties, in Guangdong province on the southeast coast of China. They shared common values based on Confucianism, which "emphasized the family as key to peace, order, and good government in society" (11). It was not surprising the Chinese arriving in Canada would form clan and district associations, because where they came from in southern China "family power was expressed through the lineage or clan, a network of families possessing a common surname and a common founding ancestor. In Guangdong many villages held only a few surnames, and in Say-yup many villages contained only one surname" (11). In these southern China villages, activities that were centred on one's lineage, such as charity work or the maintenance of public 1 0 Yee (1988, 54) noted that by 1923 Vancouver had twenty-six clan associations and twelve Old Country district organisations. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 76 buildings were already a means of instilling "a strong sense of cohesion, of belonging to a larger social unit. A wealthy, powerful lineage supplied prestige to all its members, rich and poor alike." Individuals were therefore urged to contribute to the wealth and well-being of their lineage by helping each other get ahead (12). Impact of Internal and External Forces on Forms of Bonding Social Capital The significance of help networks offered by clan and district associations has greatly diminished, and according to the interviewee, members of these associations now largely gather for social fellowship—and to provide assistance at the funerals of older members. This is due in part to increased diversity within the Chinese community and the dissipating influence of value introjection. Following the repeal in 1947 of the Chinese Immigration Act (1923), which had largely stopped Chinese immigration for twenty-four years, the Chinese community in Vancouver began to lose its homogeneity. There was a generational gap and differences of values between the old settlers and their dependents that arrived throughout the 1950s (Ng 1999, 28-9). Neither the youthful newcomers nor successive Chinese immigrants from Hong Kong, Taiwan, Mainland China and diaspora from elsewhere in the world felt the same attachment to the clan and district associations. The interviewee also noted post-war immigrants were better educated than the early immigrants, giving them more personally held resources to deal with problems they faced. In addition to these internal changes within the community, the interviewee also pointed out a number of external changes that contributed to the declining importance of bonding social capital within the Chinese community and the self-help networks offered by clan and district associations. Overt racism in Canadian society had declined and thus reduced the need to turn to others in the Chinese community for assistance. New immigrants were also less reliant on bonding social capital because of changes in information technology. Previous generations of immigrants "were lost" until they arrived in Canada and could access information networks here—it would be only a slight exaggeration to say that all they knew before arriving was the colloquial name for Vancouver (Saltwater City) and the fact that there was gold in Canada. "Today it's different...Communication is such that Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 7 with computers and with email, people can communicate so closely now. The world is getting smaller. From Hong Kong, from the village, [prospective immigrants] know what Vancouver is all about" before setting foot here. They can access information over the Internet to learn what and where the sources of assistance and information in Vancouver are before arriving in Canada. 4.2.3 Reputation as a Symbolic Resource for Social Service Agencies S.U.C.C.E.S.S. has a thorough web site in both English and Chinese that provides information about its services. This is indicative of the current social service context in which S.U.C.C.E.S.S. works, where there is an expectation for professional service delivery that is non-partisan, consistent and transparent. So why would people even turn to S.U.C.C.E.S.S. for assistance, when as one interviewee commented, Chinese people in Vancouver are little different from anyone else in mainstream society: To whom they turn for help, "all depends on the family. Some look toward their best friends, others look toward different organisations" that have proliferated to address a wide range of health and social concerns and are easily found through listings in the telephone book. However, when asked i f there was any particular organisation in the Chinese community that people really depended upon, the interviewee responded, "Those that don't understand English too well, they would go to S.U.C.C.E.S.S., because S.U.C.C.E.S.S. is the agency for all the Chinese to help them to get back in track within the society." For even this interviewee, who has an arm's length relationship with the organisation, S.U.C.C.E.S.S. is the pre-eminent organisation in the Chinese community—one that has a positive reputation and strong name recognition both inside and outside the Chinese community. Interviewees from outside of the organisation, as well as staff members, made similar references to the positive reputation that S.U.C.C.E.S.S. has with the Chinese community, mainstream organisations and the three levels of government. S.U.C.C.E.S.S.'s positive reputation acts as a symbolic resource that facilitates the organisation's ability to carry out its work at a multitude of levels—from attracting clients to its services, to fundraising, to Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 7 8 obtaining support and service delivery contracts from mainstream organisations and government agencies. Reputation can be regarded as a type of social capital because it is embedded in social relationships, outside which it cannot exist. Thus, S.U.C.C.E.S.S.'s positive reputation functions as: (1) a form of bonding social capital in its work with the Chinese community; (2) a form of bridging social capital in its work with mainstream organisations; and (3) a form of synergistic social capital in its work with government agencies. In the opinion of one interviewee from outside of S.U.C.C.E.S.S., the organisation's positive reputation is derived from the expertise and professionalism of its board and staff members. This is to say, the human capital of S.U.C.C.E.S.S. is convertible and can be transformed into social capital—namely the positive reputation which S.U.C.C.E.S.S. uses to its advantage in relationships with other individuals and organisations. S.U.C.C.E.S.S. as a corporate actor appropriates, as a symbolic resource for the organisation, the knowledge and skills possessed by individual board and staff members. The interviewee asserted S.U.C.C.E.S.S. has a reputation for professionalism: "They're such good people, not only to the Chinese, but to other immigrants too. If you're Korean, i f you're Asian, you want help— you want to go in there. They have interpreters to help and guide [immigrants]—to give them assurance and meet the requirements [of] society." Not only does S.U.C.C.E.S.S. demonstrate a professional ethic by working with different immigrant groups, it also remains removed from identity politics within the Chinese community. The interviewee noted that other international youth and service organisations in Vancouver have experienced a proliferation of clubs, where the members may all be predominantly Chinese, but the clubs are differentiated by country of original, dialect or religion. Instead, S.U.C.C.E.S.S. focuses on providing a broad range of services in both Cantonese and Mandarin. When asked why other longer standing Chinese organisations have not been able to achieve the same degree of inclusion in mainstream events, the interviewee again pointed to the human capital of S.U.C.C.E.S.S.: Other Chinatown organisations do not have the same "yen choy—they haven't got the qualified persons to do the work." The board members of S.U.C.C.E.S.S. come from different professions and so have "many connections" to expertise and knowledge that are necessary for setting up different social programmes. In Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 79 contrast, other Chinatown organisations are "not as open.. .not as well versed in the social, economic and political ways [of the] community". In some of these organisations, particularly the clan associations, the organisational leaders are retired, blue-collar workers, who had limited opportunity for an education: "These are retired working. They work with blood and tears—sweat, blood and tears and now they're in a position to relax and they take over the position of secretary. These are not young people." 4.3 Bridging Social Capital 4.3.1 Replacing Bonding Social Capital with Bridging Social Capital When asked whether the diminished role of clan and district associations or people's move outside the bounds of Chinatown in the post-war era were indicators that the Chinese community had diminished resources for self-help and a weakened sense of identity, one interviewee responded that my query had to be considered outside the confines of Vancouver and in the broader context of Canadian society—in which case, the concept of self-help had actually expanded and the identity of being Chinese had strengthened. Whereas in the past when self-help and community service were thought of as "Chinese for the Chinese in the Chinese community", now the idea of community service had expanded to include participation in mainstream organisations like the United Way" or the Canadian Cancer Society. Rather than weakening the identity of being Chinese, involvement in mainstream community work had strengthened the Chinese identity in Canada. For the interviewee, being asked to participate in mainstream community work was a sign that the Chinese were being respected and their contributions in the wider community were being recognised. From his perspective this was a significant improvement from the past, when Canadians did not care whether the Chinese were invited to participate in mainstream organisations or whether they even had the right to vote—which they did not obtain until 1947. ' 1 The United Way of the Lower Mainland is a charitable organisation that supports a range of human-care programmes and services by funding over one hundred member agencies in the greater Vancouver area. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 80 For the interviewee, participation by the Chinese in mainstream activities was a source of pride and a sign of legitimation. Forming external linkages also had the effect of bringing new resources into the community. A l l these aspects of bridging social capital were important to the work of S.U.C.C.E.S.S. Both a former chair and a former executive director described S.U.C.C.E.S.S.'s acceptance as a member of the United Way of the Lower Mainland in 1979 as a significant milestone in the organisation's history (Guo 2002). Membership in the United Way not only made core funding available, which provided some stability for staff hiring, but it also lent legitimacy to S.U.C.C.E.S.S.'s other fundraising activities. The United Way would later become a cosponsor of S.U.C.C.E.S.S.'s annual Walk With the Dragon Walkathon, which began in 1985 and is now one of its two major fundraising activities in each year. More importantly, according to the executive director at the time, membership in the United Way conferred upon S.U.C.C.E.S.S. the status of a recognised social service organisation. Previously, even though S.U.C.C.E.S.S. staff included fully qualified social workers with master's degrees from Canadian and American universities, S.U.C.C.E.S.S. was not regarded on a par with other social service agencies in the city (Guo 2002). S.U.C.C.E.S.S. was the first Chinese organisation to be accepted as regular member of the United Way, and in 1985, it also became the first Chinese association to have an endowment fund in the Vancouver Foundation, a leading British Columbian charity foundation (S.U.C.C.E.S.S. 1998, 23). The importance of external linkages was evident in the careful choice of Honorary Advisors appointed to the Seniors Care Home Fundraising Cabinet. Included amongst the advisors were prominent people in Vancouver from outside the Chinese community, including the chair of the B C Cancer Foundation Board of Governors, the president of the University of British Columbia, a high-profile former counsellor for the City of Vancouver and a well-known consultant on economic and political affairs. Amongst the Honorary Advisors were also people of Chinese ethnicity from a range of backgrounds—including accountancy, banking, business, charitable foundations, law and medical research—who served as linkages to different professions and areas of expertise (S.U.C.C.E.S.S. Multi-level Care Society [2000]). Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 8 1 4.3.2 Accessing Bridging Social Capital Through Professional Networks Parochialism is incompatible with social service delivery in present day Vancouver. Community-based organisations that deliver social services must look beyond the immediate concerns and norms of their client base and work toward the norms that are practised in their profession. Professional social service delivery has been a consistent theme for S.U.C.C.E.S.S. from its very founding.12 In a book commemorating the 25 t h anniversary of S.U.C.C.E.S.S., a former chair wrote this about the founding members: The background of these pioneers is worth noting. They were teachers, physicians, government workers, lawyers, health nurses, social workers, a pastor and community activists. The theme that was common to all was "service for humanity." They got the ball rolling, and what a good start! (S.U.C.C.E.S.S. 1998, 21) S.U.C.C.E.S.S.'s commitment to professional collaboration and the acquisition of new knowledge is visibly displayed in a large plaque that hangs in the seating area of the lobby to the Seniors Care Home and Adult Day Centre. The plaque outlines the philosophy of The Eden Alternative™, an approach to creating a particular social and physical environment at long-term care facilities that is practised at the Seniors Care Home. The core concept of Eden Alternative is that long-term care facilities must be regarded as habitats for human beings rather than facilities for the frail and elderly. A distinguishing characteristic of Eden facilities is the emphasis placed on providing 'Elders' (in the nomenclature of Eden Alternative) with close and continuing contact with plants, animals and children. The rationale for this is because elders need an opportunity to give as well as receive care in order to counter feelings of helplessness. Eden Alternative identifies feelings of helplessness, loneliness and boredom as the "three plagues" which account for the bulk of suffering amongst elders.13 These 'plagues' or injurious effects on health are mitigated by suggested practices and guidelines developed by Eden Alternative, a not-for-profit organisation based in the state of New York. There are over two hundred registered Eden facilities in the world, including 1 2 See Guo 2002 for a thorough documentation of the history and development of programmes at S.U.C.C.E.S.S. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 82 three in British Columbia, of which one is the S.U.C.C.E.S.S. Simon K. Y . Lee Seniors Care Home. Eden Alternative is not an accrediting body. Instead, the programme is principle driven and depends to a great degree on professional networking and exchange. Once registered with Eden, a 'marker' is awarded to a facility as it successfully adopts each of the Eden principles. There is flexibility in how these markers are awarded—in some places this is done by peer review. Each Eden facility must have at least one certified Eden Alternative Associate, who has completed a three to four day training programme—the S.U.C.C.E.S.S. Seniors Care Home has two certified Eden Associates. The training programme provides both instruction on the philosophy and implementation of Eden, as well as opportunity for participants to "learn about each other and create communities of support" for after they leave. In order to provide guidance to different facilities, Canada and the United States have been divided into regions, each with a coordinator. The role of the coordinator is to conduct training and to offer support to people and organisations in the region that are implementing the Eden philosophy. Eden Alternative also has a Mentor designation that is given to people who have excelled in transforming the environment of elders. According to Eden Alternative, mentoring and professional exchange is important because North America already has a "punitive rule driven inspection system that is designed to root out rule-breaking and non-conformance with published guidelines. What long term care has lacked up to this point is a system of mentoring, honouring and encouraging those who are reaching for a higher ground" (Eden Alternative Web Site 2002). It is worth noting that staff at the S.U.C.C.E.S.S. Seniors Care Home looked outside the Chinese community for professional development. Appropriately, the resources they acquired—the knowledge and philosophy of Eden Alternative—came from an organisation that also places value on building professional networks as a means to exchange information. 1 3 The Eden philosophy is conveyed in a brochure for the S.U.C.C.E.S.S. Simon K. Y . Lee Seniors Care Home and the Eden Alternative web site at <http://www.edenalt.com>. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 83 4.4 Institutional Social Capital 4.4.1 A Historical Deficit in Institutional Social Capital The types of social capital that people can draw upon in times of trouble are not a simple matter of individual choice. People do not have complete control over the relationships they form in society. The institutional environment of formal statute law and informal conventions and norms of behaviour, can have a powerful effect on social relations and thus have an impact on the types of social capital that can be accessed through relationships with other people and community organisations. Take for example, the 1923 Chinese Immigration Act, which with the exception of Canadian-born children, diplomats, merchants and students, effectively stopped Chinese immigration to Canada for over two decades. The legislation led to a significant decline of the Chinese population in Canada and left a Chinese community in Vancouver that was characterised by a predominance of "bachelor" men (some were unmarried, while others were married men who could not bring their wives and families over from China), very few families and a small local-born population (Ng 1999, 20). The Chinese Immigration Act was repealed in 1947, but the 1930 Order in Council P.C. 2115, which restricted Chinese immigration to the wives of Canadian citizens and their children under eighteen, remained in the federal statutes until 1956. So while some Canadians could turn to their spouses and families for assistance, social capital from family ties was not available to the ageing bachelors of Chinatown. In 1951, even after Chinese immigration had resumed, over half the population of Chinese in Vancouver were over the age of forty-five and more than 92 percent of this group were men (Ng 1999, 20). Moreover, the community organisations to which individuals may turn for assistance do not form spontaneously—as Foley and Edwards (1997) have argued, community organisations arise in part as a response to the political environment. One of the reasons why the early Chinese community in Vancouver had to rely on organisations within Chinatown to solve problems was because the Chinese were not able to access institutional social capital. Rather than structuring social interaction to afford justice to all people, the institutions of the day structured social relations to discriminate against the Chinese. Everyday harassment by Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 84 Vancouver City Hall was a fact of life for the early Chinese (Yee 1988, 50), as was legislated discrimination at the federal level. The latter was evident in restrictive immigration law and a prohibition from voting, which also had the effect of preventing the Chinese from entering professions such as law and accountancy because of a requirement in these professions for members to be on the provincial voters' list (47). Organisations such as the Chinese Benevolent Association (CBA) were formed to "defend the community against external threats" (40) when statute law could not. For example, the C B A fought an effort in 1920 by the Children's Protective Association to remove and segregate Chinese students from classrooms on the grounds that they were a moral threat to other students and slowed class progress. As a pre-emptive measure, the C B A met with Chinese students and gave them advice on making a good impression in the classroom—it even hired a dentist to check their teeth. Segregation was never implemented in Vancouver, but Chinese students were moved to a separate school in the provincial capital of Victoria (52-3). On interviewee related how as a child in Victoria, he intuitively learned the state and its institutions would not provide order for the Chinese, and they would have to look within their own community for systems to regulate social relations. He recollected incidents that took place in his childhood: At some time in the 1930s, a Chinese man, whom his family knew, was murdered but "the police station do nothing about it. They said that's your problem—within Victoria Chinatown, you handle it." On another occasion, the interviewee recalled his mother making the whole family go to a meeting of the C B A in Victoria. The occasion was to bear witness to a public apology that one family was being forced to make to another. Apparently someone had slandered another person, but rather than looking to public institutions for redress, the matter was brought to the C B A . The C B A ordered this person and his entire family to 'pour tea' and ask forgiveness from the other family in the view of everyone in Chinatown. This public humiliation was a means of punishment and social control. There was no alternative for the family but to comply with apologising, because i f they refused to attend the meeting, they would already have 'lost face'. The entire family would be ostracised and "nobody would care for them". Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 8 5 4.4.2 Impact of the Institutional Environment on S.U.C.C.E.S.S. In its 25th anniversary commemorative book, S.U.C.C.E.S.S. acknowledged that the circumstances relating to its founding were directly related to the articulation of a formal policy of multiculturalism by the federal government. A former chair K . C. L i wrote: Around the same period [that S.U.C.C.E.S.S. was founded], at least three other organizations meaningful to the Chinese community were formed—The Chinese Cultural Centre; Overseas Chinese Voice Radio; and Strathcona Mental Health Team of Greater Vancouver Mental Health Service. All of these enjoy their 25th birthday in 1998. Their existence was not accidental but evolved in response to the time. In 1969, the Right Hon. Pierre Eliott Trudeau, our presiding prime minister, proclaimed the policy of multiculturalism. The Chinese community welcomed this policy and were keen to participate in it. (S.U.C.C.E.S.S. 1998,21) In a later interview, K . C. L i stated more emphatically, "SUCCESS was the baby of Multiculturalism"(Guo 2002). He recalled the effects of the new policy: It put citizens of Chinese descent on equal footing with other European ethnocultural groups. Then the federal government began giving grants to various ethnic groups and "that's why SUCCESS got the grant for 3 years at the very beginning. Three hundred dollars for three years were respectable money to set up an organization" (Guo 2002). In 1973, the community activists who founded S.U.C.C.E.S.S. successfully applied to the Department of National Health and Welfare for a three-year grant to run a demonstration project called the Chinese Connection Project, which would provide a link between agencies that delivered social services and the immigrants who received them. S.U.C.C.E.S.S. registered as a non-profit organisation in 1974 and afterwards applied to the Department of the Secretary of State for a grant to hold workshops on the problems faced by non-English-speaking Chinese in the greater Vancouver area (Guo 2002). S.U.C.C.E.S.S. continued to grow in size as a social service provider with the support of government agencies, which had adopted a practice of providing grants and delivering services through ethno-specific organisations. Currently 60 percent of S.U.C.C.E.S.S.'s $16 million annual budget comes from government sources (S.U.C.C.E.S.S Web Site 2003). The policy changes which led to the founding of S.U.C.C.E.S.S. demonstrated the political nature of some instances of institution building (Bates 1995). The federal Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 86 government announced an official policy of "multiculturalism within a bilingual framework" in 1971 as a means to persuade non-English and non-French Canadians to accept official bilingualism, which had been introduced in 1969 through the Official Languages Act. Many Canadians reacted to official bilingualism with hostility, particularly those of Ukrainian, German and other non-English or non-French backgrounds who were living in western Canada. They questioned why the federal government would assign less importance to their culture than to that of the much smaller French-speaking minorities in the western provinces (Knowles 2000). Some characterised the policy of multiculturalism as "a sop to the ethnic groups" to obtain their votes.14 Whatever the politics behind this new institution of multiculturalism, it had tangible outcomes: A Minister Responsible for Multiculturalism was appointed in 1972; the Canadian Multiculturalism Council and the Multiculturalism Directorate within the Department of the Secretary of State was established in 1973; and most importantly for history of S.U.C.C.E.S.S., the federal government began to fund the activities of ethnocultural groups. The influence of institutions in Canadian society continue to be felt today at S.U.C.C.E.S.S. in ways that North (1995) described as the everyday alteration of existing contracts, where norms of behaviour become modified through interaction. According to an administrator at S.U.C.C.E.S.S., the organisation began to shed its ethno-specific character and evolve into a multicultural organisation in the early 1990s in a direct response to the changing conditions of government funding. Government funders were no longer willing to fund organisations that worked with only one ethnic group. S.U.C.C.E.S.S. started an airport reception programme that now offers services in fourteen languages; it opened a Tri-City office (for the municipalities of Coquitlam, Port Coquitlam and Port Moody) to provide settlement services in Farsi and Korean; its small business development programme works with people from all ethnocultural backgrounds; and it makes a concerted effort to use only its acronym to convey a message of openness (Guo 2002). 1 4 Stella Hryniuk, introduction to 20 Years of Multiculturalism: Successes and Failures (Winnipeg, Man.: St. John's College Press, 1992), 3. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 87 4.5 Synergistic Social Capital The S.U.C.C.E.S.S. Seniors Care Home and Adult Day Centre is an example of a division of labour between government and organisations in civil society which Evans (1996b) called complementarity. The provincial government sets policy direction through its funding and regulation of community care facilities, and through its delegation of authority to the Vancouver Coastal Health Authority, which as outlined earlier, established a goal of delivering culturally competent services. Meanwhile, S.U.C.C.E.S.S. initiated and delivered residential care and day programmes to seniors in the Chinese community. There was synergy in the relationship between the provincial government and S.U.C.C.E.S.S. Through this relationship, both parties gain access to resources which enabled them to achieve their respective organisational goals. Through S.U.C.C.E.S.S., the provincial government and local health authority were able to access cultural knowledge and the trust of people in the Chinese community. At the same time, S.U.C.C.E.S.S. was able to access funding and the knowledge and guidelines of an entire provincial programme for continuing care. The successful completion of the Seniors Care Home depended not only on the resources accessed through relationships with agencies of the provincial government, but the project was also dependent upon resources that were accessed through relationships with the municipal government. The City of Vancouver played a substantial role in moving the project forward by contributing land to the Seniors Care Home. The City did this by providing S.U.C.C.E.S.S. with a long-term lease on favourable terms for a piece of land it owned in a prime area of Chinatown.15 The location of the property meant that the Seniors Care Home would be surrounded on all sides by significant aspects of Chinatown. The front access of the building faces a classical Chinese garden and the Chinese Cultural Centre; the back side opens onto Shanghai Alley, the historical centre of Chinatown; a neighbouring property on the north part of the same block is listed in the Guinness Book of Records as the thinnest building in the world; and across the street to the south is a landscaped city park. 1 5 The City's lease is with the S.U.C.C.E.S.S. Multi-Level Care Society. The 60-year lease was signed in 1999 and expires in October 2059. Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 8 8 This was not the first time the City had been so generous with S.U.C.C.E.S.S. S.U.C.C.E.S.S.'s new head office and social service centre, which opened in 1998, is located on the same city block as the Seniors Care Home. The City also owned the land on which the social service centre was built and it leased the property to S.U.C.C.E.S.S. for fifty-eight years for the sum of one dollar. In the view of one administrator at S.U.C.C.E.S.S., the organisation has a very good relationship with the City of Vancouver because of personal relationships built up between staff over time and because of S.U.C.C.E.S.S.'s track record and proven ability to run social programmes. Figure 4: View of the Seniors Care Home From Shanghai Al ley Gift from Vancouver's sister city of Guangzhou - a replica of a Western Han Dynasty bell marking the location of the first Chinese settlement in greater Vancouver. Andy Livingstone Park in the background. Like the provincial government and local health authority, the City found in S.U.C.C.E.S.S. an organisation to carry out its own policy objectives that relate to housing and the revitalisation of Chinatown and the surrounding area of the Downtown Eastside. In 1989, in the context of a citywide housing symposium, Vancouver City Council resolved to: Foster the social development of Vancouver as home to a wide variety of people with many different racial, ethnic, cultural backgrounds and social, economic lifestyles; Facilitate the provision of a wide range of housing forms and shelter costs to meet the needs of existing and future Vancouver residents of all backgrounds and lifestyles; and Maintain and expand housing opportunities in Vancouver for low- and moderate-income households, with priority being given to Downtown lodging-house residents, elderly people on fixed and limited incomes, the physically and mentally disabled, and single-parent families with children. (Cited in City of Vancouver 1998, 12) [italics added] Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 89 The S.U.C.C.E.S.S.'s seniors care facility meets these municipal policy objectives of fostering housing for people from a variety of ethnocultural backgrounds, facilitating different housing forms and expanding housing opportunities for the elderly. Additionally, the City's 1998 Housing Plan for the Downtown Eastside, Chinatown, Gastown, Strathcona specifically refers to the Seniors Care Home as a project that would both address needs for Special Needs Residential Facilities (SNRF) and meet policy objectives for housing in Chinatown (City of Vancouver 1998, 36 and 44). With respect to housing policy objectives, the Housing Plan advises the City to "recognize heritage objectives when implementing housing policies in Chinatown" (45). Half of Chinatown is a provincially designated heritage site, and municipal zoning in this area "encourages the preservation and rehabilitation of the significant early buildings of Chinatown, while recognizing that the specialty-goods market and related activities make the district an asset to the city that needs to be encouraged" (44). I would submit that having Chinese people live in Chinatown would add at least as much heritage value and character to the district as encouraging shops to sell Chinese goods and services. It seems appropriate that the drop-off area for the Seniors Care Home faces onto Shanghai Alley, where one interviewee has his strongest memories of first coming to Vancouver around 1940. As a young man whose job brought him to Vancouver, he would go to visit his friends who lived in the buildings along Shanghai Alley and play the game of mah jong. 4.6 Summary of Social Capital Inputs into S.U.C.C.E.S.S. 's Housing Project Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 90 Figure 5: Social Capital Inputs Into S.U.C.C.E.S.S. Seniors Care Home and Adult Day Centre e m b e d d e d Synergistic SC • funding of capital and - ongoing operating costs • land and low-cost lease a u t o n o m o u s p o l i t i c a l i d e a k o f ; . j o t ^ i u c a i / W i / / / / / / ^ / / / / / / / / " „ S.U.C.C.E.S.S. Seniors Care Home and Adult Day Centre I Bonding SC • knowledge of cultural I and housing needs | • intercommunity fundraising I I A l l four forms of social capital—bonding, bridging, institutional and synergistic— played a role in the development of the S.U.C.C.E.S.S. Simon K . Y . Lee Seniors Care Home and Chieng's Adult Day Centre. Different types of social capital acted as direct and indirect inputs into this housing project for Chinese seniors with complex health needs. Because S.U.C.C.E.S.S. had extensive ties to the Chinese community, it was able to acquire knowledge about the cultural and housing needs of Chinese seniors. This knowledge, which functioned as a type of bonding social capital, enabled S.U.C.C.E.S.S. to develop culturally competent housing. The construction of the facility and initial operation of the day centre was dependent on S.U.C.C.E.S.S.'s ability to pay a portion of the necessary costs. The organisation was able to do this by drawing another type of bonding social capital, namely the funds that could be raised in the Chinese community. The opportunity structures for conveying social capital within the Chinese community were maintained by a two-way Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 91 exchange of resources. Individuals also benefited from their relationship with S .U.C.C.E.S .S . They acquired access to social programmes in their own language, the voice of an organisational advocate for the Chinese community, and the personal satisfaction of being involved in community activities. These opportunity structures between S .U.C.C.E.S .S . and the Chinese community did not arise spontaneously, but rather in response to a specific social and institutional environment. This environment is different from what earlier Chinese immigrants faced, and could well change again in the future. In addition to bonding forms of social capital, S .U.C.C.E .S .S . also had to look outside the Chinese community for resources to develop the facility and deliver excellence in residential care for seniors. Its credibility as a professional social service organisation and ability to attract funding and service contracts depended on its ability to establish relationships with mainstream organisations. The fundraising committee for the seniors care home project was meticulously formed to include honorary advisors who were not Chinese in order to acquire legitimacy and access bridging forms of social capital. S .U.C.C.E.S .S . also looked beyond a base of parochial knowledge and turned to the American-based Eden Alternative for professional knowledge about combating helplessness, loneliness and boredom amongst seniors. The institutional environment imparted a number of symbolic resources to the Chinese community for achieving their goal of culturally and linguistically appropriate housing for seniors. Norms of practice for the local health authority had evolved to value the delivery of culturally competent services. This opened up the possibility o f obtaining public funding for a project which focused on the housing and health needs of a specific ethnocultural group. Institutions at the federal level acted as an indirect resource in developing the seniors care home. Without a policy of multiculturalism, S .U.C.C.E.S .S . might never have even formed. Because Canadian political institutions reflected a valuing of diversity, organisations like S .U.C.C.E.S .S . were able to obtain the support necessary for continued operation. Synergistic social capital played a more direct role in realising the seniors care home project. The provincial government provided the bulk of capital funding for the project; the Chapter 4 Case Study 1: An Ethno-Specific Organisation in Residential Housing for Seniors • 92 local health authority agreed to fund its operating costs; and the municipal government provided land at a premier location in Chinatown. S.U.C.C.E.S.S.'s ability to obtain this level of support was dependent upon the strength of its relationships with these agencies of government. These relationships, while based on S.U.C.C.E.S.S.'s professional reputation and the trust and familiarity built up in past interactions, were in an ongoing process of being enacted and maintained during the course of the project, because there was a mutual exchange of benefits. By partnering with S.U.C.C.E.S.S., the province and municipality were able to work toward their own housing and health goals. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 93 5 C A S E S T U D Y 2 : C A R E N E T W O R K S IN C O M M U N I T Y H O U S I N G F O R A D U L T S WITH D E V E L O P M E N T A L D ISABILITIES 5.1 Background 5.1.1 Housing as Enabling or Disabling Space In his study of the 'geographies of disability', Gleeson (1999) argued disability is a profoundly spatial experience. While space could enable, it could also serve to disable people with functional impairments of the body by imposing physical exclusion. Drawing from the work of Henri Lefebvre on the mutually constitutive relationship between space and society,1 Gleeson wrote that space is a social artefact shaped by the interplay of structures, institutions and people in real historical settings (2). Because impairments were socialised differently through history, the spatial experience of disability also differed correspondingly. Specifically, Gleeson asserted that the socio-spatial experience of physical disability underwent a fundamental change with the rise of the industrial city. In feudal England, physically disabled people2 were integrated into household production, and even where shelter was provided in the village almshouse, the residents remained a part of the village social space in terms of both physical proximity and continuing ties to other villagers (94). However in the industrial city, people with physical impairments were 'disabled' because the workplace was separated from the home and productivity standards became based on the mechanised labour of non-impaired males (106). By the late nineteenth century, 'spaces of exclusion' were created in most industrialised countries, where systems of state 1 Lefebvre wrote, "Space is permeated with social relations; it is not only supported by social relations, but it also is producing and produced by social relations". Gleeson (1999, 45) citing Henri Lefebvre, "Space: Social Product and Use Value", in Critical Sociology: European Perspectives, edited by J. W. Freiburg (New York: Irvington, 1979). 2 Gleeson (1999) uses the terminology of 'disabled people' as a political statement to focus on the oppression of people with impairments. Others use 'people with disabilities' to focus on the humanity of the person. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 94 and charity-run institutions (workhouses, hospitals, asylums and 'crippleages') were used to incarcerate the 'incapable'.3 While Gleeson's historical analysis focused on physical disabilities, he suggested that space also informs the experience of other disabilities. Spaces of exclusion have certainly been part of the history of housing for people with developmental disabilities in British Columbia. From the early 1950s to the early 1980s, most people with developmental disabilities in British Columbia were moved from their home communities and placed in large provincial institutions4 (MCFD Discussion Paper 2001, 1). The three main facilities were Woodlands School in New Westminster, a municipality of greater Vancouver; Glendale Lodge in Victoria, the provincial capital; and Tranquille in Kamloops, a city in the interior of the province. Woodlands was the oldest of these institutions, opening in 1878 as the Provincial Asylum for the Insane. Originally a place to incarcerate the mentally ill, Woodlands began to focus on housing for people with developmentally disabilities in the 1930s. Both children and adults were housed at Woodlands. When the government announced its intention to close its large institutions in 1981, children (defined as those under the age of nineteen) accounted for about 100 of the 830 residents at Woodlands. Figure 6 : Centre B lock at Woodlands Schoo l , New Westminster, Bri t ish Columbia 3 Gleeson (1990,108) citing Michel Foucault, Discipline and Punishment: The Birth of the Prison (New York: Vintage, 1979). 4 As opposed to 'the rules of the game in society' (North 1990), here 'institutions' refer to large-scale, specialised residential facilities for people with complex needs. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 95 Deinstitutionalisation of people with developmental disabilities began with the closure of Tranquille in the mid-1980s, followed by Glendale in the early 1990s and finally, Woodlands in 1996. Gleeson asserted the closure of large institutions for people with disabilities in favour of establishing residential support programmes within the mainstream community has the potential to create a less oppressive urban geography. However, in his view, an enabling environment depends not only on the physical location of the residential support programme, but also on "an overall production of social space that is conditioned by a range of structural and institutional dynamics, including capitalist commodity relations, state ideologies and practices, and socio-cultural attitudes within civil society" (1999, 154). This case study will use the model of social capital to examine the ways in which the space of 'community living' housing has been socially constructed through relationships amongst community-based service organisations, family members, informal support groups and government agencies. 5.1.2 Community Living The term community living was first used in the context of deinstitutionalisation to refer to the movement to take people with developmental disabilities out of compulsory care in large institutions and place those who could not live independently in small group homes which were physically integrated in community neighbourhoods. At present, the norm for the size of group homes in Vancouver is to have four adults living together in one house.5 However, community living has come to mean more than simply living in smaller group homes. It now more broadly refers to an environment where people with developmental disabilities have meaningful involvement and an opportunity to contribute to their communities. The following provides two cases of community living. In the first instance, the individual has housing in the family home, and in the second, the individual has housing 5 The provincial government is currently seeking to reduce costs by increasing the size of group homes by one additional person. In M C F D Web Site, Initial Deliverables, <http://www.mcf.gov.bc.ca/change/cla_init_deliverables.htm> (updated 4 July 2003). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 96 in a group home sponsored by a community-based organisation. The individuals, whose family members had been interviewed for this study, have been given pseudonyms. Profile of Housing in the Family Home Daniel, a thirty-three-year-old man, has lived with his parents in the family bungalow for his entire life. The family home is in a middle class Vancouver neighbourhood, near a park, shopping facilities and a major public transportation route. Daniel was diagnosed with autism in 1975 when he was five years old. At the time, there were few housing or support options available to his family. They could either place him in Woodlands as a voluntary committal in order to give him access to education and personal care or they could keep him at home. Given a choice to "forget" they had a son or to take on the responsibility themselves, Daniel's family chose the latter. Although she had previously worked as a secretary, Daniel's mother gave up white-collar employment in favour of a job that had a graveyard shift, in order to care for Daniel during the day and be available to take him to therapy sessions. The availability of support services in the community improved and in the mid-1980s, Daniel began to attend a segregated school for children with developmental disabilities. It was during these teenage years at the segregated school when Daniel's mother was finally able to seek another source of income by starting her own business. When the segregated school closed in 1989, rather than integrating Daniel into a regular high school, which his family thought would be too traumatic for him, he began to attend a 'sheltered workshop' run by a community-based service provider. When the supported employment component of the workshop was phased out in 1999 because of changes to the provincial Employment Standards Act which ended exemptions from minimum wage standards previously granted to sheltered workshops, Daniel left and began attending a day programme run by Mainstream Association for Proactive Community Living (MAPCL). This day programme for adults with high behavioural needs operates five days a week for six hours each day. The programme teaches skills to enable Daniel to socialise and live in the Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 9 7 community, and includes activities such as cooking, grocery shopping, swimming and so forth (MAPCL Web Site 2003). Profile of Housing in a Community Sponsored Group Home Caitlin is a twenty-seven-year-old woman who has lived for the past two years in a group home run by M A P C L . The group home operates out of an ordinary single-family residential building known as a 'Vancouver Special' because of its architectural style and prevalence in the city. The house is rented from a private landowner and is located close to a busy commercial intersection with shops, services and public transportation. Each of the three residents of the group home normally has an individual room on the upper floor of the house. They share a common living room, dining room, kitchen and washroom. The ground floor of the house contains office space for M A P C L staff and a self-contained unit that is used for emergency and respite housing. However, because of difficulties being experienced by one of the residents, this individual has moved downstairs and the office has 6 Shawn Blore, "In Praise of Cheap Modernism: Vancouver Special, House Beautiful: Hey, All You Snobs Who Gave Us Condo-Rot! It's Time to Rehabilitate the Most Scorned Architectural Form This City Has Ever Spawned", The Vancouver Sun, 1 May 1999, sec. E, p. 8, final edition. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 9 8 been relocated upstairs. The group home is staffed in the afternoons and evenings by two employees who have overlapping shifts. One works from 2:30 to 9:00 p.m. and is present when the residents arrive home from their day programmes. The other staff person begins later and works until 11:00 p.m. Four days a week, Caitlin attends a daytime programme that is also run by M A P C L . Her programme has a number of components, including a comedy and improvisational theatre troupe, a catering division and a woodwork shop. Prior to moving into the M A P C L group home, Caitlin lived with her parents in the family house. Born in the mid-1970s, Caitlin was diagnosed at birth with brain damage. Her family later found out she also had multiple diagnoses of cerebral palsy and an anxiety disorder. Like Daniel's family, Caitlin's family made the decision to keep her at home. She attended one of the first special needs classes in Vancouver that were held in a regular public school. Caitlin's mother also altered her personal and work life accordingly, taking on only part-time and weekend work in order to ensure Caitlin was not left by herself for any length of time. However, in her early twenties Caitlin's anxiety disorder became more aggravated. She became physically abusive with her family and the situation deteriorated until her mother could no longer cope and was on the verge of a nervous breakdown. Caitlin's parents had originally put her on a waiting list for a group home placement when she turned eighteen years old, because her parents feared that once she reached the age of majority and was deemed an adult, she would lose all access to services unless she was under government care. But with the increasingly untenable situation at home, Caitlin's family and advocates at the Parent's Support Group for Mentally Handicapped Adults (PSG), an informal support group to which Caitlin's parents belonged, successfully petitioned to have her placement in a group home prioritised on health and safety grounds. Caitlin's parents believe that her living in a group home which is staffed for only a part of the day provides an optimal level of support for Caitlin without being overly protective. They also feel it is necessary for Caitlin to be under the supervision of paid staff who work in shifts in order that no single caregiver suffers burnout, as was the case when she lived at home with her family. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 9 9 MAPCL in the Provision of Community Living Services Both Daniel and Caitlin access community living services through M A P C L , an organisation formed in 1998 from the amalgamation of four previously existing societies. M A P C L is the largest community living service provider in British Columbia (MAPCL About Mainstream n.d.). It provides support services and day programmes to more than 600 adults and children and provides residential support to another 154 adults and young people who live in apartments and group homes throughout greater Vancouver. It operates programmes in over seventy locations across twelve municipalities (interview by author and M A P C L 2002). Although M A P C L can alternatively be described as a community-based organisation or a voluntary or non-profit organisation, the terminology of 'service provider' provides an apt description of its activities, which primarily are to provide direct services on behalf of the provincial government.7 M A P C L ' s funding comes almost exclusively from the provincial Ministry of Children and Family Development (MCFD)—90 percent of its $21.9 million budget comes from M C F D , while less than half a percent ($26,260) comes from fundraising activities (MAPCL 2002, 6). While M A P C L will try to assist people who ask for support services but do not have provincial funding, participation in M A P C L ' s programmes is generally contingent upon a referral from an M C F D social worker. M A P C L has a philosophy to help individuals achieve physical and social integration through its various programmes (MAPCL Case for Support n.d.). In addition to life skills and vocational training programmes, such as those that enable Daniel and Caitlin to engage in community activities outside of the home, M A P C L also has a number of housing programmes. The many housing programmes are intended to provide choice and different levels of support in a non-institutional environment. These include providing intensive support in the private homes of individuals and their families; minimal supports and regular 7 M A P C L regards itself as a community-based organisation—its promotional material makes reference to its grass roots and the importance the organisation places on maintaining a community presence in the regions it serves ( M A P C L About Mainstream n.d.). Rekart (1993, 5) uses the terms 'voluntary' and 'non-profit' interchangeably to denote organisations that are not part of government, do not distribute profits and act for public benefit. In contrast, Crichton and Jongbloed (1998, 79) equate 'voluntary organisations' with 'non-governmental organisations' and include within these categories both non-profit and for-profit agencies that provide direct services on behalf of the government. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 0 u monitoring for individuals who live independently; family or foster care; respite care to give caregivers a break from their responsibilities; and staffed residences or group homes. M A P C L rents, leases or owns sixty-one properties in greater Vancouver which are operated as staffed residences. The majority of the homes are rented, but where possible M A P C L purchases the property to provide residents with long-term security. Sixteen of these homes receive operational subsidies from British Columbia Housing or the Provincial Rental Housing Corporation (PRHC) (MAPCL Case for Support n.d.). 5.1.3 Social Capital and Community Living for People with Developmental Disabilities Based on principles relating to citizenship rights and the normalisation of care,8 segregation into large institutional facilities is no longer viewed as an appropriate model of housing for people with developmental disabilities. This was reiterated in May 2003, when a formal apology was issued by the provincial Minister of Children and Family Development to the former residents of Woodlands and other institutions who suffered harm as a result of their time spent in institutional care. His statement read in part that in the past: ...British Columbia, like most jurisdictions throughout North America, focused on institutional care as the model for helping persons with developmental disabilities. Many of the most vulnerable people were sent to these institutions because society could not accommodate them. The reality of institutional life for some was that they did not receive the level of care and treatment they deserved. The institutional model, which we now recognize as flawed, created a depersonalized environment. This led to mistreatment of some unfortunate people.... We now recognize the detrimental impact of the institutional environment and the importance for all children to be raised with the support of their families and communities? [italics added] British Columbia Association for Community Living (BCACL) Web Site, BCACL History: 1970's, <http://www.bcacl.org/hist70a.htm> and B C A C L Web Site, BCACL History: 1980's, <http://www.bcacl.org/hist80a.htm>. Normalised care is a philosophy of care advanced by Wolf Wolfensberger that maintains the lives of people with developmental disabilities should as much as possible match the norms and patterns of everyday society (Crichton and Jongbloed 1998, 106). 9 Ministry of Children and Family Development (MCFD), May 30, 2003 Statement, <http://www.mcf.gov.bc.ca/media_site/pdfs/woodlands_apology.pdf>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 0 1 The "support of their families and communities" has been an invaluable asset possessed by both Daniel and Caitlin. Before the government ever announced a policy of deinstitutionalisation, Daniel and Caitlin were already 'living in the community'. From birth they had been accessing housing and personal care resources through relationships with their parents and siblings. As adults, relationships with community-based organisations became more important as they began to access day programme services and other housing alternatives. Nonetheless, their relationships with government remain important and provide them with access to vital resources, including individual disability benefits and block funding for day programmes. The concept of social capital provides us with an expanded understanding of the resources which contribute to Daniel and Caitlin's ability to live physically and socially as part of the community. The following uses the previously outlined model of social capital to consider in turn the various contributions made by community-based service providers, family members, informal support groups and government agencies to developing and sustaining community living housing for adults with developmental disabilities. 5.2 Bonding Social Capital 5.2.1 MAPCL as an Indicator of Social Capital in the Developmental Disabilities Community Opportunity Structures Amongst Like-Minded Organisations and MAPCL Stakeholders The British Columbia Association for Community Living (BCACL), a provincial advocacy organisation for people with developmental disabilities and their families, has seventy-five member associations, including M A P C L . The sheer number of like-minded organisations and the prominence of B C A C L in advocacy and policy issues provides an indicator for the presence of social capital and collaboration within the community of people with an interest in developmental disabilities. M A P C L itself was formed from the amalgamation of four other agencies: Mainstream Society for Integrated Community Living Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 102 (Mainstream), Lower Mainland Community Based Services Society (CBSS), Proactive Community Services Society and the Pacific Association for Community Experience (PACE). These four organisations came together because of pre-existing ties and commonalities. Mainstream and CBSS were already sharing an office space; P A C E had originated as a spin-off of Mainstream; and most importantly according to one staff member, the four organisations shared similar philosophies and values, which offered a degree of reassurance that amalgamation would be workable. Amalgamation had a number of benefits. It enabled M A P C L to find efficiencies in the reduced number of executive directors and middle management positions. It also created a more effective programme of support services than had been available when operating as separate entities, where one agency might have been able to offer housing services but not day programmes or vice versa. Amongst the stakeholders of M A P C L there is only loose affinity. Two M A P C L staff members both described a lack of cohesion or strong feelings of common identity amongst their clients and their family members, because of the size of M A P C L in terms of its range of services and regional coverage. While some individuals and their parents might feel loyalty toward M A P C L because they have had a relationship with M A P C L and its predecessors for ten years or more, for others M A P C L is only a name and they identify instead with the staff person who works directly with them. M A P C L does not see its role as to encourage bonds of affinity between its clients and the organisation or the disability community. Rather M A P C L focuses on helping clients develop relationships with the broader community. In the context of group homes, this could mean encouraging residents to get involved in the local community centre or holding an open house to help neighbours get to know residents of the group home. The loose, instrumental ties between M A P C L and its clients reflect its primary role as a service provider. Neither Daniel nor Caitlin's families are active in M A P C L as volunteers. Only recently, in 2001, were a communications and development department formed and a full-time fundraiser hired. It has only been in the past year that M A P C L has put significant efforts into membership development, fundraising and profile building. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 0 3 Access to Individual and Collective Advocacy Resources through MAPCL Although clients relate to M A P C L primarily as consumers of its services, their ties to the organisation give them and their family members access to individual and collective advocacy resources. Neufeld (1984) categorises advocacy activities as either (1) self-advocacy, where people with disabilities speak and act on their own behalf; (2) support advocacy, where an advocate provides direct support to individuals or their families; and (3) systems advocacy, where activities are directed at changing organisations and structures in society, such as by monitoring programmes, analysing and influencing government policies and conducting public education campaigns.10 Advocacy is one of the stated principles of M A P C L (MAPCL Statement of Principles n.d.) and the organisation acts in all three areas of advocacy. New employees at M A P C L are trained to empower clients to advocate for themselves i f they are not being treated properly, and i f clients are unable to do so, staff members are to speak out on behalf of the client. M A P C L is also involved in systems advocacy. As the largest community living service provider in the province, M A P C L is able to speak out on issues and be heard to a degree that is not possible for individuals. Soon after a new neo-liberal provincial government was elected in 2001, the executive director of MAPCL—who has been described as "very out there and very well known and very opinionated"—felt compelled to set up a meeting with the new Minister for Children and Family Development in order to shape the emerging political agenda. According to one interviewee, this sense of urgency arose because articles were appearing in newspapers about the new government turning its attention to congregate care and revisiting the idea of institutions for people with developmental disabilities. The executive director of M A P C L was able to meet with the new minister and convey a sense of the struggle families had undergone in the past in order to integrate their children into the community and what their current concerns were. The role the executive director of M A P C L played in the advocacy work of the Community Living 1 0 Ron Neufeld, "Advocacy on Disability", in Dialogue on Disability: A Canadian Perspective Vol I The Service System, edited by P. Gall, A. Wight-Felske and E . J. Marlett (Calgary: University of Calgary Press, 1984), quoted in Crichton and Jongbloed (1998, 185-8). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 104 Coalition, which led to current plans to create a new provincial governance structure for community living services will be discussed in the sections to follow. M A P C L ' s ability to speak out on issues and influence government policy acts as a collective resource for people who have concerns about the direction of community living services. 5.2.2 Resources in Family Ties Cos f Effective Shelter and Services Rekart (1993, 4) contends that despite the growth of government and the voluntary sector in the delivery of social services, it is family and friends who remain the main source of care in British Columbia. Based on demographic and prevalence data, M C F D estimates one percent of the adult population in the province could be considered to have a developmental disability. However, because community living services are voluntary, the provincial government has historically only provided services to about 30 percent of this estimated population (MCFD Discussion Paper 2001, 2). At present the government funds residential resources for over five thousand adults. The funded housing options include group homes, foster care, staff support for individuals who live semi-independently and respite care to give family caregivers a break from their responsibilities. The other 70 percent who remain outside of the formal system of care offer substantial cost savings to the state. The average annual cost of placement in a residential facility is $64,000 per person. These costs can increase to $100,000 to $200,000 for high-needs individuals and for a few people annual costs exceed $300,000." For many adults with developmental disabilities—whether they receive provincial funding or not—family relationships give them access to resources for housing, both in terms of physical shelter and the support services necessary for community living. For individuals like Daniel and Caitlin—when she was still living in the family home—the resources they accessed through family ties made an invaluable contribution to their well-" MCFD, Media Site-Adult Community Living, <ht^ ://www.mcf.gove.bc.ca/media_site/cls.htm> (updated 12 July 2002). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 0 5 being. Through family ties, they gained access to housing which reflected their personalities and had the warm character of a home rather than the sterile feeling of an institution. Parents and siblings provided individualised and loving personal care—monitoring their physical and emotional health, ensuring they were waitlisted and accessed appropriate education and training programmes, and encouraging them to take part in sporting and other recreational activities. Home Control Obtaining housing resources through family relationships may be the only option open to some adults with developmental disabilities. Obtaining housing in government funded group homes may simply not be a realistic option for some individuals because at present there are long waiting lists for openings.'2 For others, group homes are regarded as undesirable because of the lack of control individuals have over the home environment. They have no control over the location of the group home, they cannot choose their housemates, they must live according to the rules and procedures of the home, and so forth (Etmanski 1997, 62). For either reason, some people with developmental disabilities and their family members desire housing to be in the family home or other type of privately held property. For some individuals with developmental disabilities, the most significant material asset they will have is the house or apartment that is transferred to them or purchased for them by family members. As Planned Lifetime Advocacy Network (PLAN), an organisation formed by older parents to help families plan a secure future for their disabled children when they are no longer able to watch over them, has asserted: "We see no reason why people who need staff support for their personal care should be denied the benefits of a home of their own" (60). Many parents who approach P L A N for assistance express a desire to provide their adult children with homeownership for the same reasons that any other person might 1 2 In its 2001 review of community living services, M C F D stated expenditures had grown so dramatically— almost doubling since 1981—that in the two fiscal years preceding the review, new services for adults were only being authorised where the health and safety of clients were at risk and in the case of children already in care turning nineteen years old (MCFD Discussion Paper 2001, 2). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 106 want his or her own home—for control over where one lives, stability of tenure, investment, privacy, ability to offer hospitality, safety and comfort, and so forth (60). 5.2.3 Resources in Informal Ties: The Parents Support Group for Families of Mentally Handicapped Adults Support Advocacy, Expressive Returns and Housing Options The parents of both Daniel and Caitlin belong to an informal support group called the Parents Support Group for Families of Mentally Handicapped Adults (PSG). It is 'informal' in that the group is not recognised by any structure of the state—it is not registered federally as a 'charity' or provincially as a 'society'.13 The PSG began in 1997 after five families got together to talk about their common experience of having cared for a child with a developmental disability at home since birth. By word of mouth, the PSG grew from the five original families to over one hundred families. Though the group has become more diverse—including foster parents and parents and siblings whose family member lives in a group home—the raison d'etre of the PSG is to support and represent the parents of mentally handicapped adults who have lived in the family home since birth.14 The PSG asserts that while support services are made available to the former residents of institutional facilities and people currently living in group homes, the majority of individuals who live at home with their parents receive little assistance.15 This is a matter of concern because many of these parents are seniors and are challenged with taking care of both themselves as well as their ageing adult child. 1 3 A l l activities of the PSG are done on a voluntary basis. To date the PSG has neither sought nor accepted any government funding because it wishes to maintain its independence and feel as a grassroots organisation for families. Its funding comes from the donation of money or goods in kind from family members, caregivers and others with an interest in developmental disabilities, including small donations from service delivery organisations such as M A P C L . In 2002, the PSG had a small operating budget of just over $2,500, of which approximately $660 came from contributions at PSG meetings and $1,700 was donated by individual families and community organisations. Most of its funds are spent on postage and photocopying to communicate with members. From The Parents Support Group for Families of Mentally Handicapped Adults (PSG) Web Site, Accounts Summary January 1 - December 31, 2002, <http://www.members.shaw.ca/parentsupport>. 1 4 PSG, letter to all Members of the British Columbia Legislative Assembly, 27 February 2003. 1 5 Gwen Lee, "Services Are Lacking", letter to the editor, Burnaby Now (Burnaby, B.C.), 4 October 1998. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 0 7 The PSG provides a means for parents to help each other out. One member of the PSG identified the provision of information and direct advocacy as two of the most important ways in which the PSG supports families in their efforts to keep their adult children living at home. The PSG newsletters regularly include practical information that parents might not be aware of without constant research and vigilance, such as how to request a 'special authorisation' for their son or daughter's prescriptions not covered by the provincial drug plan1 6 or updating them on changes to provincial disability benefits.17 Just as PSG members acted as volunteer advocates to press for a group home placement for Caitlin, they have taken similar action on behalf of other parents. In the case of one seventy-nine-year-old member whose forty-seven-year-old son lived at home with her, the PSG stepped in after the woman had two serious falls within two months. Two other parents in the PSG accompanied the elderly parent to meet with her son's social worker. When the social worker confirmed the family would not be able to get home support immediately, the PSG wrote directly to the head offices of the Ministry for Children and Families (MCF), as M C F D was then known. After eight weeks of regular PSG follow-up, a funded homemaker appeared with no notice on the doorsteps of the family. Additionally, this family had been on a waiting list for respite care funding for years. The family never received any because there were no new funds, and consequently, funding tended to be granted on a crisis basis. When the PSG requested home support for the family, a request was also made for respite funding—this was also granted at the time. As with this elderly woman, the demands placed on family caregivers can be onerous. The PSG has consistently tried to convey this message to political representatives: "Providing 24-hour care without respite takes a heavy toll on the family unit, leading to crises and the eventual breakup of the family unit. Families have no other option but to place their adult children in government care."18 By offering direct support to family caregivers, the relationships formed through the PSG act as a source of 1 6 PSG, "Minutes of Parents Support Group Meeting on March 20, 2003", Vancouver: The Parents Support Group for Families of Mentally Handicapped Adults, 25 March 2003. Photocopy. 1 7 PSG, "News Update - April 2003", Vancouver: The Parents Support Group for Families of Mentally Handicapped Adults, April 2003. Photocopy. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 108 indirect resources that enable adults with developmental disabilities to live in the family home as part of the community. Developing ties to other parents who face similar challenges also has expressive purposes. The sharing of information and experiences validates the difficulties parents face. This has expressive returns for family caregivers in terms of their mental health and life satisfaction (Lin 2001, 244-5), which thereby eases feelings of burnout and indirectly benefits the individual living at home. Caitlin's mother spoke of how isolated she felt when other family members could not relate to her experience of raising a child with developmental disabilities—well-intentioned comments such as "all children scream", which were intended to reassure her, only served to dismiss her struggles. For Daniel's mother, the PSG also made a difference in her ability to provide appropriate care for her son. The PSG connected her to an entire community of people and by talking to them, she began to realise they had similar problems and concerns. This legitimised her own experiences and gave her the confidence to become more vocal in advocating for services that she felt Daniel needed. The PSG provides a forum for ageing parents to discuss and take on one of the most pressing issues on their mind—secure housing for their adult children once they are no longer able to care for them in the family home or are deceased. Individuals seeking placement in Vancouver area group homes face long waiting lists at present and this is unlikely to change given its higher costs relative to foster care. Many parents in the PSG also believe foster care is an unsuitable and unstable housing option for their adult children, especially i f they have complex medical and behavioural needs. They cite the experience of one family whose middle-aged, blind and mentally handicapped child was shuffled between four foster homes and her parents' home in one year before finally obtaining a group home placement.'9 Parents are looking for peace of mind about the future of their adult children and have taken action by looking to develop their own housing project, which they call a ' PSG, pre-election brief to the Official Opposition Caucus Committee on Children and Families, 8 March 2001. Photocopy. 1 9 PSG, letter to Gordon Hogg, Minster of Children and Family Development, 27 February 2003. Photocopy. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 109 'communal village'. As envisioned by members of the PSG, this communal village would offer a blend of housing units for: • parents who wish to continue living with their sons and daughters; • suitable options to accommodate mentally handicapped adults, whether they require supported care, semi-independent or fully independent living; • seniors complex for aging adults with mental handicaps as well as older parents who wish to continue their association.20 At the time of this research, the PSG is the midst of negotiating with a community-based service delivery organisation to collaboratively develop this housing project. Diffusion of Intra-Community Opportunity Structures The PSG was formed by parents who felt their needs and views were not being represented by existing service delivery agencies and advocacy groups. Some parents were looking for others who literally and figuratively spoke the same language. Divisions within the broad community of people with an interest in developmental disabilities are evident even in the name of the organisation—the Parents Support Group for Families of Mentally Handicapped Adults. Most organisations in British Columbia are antipathetic to the term 'mentally handicapped' and either use the term 'developmental disabilities' or avoid use of any descriptor at all. This semantic difference reflects a division based on differing degrees of impairment, and consequently, different priorities. A motivating factor in Daniel's mother joining the PSG was her frustration with disability advocacy groups that advised the provincial government to end the exemption from minimum wage standards that had previously been granted to sheltered workshops. In her view, only the views of higher functioning self-advocates, who were able to represent their own interests were heard, and no one spoke up for people like her son, who could not take part in activities with an economic value equivalent to the minimum wage. Daniel's mother says she is not ashamed to say that her son is 'mentally handicapped' and believes the term is appropriate for the circumstances of the PSG's Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 u membership. In her view, the word 'disability' has become so broad in meaning that it gives the public an impression anyone with a disability can function to a normal degree. However, she and other parents in the PSG believe that some people with mental handicaps suffer a prominent impairment and need exceptional care and exceptions from the norms which apply to others in society. In their advocacy material, the PSG asserts that "changes to the Employment Standards Act have stripped individuals of their choice and their right to work in a sheltered environment and earn a small remuneration".21 So while there may be feelings of bounded solidarity amongst people with developmental disabilities and their families that is based on existing barriers in society, their needs, interests and opinions on policy issues are diverse and can only be met by segmentation into smaller groups of common interest. 5.3 Bridging Social Capital 5.3.1 Role of Bridging Social Capital in Community Living While parents and other family caregivers might seek homophilous ties with other families in similar circumstances for their own mental health and life satisfaction, they do not necessarily seek the same for their adult children. Indeed, Daniel's mother believes the well-being of her son is dependent on the development of heterophilous or bridging ties with others in the wider community. This is a source of her dissatisfaction with the reality of community living and the day programme Daniel currently attends. She is sceptical about the gains made by the community living movement. In her view, although the large institutions have been closed and people are attending day programmes and living in smaller group homes, she asserts many people with developmental disabilities are still 'institutionalised' because they are isolated and have little interaction with others in the wider community. 2 0 PSG, "Housing Proposal", Vancouver: The Parents Support Group for Families of Mentally Handicapped Adults, October 2001. Photocopy. 2 1 PSG, Latest News: The Dehumanizing Impact of Insensitive Policy Reforms Upon the Lives of People with Mental Handicaps, <http://www.members.shaw.ca/parentsupport>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 1 In contrast, she believes that Daniel's life has come closer to the ideals of community living. He has lived in the same neighbourhood all his life, so neighbours and local shopkeepers all know him. So while Daniel's mother is happy with the diverse neighbourhood ties he has, she is less satisfied with the ties engendered by his participation in the current day programme. What she desires is legislative and financial support for fully supported work programmes like those that Daniel attended before the minimum wage amendments to the Employment Standards Act. Whereas current adult employment programmes are only for individuals who can work semi-independently, in past programmes staff would accompany Daniel to work at large private companies and government agencies, where in the view of his mother, Daniel was visible and integrated in the community. It is these diverse, everyday ties of neighbourhood and employment that she wants for Daniel, and not necessarily ties with other people with developmental disabilities. 5.3.2 Accessing Bridging Social Capital Through Professional Networks Heterophilous ties are also important to M A P C L , which has international ties through its accreditation by the Arizona-based Commission on Accreditation of Rehabilitation Facilities (CARF). C A R F is a not-for-profit organisation founded in 1966 that provides accreditation in the human services field, including for adult day services, assisted living, behavioural health, employment and community services, and medical rehabilitation. C A R F has accredited more than 3,800 organisations in the United States, Canada and Western Europe and it opened an office in Canada in the fall of 2002 (CARF Web Site 2003). After two years of preparation to meet C A R F standards for service delivery (e.g. relating to the rights of supported individuals) and organisational competence (e.g. financial governance, input from stakeholders), M A P C L received a Three-Year Accreditation award from C A R F in the summer of 2002 ( M A P C L 2002). C A R F certification provides a symbolic resource that facilitates partnerships with similarly accredited local organisations. As related by a staff member, M A P C L tends to enter service partnerships other agencies that have also been accredited by CARF, because Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 2 accreditation offers assurance that partner organisations have reached the same standards and are operating according to the same guidelines, philosophies and ethical obligations as M A P C L . Extra-community, third party accreditation is also a way for M C F D to monitor quality control and ensure contractors meet its organisational and professional standards. Although becoming an accredited social service agency was a strategic goal identified by M A P C L (MAPCL 2002), it was also a process that was encouraged and financially supported by M C F D . Since 1999, M C F D has had a policy that requires all its large contractors who provide services to the public (with total contracts of at least $350,000) to be accredited with an appropriate body such as CARF. 5.4 Institutional Social Capital 5.4.1 Provincial and Municipal Regulation of Community Care Facilities It is often the case that the impact institutional frameworks of a society have on the day-to-day interactions and relationships of its people is barely noticed—until conflict arises. Deinstitutionalisation and community living were about housing people with developmental disabilities in smaller, homelike settings rather than in large, physically segregated facilities. In the province of British Columbia, deliberate efforts were made to ensure small group homes would indeed be integrated into residential neighbourhoods and exclusionary municipal zoning would not undermine the ideals of community living. Under Section 12 (Certain Laws Not to Apply) of the provincial Community Care Facility Act, municipal bylaws that limit the number or type of persons cared for in a community care facility or bylaws that affect a community care facility because it is a care facility instead of a single family dwelling, are not applicable to facilities which provide residence for no more than ten people, of whom not more than six are considered 'persons in care'.22 In other words, staffed group homes which provide care for up to six people with developmental disabilities may be 2 2 The same exception from municipal bylaws is provided for under the Community Care and Assisted Living Act, which will replace the Community Care Facility Act in 2003. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 113 located in any neighbourhood that has been zoned for residential use, as long as the building meets municipal fire and health standards. However, group homes with more than six clients may be regulated by municipalities through zoning. For instance, community care facilities which provide care for seven to ten people are considered a 'conditional approval use' in residentially zoned areas of Vancouver. In Vancouver these facilities, which are categorised as a Class B Community Care Special Needs Residential Facility, are subject to a development approval process.23 In Richmond, a similar sized facility, which is categorised as a Residential Care Facility (as opposed to a Residential Care Home), may be located in any district zoned for residential use, but its development is subject to a specific neighbourhood notification process. The process requires the City to notify in writing the neighbours within a five-house radius of the proposed building, invite neighbours to an informal meeting and provide them with the contact information for the care facility operator, a fact sheet about the care facility and a copy of the publication Group Homes in Richmond.2* Vancouver and Richmond both require care facilities for seven to ten clients to be a minimum of 200 metres from another in order that facilities are not concentrated in any one neighbourhood. Additionally, in both municipalities, facilities with more than ten residents are considered an institutional use and are subject to more stringent requirements than residential uses. The institutional framework provided by the provincial and municipal governments has an effect on social relationships by in effect creating relationships—however tenuous these might be—which otherwise might not exist. Residents living in Vancouver or Richmond cannot simply choose to exclude a group of people whom they might find objectionable from the physical proximity of their neighbourhood, because there prevails an institutional framework of provincial legislation, municipal regulation and community norms of inclusion. Public acceptance of legislative authority and norms of inclusion, which 2 3 City of Vancouver, Zoning and Development By-Law (No. 3575), 11 March 2003 and City of Vancouver, Land Use and Development Policies Guidelines: Special Needs Residential Facility Guidelines, February 1992. 2 4 City of Richmond, Group Homes in Richmond (Richmond, B.C.: City of Richmond, October 2002). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 4 are embedded in the social relationships created by the institutional environment, act as a resource to facilitate the implementation of the ideals of community living housing. The effects of the institutional frameworks of a society are more noticeable when social institutions are absent or dysfunctional. Gleeson (1999, 140) has argued that "in many Western countries, the process of creating community care networks has been slowed, or in some instances actually halted by, planning and building regulations"—where resistant homeowners exhibiting a N I M B Y reaction (a 'not-in-my-back-yard') curb the entry of unwanted facilities into their neighbourhood through local government development control systems (158). Service delivery organisations have then responded by adopting avoidance strategies and locating community care homes in areas where there is less likelihood of resistance, which is frequently in low income and declining inner city neighbourhoods (158). While N I M B Y reactions do not appear to have had a significant impact on the siting of group homes for people with developmental disabilities in the Vancouver area, institutional change arising out of conflict and interaction between citizens and local government has occurred and had an impact on the development process for all group homes in Richmond. Richmond created the category of 'Residential Care Facility' in its zoning bylaw and implemented a detailed notification process because of a conflict that arose out of the opening of a recovery home for alcohol and drug addicts in a residential neighbourhood in 1999 25 T n e r e w e r e j a r g e turnouts at city council meetings by upset residents, who reflecting the demographic makeup of the population, were largely new immigrants from Hong Kong. Many were afraid of the effect the group home would have on crime and property values in their neighbourhood. There was significant misunderstanding. Some residents said they either did not receive any prior notice that a recovery home would be moving into their neighbourhood, while others did not understand the purpose of the home because pamphlets that were distributed were only written only in English. Some did not understand the function of group homes, were unable to distinguish between different client populations, 2 5 Catherine Porter, "Recovery Home for Addicts Riles Neighbours: Richmond Residents Claim Facility Will Imperil Their Safety", The Vancouver Sun, 26 March 1999, sec. B, p. 1, final edition and City of Richmond Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 11 5 and thought any group home would mean an influx of drug addicts and criminals into their neighbourhoods.26 Others misinterpreted a map showing the locations of the thirty-two group homes operating in Richmond at the time, as a map indicating the locations of all the new group homes that were scheduled to open.27 A Group Home Task Force was formed and the mutual learning and recontracting (North 1995) that followed the initial controversy resulted in changes to the zoning bylaw and the implementation of a new development and notification process that applies now to all Residential Care Facilities. 5.4.2 Institutional Change: Deinstitutionalisation In considering how the institutional frameworks of society function as a resource in creating community living housing for people with developmental disabilities, it is necessary to consider more than simply the top-down perspective of how institutions of the state— authority at the provincial level and powers delegated to the municipal level—shape social relationships. In community living housing, we also need to consider how the existing institutional framework of the province is shaped by interaction and resources coming from civil society actors and the senior level of government. With respect to deinstitutionalisation, the movement was not only about the relocation of housing and care. It was also a philosophy about the right of people with developmental disabilities to control their own lives. As such, deinstitutionalisation "called for shifts in values and patterns of life that were embedded in Canadian culture" (Crichton and Jongbloed 1998, 105). The knowledge and other resources necessary for this shift were conveyed to the provincial government through interaction with individuals and groups at the community level, as well as through policy signals from the federal government. Group Home Task Force, Final Report and Recommendations (Richmond, B.C.: City of Richmond, 31 October 2001). 2 6 Gabriel Yiu, "Make a Better Effort to Allay Immigrants' Fears", The Vancouver Sun, 2 April 2001, sec. A, p. 13, final edition. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 11 6 Role of Parents and Advocacy Groups in Closing Institutional Facilities Reflecting on the changes that have occurred in how British Columbians approach housing for people with developmental disabilities, a staff member of M A P C L credits parents with being the driving force behind the deinstitutionalisation movement. Woodlands was downsized and ultimately closed because a very strong group of parents came together and began to advocate for something different for their children. Indeed, the Speech from the Throne outlining the provincial government's intention to phase out large institutions, acknowledged the role played in this decision by the British Columbia Association for the Mentally Retarded (BCAMR) 2 8 . The B C A M R , which later became the present-day British Columbia Association for Community Living, was originally formed in 1955 by the joining together of seven local parent associations. In the years prior to the announcement to close large institutional facilities in the province, the organisation had lobbied for changes such as the establishment of small regional residential settings that were close to family and friends and day programmes in the community for adults with developmental disabilities. When Woodlands closed in 1996, British Columbia became the first province in Canada to close all of its large institutions for people with developmental disabilities. The community living services that replaced institutionalised care were based on what had already been developed and were existing in the community. In a review of its community living services, M C F D stated that although individuals with developmental disabilities continued to be placed in large institutions until the early 1980s, "by then parents and advocacy groups had already developed alternatives to institutional placements and activities under the aegis of community boards. Government, communities and families used this infrastructure to build on when the move to deinstitutionalisation began" (MCFD Discussion Paper 2001, 1). John MacKie, "Richmond Uses Translators to Explain Group-Home Plans: Proceedings at a Public Meeting to Air the Issue Translated into Cantonese and Mandarin", The Vancouver Sun, 14 March 2001, sec. B, p. 7, final edition. 2 8 British Columbia Association for Community Living Web Site, BCACL History: J980's, <http://www.bcacl.org/his80a.htm>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 7 Convergence with Change in Federal Approaches to Social Programmes While pressure to deinstitutionalise came from parents and advocacy groups, developments at the national level also added to the impetus for provincial change. Under the division of powers in the Constitution Act of 1867, the provinces were granted authority over social affairs. However, provinces had limited taxing powers, and with the 1940 constitutional amendment which gave the federal government power to directly fund social programmes, the senior level of government became more involved in social policy development. Throughout Canada in the 1970s there was pressure to move toward community care. This came from a number a sources: from the separate deinstitutionalisation movements initiated by people with mental illnesses and parents of individuals with developmental disabilities and the increasing number of seniors with long-term care needs (Crichton and Jongbloed 1998, 89). In this environment, the policy shift by provincial governments toward group homes and community services for people with developmental disabilities came not only from changing norms and increased acceptance of the philosophy of normalised care, but also from changing statute law at the federal level— specifically, the introduction of the Canada Assistance Plan in 1966 (107).29 CAP provided matching-grant funding for shelter, welfare services and income support for discharged patients and one of its objectives was to provide financial incentive for provincial governments to move toward reasonably consistent social services across the country. Crichton and Jongbloed wrote: The shift from institutional care to community care was also encouraged by the CAP, 1966. Following the adoption of this legislation, several [provincial] governments took services to those with intellectual impairments out of health departments and put them into social welfare departments. The CAP supported shelter programs provided by non-profit organizations, a support that enabled provincial governments to promote deinstitutionalization, knowing that group homes would fill a need for housing those discharged from institutions which had housed people who were mentally ill or had intellectual impairments. (74) CAP legislation required the federal government to pay a percentage of the costs of social welfare programmes undertaken by the provinces. CAP enabled the federal government to set national standards by withholding payments to provinces whose policies did not meet federal standards. However, the federal government's ability to set national standards was diminished when CAP was replaced in 1996 by the Canada Health and Social Transfer programme, which provided block funding for health, education and welfare. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 1 8 5.5 Synergistic Social Capital 5.5.1 Respective Roles of the Provincial Government and Family Members MCFD 'Community Living Services for Adults' Branch At present the Community Living Services for Adults branch of the provincial Ministry of Children and Family Development (MCFD) provides support services for adults with developmental disabilities. As noted earlier, the ministry supports less than one-third of the adult population of British Columbia that is estimated to have an IQ of less than 70. M C F D funds community living services for 9,143 adults with developmental disabilities, of whom 5,400 are living in the ministry funded residential care.30 Community living services account for $533 million or 38 percent of the total M C F D budget for 2003/04 budget.31 With a new provincial government in office, M C F D conducted a review of all its programmes and services in October 2001. This 'Core Review' found that the budget for adult community living services was growing at an "unsustainable" rate of about 4 percent per year (MCFD Core Services Review 2001, n.p.) and both expenditure and client numbers had almost doubled in the twenty years since 1981 (MCFD Discussion Paper 2001, 2). The Core Review process highlighted a need to change the division of labour that had developed between government and families in providing housing and care to adults with developmental disabilities: [We] need to break out of the system of social services we have developed that is predicated on the basic tenet that professional intervention is the initial and primary response. We are collapsing under the weight of our experience. It is simply too expensive to be responding to every need through professional intervention. No matter how much money we have, it will never be enough. Aside from affordability, our approach has often been characterized as disenfranchising and disempowering those who best know what services and supports are required to assist person with developmental disabilities to independence - their families, their care givers 3 0 These statistics are for the month of April 2002. M C F D Web Site, Community Living - Statistics - Media Site, <http://www.mcf.gov.bc.ca/media_site/statistics_cls.htm> (updated 26 June 2003). 3 1 M C F D Web Site, Budget - Media Site, <http://www.mcf.gov.bc.ca/media_site/budget.htm> (updated 26 June 2003). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 119 and their communities. We have imposed ourselves in ways that have too often proven to be both unhealthy and unsustainable. (MCFD Discussion Paper 2001, 5) The Core Review outlined 'six key strategic shifts' which would guide forthcoming service and governance changes in the ministry. One of these key strategic shifts was to move toward a "community based service delivery system for adults with developmental disabilities that promotes choice, innovation and shared responsibility". According to M C F D , this shift would recognise those who knew best what services and supports were needed to assist persons with developmental disabilities to independence—namely their families, caregivers and communities. The review went on to state that by offering greater choice to families, communities and private and community sector partners, the per client placement cost of residential care could be reduced (MCFD Core Services Review 2001, n.p.). Formal Recognition for the Role of Families The government's desire for families to take on more responsibility for supporting adults with developmental disabilities is reflected in accompanying changes to government programmes, regulations and governance structures. That is, the informal role played by family members in providing housing and care to adults with developmental disabilities is being given greater formal recognition. The importance of the family role was expressed in Core Review documents and is also communicated in MCFD' s current mission statement. M C F D states its mission is to promote and develop the capacity of families and communities to, inter alia, support adults with developmental disabilities. M C F D minimises the role of government and states that one of the principles by which the ministry operates is to "provide the minimal intervention necessary to ensure the safety and well-being of our most vulnerable community members".32 This is in stark contrast to attitudes prevailing when people with developmental disabilities were placed in institutions. Residents of the institutions had little contact with their families and virtually every aspect of their life was 3 " MCFD Web Site, MCFD Change - Ministry Vision, Mission and Principles, <htt4D://www.mcf.gov.bc.ca/change/vision.htm> (updated 4 July 2003). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 2 0 controlled and provided for by the facility.33 Nowadays government tries to support family caregivers by, for example, providing them with periodic relief from their responsibilities. This respite or short-term care for adults with developmental disabilities can be provided in the home or at another location. It is intended to reduce family stress and minimise the need for residential placements. In Vancouver, where Daniel lives, the standard allotment of provincially funded respite care is twenty-eight days (280 hours) per fiscal year.34 While the norm in Canadian society is that family members are responsible for each other and are not paid to provide care to other family members, developments in M C F D have given greater formal recognition and financial compensation in some instances to family caregivers. It is a development that acknowledges the unique resources that family caregivers possess in providing appropriate care to individuals with developmental disabilities: They have familiarity and intimate knowledge of the individual's needs. One such policy development occurred in June 2002 when M C F D changed its regulations that had previously precluded the payment of public funds to family members for providing care to people with disabilities. The new policy allows family members who do not live with the client to be paid for providing care. In most instances, it is still not permitted for public funds to be paid to a parent, child or spouse of the client. However, on a case by case basis exceptions may be made i f the family lives in a rural or remote location; i f there are cultural or language barriers to finding an appropriate caregiver; or i f the client has behavioural problems. The prohibition on government funding of family caregivers had been under review, but the decision authorising a policy change was spurred by the murder-suicide of a couple and their severely disabled thirty-four-year-old son.35 The couple had been turned down by M C F D in their request for $500 a month in funding to enable one of them look after their son at home. The ministry had been willing to place their son in a home at a cost 3 3 Dulcie McCallum, The Need to Know: Administrative Review of Woodlands School (Victoria: Ministry of Children and Family Development, 2001), 11. 3 4 Developmental Disabilities Association Web Site, Care Options - Adult and Children's Caregiver Respite -Program Goals - Respite Services, <http://www.develop.bc.ca/Respite%20Services/respite_care_options.htm>. 3 5 Judith Lavoie, "Kelowna Murder-Suicide to Speed Up Reforms, Minister Says", Times-Colonist (Victoria), 12 January 2002, sec. A , p. 3, final edition. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 121 of $2,000 a month, but the couple did not want their son to be taken away because he was uncontrollable around strangers.36 With a different division of labour which emphasises the role of families in providing housing and care to individuals with developmental disabilities, the provincial government aims to provide greater choice and less expensive housing than under the traditional group home approach.37 One way this might be achieved is through 'individualised funding', where public funds are paid directly to individuals for the purchase of required services, instead of being paid to service providers as block funding for services and programmes.38 Many families have lobbied for individualised funding because it gives people with developmental disabilities control over acquiring the kinds of support they need. This type of funding may also be moved across jurisdictions as the individual moves, whereas under the current system, individuals may feel pressured to stay in the geographic region where they have funding for services. However, community views on a greater role for families and individualised funding are mixed. While some families in the PSG would have wanted the flexibility of individualised funding when they first took on the responsibility of caring for their child at home, many parents are now at an age when they find it increasingly difficult to continue being responsible for their adult child. Instead of wanting increased control, many of these ageing parents now want to hand greater responsibility for their adult children back to government. After having cared for their sons and daughters for their entire lives, some senior parents in the PSG now want them to be able to obtain a placement in a government funded group home, so that as parents they have some assurance their adult children will have long-term security when they are no longer alive to look after their interests.39 Petti Fong, '"There's No Hope: Tragic End for a Desperate Family: Kelowna Couple Kill Themselves and Their Disabled Son", The Vancouver Sun, 4 January 2002, sec. A , p. 1, final edition. 3 7 Community Living Co-Management Committee, "Update on Service Strategies for Community Living 2003/2004", letter to service providers, 9 January 2003, <http://www.mcf.gov.bc.ca/cliange/p^ 3 8 M C F D Web Site, Factsheet - Mid-Term Service Plan Review: Community Living, <http://www.mcf.gov.bc.ca/media_site/pdfs/community_living.pdf> (17 July 2003). 3 9 PSG, "The Parent Perspective: M C F D Plan Summary (2002/03-2004/05)", 18 March 2002, p. 6. Photocopy. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 122 5.5.2 Role and Resources of Community-Based Service Providers While the provincial government is moving toward a family care model and placing increased emphasis on the role of family members in providing housing and care to people with developmental disabilities, it continues to maintain relationships with the community sector and deliver social services through contracts. Service contracts currently represent 75 percent of the M C F D budget.40 This division of labour between government and community-based service delivery organisations^where government sets policy direction and CBOs deliver services—arises because of long standing norms and mutual benefit derived from both parties acting in their respective areas of comparative advantage. In contrast to other welfare states where health systems, housing estates and the like are publicly managed, Crichton and and Jongbloed (1998, 79) assert that when welfare state legislation was introduced in Canada, both the federal and provincial governments held an expectation that they would fund rather than provide services. Senior governments viewed their role as policy makers only and they sought to delegate responsibility for service delivery (79). Given the many functions performed by numerous voluntary organisations existing in Canada before any formal systems of health or social welfare were established (80-4, 119), it is not surprising that non-governmental organisations would continue to play an important part in social service delivery. Rekart (1993, 4) noted there had been a long standing network of collaboration between government and the voluntary sector in British Columbia. This laid the groundwork for a new type of collaboration in the 1980s, when "voluntary organizations became partners with government, delivering services on government's behalf under purchase-of-service agreements" (4). As a funder, government has tremendous power to shape the nature of CBOs, especially when the primary role of these organisations is to deliver services on contract. For instance, M A P C L was formed in 1998 in response to the Contract and Program Restructuring (CPR) initiative that was begun in 1997 by the Ministry for Children and Families. After the ministry had brought together the programmes and services of five Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 123 different ministries in an effort to provide integrated services for children and families, it initiated CPR to streamline the contracting system and reduce the number of service providers. Although the initiative was eventually aborted, the four organisations that came together as M A P C L "saw the writing on the wall" and understood that pressure for amalgamation and greater efficiency was not going to disappear. With amalgamation M A P C L was able to provide diverse and regional services and find cost efficiencies in the reduction of its staff. Whatever the degree of influence exerted by government on the community sector, CBOs have certain qualities and resources that can result in better service delivery outcomes. Both staff of M A P C L and parents of clients identified flexibility and passion, as strengths possessed by the organisation. One staff member described M A P C L as being very good at responding to people in crises and "not saying no" when approached by individuals who have no funding or who do not meet the eligibility criteria of M C F D . M A P C L will act as a connection for these people to the formal social service system, by providing a few hours of support a week until an alternative solution can be found, or M A P C L will help them find an appropriate resource. Caitlin's family similarly attested to a caring and flexible attitude amongst the staff of M A P C L who manage the group home, in their willingness to respond to changes suggested by the family. Service contracts with CBOs bring flexibility and other resources into the social service delivery system. However, reliance on non-government service delivery systems is not without drawbacks. Organisational capacity is one possible issue. For instance, one staff member suggested that M A P C L might not have the programme depth to meet the needs of families in the different ethnic communities in the Vancouver region. One parent also related her concern that immigrant families with limited English skills were more likely to look to government agencies for assistance and would find it difficult navigate a system comprised of a plethora of community-based service providers. Another parent expressed the view that in 4 0 MCFD Web Site, Mid-Term Service Plan Review: Contract Redesign Factsheet, <http://www.mcf.gov.bc.ca/media_site/pdfs/contract_redesign.pdf> (25 June 2003). Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 2 4 comparison to government, community-based service providers have less security of funding and have to, expend efforts in securing funding to the detriment of programme planning. 5.5.3 New Governance Model : 'Communi ty Living Bri t ish Co lumb ia ' Formation of Community Living British Columbia With the swearing in of a new provincial government in June 2001, community living services in British Columbia began to undergo rapid change. From the beginning of its term the new government let it be known there would be changes in how government related to people and organisations with an interest in developmental disabilities. The Ministry of Children and Family Development was created in June and by October the ministry's Core Review had set out six strategic shifts to guide upcoming changes, including a shift to community-based service delivery. M C F D released its first three-year service plan in February 2002, in which the ministry set out a strategy of working with the community to develop and implement a new governance and service delivery structure (MCFD Service Plan 2002, 8). Then in April the minister employed this strategy of working with the community by appointing the Community Living Transition Steering Committee to help plan the transition in community living services from government to community-based governance. The "community" with whom the government intended to work referred not to a geographic community, but rather to the community of interest around those supporting people with a developmental disability and their families. Transition Steering Committee had twenty-five members, of which only four were ministry staff. The rest of the Committee was made up of thirteen self-advocates and family members; seven staff members from different community service providers; and one representative of the British Columbia Association of Community Living. 4 1 They were charged with developing a transition plan for "community-based governance", whereby power and responsibility for community living 4 1 MCFD Web Site, MCFD Change - Community Living Authority - Initial Deliverables, March 14 2002, <http://www.mcf.gov.bc.ca/change/cla_init_deliverables.htm>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 125 services would be transferred out of government (MCFD) to an new non-governmental body led by a board of directors made up primarily of community representatives.42 In October 2002, the Transition Steering Committee issued its report and the provincial legislature passed the Community Services Interim Authorities Act to allow for the creation of an interim provincial-wide governance authority. The Interim Authority for Community Living British Columbia was created in November and by January 2003 a full twenty-four member board of directors was appointed. Again, the community was represented: eighteen of the directors were parents of children with a developmental disability and three were self-advocates.43 Furthermore, until the handover to the new authority, called Community Living British Columbia, is completed in the spring of 2004, management of community living services will be handled by a Co-Management Committee made up of three appointments from each of M C F D and the Interim Authority. Like the Transition Steering Committee and the Interim Authority, the community also has a voice on the Co-Management Committee. The three appointments made to the Co-Management Committee by the Interim Authority were all executive directors of community-based service providers. Additionally, two family members were appointed to the Co-Management Committee as observers. When Community Living British Columbia comes into being, it will be responsible for services for adults with developmental disabilities and children with special needs and their families. CBO Role in the Formation of the New Authority Gleeson (1999, 162) writes that many critics in Europe and North American have argued that neo-liberal governments have used communitarian rhetoric and the guise of progressive social policy to hide a more unpalatable reality of shifting the costs of care from the state to individuals, families and local communities. This has not quite been the case in 4 2 Interim Authority for Community Living British Columbia Web Site, Frequently Asked Questions, <http://interimauthorityclbc.ca/PDF/FAQ.pdf> (updated 11 August 2003). 4 3 Interim Authority Web Site, Announcement - For Immediate Release - February 13, 2003, <http://www.mterimauthorityclbc.ca/board_announcement02132003.htm>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 2 6 British Columbia. The new government made no secret of its cost cutting agenda. Four months after being sworn into office, it announced all provincial ministries, with the exceptions of those responsible for education and health, would face massive cuts of between 20 and 50 percent.44 A group of service providers, including M A P C L , came together very quickly under the name of Vision for Community Living to respond to the new fiscal and political environment. Perhaps surprisingly, the conclusions reached by these service providers and the message they delivered to M C F D as part of the Core Review process was in concurrence with the government's view. The service providers agreed that the creation of a new governance and service delivery system outside of M C F D would accomplish two goals: to bring control of services closer to individuals with disabilities and their families and also make the system more efficient, thereby effecting cost savings.45 In order to organise a response to the threatened cutbacks, promote individualised funding and develop a vision of community-based governance, members of the disability community formed the Community Living Coalition. The Coalition included self-advocates, family members, advocacy organisations and the Vision for Community Living service providers. Coalition members developed a proposal which responded to both the government's interest in governance change and its demand for significant budget cuts. This proposal was presented by representatives of the Coalition, including the executive director of M A P C L , to the Minister of Children and Family Development at a "historic" meeting in November 2001. By the mid-December, the Minister advised the Community Living Coalition that the government would move forward on a new governance model which was based on the proposal submitted by the Coalition.4 6 The work of the Coalition in effect led to 4 4 The Community Living Coalition mounted a media and advocacy campaign to stop the proposed 35 percent cutback to community living services. The Coalition considered it a victory when the government decided to reduce the cuts from 35 percent to 17 percent. From Community Living Coalition, Bulletin #1 - October 2002, <http://conmiunitylivingcoalition.bc.ca/Documents/CLC_Bulletin_l.pdf>. 4 5 Vision for Community Living, "Service Provider Submission - Core Services Review", submission to Chris Haynes, Acting Deputy Minister, Ministry for Children and Families, <http://www.mcf.gov.bc.ca/core_review/subrnissions/subl.pdf> (3 October 2001), p. 1. 4 6 Community Living Coalition Web Site, History of the Coalition, <http://www.communitylivingcoalition.bc.ca/history.htm> and Vision for Community Living Web Site, Community Governance Proposal- Government Accepts Community Living Recommendations on Governance: One Historic Day Followed by Another, <http://www.visioriforcommunityUving.com/proposal.htin>. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 127 the creation of the Transition Steering Committee. Indeed, thirteen of the twenty-five members on the Committee were nominated from the Coalition. Policy signals were given by government, but the structure of the new governance authority was shaped by the community of people with an interest in developmental disabilities. Ties between government and the community sector and the access both parties had to each other enabled these proceedings to take place. Strengths and Drawbacks of Community-Based Governance Community Living British Columbia will be an 'Authority" to which the Province delegates its responsibility for community living services. Although it remains subject to a significant degree of government control, as a non-government or private body, Community Living BC will be able to exercise more autonomy and flexibility than a government ministry. For example, one of its advantages will be an ability to carry forward funds that have not been spent in a fiscal year. These surplus funds could then be used to address waiting lists, whereas funds not spent by a provincial ministry must revert back to government. More importantly, Community Living BC will be a community-based governance model that ensures "all key decisions about supports and services, funding allocation and people's safety will be made by a majority of people who have first hand experience in such matters".47 In other words, there is now a structure for bringing the resources grouped together under the category of 'bonding social capital'—the intimate knowledge and other resources embedded in relationships between people with developmental disabilities and their family members and other community caregivers—into a formal system that is better connected to government actors. The collaboration and closer relationship between civil society actors and government has its drawbacks. With greater power comes greater responsibility, including for difficult decisions like funding cuts. A priority for the provincial government was to reduce spending. MCFD's first three-year service plan set a budget target of $1,191 billion Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • "128 for 2004/05, which meant a $361 million or 23 percent reduction from the base year of 2001/02.48 With new governance structures in place, "the community" was required to be an active participant in planning and implementing these cuts. In January 2003, the Co-Management Committee informed all service providers that they had to develop a plan to reduce the cost of their services and submit it to the Committee for approval by March. Based on guidelines set out the previous year by a joint working group of representatives from M C F D and the Transition Steering Committee, service providers were asked to find savings of between 4.5 and 5 percent in the 2003/04 financial year.49 In this "voluntary cost of service reduction initiative",50 service providers were asked to identify cost cutting measures in their programmes, such as by clustering supported apartments in one building or adding one more person to existing group homes.51 The Co-Management Committee also suggested service providers consider organisational changes, such as smaller service contractors working together or agencies sharing administrative resources.52 From the perspective of the Co-Management Committee, this process for reducing expenditures was a "community-focused, community-centered approach" that was preferable to cross sector or across-the-board cuts. The Committee argued that by having service providers determine their own cost efficiency measures, MCFD' s financial objectives could be met without "the uncertainty, turmoil and anger amongst service providers that has characterized past government attempts to reduce funding".53 As the Co-Management 4 7 Interim Authority Web Site, Frequently Asked Questions, <http://interimauthorityclbc.ca/PDF/FAQ.pdf> (updated 11 April 2003). 4 8 Note: In June 2003, funds were added to the M C F D 2004/05 budget, thereby easing its three-year reduction target from 23 percent to 11 percent. Notwithstanding the new funds, $22 million still remained to be cut from community living services in order to meet 2004/05 budget targets. From M C F D Web Site, Gordon Hogg, Minister of Children and Family Development, Service Plan Adjustments Speech, 25 June 2003, <http://www.mcf.gov.bc.ca/minister/speeds/hoggjune_25_03.htm> and M C F D Web Site, Mid-Term Service Plan Review: Community Living Factsheet, 17 July 2003, <http://www.mcf.gov.bc.ca/media_site/pdfs/community_living.pdf >. 4 9 Community Living Co-Management Committee, "Update on Service Strategies". 5 0 Interim Authority Web Site, Interim Authority CLBC Congratulates Rick Mowles, New CEO for CSSEA, <http://interimauthorityclbc.ca/PDF/CEO_CSSEA072903.pdf>. 5 1 Community Living Co-Management Committee, "Update on Service Strategies". 5 2 Interim Authority Web Site, "Co-Management Committee Service Strategies for 2003-2004", PowerPoint presentation to service providers, <http://mterirmuthorityclbc.ca/pow 5 3 Community Living Co-Management Committee, "Update on Service Strategies", p. 7. Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 129 Committee conveyed in presentations made to service providers, they could either wait for M C F D to reduce their budgets or they could take a proactive approach by working together with the Committee to reduce the cost of their services.54 For M A P C L being asked to make these cuts was difficult to accept. The organisation had been proactive over the last two to three years in finding cost efficiencies, by amalgamating from four agencies into one and saving office space. It felt it could put a price tag to how much these measures had saved. M A P C L had also added clients without funding to their programmes and could demonstrate these annualised savings. Nonetheless the feedback M A P C L received from the Co-Management Committee on its cost reduction plan was: How much are you giving back? The Committee wanted to know the dollar amount that would be returned to M C F D . At this point in M A P C L ' s development, returning a percentage of its budget would mean shutting down programmes. While there was a confluence of interest between government who wanted a more cost effective governance and service delivery system, and self-advocates and parents who wanted greater control over community living services, the institutional changes and reshaping of relationships between government and the developmental disabilities community has worked to the advantage of government. Though parents drove the agenda for some of the changes and there was community representation on the Transition Steering Committee and board of the Interim Authority, it is unclear at this point whether families will broadly be happy with the outcomes of these changes—which could be an unfamiliar service model or the closing of group homes. What is clear to one interviewee is that it will be more difficult to lay blame on government for the outcomes. The process has invited cynical and even angry views. As one interviewee said, How else could the government have gotten such detailed information about where to implement cuts without having first brought community service organisations into the change process? In the view of one parent in the PSG, service organisations and the new authority are little more than extensions of government: "The service organisations will say, 'Oh, we know that the government is going Interim Authority Web Site, "Co-Management Committee Service Strategies for 2003-2004". Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 1 3 0 to cut back, regardless, so we want to be at that table.' For what? To implement the cuts? Instead of standing up and saying, 'Look, we are down to the bare bones'...they don't do that. They go along with it." Of this tension between dual roles in service delivery and systems advocacy, Crichton and Jongbloed (1998, 180) have asserted that large service providing agencies have difficulty in truly being an advocate for a client-group once services become its primary function and a large portion of its funding comes from government. 5.6 Summary of Social Capital Inputs into 'Community Living' Housing Figure 8: Social Capital Inputs Into Housing for Adults with Developmental Disabilities e m b e d d e d a u t o n o m o u s Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 13"1 This case study again used a model of social capital to look at the contributions that resources embedded in social relationships make toward creating viable housing options—in this case, community living housing for adults with developmental disabilities. The developmental disabilities community is made up of disparate elements, and the concept of bonding social capital enables one to consider the various inputs contributed by family members and organisations who are most directly involved and most knowledgeable about the housing needs of people with developmental disabilities. Most of the adult population in British Columbia that is estimated to have developmental disabilities are left to their own devices. But whether or not they receive support from the provincial government, many people with developmental disabilities rely on family members for housing and personal care. Many of them live in the family home, where housing and personal care are provided by parents and siblings. Others live in housing that is supported by community-based service providers—either in staffed group homes or in private accommodation with minimal staff supports. In addition to housing programmes, community-based service providers such as Mainstream Association for Proactive Community Living, offer day programmes which are an important aspect of community living. These day programmes ensure that people with developmental disabilities are not socially isolated, which is as important to the ideals of community living as being physically integrated into residential neighbourhoods. Because people with developmental disabilities have a wide range of impairments, their needs and priorities differ. Community-based service providers cannot be expected to meet all these unique needs and concerns. This is often left to family members, but because the demands placed on family caregivers can be quite onerous, many such as Daniel and Caitlin's parents have joined informal support groups like the Parents Support Group for Families of Mentally Handicapped Adults. These informal support groups indirectly contribute to community living housing for adults with developmental disabilities, because relationships amongst group members provide family caregivers with access to the information, advocacy resources and companionship necessary for the efficacy and mental health of caregivers. Intra-community relationships are not the only source of resources needed to sustain community living housing. Individuals with developmental disabilities and their families Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 132 have little interest in a living in an insular community of people who all share the common challenge of living with a disability. The entire struggle for deinstitutionalisation was to accord people with developmental disabilities with the same rights to live and contribute to their communities as any other person. The category of bridging social capital provides a conceptual category for considering the importance of extra-community ties to the well-being of people with developmental disabilities. Extra-community ties are also important to service providers. M A C P L sought and received accreditation from the Arizona-based CARF before the organisation opened a local office in Canada. The process of international accreditation gave M A P C L a framework for setting and working toward high standards in adult residential services and other areas of its programme. This external, third party accreditation also provided a means for the provincial Ministry of Children and Family Development to monitor the quality of its service contractors. The availability and nature of social relationships, and thus social capital, is shaped to a degree by the institutional frameworks present in the province. This was the case when M C F D required its large service contractors to obtain third party accreditation. More broadly, the institutions of a society can shape the nature of relationships between citizens, that is, to shape the opportunity structures for social capital. Having a norm of community inclusion and broad public consensus that people with developmental disabilities should have the same rights as anyone else to choose where they live—even i f this means group homes are located in neighbourhoods zoned for single-family dwellings—facilitates the ideals of community living housing. In British Columbia, this norm is set out and enforced by legislation and regulations. At the provincial level, the Community Care Facilities Act ensures that group homes for six or fewer persons under care cannot be excluded from any residential neighbourhood. At the municipal level, regulations and development processes also support the ideals of community living. In the City of Vancouver, planning staff are directed to "encourage the distribution of acceptable housing forms and affordable shelter costs equally among all residential neighbourhoods of Vancouver rather than concentrating Chapter 5 Case Study 2: Community Housing for Adults with Developmental Disabilities • 133 them in a few areas".55 The City of Richmond tries to educate its citizenry and reduce conflict by providing public information about the history of deinstitutionalisation and the importance of group homes. The information provided in its neighbourhood notification process for group homes states that the "City of Richmond has a tradition of inclusiveness and has always looked for ways to support those with special needs within the community".56 Government and civil society actors brings different resources to the endeavour of creating and sustaining housing for adults with developmental disabilities. Family members can provide the least expensive and most appropriately individualised housing and personal care (i.e. to reflect personal tastes, cultural needs, etc.). But many families cannot take on this responsibility on their own and they look to the provincial government for additional resources, such as for funding of respite care. In other cases, individuals with developmental disabilities are best served by living in publicly funded residential facilities or group homes. Based on the history of the voluntary sector in Canada and norms of government acting as funders rather than providers of social services, community-based service providers play an instrumental role in providing housing and other community living services to people with developmental disabilities. Their grassroots background gives community-based organisations unique resources to work with people with developmental disabilities, including an attitude of service and organisational flexibility in working around restrictive criteria for the funding of individuals who need support services. 5 5 Adopted by Council on 8 May 1989. In City of Vancouver, Land Use and Development Policies and Guidelines: Affordable Housing Policies (Vancouver: City of Vancouver, May 1991). 5 6 City of Richmond, Group Homes in Richmond (Richmond, B.C.: City of Richmond, October 2002). Chapter 6 Utility of the Social Capital Model • 134 6 UTILITY O F T H E S O C I A L C A P I T A L M O D E L 6.1 Comparative Look at the Resources Embedded in Different Forms of Social Capital 6.1.1 Bonding Social Capital This paper examined the value of social relationships for the resources they conveyed in endeavours to create and sustain housing options for specific groups in Canadian society. One case examined housing for Chinese seniors with complex health needs and one case examined housing for adults with developmental disabilities. Both studies showed that the input of resources that were accessed through social relationships played a role in the production or maintenance of desired housing. In developing the multi-level care facility for Chinese seniors, intra-community relationships conveyed information about the cultural needs of this population, as well as the seed funding which encouraged other private and government actors to become participants in the project. Intra-community relationships were also demonstrated to have conveyed important resources in developing and sustaining housing for people with developmental disabilities. These intra-community relationships with family members and community-based organisations yielded the physical shelter itself and the caring, knowledgeable support services which enabled individuals to live in community housing. 6.1.2 Bridging Social Capital In both cases, extra-community relationships were shown to convey resources that could not be accessed from within the community or that strengthened the utility of intra-community resources. S.U.C.C.E.S.S. was the pre-eminent organisation serving the needs and representing the views of Chinese people in the Vancouver region. S.U.C.C.E.S.S. drew its strength from the wide support it enjoyed in the community, both in terms of people willing to volunteer or contribute financially to the organisation. But its credibility within the Chapter 6 Utility of the Social Capital Model • 1 35 Chinese community and mainstream Canadian society depended on its relationships with those outside the Chinese community—for instance its membership in the United Way and outside recognition as a professional social service agency. For people with developmental disabilities and their families, housing outside of large institutional facilities and an ability to develop extra-community relationships with people who do not share a particular interest in disabilities is a fundamental aspect of inclusion and participation in mainstream society. For both S.U.C.C.E.S.S. and M A P C L relationships with external colleagues, through membership or accreditation in international professional associations, were important means to set targets for achieving exemplary housing for their client populations. For S.U.C.C.E.S.S., this meant adopting the Eden philosophy and providing a housing environment for seniors that was filled with life from plants, animals and children. For M A P C L , seeking the highest level of CARF accreditation provided the framework for making organisational changes that improved service delivery in their housing and supportive day programmes. 6.1.3 Institutional Social Capital In both case studies it was apparent that the institutions of society shaped the very nature of relationships between individuals. The nature and predictability of these relationships then functioned as a resource which encouraged the activities of certain community-based organisations and made possible the different housing endeavours. Institutional changes at the federal level brought an awareness of the political ideal of multiculturalism into the Canadian consciousness. This was backed by financial support for ethnically based organisations which allowed S.U.C.C.E.S.S. to come into being and continue in its work on behalf of the Chinese community. Separate from implementing the political ideal of multiculturalism, when immigration and demographic change led the Vancouver Coastal Health Authority (formerly the Vancouver/Richmond Health Board) to articulate a policy on cultural competence, it changed the relationship health officials had with health consumers. It followed that in order to deliver culturally competent health and Chapter 6 Utility of the Social Capital Model • 136 housing services to Chinese seniors, it would be willing to enter into partnership with an ethno-specific organisation like S.U.C.C.E.S.S. that previously had no experience in delivering this type of service. Institutional frameworks played no less of a role in shaping the social relations that were necessary for changing from a model of housing people with developmental disabilities in large, segregated facilities to an model of inclusive community living. An institutional framework that characterised government as hinders rather than deliverers of social services placed organisations like M A P C L at the forefront of operating publicly funded residential homes for adults with developmental disabilities. Institutional change that called for contracting with professional agencies encouraged the formation of larger agencies with greater organisational competence, which in turn, created social space and a need for more informal support and advocacy groups like the Parents Support Group for Families of Mentally Handicapped Adults. Many PSG members had views and concerns that were different from the mainstream of the disability community. The organisation formed and continues to be active in part because of unhappiness with prevailing institutional changes. In the past this was because of changes to the minimum wage standards for sheltered workshops and currently this is because of resistance by some parents to governance changes and their desire for government to remain as the primary contact for families and people with disabilities. 6.1.4 Synergistic Social Capital Relationships and collaboration between government bodies and civil society actors engendered its own particular resource—a division of labour that effectively supported the two housing endeavours. Specific resources were also conveyed through these relationships. In both cases, relationships with community actors allowed provincial government bodies to convey information on policy direction and provide necessary funding. The (previously existing) Ministry of Health provided funding for the capital costs of the S.U.C.C.E.S.S. multi-level care facility, while the Vancouver Coastal Health Authority funded ongoing operating costs. At the same time, S.U.C.C.E.S.S. offered its knowledge of the Chinese Chapter 6 Utility of the Social Capital Model • 137 community, which enabled government bodies to achieve its policy objectives of delivering culturally competent housing and health services. In the case of community living housing for adults with developmental disabilities, the provincial government maintained that primarily responsibility should be held by family members who have the trust of the individual and possess the best knowledge of the person's housing and service needs. For its part, government contributed public funding to individuals and service providers and provided an oversight role in maintaining the quality of its service contracts. The input offered by service providers was organisational professionalism in combination with a grassroots outlook that put clients' interests at the top of their agenda. 6.2 Social Capital Model as an Analytic and Heuristic Tool The two case studies provided specific contexts to examine the relevance of social capital to the planning profession by considering the relative contribution made by socially embedded resources in developing and sustaining housing for specific groups of people in society. The idea of socially embedded resources, or social capital, adds greater specificity to the assertion that housing, its place in the city, and more broadly, space, is socially constructed or produced by social relations.' A second aim of this research was to consider the utility of employing as an analytic and heuristic tool, a quadripartite model of social capital that has bonding, bridging, institutional and synergistic components. This model assumed that each example of social capital has three constituent components: a resource component, a relationship or opportunity structure for transmitting and accessing the resource, and an action component where the resource is mobilised for specific ends. Based on the case studies, I would assert this model of social capital has proved useful in providing a framework for analysing and learning about the social resources available in a given ' Gleeson (1999) citing Lefebvre (1979) and Edward W. Soja, Postmodern Geographies: The Reassertion of Space in Critical Social Theory (Verso: New York, 1989). Chapter 6 Utility of the Social Capital Model • 1 3 8 situation and consequently, providing a guide for areas in which community or governmental actors can intervene.2 6.2.1 Analysis of Macro-Micro Linkages: Effects of Institutions and Relationships with Government on Civil Society One of the most useful aspects of the model is to link analysis of macrostructures of society to its microstructures. The model enabled analysis of how institutions of society shape and influence community level relationships, whether by establishing norms in support of multiculturalism and community inclusion or passing appropriate legislation. The model linked institutional support to the ability of individuals and community-based organisations to conduct their activities in developing and sustaining housing. As distinct from institutional social capital, the model also provides conceptual space to analyse the relationships and division of labour between specific government actors and community actors. Conceptually, the category of synergistic social capital provides space to consider how different levels of government and different government agencies may all contribute unique resources toward achieving an end. In both the S.U.C.C.E.S.S. and M A P C L case studies, a supporting role was identified for all three levels of government. Federal funding maintains the current strength of S.U.C.C.E.S.S. in its primary role of supporting immigrants, provincial funding enabled S.U.C.C.E.S.S. to move into the new area of housing for seniors, and municipal government provided property on which to construct the project. In the M A P C L study, federal funding provided the initial opportunities to fund community living housing services, the province developed the legislative environment and provides ongoing financial support, while the municipal government manages the development process and potential conflict in the siting of group homes. 2 As I have argued earlier, I am not suggesting that social capital discourse must necessarily address all four forms of social capital. However, the model does serve to place the specific planning project or research initiative within a broader social capital context, from which the reader, participant or policy maker can make relational observations. Chapter 6 Utility of the Social Capital Model • 139 While the model provides conceptual space for considering how institutions and governments can support community level activities, it also allows for analysis of scenarios where the macrostructures of society work against particular groups in society. In both case studies, institutions were set up in the past to discriminate against a segment of the population—respectively, the Chinese community and persons with developmental disabilities. In both studies, an assumption was made that institutions in Canada, particularly those affecting ethnic minorities and people with disabilities, had evolved to a greater degree of autonomy and now demonstrate less partiality and discrimination. 6.2.2 Analysis of Micro-Macro Linkages: Effects of Civil Society on Institutions and Government Actors The model allows for analysis of a two-way exchange of resources. It considers the resources that are possessed by community actors and links these resources to government actors and institutional processes. The mobilisation of community resources in state-society relationships can enable both government and individuals and community-based organisations to achieve their respective ends, as well as to enable mutual learning which may result in institutional change. The category of bonding social capital provides a means to examine the resources or strengths that are conveyed within intra-community relationships, for instance, in-depth knowledge about the cultural needs of Chinese seniors or the behavioural needs of individuals with developmental disabilities. On the other hand, the category of synergistic social capital provides a framework for looking at how bonding forms of social capital can be scaled up and have a wider impact through partnerships with government actors. Scaling up of community resources was apparent in the partnerships between S.U.C.C.E.S.S. and M A P C L and various government actors. Synergistic social capital provides conceptual space for considering how relationships and interactions between community and government actors may result in institutional change (and thereby instituting new forms of institutional social capital). In the first case study, this was somewhat evident in S.U.C.C.E.S.S. gaining mainstream Chapter 6 Utility of the Social Capital Model • 140 prominence, conveying a message that the Chinese community has unique needs and concerns which must be considering in social service planning, and the acceptance of this message by government actors. The model was more effective in analysing synergistic relationships and institutional change in the second case study. Lobbying and relationships established with the provincial government enabled parent advocacy groups to convey the importance of adopting a different model of housing for people with developmental disabilities and exert political pressure that resulted in a policy of deinstitutionalisation and community living. Close relationships and collaboration between community actors and government continue to be evident in the current transformation of governance for community living services, where the work of the Community Living Coalition, Community Living Transition Steering Committee and the Co-Management Committee will result in a different way of setting policy and delivering services when the new provincial authority, Community Living British Columbia, comes into being in the spring of 2004. 6.2.3 Forms of Social Capital as Conceptual Categories I was deliberate in both case studies to refer to specific examples of social capital and its effects when mobilised, and to avoid semantics that would generalise the attributes and effects of the different forms of social capital. The case studies do not show bonding social capital, or any of the three other forms of social capital, to be any singular commodity. That is, bonding social capital does not 'do' anything in particular and it cannot be said with wide validity that, for instance, "bonding social capital promotes co-operation and self-help in a community". The label given to different forms of social capital and the model itself simply provide convenient categories for organising the analysis of socially embedded resources. In the S.U.C.C.E.S.S. case study, different types of bonding social capital within the Chinese community in Vancouver were dynamic, morphing as the people in the community and their relationships changed. Examples of bonding social capital that were important to early Chinese immigrants, who largely worked as manual labour or sold consumer services, were largely irrelevant to later immigrants, who were better educated and often skilled Chapter 6 Utility of the Social Capital Model • 141 professionals. In the M A P C L / P S G case study, people and community-based organisations that shared a common interest in improving the lives of people with developmental disabilities often used intra-community resources and relationships toward different ends. While some now use their collective strength to lobby for individualised funding and more housing options, other parents within the same community resist these efforts and believe the moves would be detrimental to their adult children, who they believe are best served by more spaces in government funded group homes. Likewise, it cannot be said "synergistic social capital and collaboration with government results in better outcomes for the community''. The 'community' is often made of diverse elements, and coproduction between government and one element of the community may mean that other elements are not heard. This is the charge that the Parents Support Group has made against other larger, more prominent advocacy organisations. Even where relationships are established between community organisations and government, these relationships should not be regarded as static. Just as the ties of the early generation of immigrants faded, so too may the ties of more recent immigration—S.U.C.C.E.S.S. has already had to make programme changes to meet the different needs of new Mandarin speaking immigrants from P. R. China and Taiwan. The model provides conceptual space for assessing what relationships or opportunity structures are currently present, what motivations maintain these ties, and by implication, when current ties between government and community groups should be replaced with more relevant relationships. 6.2.4 Ana lys is of Extra-Community L inkages This four-part model of social capital creates conceptual space for analysing the value of resources conveyed in extra-community relationships. In the S.U.C.C.E.S.S. case study, the category of bridging social capital allowed for an analysis of how exclusion and lack of ties to mainstream Canadian society affected the early Chinese immigrant community. The lack of external ties forced members to rely on each other to a greater degree than might otherwise have been the case. Then later, acceptance and an ability to Chapter 6 Utility of the Social Capital Model • 1 4 2 connect to mainstream social service agencies reduced their reliance on intra-community relationships for support. In the second case study, many parents of individuals with developmental disabilities asserted that the absence of external relationships with people outside of the disability community indicated a diminished existence. These parents believed that extra-community relationships are a fundamental aspect of community living and the rights of citizenship. Both case studies point to the importance of decoupling (Granovetter 1995). Although early Chinese immigrants originally benefited from relationships within the bounded community of Chinatown and Chinese organisations, they later found greater value in establishing ties with the broader Canadian community. Likewise, the community of people with an interest in developmental disabilities initially found strength in intra-community ties during their struggle for deinstitutionalisation, but once this was achieved, their attention turned to full integration and the ability of people with developmental disabilities to form relationships within the wider community on the same basis as any other person. Given that coincidentally both the S.U.C.C.E.S.S. care home and M A P C L relied on relationships with external, internationally-based organisations for their accreditation and professional development, the category of bonding social capital provides a reminder that an insular approach to housing or other endeavour may not be advisable and it may not suffice to look only within a community and its direct relationships to government for necessary resources. 6.3 Social Capital Model as a Planning Tool 6.3.1 The Importance of Appropriate Language What I set out to do was to test a model of social capital that could be used as a conceptual tool in bringing deliberation of the resources embedded in social relationships to the planning table. In my view, the concept of social capital and each of the forms laid out in this quadripartite model does not include any information that is particularly new or innovative. Would anyone assert that social relationships or social institutions do not matter in a planning context? Or that planners do not already consider how community groups can Chapter 6 Utility of the Social Capital Model • 143 be brought into planning processes? But what I did want was language to give a name to our instinctive understanding that relationships matter because they convey resources or inputs which can be used to build up something else—whether this is our emotional well-being or housing that is culturally appropriate and physically integrated into neighbourhoods. The language of 'social capital' is useful because it is familiar and has parallels to semantics already used in considering the necessary physical, financial or human resources needed for a planning project. It is important to use language that has parallels to other forms of capital in order that socially embedded resources are considered in the planning stages of a project, and not only afterwards as a 'problem to fix' when obstacles related to social and institutional relationships arise. I come to this understanding based on personal observation and the comments of Canadian friends working on joint ventures in China during the mid-1990s. It seemed to me that some companies were willing to spend millions of dollars on acquiring the right land on which to build, the right machines and the right technical expertise, and then only played catch up to try fix the serious problems that could make or break a project—which were relationships with individuals and an unfamiliar institutional environment. It seems to me that when socially embedded resources are considered at the planning stage, planners can use the fungibility of some resources to their advantage. Can the lack of adequate financing be compensated for by the guarantees of an influential patron? If in the planning stages, institutions or particular actors or the lack thereof are anticipated to pose possible obstacles to the project, what other resources—human capital or otherwise—can be brought into the project to mitigate these potential difficulties? 6.3.2 Social Capital Model as a Guide for Planning Action Because the quadripartite model of social capital provides a framework for analysing relevant social relationships in a problem context, the model also serves as a planning tool to:3 3 Christiaan Grootaert (2001, 25) proposed five useful principles to guide the action of donors like the World Bank in their development activities: (1) do the homework and do not harm, i.e. to identify existing institutions, Chapter 6 Utility of the Social Capital Model • 144 Identify Resources The model helps to identify the presence or absence of resources that could potentially facilitate, or alternatively, hinder the project. If information is power, the quadripartite model of social capital serves as a mental prompt to consider the many relevant types of social relationships that could possibly provide access to necessary resources. Improve Availability of Resources An analysis of social capital allows planners to take steps to either support deployment of socially embedded resources or to take steps to mitigate the absence of potentially useful types of social capital. Planners can consider whether traditional inputs to production might be fungible with socially embedded resources, or vice versa. Identify Areas for Intervention The model serves to identify areas for intervention, which can range from creating inclusive planning processes to lobbying different branches of government for legislative changes. The model of social capital helps planners break down the enablement and partnership ideals of the Habitat Agenda into more manageable parts for which they can then consider policy interventions. Plan in Multiple Timeframes The utility of the model in analysing micro-macro and internal-external linkages is a quality that adds to its worth as a planning tool, because the concept of social capital then provides a framework for organising information along extended timeframes. Planners can then consider flexible and evolving interventions, where for example, actions to effect institutional change might take place over the long term. social relations and networks that contribute to growth and poverty alleviation, as well as those that impede it, so as to not weaken existing social capital; (2) use local-level social capital to deliver projects; (3) create enabling environments, i.e. good governance, enforcement of property rights, an independent judicial system and so forth; (4) invest in social capital, i.e. support existing and emerging organisations; and (5) promote research and learning. Chapter 6 Utility of the Social Capital Model • 145 6 . 3 . 3 Social Capital Model as an Influence on Approaches to Planning Planning for Multiple Publics The model makes an assumption that society is not homogenous, neither within a community group that seemingly shares similar characteristics and certainly not within society in general. The model precludes planners from planning for a generic population and forces them to take into account the different groups in society and how they relate to each other. It serves as a reminder that planners are working on behalf of multiple publics, an idea which reflects the demographic makeup of Canada. The model of social capital gives planners a tool that could prove useful in analysis and planning in different cultural and geographic contexts—to provide a framework for considering whether a project or institution might be transferable when underlying social relationships necessary for supporting the initiative could be very different. It could well provide an analytic framework for examining the socially embedded resources that make it possible for governments in China, Japan and Singapore to pass laws making it mandatory for children to provide financial support to elderly parents or understanding why governments in Korea and Hong Kong would choose indirect methods such as offering tax breaks and housing benefits to make it easier to care for the elderly at home. 4 However, the applicability of this social capital model in different cultural contexts and different substantive areas lies outside the scope of this paper and remains an area for further research. Critical Approach to Community Involvement and Coproducation Rather than making the case for involving community groups as a political ideal related to ideas of citizenship and public participation, the model instead facilitates critical analysis of what resources they bring to the table—and in what cases it may be less desirable 4 These examples are taken from Daniel Bell, "Communitarianism", in The Stanford Encyclopedia of Philosophy (Winter 2001 Edition), edited by Edward N. Zalta, <http://plato.stanford.edu/arcWw Chapter 6 Utility of the Social Capital Model • 146 to have broad participation and partnership.5 There is no assumption in this model that coproduction of services is necessarily better. It happened to be effective in these two case studies, but the case studies also revealed complexity—where for example, collaboration with some disability advocacy groups excluded the dissenting opinions of parents who then formed the Parents Support Group. There may be other issues take into account when considering the advisability of community involvement and coproduction. Based on these case studies, two in particular come to mind. One issue is organisational capacity. For example, the Parents Support Group relies heavily on the voluntary labour of two women and, i f the organisation was to become more formal and take on additional activities, it is unclear whether the group would have the capacity and time to assume these responsibilities. A related concern is organisational capacity and interest in maintaining public accountability. Over the course of this research, I have found that government departments and agencies at all levels—federal, provincial, municipal—offered wide access to information not just on established policy and recent programmes, but also the background information and discussion papers leading to the implementation of the policy or programme. This information was accessible over the Internet and in material form. By contrast, information on the activities of community-based organisations was often not available or access was limited to internal stakeholders (though on the other hand, the orientation of community-based organisations toward service meant that some staff were easily contacted and amenable to being interviewed). Community-based organisations may not have the necessary resources and organisational capacity for information management, nor do they face the same expectations for public accountability, though their funding may come largely from taxpayers. 5 Participants in 'The Collaboration Roundtable', a project to develop a culture of collaboration amongst community agencies and funders in the Vancouver area, identified problems associated with collaboration with community agencies, including the imposition of costs on organisations instead of being cost effective, being ineffective and sometimes harmful and so forth. In Kathy Coyne and Eric Kowalski, The Collaboration Roundtable: Phase I: Report on the First Step, <http://www.city. vancouver.bc.ca/commsvcs/socMpla^ 1999). 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Generic Interview Schedule for Community Member: Profile of Community • Is there any sense of community or common identity amongst the people who share circumstances similar to yours? If so, what things tie the community together or divide it? • How has the community changed over time? • What are the two most pressing issues or concerns facing the community? • Who are the main leaders in your community or to whom do individuals generally turn for assistance in these matters (family members, community organisations, government agencies)? Why? How has this changed over time? • What members of the community are most active in solving its problems (men/women, young people, retired people, etc.)? Profile of Individual/Family Member/Housing Issues • When did you become a part of this community?/Tell me about the nature of A"s disability and when did you find out? • What type of housing do yovJX have? How have your/his/her life circumstances changed over time? • What resources were available to you during X*s childhood that made community living possible (family members, community organisations, public services)? • Are there any housing needs that are particular to your community? Profile of Target CBO • In what C50-sponsored activities does X participate? and/or What is the nature of your involvement with CBO (volunteer, member or donor)? • How do you/your family benefit from this involvement? or Why are you not active/a member of CBOl • Who are the members and clients of CBOl Who chooses not to be a member or is excluded from the organisation? • How would you describe the quality of participation in CBO (means of communicating with the community, stakeholder input in decision-making, etc.)? • How well does CBO represent your community and your concerns to government and the wider community? How does CBO go about doing this? • How would you make CBO more effective in meeting community needs? Appendix: Sample Interview Schedules • 156 Prof i le of Other Organisations and Important Relat ionships • Do you participate in or rely on any other community activities and organisations? What do you get out of your participation in these other groups? • How and why did this other group start? Who are its members? Who chooses not be a member or is excluded from the group? What benefits do members get from participating in the group? • How do other organisations complement, replace or compete with the activities of CBOl Prof i le of Government and Institutions • In what ways has the institutional environment (i.e. legislation, regulations, norms of behaviour) affected (a) your community in general, (b) the housing situation, and (c) the need for and work of CBO and other community-based organisations? • To what degree has institutional change come from above (government) or below (self-advocates, families, community-based organisations)? • Is it preferable to have services delivered by smaller organisations like CBO or by government agencies? Is there any difference? • To what extent do community-based organisations like CBO complement, replace or compete with government activities in the community? Gener ic Interview Schedule for C B O Staff Member : Prof i le of Ind iv idual • How long have you been with CBOl Profile of Communi ty • Who are the clients served by CBOl • Do the clients served by CBO feel any sense of community or common identity? • What are the two most pressing issues or concerns facing the community? • To whom would individuals generally turn to for assistance in these matters (their families, community organisations, government agencies)? Prof i le of Target C B O • Tell me about the history of CBOl Why was the organisation formed? • Are there any groups of people who might feel excluded from CBO's programmes? • How have the goals and structure of CBO evolved? • From where does CBO get its support (funding, etc.)? • How would you describe the quality of participation in CBOl What involvement is there from members, volunteers, etc.? To what extent are stakeholders consulted and have input into decision making and policy development? Appendix: Sample Interview Schedules • 1 5 7 Profile of Housing Programme • Tell me about the y-and-z aspects of CBO's current housing programme. What resources make these housing programmes possible? • What is the history of CBO's housing initiatives and its future directions? • What housing needs are unique to your community? • What comparative advantage does CBO have in delivering housing programmes to its clients? Why look to CBO and not to government or other community-based organisations? • To what extent does CBO complement, replace or compete with the housing activities of government? Other community-based organisations? Profile of External Relationships • Aside from government hinders, who else and which organisations are important partners to CBO? Profile of Government and Institutions • In what ways has the institutional environment (i.e. legislation, regulations, norms of behaviour) had direct effects on the (a) housing situation of your clients and (b) CBO's day-to-day operations? • To what degree has institutional change come from above (government) or below (self-advocates, families, community-based organisations)? • How would you describe CBO's relationships with government (collaboration, funder/recipient relationship, a division of labour)? Which relationships are the most important? 

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